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ܷ͵ĺģʽ

ܷͷı

*

㽭ѧ ѧԺ 310028

ժҪ ܷ͵ĺģʽܷ߸ܷԭ;񣬿͹۵ضйصĸؽЭȨһܷģʽģʽԷʵͷѧԼ淨ѧΪڵܷռ֧λǿ͹ԵܷģʽϹƽı׼DZܷȶٽܷչڷԺͱʾܷ͵ҪģʽһЩԺģʽ֤Dzеġ ؼʣܷ ģʽ

ܷͷܷѧĺݣȷһֺܷͷǡܷΪش󣬲ڼǿܷʵʩļලϡǿԽ־ܷͲΪ໥Ľģʽģʽthe definitional modeͺģʽ(the balancing mode)ͬĽģʽʹܷͬĺ壬Ӱ쵽ᾭõȸķչǨܷģʽڲͬʷʱܲͬѧӰΪãһ𽥴ǰߵ֧λĹ̡ܷ͵ĺģʽʵеIJͷչģʽķΪܷҪģʽԭ򲢽ʾ䱾ԣ󻹶˷֤

һܷ͵ĺģʽʵеIJͷչ

ܷ͵ʵУģʽһʼΪһ²ãǰܷģʽʵչҪҲܷ͵ʵжԭнģʽз˼Ľ

ܷ͵ĺģʽָ߸ܷԭ;񣬿͹۵ضйصĸؽЭȨһܷģʽģʽ߷Ժ1851Cooley v. Board of Wardens бõġðУCooleyδرϦ1803ͨһɣ÷ɹ涨ʻѳǸۿڵĴֻƸ뵱캽Ա촬ֻ캽ѣΥ߽һ캽ѡ˱ݷԺߺ󣬿ߵ߷ԺΪݷΥܷݼó׵ع涨ð漰ܷԹó׵ȨǷζŰ˸ݶ캽ԱĵȨɿµ˹󷨹٣J. CurtisʵķԺΪó׵ȨŹ򣬶ҵʸͬЩҪȫۿƽȵͳһĹ涨Щ籾ΣҪ㺽˵ĵطҪԴǷԵȨһԿ϶Է񶨵Ļش𣬶ȨʶƬĻش𡣡 ǹΪбҪͳһȨʹݸݾڸۿڵĵطԣʵԵĹ涨ԺΪó׵Ȩųݶ캽ԱĵȨ

ǰݵĵȨΪȻɽĵԪðн߶óȡǰȫ̬ͬȣʵиΪʵʵķʣȨȫһطԵҪǾߵȡ򡣸ðоڵʱ˵ǡס[1](p156) ΪʽѧǰִʱڷѧռλӰ죬ʱܷռ֧λǶģʽܷ͵ĶģʽǶܷеĴ¶塪ܷдݺͺ塪ܷģʽڶģʽ£ܷĴﱻָƸ಻ͬ󣬽ߵڴʵ׫ߵãǾĺ岢Ϊ¶塣 ܷ͵ĶģʽоԶʷ1824꣬ϯ󷨹ЪķԺͰܷͶΪʵ׫ܷʹõ塯óһʵĺʮֱҪ[2]

Ȼܷ͵ĶģʽǣߴǶܷĶ壿ĶԴںδʵھ¶ԴڽԼҲ˵ǸԼĹ۵ܷ¶ġʱǿߵͼΪԴʷϰף֪ѧߵԴܷʱֵͨԼĶԼءJohan Hart Ely˵ͼȷܷĺԴⲿ͹ۡʵʱͨǡ֡Լļֵۡ [3](p43)

мڶģʽȱݣðеĽ߲ٲȡӲʽģʽȥܷ¶壬ǾͳһԺͶԵļֵͻʹֹݵıóӵͬʱ˸дطҪðоΪԭ򡱣Cooley DoctrineΪעִ̱ [4](p158) ͨȨڹ涨ijһضΪϵ͹ͳһ涨Ϊϵ棬־ܷ͵ĺģʽĿʼڵʱѧ£ܷʽӰ죬ģʽȡѹԵλ˸ðоܿ챻ˣð춨˺ģʽĻȷġԭ20ͺ󱻶ã˸ðںģʽܷʷϾмΪҪĵλ

