法律英语何家弘编第四版课文翻译(1-20课)

第一篇：法律英语何家弘编第四版课文翻译(1-20课)

第一课美国法律制度介绍

第一部分特征与特点

美国既是一个非常新的国家也是一个非常老的国家。与许多别的国家相比它是一个新的国家。同时，它还因新人口成分和新州的加入而持续更新，在此意义上，它也是新国家。但是在其它的意义上它是老国家。它是最老的“新”国家——第一个由旧大陆殖民地脱胎而出的国家。它拥有最古老的成文宪法、最古老的持续的联邦体制以及最古老的民族自治实践。

美国的年轻（性）有一个很有意思的特点就是它的历史肇始于印刷机发明之后。因此它的整个历史都得以记录下来：确实可以很有把握地说，任何其它国家都没有像美国这样全面的历史记录，因为像在意大利、法国或者英国过去的传说中湮没的那样的事件在美国都成了有文字记载的历史之一部分。而且其记录不仅全面，还非常浩繁。不仅包括这个国家自1776年以来的殖民时期的记录，还有当前五十个州以及各州和联邦（nation）之间错综复杂的关系网络的历史记录。因此，据一个非常简单的例子，美国最高法院判例汇编有大约350卷，而一些州的判例汇编也几乎有同样多的卷数：想研究美国法律史的读者要面对的是超过5000巨卷的司法案例。

我们不能说一个文件或几个文件就能揭示出一国人民或其政府的特性。但如果横跨一百多年的千百万个文件敲出始终如一的音调，我们就有理由说这就是其主调。当千百万个文件都以同样的方式去解决同样的中心问题，我们就有理由从中得出可以被称为国民特定的确定结论。

第二部分普通法和衡平法

同英国一样，美国法律制度从方法论上来说主要是一种判例法制度。许多私法领域仍然主要是由判例法构成，广泛而不断增长的制定法一直受制于有约束力的（解释制定法的）判例法。因此，判例法方法的知识以及使用判例法的技巧对于理解美国法律和法律方法是极其重要的。

从历史的角度来看，普通法就是由英国皇家法院的巡回法官的判决所得出的普通的一般法——优于地方法。采纳或执行某项诉讼请求是以存在法院令状这种特殊形式的诉为前提的，而这就使最初的普通法表现为由类似于古罗马法的“诉”所构成的体系。如果存在令状（于1227年），诉讼请求就可以被采纳或执行；没有法院令状（为前提）的诉讼请求就没有追索权，因而该诉讼请求也不存在。“牛津条例”（1285年）禁止创设除了“个案令状”之外的新令状，这种“个案令状”使该制度变得较为灵活了，而且导致了后来合同和侵权法的发展。

对于诉的形式的严格限制及由此产生的对追索权的限制导致了衡平法和衡平判例法的发展。“衡平”的一般意义就是寻求“公平”，即公平且善良地裁决，它最初是由国王，后来由作为“国王良知守护人”的大法官颁行，以便在艰难的案件中提供救济。但是到了十四世纪，衡平法和衡平判例法发展成了一个独立的法律制度和与一般的普通法法院一争高下的司法系统（衡平法院）。其规则和格言变得非常固定而且在某种程度上不像在其它法律制度中一样灵活。衡平法的特点有：以特定履行（或实际履行）的方式提供救济（与普通法提供补偿性损害赔偿金的救济方式形成对照）；强制令（为或者不为某项具体行为的临时或者最终法令）；渗透了整个法律制度并且能在许多场合下揭示现代法律概念的起源的所谓的衡平法格言的发展。不过，一般都是只有在普通法救济不充分时，才会出现衡平法救济。比如，优于普通法损害赔偿金被认为是不充分的，这是因为考虑到不动产所具有的唯一性，这些赔偿金无法补偿不动产购买人（的损失），就可能判以特定履行购买不动产。

与普通法一样，衡平法通过司法接纳或通过明确的制定法条款，成了美国法律的一部分。目前，这两个法律制度在许多美国司法管辖区中得以融合（始于1848年的纽约），因而，在这些司法管辖区以及联邦的实践中只存在一种形式的民事诉讼。只有为数很少的州还保留着单独的衡平法院。尽管如此，提及这一历史演变仍然是很重要的，因为它一方面解释了许多当代法律概念（如财产法中的所有权分割）的起源和意义，另一方面，它仍然与做出某些裁决有一定的关联，比如是否有权获得陪审团的审理（这仅发生与普通法的讼案中，在其它案件中仅由法官审理）。另外，这种区别将决定“通常的”普通法赔偿金救济是否适用或者是否可以使用“特别的”衡平法特定履行救济。

“判例法”代表了整个的法官造法体系，而且在现代还包括了普通法和衡平法先例。在不准确的和令人迷惑的用法中，“普通法”和“判例法”这两个术语通常被当作同义词来使用，在这里，“普通法”这个术语一般代表着法官制定的法，以示区别制定法。“判例法”总是代表着法官制定的法律，而“普通法”则相对来说，根据想表达的意思不同，要么代表普通法主题事项（即具体问题）上法官制定的法律，要么在更广范围内指所有法官制定的法律。

