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1、中国人民大学硕士学位论文论美国判例法制度的运行姓名：郑重申请学位级别：硕士专业：法律史指导教师：丁相顺200705011摘 要 摘 要 判例法是当今世界最具影响力的法律形式之一，自 12 世纪在英国产生以来，经过漫长岁月的洗礼，至今仍充满了生机与活力。由于判例法制度是英美法系的重要法律制度，又是其区别于大陆法系的重要特点，学术界一直保持着对其研究的热情，分别运用多种方法，从诸多方面对判例法的产生、发展、原则、制度、特点等进行了研究。美国的判例法制度是建立在英国殖民统治基础上的，特别是美国独立以后，对判例法制度有了较大的发展。今天美国所运行的判例法，已和传统英国判例法有了很大的区别。本文旨在从美
2、国判例法的产生、发展、运行基础、运行机制等动态角度揭示美国判例法的运行，同时对与美国判例法制度运行密切相关的司法判例汇编和案例教学法进行论述，并与中国案例指导制度进行比较。 美国法律的历史开始于殖民统治时期。英国在战胜其他列强以后，由于移民的背景和对美国政府的控制， 英国的法律在各个殖民地国家不同程度的生效。美国独立后的一段时间内曾出现对英国法的敌视和靠近成文法系的趋势，但是最终却保留在了普通法系。这和英美两国的政治关系及历史、文化传统息息相关。但美国并没有照搬英国的判例法，而是根据自己的需要对其进行了改造。首先是遵循先例原则的改造，其次是制定了大量的成文法。 美国判例法制度运行的基础包括哲学
3、、传统基础，司法体系基础和判例法与制定法的关系基础。美国判例法制度运行的哲学基础是经验主义哲学。根据古典的普通法理论，普通法不是逻辑推理的产物，而是共同经验的反映。完整、统一的司法系统是判例法制度得以运行的现实基础，美国双轨制的法院系统恰好满足了这一需要。在判例法与制定法的关系上，制定法是主要的，因为它有权改变或者否定判例法前例，而且在判例法与制定法发生冲突时，前者应该服从后者。反过来，制定法一般要通过法院的解释才能实现，而在这一过程中，判例法往往就在不同程度上改变了制定法。 美国判例法的运行机制从判例法的产生和效力以及判例的构成要素和适用规则等方面进行论述。在分析前例判决中的法律问题时，必须
4、严格地区分“判决理由”和附带意见。判决理由是指有约束力的前例。对于做出一个判决来说，2这是一个必不可少的部分。附带意见并不是这一判决中必不可少的，但是它对以后其他的判决来说，可能会有影响，因而它不是一个有约束力但是却有说服力的部分。适用方式则包括了古典理论、古德哈特理论和美国现实主义理论。最后从对 Powell v. Alabama，Gideon v. Wainwright 和 Argersinger V. Hamlin 等三个判例的分析中论述判例与法律原则发展的关系。 在英美法系国家中，不同级别的法院司法判例的约束力是区别而确定的，并要求法官按照遵循先例的原则来审理后来案件。而实行这一制度的
5、前提条件就是要使先例为人所知，特别是为法官和律师这些法律职业者所知，否则判例法制度无法正常运行。因此司法判例的汇编在美国判例法制度中格外重要。美国的司法判例汇编一般分为联邦判例汇编和州判例汇编。判例查找对于法律职业者来说具有重要意义。另外，判例法制度的运行需要对先前判决进行认真地研究和分析，从中发现法律原则及其演变的过程，并把它和当前需要处理的案件进行类推和比较。案例教学法的产生满足了这一要求，培养出了大批能灵活运用判例法的法律职业者。 我国建立的案件指导制在其目的上与美国判例法制度有相似之处，即旨在使相似的案件得到相似地处理。但是我国并没有确立“遵循先例”原则，也没有把案例作为正式的法律渊源
6、，因此它们之间又存在根本的区别。我国在考虑现实国情和制定法为主要法源的基础上，没有照搬美国的判例法制度，而是吸收了其在统一司法适用等方面的优点。 总之，由于判例法的动态性，美国的判例法每天都面临新的发展。随着英美法系与大陆法系之间的相互借鉴，世界各国先进法律文化的交流，我们可以更多的学习美国判例法制度的优点，并为我所用。 3Abstract Case law is one of the most influential legal system in the world, and it has been keeping on the thriving and vigorous through
7、the endless years baptism since it emerged in England in 12th century. As a significant legal institution of common law system and a distinction from that of the civil law system, the academe holds the enthusiasm all along to study case law, using many methods, studying the case laws emergence, deve
8、lopment, principles, system, character from many aspects. Case law in America has been built on the foundation of the colony rule of British and made great development after the Independent War of the United States. Present American case law greatly differs from that in the traditional British case
9、law. The thesis aims to expound the dynamic circulating of American case law from the aspects of its emergence, development, foundation, mechanism and to narrate the compilation of the judicatory cases and case law teaching method which intimately related to the circulating of American case law. Bes
10、ides, the thesis also made a comparison between American case law and Chinese case-guide system. American legal history began from the period of colony rule. After defeating the other invading forces, British law became valid in many colonial countries at different extent on the bases of its emigran
11、t background and control on American government. In a short period after the independence of American, there were the hatred emotions toward British law and the tendency to civil law system but finally stay in the common law system, because the political relationship and history, cultural traditions
12、 between these two countries. However, instead of indiscriminately imitating the British case law, American remold it according to the actual need as the remold of the Doctrine of Precedent and the draft of numerous codes. The foundation of the circulating of American case law system composed of the
13、 philosophy, traditional and judicatory system base and the relationship between case law and enacted law. The philosophy foundation of American case law is empiricism which holds that the common law is not the outcome of logical reasoning 4but the reflection of the common experience. Complete and u
14、niform judicatory system is the realistic foundation of the circulating of case law while the dual judicatory system in America meets this requirement. As regards to the relation of case law and enacted law, the latter is primary as it has the power to change or deny the Precedent. When it comes to
15、the conflict of the two legal sources, the former has to obey to the latter. Conversely, the enacted law must be realized through the explanation of the court during which process the case law changed the enacted law in different degrees. The thesis expounds the circulating mechanism of American cas
16、e law from the aspects of its emergence, effect and the ingredients of the case and its applying rules. When analyze the legal affairs in the Precedent, its necessary to distinguish the holding and obiterdicta. The former is a Precedent with binding forces which is an indispensable part in making a court decision while the latter is an unessential part. But the latter one is influential to the other court decision, so its a part of influence instead of binding forces. As regards to the app