20ͺܷ͵ĺģʽΪԽԽѧӡ1943˹.ӵܷ͵֮һǡȨͺǺϻҵѳͻĸ棬Э֮[5](p190) Steven Shiffrinָܷ͵ıҪ򡱡[6](p12121249) һλѧΪԺһֻһַʽооԲɵǷҪﵽĹĿIJɱ[7] (p700706) ʵϣ߷Ժܷв˺ģʽ1939Schneider v. State[8]У߷ԺֹֽɢķΥ˵һΪݡΪ˹ȫʵйƣҲΪ˶ַɣ ִȨַ֧ʵɵļʱǾֵֹֽܾ֤ͨɡΪֵֽ˵֤ԡֹ۵һֺʵ˼άģʽΪֵȽϣǰ߸ΪҪΪΥܡ

ڵ¹Ժ1958ҩʦӦáеķܷСְҵĺ壬Ȩѡְҵش棬ΪӦǰߣоͷݵҩʦΥܡϵƵӰˡۡΪ˵ܷɵķΧڵӰ˾ľ棬Ӧܷϡ[9](p351-355413-420) 20ڣģʽѾΪܷ͵ҪģʽʵܷҪģʽҲΪһ㷨ƶҪģʽ[10](p603-611) T. Alexander AleinikoffڵĻ˵һʱ[11](p943-944)

ܷ͵ĺģʽķ

20ͣʽܵҺͳʵķչʹʶģʽʽ˼άʽЧģҪչӹܻĺģʽʽĶģʽܷ򣬺ģʽijǶԶģʽڵĸȱݵĻӦǷʽ͸ѧƵķӳڷʵͷѧԼ淨ѧ֮ϣǶʵ֪ʶǨĻӦ 20͵ʵѧΪʽĶdzģûй̶еκʵеӰ졣[12](p39) ʵDzϷչ仯ġDzȷģֻ䷢ijϵ壬ܷеĴĸཨĽûԹеĺ壬ҲһɲģᄈͽʵΪһжϵĴֹ۵㣬ܷĵĺǽ߶нʱġϾһܷĽͽʵӰ죬˽Ӧһ˼ǵķʽУҪЭܷʵijͻأɹߺĿ꣬Ǻ֮ ѧΪǾԷչľ;ɾԡ[13](p296) עطɵʵЧԼʹɾʵЧֶκͷɸ⻯õҪԡΪʹȶҹ̶Ĺ۵㿴һķ񻰡basic legal mythͶͯڡ(father complex)IJ࣬ԷΪʵƣͲⷨɡ߷Ժķ˹󷨹Ϊܷѧʽ岻ǵʽ֮УлġƶȡǵdzĶǿ̰ġ[14] ѧΪʵ֮ʵʼմž룬ɵñʵӦ˷߱뾭໥ͻȨ⣬أʱǵȷӦҪ塣ǷԷĻżȻĹ۵㣬෴ȷŴŹϵ׼Ϳ͹۵ļֵģʽʹɾһ̶ȵͳһԺǡԡ 淨ѧǷѧϷչġŷ޵һѧ˶ڵ¹ͷŴ׷ߡΪѧŵķ߼ǡĹ۵õʵϣָκһַƶȶȻDzĺȱݵģҸ߼Ҳִܴ淨еóĽۡѧΪɹ淶ΪͻƶԭԭDZѷɹ淶Ǽֵжϣ໥ͻȺеһӦһ棬߸óͻ˫Ӧӵ档÷Ӧʶ漰桢ЩԵķƽ϶ǽкԱijֱ׼ȥȷҪȵλմﵽΪĺѧұľʶ⣬ܱе桢άЩ֮䡢뱣ЩһµijֺЭ ŷʵͷѧԼ淨ѧķչ׳ǵӰǿʽ͸ѧʽ΢ܷ͵ĶģʽΪӡЩѧΪеĽѰµܷģʽṩ˼ʵ֧ţһµܷģʽģʽ𽥷չճΪܷ͵Ҫģʽ

ģʽΪܷҪģʽԭ

˵ַѧΪܷ͵ĺģʽṩⲿֵ֧ĻôģʽʹΪܷҪģʽԭ򡣡ûһֽͷ֤ɵģκһֽƶҪһɡ[15](p311) Ϊģʽܷ֮͵ijʵΪѡ񲢳Ϊܷ͵ҪģʽڷԭҪ¼㡣

һģʽǿ͹۵ܷģʽ

ܷͲнв߱ʶܷĿ겢뵱µỷʣѰܷĺܷ͡ֵȨЭȨЭʷͳԼḳѡӦֵΪݣļֵ֮⣬ʵԣѧûй˼ԭӵļֵҲܲԭӵһûбֵ۵¶ؽп͹۵ۺжϲɴ˵óӦۡҲΪֿ͹ԲųżصãֵʵΪ࣬ΪʵǽܷĽߵ˼άͷΪһ̸ˡ