第二课法律职业

第一部分律师协会

法律职业的规范主要是各州的事务，每一各州对于执业许可都有其自己的要求。大多数州都要求三年的学业和法律学位。各州自行管理本州申请律师资格的书面考试。不过，几乎所有的州都利用“多州律师资格考试”，这是一种长达一天的多项选择测试，在这项考试之外，各州还会再增加一次主要是关于其本州法律的时长一天的论文考试。大多数申请人都可以通过第一次考试，而且许多失败者都会在下一次考试中通过。每年有四万多人通过这些考试，在经过人品调查之后，他们便可获准在相应的州执业许可。在获得许可之前或之后都不要求实习。到各联邦法院执业的许可规则互不相同，但一般来讲，那些获准在州最高法院执业的律师在办理一些无关紧要的手续之后即可获准在联邦法院执业。

律师执业范围通常仅限于一个地区，因为尽管律师可以代表当事人到其它地区办理事务，但是一个人只能在其获得许可的州内执业。人们习惯雇用本州的律师办理其它洲的事务。但是，只要一个人已经在其获得职业资格的州执业达一定时间（通常是五年），那么他移居到另外一个州时通常无需考试便可获得执业许可。

律师不仅可以从事法律事务，还允许从事任何其他公民能从事的事务。执业律师在企业客户的董事会中工作、从事商业或者积极参与公共事务都是很平常的事情。律师即使在成为法官、政府或者私人企业集团的雇员或者法律教师之后仍然是律师协会的会员，他们可以辞掉这些其它事务，回头开始私人执业。为了在工商业中担任重要的执行职务而放弃执业的律师人数相对较少。这一职业中的流动性和公共责任感的一个例证是哈兰·菲斯克的职业生涯，他曾多次成为一名纽约州律师、一名教授和哥伦比亚法学院院长、美国总检察长和美国最高法院首席大法官。

律师并不按照职责进行正式的划分。在英国对诉讼律师和非诉律师的区分并没有移植到美国，既不存在拥有特别或者专有出庭权的职业群体，也没有专门制作法律文书的职业群体。美国律师的业务范围包括出庭辩护、咨询和起草文书。另外，在被广泛地成为“法律执业”的范围之内，律师的业务范围是专有性的，不对其他人开放。在出庭辩护领域，这种规则非常清楚：任何个人都可以代表其自己出庭，但除了一些基层法院之外，只有律师可以代表他人出庭。不过，律师不得代表他人参与一些行政机关设立的具有司法性质的正式程序当中。在咨询和起草法律文书领域的界限并不是太清晰，比如在在联邦所得税领域的法律执业和会计执业之间就是如此。但是，纽约最高法院的一个裁决表明了大多数美国法院的严格标准，该裁决认为，一个获准在外国执业单位获准在纽约执业的律师不得在纽约对客户提供法律咨询，即使该意见仅限于该律师获准执业的该外国的法律。但是，一个外国律师可能获准在一个州执业，而且无需获得许可便可以以一个外国法律顾问的身份向美国律师提供法律咨询。

第二部分私人执业中的律师

每十五个执业律师中有九个（明显的多数）都是单独执业者。剩下六个在律师事务所执业，这些所一般是合伙制。这六个律师中有四到五个都是合伙人，其余的为非合伙律师（雇佣律师）。这种集体执业的趋势只是在近年来才开始出现。十九世纪的大多数时间内，律师执业都是非专业化的，其主要内容是辩护而不是咨询和起草法律文书，因此美国律师的最早形式是单独执业。明显的专业化出现于十九世纪后期金融中心附近的大城市里。随着出现大型的企业、庞大的政府和大规模的劳工，律师的工作本身要适应客户对解决争端以及专业咨询和起草法律文书等预防性法律事务的需要。出类拔萃的律师都被吸引到这一领域，而且律师职业领导的重心转向了那些很少出庭的从事顾问、做计划以及从事谈判的人。现在，律师认为不断熟悉客户的业务问题并参与其政策制定的各个步骤已经成了一种正常、合理的执业形式。

第三部分专职法律顾问每二十个律师当中有两个受雇于私人企业，如工业公司、保险公司和银行。他们通常在企业的法律部门工作，作为专职或者企业法律顾问。公司规模的扩大、业务的复杂以及政府管制所产生的问题的多样化使得这类企业需要在企雇员中有受过法律培训的人员，这些人同时还非常熟悉企业的具体问题和情况。在一些大公司中，法律部的人数可能超过百人。该部门的主任，也叫总法律顾问，通常是公司的一名高级职员，可能供职于重要的决策委员会，甚至是董事会成员。专职法律顾问也是律师协会的成员并有权出庭代理诉讼，尽管公司打官司通常还是回请外部律师担任诉讼代理人。但是，专职法律顾问的特长是咨询而不是诉讼代理，这是他的一种宝贵资产。由于不断接触雇主的各类问题，专职法律顾问的理想定位是预防性法律事务，它还可以根据要求向公司就其对公众和国家更为广泛的义务提供咨询。

第四部分政府律师

律师职业在政府中也出现了同样的发展，目前每二十个律师中有两个（不包括法官）受雇于联邦、州、县和市镇政府。进入公共服务领域的人许多是认为在其工作生涯的这一阶段政府工资有吸引力和寻求锻炼机会并将这种锻炼作为私人执业前奏的法学毕业生。他们大多数都是通过任命而供职于联邦和州的各级政府机关以及劳工组织中的法律部门。仅美国司法部一家就雇佣了两千多名律师，纽约市的法律部雇的人数超过四千。其他律师的角色是公诉人。联邦公诉人，即美国的检察官及其助理由总统任命，受美国总检察长领导。州公诉人，有时是地区检察官，通常由各县选举产生，并且不受州检察长的控制。作为一种规则，政府律师都是直接从事法律工作，因为法律培训很少作为一般的政府服务的准备工作。但是，那些被任命为高级行政职务和被选举担任政治官职的人是这一规则的一个少数但却很重要的例外。尽管近来律师参与政府工作在减少，但两个世纪以来律师已经构成了美国国会和各州州长的大约半数。这些数字证明了斯通大法官的话：“在我们的职业传统中，没有一个能像其担任公共事务领导的传统那样受到律师们的钟爱。”

第三课法律教育

1983年，在170多所经美国律师协会认可的法学院里就读的法学学生有125000多名。这些法学院包括由部分由政府资助的公立法学院、靠个人和基金会捐助维持的私立法学院、以及提供全日制或者业余法律学习课程的地方性和全国性学校。作为事实上的走向法律职业的唯一途径，美国的法学院履行着许多职能，包括开展职业培训、使未来的律师具备社交能力以及对准备进入法律职业的人进行筛选和把关等。由于没有一个供所有律师进行实习的中心机构，律师共同拥有的机构性经历只能是法学院。

那些关于法学院行使这些功能的方式以及这些功能本身的从温和到刻薄的批评是持续的、多样化的，而且根植于该职业的历史和政治发展之中。这些批评集中于课程和以案例教学法为主导方面、在法学院内部和法学院之间的等级制度上的权力和声望的分配方面以及在法学院的学生中和教师中的女性和少数民族成员的不平衡问题。

第一部分课程与案例教学法

实际上在所有的美国法学院中都开设传统的一年级课程，包括合同、侵权、财产、刑法和民事程序等。Duncan Kennedy认为这些传统的一年级课程基本上是讲授19世纪晚期自由资本主义的基础性规则。二年级和三年级课程讲述的是温和改革主义的“新政”课程和现代法治（管制？）国家的行政结构。可能开设的边缘学科包括法哲学、法律史、法律程序以及诊所式教育，即“一种学习作为律师所应具备的自我表达社交艺术的操练场和精修学校”。

但是由于新的法律领域随着当代问题的出现而不断发展，一些法学院将课程予以扩展，包括环境法方面的课程和诊所式课程，住房和城市发展、女权、工作场所的健康、福利权以及消费者保护等。并且还越来越多地以交叉学科的背景讲授法律，向其他学科靠近，如历史、心理学、社会学、医学以及经济学等。

在讲授传统课程时，几乎所有法学院的法学教师都在某种程度上使用案例教学法或者苏格拉底教学法。这种案例教学法是由克里斯托弗·哥伦布·兰德尔于1870年杂哈佛法学院创立的，它所关注的是作为法律原则渊源的普通法并重视将抽象的法律概念作为一种科学进行讲授。他以一种独立于“低层次的实践领域，并且也独立于政治学、历史学、经济学以及社会学背景的”方式讲授这种归纳出来的法律原则。这种狭隘的形式主义方法由于教给了学生如何说明、分析、评价和比较具体的实际情况并因此开发了他们分析、推理和表达的能力而被证明是非常有效的。

但是，这种学习“如何像律师一样思考”的课程却被批评者认为对学生及其未来从事律师工作的质量造成了负面影响。使用这种案例教学法或苏格拉底教学法导致学生、法学教师以及其他人走向异化、焦虑、敌对和攻击性的道路。这种师生对话或者通常的“老师一人独讲”教学法的狭隘的和破坏性的交互作用导致对法学学生爱护他人的能力的损害，即一种职业性的冷漠（情感缺失）和玩世不恭。而且这种狭隘的自我职业意识的受害者不仅仅是法学学生。律师的工作涉及到他们与客户、雇佣律师、其他律师、法官、证人以及其他涉案人员的一系列合同，也涉及到律师的自我目标、态度、成就以及满足感。

第二部分法学院的等级

邓肯·肯尼迪曾将法学院描述为“具有强烈政治色彩的地方”，具有“中等专业学校的思想水平，且只见树木不见森林”的特征。法学院作为“在思想意识上培训学生自愿服务于这个共同福利国家的等级制度之中”的机构而发挥作用。在对学生进行排位和评价的过程中，学生们学会了接收他们在这种表现为正当而必然的等级制度中的地位，并“因此准备进入随后的所有各阶层当中”。通过法学教师与学生、同事、秘书以及后勤人员的等级关系的示范，学生们学会了俯就被认为地位低的人而遵从被认为地位高的人这一特定的风格。而且在以白人、男性和中产阶级为主导的法学院教师所设定的遵从“白人、男性和中产阶级”的微妙而强大的压力之下，学生们也调适了自己，“其原因部分是由于敬畏，部分由于获利的希望，部分是由于他们对其榜样的真心敬慕”。法学教育以这些方式“成为了法律等级的一个诱因。法学教育通过类推支持这种等级，通过将其背后的规则正当化的方式提出一个普遍的合法性思想意识，而且通过将法律推理神秘化的方式为其提供一种特定的意识观念。法律教育将未来的律师这一群体进行排列从而使他们的等级组织结构似乎是必然的，它还培训他们像这一系统中的所有其他律师完全一样地进行观察、思考和行动”。