ģʽԵܷģʽ

ܷΪΪһص֯ṩ˿ܣҶ;ԿƺͱܷĿ꣬һϣ˵ܷǴﵽĿĵֶΡˣܷ;Ҫ;õı仯չӦ໥ͻԱȽϲѡѡȡҪ̶ȣУ߲ɱҪƫԵжϡģʽֵԲԭԡĽǶʵϸ˾ۣкĽʵϰһѧҵĽɫиضйʽĵУϵ߼ݡϣȫյ¿͹ʵǰ£Ȼÿѧķɵġ

ģʽϹƽı׼

ڲȡģʽʱܷҪܷԭּȶжϵؼо٣ȻٶЩڴٽᷢչƶʷѡԱӶܷľĿĵжϡһܵ˼ά̣ԺκأǽڳֿǸػ֮ϣԳֵӣڸ֮зֱЭ漰ƫеĺ[16](p237) ӮΣӶʹ

ģģʽDZܷȶٽܷչ

ܷı߸ڱ´ЭԭԹ涨ͬ족Ľ˹̹Ļ˵ǡδȫۻЭ顱[17](p39) ܷĹ涨ֻǶ߹ͬĸķӳܷ֡ùͨģʽнͣʹЩԵԼЩĸ˱ӵĻᣬһУҪãһDZܷȶֲܷڲҡܷıĻϽеġ޸ܷģܷı޳Ƶ䶯ӶܷȶָƵıȨϿ͹ʵʵжϣڳʵìܺͳͻľ棬ӶܷĿ̰ͽǴٽܷչΥ֮ݣȿԶԴʱδֵĺߵԿǣֿɶԭΪܷϿɵǨֲ仯ϣʹܷΪӦġܷliving constitutionӶٽܷʱʱչĵܷǰ½вģܷԭּ౳룬෴ΪʹʵΥܷ

ܷ֮͵ĺģʽʵԺͳԣܷ֮ʵеõԭЩԭҲǺģʽƣʵҲǽڽͻӦӵԭǽӦ׷ֵܷ׼ʹԽڶģʽͷӶճΪߵĵȻѡ

ġģʽı

ܷ͵ĺģʽʵĻܵģʽԿǻЭصķʽвһ˵ζҪй໥Ȩ⡣֡Ȩ⡱ǴϱȽϣǽȨļֵϽбȽϡ ܷģʽҪйصļֵбȽϡȨϽкˣҪмֵжϣ벻ֵѡ߼ʷԼر׼ܷܵ͹Ӱ죬һӰ֧ԣ̶ܴȡЩҪȼõ֮ҪԼֵҪ̶ȡ[18](p69)

ģʽĿԵļֵѡͼֵжԵġ͹۵ı׼ǸԵġ۵ѡжϡҪܷԭ;ҪǵлձͬṲʶΪǽߵְֵΪ֮ܶ롣ģʽһʵܷģʽͬڶģʽΪܷͣκɾһڽߵʶ̬еķɾȻ漰ֵжϺͼֵѡ񣬵ΪЩֵжϺͼֵѡһ˼ǵķʽģĻżȻġ

ܷ͵ĺģʽܷıṩֻǴָԵԭԹ涨ݲȱģǴſȱʱ仯Ҫ߰ʱȷڸֻµںܷĿԾһܷԭҪڿܷıͬʱи棬жȡᣬӶʹܷĹ淶ϵ[19](p265) Ϊʹ໥гɾķܷѾΪռλķܷĸʹ֮һʱ仯ݺ壬ˣ;ˣͱòٽȷЩ־ߵĺͼ⣬ͲԡĿȱܷĽ;ȶһƶĽиѡɣܷһЩԭȻٽЩԭھ£ҪѧķЩԭĿհס

塢ԺģʽΪҪܷģʽķ֤

ܷܺ͵Ψһģʽ˵ܷʮֿɿЧıҪģʽ˹˸(Felix Frankfurter)ΪܷоӦȨͺЩȷʵṫڵļֵ棬[5](p213) Ϊ߱ӵеĸؼԺǵؾáģʽܷ͵Ҫģʽе⣬ͨ¶ԸģʽпܵԷķԷ֤