除了肯尼迪所指的法学院内部的等级之外，其他关于法学院功能及其与职业之间的关系的研究表明，法学院之间也存在着等级之分。前十几位的精英法学院有着较高的权威和地位，其毕业生的职业生涯以及连接着法学院和其他法律职业的“老同学关系网”也部分地反映出了这一点。“随着‘新政’的实施，作为进入美国权力精英门槛的法学院”模式成了可能。这一关系网的最早范例是费利柯斯·弗兰克福特在1930年代的新政期间为进入有影响的公共政策职位的那些“顶尖人物”所罗织的职业介绍网。弗兰克福特在其哈佛法学院以及随后在最高法院的任职期间，发起了一个“老同学关系网”，主要是招募大量进入公共服务领域的“精英”律师，他们大多都是白人和男性。典型的弗兰克福特新会员是“一名哈佛法学院的毕业生，自由主义政治观点，在其班级通常排名靠前，而且要么是一个明显的上等阶层异教文化的产物，要么是一个明显在上等阶层异教群体内能够‘如鱼得水’的完全不同的文化的产物”。

在当前的主要律师事务所雇佣实践中，在法院职员的竞聘中，以及在选定法学院教师时，精英法学院的毕业生一直比其他法学院的毕业生具有优势。在最近对芝加哥律师进行的一项调查中，Zemans和Rosenblum发现，从“地位较高的法学院并且其班级排名在前20位的”律师“更容易在大型律师事务所执业并且在社会地位较高的法律领域工作”。在选任法学教师方面，有60%的法律职业讲授专家来自于不及15%的全国经认可的法学院。这些生产法学教师的法学院大多是坐落于城市的全国性法学院，包括诸如哈佛大学、耶鲁大学、哥伦比亚大学、密歇根大学、芝加哥大学、纽约大学、西北大学和乔治敦大学等的法学院。如果法学院的全日制教师“实际上垄断着谁将进入和谁不能进入这一（法律）职业”并且垄断着“塑造未来数代人的权力”，那么在法学院之间存在等级之分就表明精英法学院群体对于向法学院提供教员负有主要责任，这些法学院转而为该职业内部的各个阶层继续培养律师。

第四课美国司法系统概览

第一部分法院

美国共有五十二个独立的法院系统。哥伦比亚特区以及每一个州都有其自己非常发达和独立的法院系统，另外还有一个独立的联邦法院系统。联邦法院并不高于州法院；它们是由美国宪法第3条第2款授权的一个处理特定联邦利益的独立的并列存在的系统。存在两套平行的法院系统经常会产生关于州和联邦系统的关系问题，这是联邦主义的重要问题。由九位大法官组成的美国最高法院位于所有这些系统之上，具有最终的和支配性的发言权。

尽管不少州如内布拉斯加有一个两级体制，而联邦法院和大多数州都是三级模式。这意味着对于任何诉讼人，都有机会将其案件提交到审判法院，如果他败诉了，那么还有两个级别的上诉的权利，而他最终有可能在上诉中胜诉。比如，在联邦系统内，受理法院是美国地区法院，每个州都至少有一个审判法院。许多大的州根据人口、地理以及待处理案件数量等因素划分为两个、三个甚至四个司法管辖区。美国共有94个地区，而每一个地区法院有一个或者（通常）有两个以上法官。在地区法院受到不利的裁决之后，诉讼人可以上诉到该地区法院所在的巡回审判区的美国上诉法院。联邦系统内共有11个按数字排列的中级上诉法院，每一个都包括三到十个州或者其它属地。另外，哥伦比亚特区有一个上诉法院，审理来自当地联邦地区法院的上诉案件，以及一个为联邦巡回审判区而设立的上诉法院，接受来自各种特别的联邦法庭如求偿法院的上诉案件。每一个上诉法院都有四个以上的法官，他们其中三人组成合议庭对地区法院的裁决以及一些行政机关的裁决进行审查。在某些案件中，在上诉法院败诉的诉讼人可以获得美国最高法院的审理。各州法院的案件同样可以经过一个审判法院、一个上诉法院和一个州最高法院。如果涉及联邦宪法问题，州最高法院的裁决可能受到美国最高法院的审查。自从1988年以来，合众国最高法院可以自由裁量是否审查民事案件；而实际上所有的民事案件都作为（当事人的）权利而上诉到最高法院的做法已经被废除了。

三级体制在最高法院所扮演的角色上有所不同。（各州）所采用的不同做法反映了关于最高法院应当发挥什么作用的不同观念（哲理）。比如，在加利福尼亚，只有被判死刑的刑事案件才可以上诉到州最高法院。同样，在联邦法院中，除了在一些非常有限的情况下，向合众国最高法院上诉属于其根据调案调卷令进行自由裁量的事项。该法院自行决定哪些是最主要的问题而值得其关注，并且会拒绝审查它认为会产生不重要的问题的裁决。它以这种方式对下级法院的司法行为进行以个案为基础的监督。在这一问题的另一端，如在纽约，成文法规定大量的案件都存在向州最高法院的上诉权。纽约上诉法院的主要作用就是确保案件得以正确裁决。在您要确定这些上诉法院的特定规则的时候，有必要仔细察看该系统的相关立法。

第二部分法官

那些获准法律执业的人当中只有不到二十分之一是联邦、州、县、或城镇法院的法官。除了一些较低级别的法院之外，一般都要求法官具备执业律师资格，但是他们在担任法官期间不得执业。由于一致性太少，因此除了指出关于选任法官的等级、遴选方法及其任期的三个明显特点之外，很难再作进一步的概括。