һͼ

һЩΪܷĺͨ̽ѯ߻ܷ׼ߵͼȷ߻׼ߵͼܷ̽صľԡһܷƶɹ۵㲢ȫһµɵļһˣǶܷĹ۵ǹ㷺໥ìܵġڶķչǨߵûбûʶΡûԤ⵽¼Ӽӡߵ͵ӹ㲥ȡǷԤijһض¼Щܷ߱˼ͻģҲЩߵΪͼִһԱڶ֯˵Ҫ̽ǹڸͳһͼûģǵͼҪôȱļأҪôزȱģ壬ʱٵġģߵͼĶѾȥ˵ʵڹȥγɵͼڵܲ߱ԭҪԸ෴Ľ壬Ҫȷܷ׼ߡ׼ϵͼΪѣЩܷĹ۵ͬΪЩзͳһͼ

ͼԺȱݣܷ͵ĿɿΪѭʷαװ£ղ޸ͼȨ[20](p204) ƻǴ¿͹۵ġǸ˵̽ͼʱǷֵԼļֵ ϣWilliam Brennan, Jr.ָԭǡαװǫѷʵǫµԴ󡣡[21](p14-15) ˣͼģʽܷʵDzеġ

ʷ

ʷܷܱȻеĿǽתƵȥͼͬ⡣ʷԭͼ׽޷ȷԼء(John Hart Ely)˵ͳּܱ֧κɣʱյͳһУͳ漰ȻԵIJȷԡ̽Ѱȥоʶ¹ʱЩ޴IJȷ棬㼸֤κҪ֤Ķ̹ʵ˵ͳṩ𰸣𰸲ȷ֤Ʒص෴жȷġ[3](p59-60) ʷIJȷԼ㷺ԣܷͼڹȥΪܷԴʱ֤DzְʷѧҡʷܷԴĻӦʷѧҶǷѧȥܷˡͼһʷȻڹȥ󿴵ģҲDZ仯˵ѭʷܷǽȥʵڵܷ֮ϡPlessy v. Ferguson£ ʷϰߺʹͳܷ˸ܷ[22] ΪֻҪһϰ߻ͳôкʾ޳ɡб״ãܷӦ仯˵ĻͨӻȫֹĻȥһֱصķ

ȫʷԤǰ᣺һʷ㹻ʹ֮ãʷ㹻ʵʹ֮ɿȻǰᶼ˻ɵġȻʷķζڽܷʱԲʷͼˣ߿ԴʷȡҪĽѵϣʷȷܷⲿԴʷΪܷṩȷĴ𰸣ʷһԸԽʷܷ͵ḷ́ԻijİԶܴ ܷĿ

ʣڽܷʱܹѰܷĿģҲӦȻѰܷĿIJǴ෴̵ֻһ֡Ƕ໥໥ͻȨ⣬Ҫܷԭ;Ϊݣ̽ѰܷĿڡܷҪδ¼еػˣѰܷĿĿԷܷ永涨ʲôӶܷ໥ͻһṩ˱ڱһ棬ܷĿģͬʱҲǺҪ漰Ḷ́ΪĿĵģҪͨĿĽкԣȷܷĿҲǺһ֣ ģ

ȻѭӢϵҷԺֵһԭҲܷонܷ͵ԭ򣬵ܷ͵ĺģʽʵҲпܱʹ˺ģʽ£ѭǶԺǰѺijתƵǰİԶģʽģǰģʽ޷˷ȱݣʱöģʽIJɿԺͷģʽԺЧԣΪԼṩһЩԭԵָǶԸۺͲǿҪ󣬿㲻䣬ҲƶġˣԺֻʹúģʽʱʵֻǰѺתһʱѡ

ڶԪĻУڸֵּ澭Ե໥ײ龳ģʽܷͶάһܷµĺгȶỷҪġϾһʱģʽǽܷ͵ĸҪģʽִܷ͵Ҫ񲢲ܷ̽ĺ壬עؽЩȽϸĺھ尸УȻݰ漰ȷеݣ̵Ҫһ̡֡[23](p43) ʽĶģʽȱݵѹ֮±󣬺ģʽΪѧ׷ĸַѧֶ֧Ϊܷ͵ĿɿģʽΪǷɾκοܵĿɿȻܷΨһҪܷЧġԵĽͣģʽʮҪģеڷƼ䱾ģһЩԺģʽĿܵԷ֤ҪôDzеҪôͲڽܷİܷ־֮۷棬ģʽƼֵܷһͷģȻӦΪܷ͵ҪģʽⱾҲάֵܷҪͱȻҪ

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߼飺1968УĴˣ㽭ѧѧԺʿ

ΪȨݼó׵ĸ棬Щкǿĵطص㣬ҪֲͬĶԴЩйҪͳһԴԹݼʺ͹ó׵ĸ档μCooley v. Board of Wardens, 53 U.S. (12 How) 299 (1851).