法官是从执业律师中选任出来的，很少从政府服务或者教育行业选任。在美国不像许多其他国家一样有职业法官，而且对于希望成为法官的年轻的法学院毕业生来说没有规定的途径要走，不必要进行学徒，也没有必须（先行）进入的行业。年轻的法学院优秀毕业生作为联邦或者州法院最为著名的法官的法律助手工作

一、两年只能从他们身上获取经验作为回报，而不是从事法官职业的保证。不过一名低等级法院的法官获得高等级法院的职位的情况却是很常见的，尽管这还不能说是一种规则。法律职业并非完全无视职业法官的优势，但是人们通常认为美国律师带给法院的经验和独立性比这种优势更为重要。这个国家最高法院的许多优秀法官都没有先行的法官经历。批评意见集中在这种盛行的法官遴选方法上。

州法院法官通常通过选举产生，而且一般都是由公众进行投票，但偶尔由立法机关投票。公众选举受到包括美国律师协会在内的很多人的反对，其理由是公众对法官职位的候选人缺乏兴趣而且所知甚少，因此其结果通常受到政党领袖的操纵。由于许多地方律师协会承诺对候选人的资格进行评估并据此决定支持与否，因此情况得到一定的改善。

自从1937年以来，美国律师协会提出了一个替代制度，根据该制度，地方长官从一个特别提名委员会提交的名册上指定法官，而法官要定期参加没有竞争对手的续任公众选举，选举的依据是其工作成绩。这一制度目前正在极少数州至少针对一些法官得以实施。在一小部分州里，在立法机关批准的前提下，法官由州长任命。

在参议院批准的前提下由总统任命联邦法官也是一种选任方法。即使在任命制度中，法官的选任也无法免除政治的影响，因而被任命者通常属于总统或州长的党派。但是联邦法官的候选人名单要提交给美国律师协会的一委员会，而且一般只有在经其同意的情况下才得以任命。大法官和首席大法官的职位的安置通常与其它法官职位相同，尽管在一些州是以轮流的方式从法院成员中按照（在本院）工作的资历或根据法官的投票予以选任。美国的首席大法官在参议院同意的前提下由总统任命。

第三个特点是法官通常有任职期限而非终身制。普通的司法管辖区的法院一般为4、6或者8年，而上诉法院则为6、8、或10年。令人欣慰的是，即使在以公众选举方式选任法官的地方，那些工作令人满意的现任法官通常都能连任。在一些州法院和联邦法院，法官终身任职。无论任期制还是终身制，法官只有在出现重大的过错行为时才受到罢免而且要经过正式的程序。罢免的情况确实极其罕见，只有屈指可数的几个联邦法官经过正式的程序受到罢免。法官不因其民事司法行为而招致民事（赔偿）责任保证了司法的独立性，即使有欺诈和腐败行为也是如此。

美国律师协会的《法官行为准则》作为法官应当遵守的一个标准受到广泛的接受。高级司法职位的工资虽然低于成功的私人执业律师的收入，但通常非常之高，这些职位的声望也很高，因而法官职位能够吸引全国最有能力的法律人才。美国法律界的大家大部分都出自著名的法官。

第五课宪法

第一部分作为最高法律的宪法

美国宪法虽然是一部相对比较简单的文件，但它自我定名为“国家的最高法律”。制定这一条款意味着，如果各州宪法或者各州立法机关或美国国会通过的法律与联邦宪法相抵触，他们就是无效的。最高法院在两个多世纪的时间内所做出的各种裁决确认并强化了宪法至上原则。

最后的权力归于美国人民，如果他们愿意，可以通过修正宪法或者起草一部新宪法（这至少从理论上来说是可行的）的方式来改变这部基本法。但是，人民并不直接行使这种权力，他们将日常的管理事务委托给经过选举或者委任的公共官员们。

公共官员的权力是有限的。他们对公务行为必须符合宪法和根据宪法制定的法律。选举产生的官员必须定期接受改选，届时其业绩要受到彻底的公开审查。委任产生的官员要根据（有委任权的）人或者机关的意愿来做事，而且如果其表现不能令其满意，就会被免职。在这一问题上的例外情况是由总统对最高法院大法官和其他联邦法官的终身性委任。

美国人民表达其意愿最常见的方式是选举投票。不过，宪法还是规定了在公共官员出现严重的不法行为或渎职行为时，通过弹劾程序予以免职的做法。第二条第4款规定：

“总统、副总统和合众国的所有文职官员，因叛国、贿赂或其他重罪和轻罪而受弹劾并被定罪时，应予免职。”

在这种情况下，众议院必须投票通过一个弹劾法案。然后由美国（最高法院）首席大法官主持在参议院对该公共官员进行审判。

在美国，弹劾被认为是一种非常严厉的措施。在过去的二百年里，只有十三位美国官员受到弹劾，其中有九位法官，一位最高法院的助理法官，一位国防部长，一位众议员和一位总统，即安德鲁·约翰逊（关于另外一位总统理查德·尼克松，虽然众议院司法委员会建议对其进行弹劾，但在众议院投票之前他便辞去了总统职务。）在这十三个案例当中，只有四名法官被宣告有罪而免职。各州官员也同样可能受到其相应的州立法机关的弹劾。