οף

[1] []ޡ˹ص.ܷߵḶ́[M].ǧ.йѧ磬2002.

ģʽܷ߶ܷ¶御ڴʵ׫ʵ׫߻DzͬġĴʵ׫ҪǴʹЩȷʵĺ壬⿴Էִʵĺ壬ȻȴҪԼܷĺ壬ڿԴʵĺ壻⣬ʵ׫ߵĻȻҲ漰һ̶ȵĴø༭ߣ߶ܷĽڸij̶ϽдԭԵĻȴʵ׫߸ߡ [2] Gibbons v. Ogden, 22 U.S. (9 Weat.) 1 (1824).

[3] []Լء(John Hart Ely)[M].벻.һ.ɳ磬2003.

[4] ǧ.ϵϲᡤܷ[M].йѧ磬2004.

[5] []ղķ˹.ܷ[M].轨.йѧ磬1999.

[6] Steven Shiffrin, The First Amendment and Economic Regulation: Away from a General Theory of the First Amendment, 78 Nw. U. L. Rev(1984).

[7] Archibald Cox, Book Review, 94 Harv. L. Rev(1981).

[8] Schneider v. State308 U.S. 147 (1939) .

[9] ǧ.ϵ²ᡤŷܷ[M].йѧ磬2001.

[10] Patrick M. McFadden, The Balancing Test, 29 B.C. L. Rev(1988).

[11] T. Alexander Aleinikoff, Constitutional law in the Age of Balancing, 96-YALE L.J(1987).

[12] Jeffrey M. Shaman, Constitutional Interpretation: Illusion and Reality, Greenwood Press, 2001.

[13] []˹ơӵ.ѧ[M]..йѧ磬2004.

[14] Oliver Wendell Holmes, Jr., in Gompers v. United States, 233 U.S.640, 610 (1914).

[15] Cass. R. Sunstein, Five Theses on Originalism, 19 Harv. J. L. & Pub. Poly(1996).

[16] []״.ѧ[M].°.ݣ2003.

[17] []˹R˹̹.γͻ[M]..ɳ磬2004.

һ̰Уɵַ治˾ӢߵļֵԴϱȽϡ

[18] [].˾̵[M]..ӡݣ2003.

[19] 塢Ԫ.ִܷѧԭ[M].й񹫰ѧ磬2003.

[20] Paul Brest, The Misconceived Quest for the Original Understanding, 60 B.U. L. Rev(1980).

[21] William J. Brennan, Jr., Speech at Georgetown University, reprinted in The Great Debate (Washington, D.C.The Federalist Society(1986).

[22] Plessy v. Ferguson, 163 U.S. 550,551 (1896).

[23] []˹иֶ(Christopher Wolfe).˾ܶ塪ɵıϻǰȫв[M].ƽ.йѧ,2004.

Ȼٻ߿á͹ۡĻۣø˻ķʶ𣬵Ƿʶ֡ĺܿԼļֵμ[]Լء(John Hart Ely)ͬע[4]43ҳ

Plessy v. Ferguson, 163 U.S. 537 (1896)У߷Ժоṩͬ£˺Ͱ˳˿͵ûΥܣɶԺ˵ӡðȷԭ1954IJ߽ίԱ᰸бƷ

The Balancing Mode of Constitutional Interpretation

and on the transformation of the methods of constitutional interpretation

Liu Guo

(Law Scholl, zhejiang university, Hangzhou, zhejiang 310028)

Abstract: The balanced mode of constitutional interpretation is that the interpreter harmonize and weigh each involved factors objectively according to the principles and spirits of the constitution. This mode is grounded on the law-realism and the sociological jurisprudence and the jurisprudence of interests. It predominates todays constitutional interpretation. It is impersonal and rational and is consistent with the standards of equity and justice, it is also the joint of keep steady and promote development of the constitution. Its exterior nomological bases and inner validity and essence decide it is the important mode of constitutional interpretation, some alternatives be proved to be nonviable.

Key Words: constitutional interpretation, the balancing mode, interpreter.