除了提出一般性政治观念之外，宪法还规定了政府体制的蓝图。它用三个主要的条款规定了美国政府的三个部门：立法、行政和司法，它们各自拥有相应的职权，承担相应的责任。（联邦宪法中）相当详细地列出了立法部门可以制定法律的项目，尽管多年来的司法裁决已经扩展了国会（立法）活动的范围。总统作为行政部门的首脑，其权力和责任也（在宪法中）被规定下来。宪法还规定了联邦法院的体制及其与其他政府部门的关系。

第二部分政府的原则

尽管这部宪法自从其最初通过至今已经在许多方面有所改变，它仍然保持着1789年的基本原则：政府的三个主要部门相互分离和独立。赋予一个部门的权力会受到其他两个部门的权力的微妙制衡。每一个部门都作为对其他部门可能滥用职权的制约。

宪法与根据宪法条款通过的法律以及由总统签署并由参议院批准的条约的效力高于所有其他法律和行政法规。

所有的人在法律面前都是平等的并有权获得平等的法律保护。所有的州都是平等的，任何州都不能获得联邦政府的特别待遇。

在宪法的范围内，各州必须承认和尊重其他州的法律。

各州政府在形式上必须与联邦政府一样采取共和体制，最终权力归于人民。人民有权利用宪法规定的合法手段改变其政府的体制。第三部分修正案条款

宪法的起草者非常清楚，如果宪法要能够持久并与国家的发展保持同步，有时就需要修改。他们还意识到修改宪法的程序不能太容易，从而可能产生构想拙劣的和草率通过的修正案。由于同样的原因，他们希望确保少数人不能够阻止大多数人所希望的（修宪）行为。

他们的解决办法是设计一种修改宪法的双轨程序。国会两院三分之二多数票可以提出修宪动议。而三分之二的州立法机关也可以要求国会召开修宪大会讨论和起草修正案。在这两种情况下，修正案都必须得到四分之三的州的批准才能生效。

除了宪法本身的直接修改程序之外，宪法条款的效力也可以通过司法解释而被改变。在共和国历史的早期，在具有里程碑意义的马伯里诉麦迪逊案中，最高法院确立了司法审查（权）原则。这种司法审查权是法院对于国会的法案进行解释并确定其合宪性的权力。多年以来，法院在从政府对无线电和电视的管制到刑事案件中被告的权利等问题上的一系列裁决，都具有改变宪法指向的效果，但并未有宪法本身的实质性变化。

国会关于实施这部基本法或者为了使其适应变化的情况而通过的立法也以某些微妙的方式改变着宪法的含义。大量的联邦政府行政机关的规则和规章也在某些方面具有类似的效果。按照法院的意见，在这两种情况下，严格的检验标准就是这种立法和规章是否符合宪法本身的意图和目的。

第六课行政法

第一部分行政行为与行政法

旨在处理“行政法”问题的一般性立法措施将其适用范围划分为三个方面：“机关”在实施“行政行为”中所使用的各种程序；对这些行为进行的司法（以及程度较弱的政治）审查；以及与政府所拥有的信息的处理和公布有关的特别程序。根据这些立法，法院、立法机关以及经选举而成立的行政长官都可以成为一个“机关”，尽管法院、立法机关和行政长官与机构的关系主要是行政法所关注的一种问题。另外，这一概念实际上包括了行使公共权力的每一个行政单位。“行政行为”也被界定为一个包罗万象（的概念）。如下文所述，由于行政程序立法规范一般性地涉及（或“规制”）相对正式的裁决和规章制定程序，联邦“行政行为”包括基于“某（行政相对）人提出的而且是对其有利的申请或请求”而采取的批准、不批准或不作为。根据最近的州标准行政程序立法草案，“行政行为”包括“某行政机关履行或不履行其自由裁量的或非自由裁量的职责、职能或活动”的行为。而且其种类实际上与公共管理的范围一样宽泛，只有传统的刑事诉讼、传统的民事诉讼以及那些无可争辩地超出法律控制的即严格意义上的政治行为，不在此列。

在法律制度中，“行政法”的范围如此之广是毫不奇怪的。在本世纪初公共管理职能增长的时候，学者们就提出了这一概念。由于与其所寻求获得的发展一样难以控制，他对所有那些影响到私人而且不能恰当地适用于任何现有法律分析结构（如法院所使用的刑法或普通民法分析结构）的政府行为来说是一个百宝箱。学者关于行政法的观点已经随着政府（的扩大而）发展，几乎囊括了所有能够与公共管理联系起来的方面。尽管不包括刑事审判，但许多人认为它包括警察和检察官对其自由裁量权的行使。它虽然不包括政府在联邦法院提起的收回简单债务的诉讼，但如果这种行为开始于行政机关内部后来提交到法庭要求执行或审查，就包括这种诉讼。人们一开始可能会说它的性质是亚宪法性的，即与政府立法和习惯性安排有关联，但前文已清楚地表明，目前它所关注的重要问题是与政府结构有关的宪法性问题。在美国的（法律）框架中，对程序问题的重视为行政法的中心任务的概括提供了分析框架，既确保政府（行为）的有效性又对其进行抑制。尽管人们认识到，机关和行政行为的多样化，以及特定机关的实体性责任与其遵循（使用）的程序之间的密切关系，使得这种概括很困难，但对程序的重视却是必需的。从“行政法”的视角来讨论联邦证券交易委员会（或者森林服务局，或者某个州的公用设施委员会，或者某个地方性建筑检验员）所关注的就是其程序而不是其实施某一部分联邦（或州或地方）政策的具体的实体性责任。最初，人们假定所有的机关都使用一定标准（范式）程序来实现其目的，而且这些机关都与其监管机关具有标准关系，如审查其最终产品的法院。这些标准程序和关系可以而且确实在不断变化，从而满足具体情况的需要。因此，在处理具体情况时，人们必须不断地去了解涉案（其工作受到审查的）特定机关的责任和程序。尽管如此，一开始就进行标准分析还是很有用的，这种标准以程序的形式表现出来，而且并不直接是涉案特定机关的职能。

第二部分标准与模型

这些标准主要是以下各章所关注的内容。在这里不宜过早进行详细讨论。本章下面几段考察了行政机关普遍应当承担的几种实体性责任。记住下列简要的模型有助于（对这些标准的）初步理解。

正式裁决——一种与民事审判极为相似的程序，由一名行政法法官或者一个机关进行“有记录的”审理，对具体纠纷进行裁决。正式裁决的一般特点是机构内部职能有严格的区分，因此，负责调查和陈述机关观点的职员不参与裁决程序。正式裁决的结果一般要由法院进行审查，法院比较关心的是其结果是否有事实上和法律上的依据。

非正式裁决——不要求“有记录的”听证的争端解决程序。如果采用听证的方式，就可能很不正式。但是“非正式裁决”指的是在日常行政活动中做出的裁决，如授权使用联邦资金建设某个特定的道路项目的裁决。司法审查比较宽松，承认做出行政行为的个人具有相当的自由裁量权。

正式规章制定——一种对未来适用的类似于法律的规范进行裁决的“有记录”进行的程序，如在标有“花生酱”的商品中要求花生所占的比例，或者公用服务收费多少是合理的等等。正式规章的制定与正式裁决在某些结构性安排方面是不同的，比如，负责在听证会上提出和陈述机关的分析的那些人不得像他们在正式裁决中一样脱离裁决程序。但是，听证和随后的司法审查的特点同正式裁决非常类似。

非正式规章制定——制定未来适用的类似法律的规范的普通程序。其公众参与阶段开始于一个关于提议立法（行为）的通知，公众所后便有机会针对该提议提出书面意见。当然，一些立法如许多与环境、健康以及安全规则有关的立法也鼓励选择口头听证的方式。在通过一项规则时，机关有义务解释其依据和目的。裁决以官僚的方式做出，而且司法审查相对宽松，尽管一些重要的规则是否有事实和法律依据越来越受到重视。一项规则一旦有效通过就对受其影响的人具有完全的效力。

（规章的）解释——一种制定和公布机关对所适用的规范进行的解释的非正式的程序。这种解释可以由内部（主动）制定，也可以根据要求制定，一般没有程序要求（尽管通常遵循与非正式规章制定相类似的程序）。解释并不正式约束机关之外的人，但它们可能被法院视为具有说服力。裁决以官僚方式做出，司法审查并不直接进行，而且在进行时，一般也对其比较尊重。

检查——由有资格的政府官员亲自进行的直接核查，又是作为裁决程序的替代性程序（如在对农产品进行级别评定时或在对驾驶执照的申请人进行能力考核时），也用来确定是否存在需要采取正式行政行为的条件。

第七课刑法

课文：杀人罪

杀人（homicide）就是一个人杀掉另一个人。但并非所有的杀人都是犯罪。比如一个人在自卫当中杀掉另外一个人就不是犯罪，而是正当的杀人。在警察为了制止暴力性重罪，如抢劫或入室盗窃，杀人是一种合理而必需的制止措施的时候，或者警察为了防止危险的重罪犯逃跑而将其杀死，都是正当的。而且某些杀人行为也是可以宽恕的，如一个人在意外而且没有重大疏忽的情况下导致他人的死亡。

杀人如果没有法定的正当性或原因就构成有罪杀人。它根据具体情况不同构成谋杀罪或过失杀人罪。在我国早些时候以及在那时以前的英格兰，谋杀和过失杀人犯罪的要件是由法院裁决规定的。这些裁决被认为是“普通法”。后来，大多数州的谋杀和非预谋杀人都由立法以单行法规形式或者作为刑法典的某个条文进行了重新定义。

第一部分谋杀

根据普通法，谋杀是有“预谋”的杀人，而且在当今的一些立法和法典中也有这种“预谋”的要求。比如，《加利福尼亚刑法典》就保留了这一点。与普通法一样，该法典规定：

“„„预谋可以是明示的也可以是默示的。在明显故意夺取他人生命的情况下，就是明示的。而在没有故意挑衅或者在该杀人行为的有关情况表明了一颗冷酷邪恶之心的情况下，就是暗示的。”

一个人故意将他人推下悬崖就是明显表明具有明示的预谋的一个例子。暗示的预谋的一个例子是一个人仅仅为了吓唬一列正在行进中的列车上的乘客或者为了展示它能够将子弹正好打过两节车厢之间而不会击中任何人而开枪的情况。至于那些可以合理地归入这种行为范畴的杀人，该行为的危险性就是“预谋”的证明。对于加利福尼亚法院或陪审团来说，它表明了“一颗冷酷邪恶之心”。

谋杀罪在一些州当中可判处死刑，在另一些州仅判处终身监禁或若干年徒刑。（a）重罪中的谋杀

如果一名抢劫者的犯罪同伙在犯罪或者逃跑过程中故意杀人，也可以认定该抢劫者有预谋。参与者的预谋是由抢劫本身的危险性所暗示出来的。而且每一个抢劫者都可以被视为在实现他们的目的（包括逃跑）过程中代表其他人行事。

整个重罪中的谋杀问题主要起因于公诉人寻求将此类杀人行为判处死刑的意图。在一些废除死刑的州（如威斯康辛），其立法以一种将造成杀人后果的抢劫予以严惩的可以理解的愿望，规定此类犯罪要比无致命的抢劫多判15年徒刑。

（b）谋杀的等级

一些州根据杀人的实际情况对谋杀罪规定了不同的惩罚。“故意的、蓄意的、预谋的”杀人，如投毒或在危险性重犯中杀人可能被定为一级谋杀并判处死刑或长期监禁。其他类型的谋杀可能是二级谋杀并被判处较轻的刑罚。但是按照普通法，不存在谋杀的等级。任何非法的杀人行为要么是谋杀要么是非预谋杀人。

第二部分非预谋杀人

非预谋杀人在普通法中被定义为没有预谋地非法杀害他人的行为。它可以是故意或非故意。与谋杀相比，非预谋杀人通常被判处一年到十年或十五年的监禁。（a）故意的非预谋杀人

在“激怒”或“激情”状态下故意杀人构成故意的非预谋杀人罪。其典型的例子是丈夫（或妻子）无意中发现配偶与他人正在发生性关系，或者在证明通奸行为即将或者马上就要进行的情况下实施的杀人行为。在这种情况下，杀死配偶的奸夫（妇）或者将二人都杀死就属于非预谋杀人的范畴，这是因为（1）杀人者受到激怒而且（2）“处于激情状态下”。

考虑到人类本性的缺点，这类杀人受到的处罚轻于谋杀。换句话说，人们对于丈夫或妻子在这种状况下的本能反应要么是杀人要么实施其他的伤害行为是理解的（有一种理解性的评价）。尽管如此，人们还是感到这种行为应当通过刑事惩罚受到制止，但是应当是一种比谋杀罪轻得多的惩罚。

值得注意的是在这种杀害奸夫（妇）的案件中判罪率很低，这主要是因为陪审团时不时地愿意接受（被告）通常所编造的关于杀人是在自卫中实施的这种解释，换句话说，是由于奸夫（妇）袭击这位配偶，因此他（她）只是为了防止自己被杀死而杀死了这位“袭击者”。在这类案件中的无罪判决有时被媒体称为根据“无字之法”作出的无罪判决。有不少的州（得克萨斯、新墨西哥和犹他州）已经试着在起立法中通过将在奸夫（妇）被捉的情况下发生的此类杀人行为合法化而使整个的奸夫（妇）被杀问题简单化。但是在这些州当中，这种特权并没有延伸到杀死参与通奸的配偶！

某一故意杀人行为是否在激怒或激情之下实施所适用的判断标准问题由陪审团或者在无陪审团的案件中的法官按照被告是否是一个“通情达理的人”来解决。从技术上来讲，并不考虑杀人者的具体的感受或情绪，而是要确定“一个通情达理的人”在类似情况下会作出怎样的行为。一个英国案例可以说明这一点。在该案中，一个阳痿的男人在试图与一名妓女发生性关系失败后感觉受到该妓女某些言辞的侮辱，因而杀死了她。他主张在认定他的这种反应是否存在激怒的情况时，应当将他在这种情况下的感受考虑进去。但是法庭认为他的行为要根据一般标准，即正常的“通情达理的人”的标准进行判断。

（b）非故意的非预谋杀人

非故意的非预谋杀人一般可以被定义为由于重大疏忽或者作为危险的非法行为的结果而非故意地致人死亡。比如，一个人从一栋大楼的高层向常有行人行走的小巷投掷重物，如果导致杀人的结果，就可能构成非故意的非预谋杀人罪。同样，汽车驾驶人如果在学校区的人行横道超速行驶而撞死学生也可能构成该项犯罪。

很多州已经创设了一个与此相关的罪名，叫做“疏忽大意杀人”或“过失杀人”，它们适用于汽车驾驶人以一种疏忽大意或者重大过失的方式致人死亡的行为。制定这种特使种类的杀人罪立法是因为在将汽车驾驶人定罪为非预谋杀人（即对人的屠杀——英文中“对人的屠杀”的复合词）罪这个越来越令人反感的罪名时所遇到的难题，而且这种罪行传统上还带有最低在矫正机构服刑一年的刑罚。因此将这种行为归入不太令人反感的疏忽大意或者过失杀人罪名当中并且允许判处比对非预谋杀人罪规定的更轻的刑罚被认为是比较可取的。换一种说法，即有适当数量的带有相对较轻的刑罚的定罪要强于虽有重罚但定罪很少的情况。在关于疏忽大意或过失杀人的法律中，允许的刑罚范围一般最高1000美元罚金，或者最高一年的监禁而不在矫正机构中服刑，或者在矫正机构中服刑最高五年的处罚。（在这类行为的交通受害人没有死亡的情况下，可援引另一新的法定罪名“疏忽大意行为”。）

在交通（肇事致人）死亡案件中刑罚的灵活性产生一种鼓励罪犯认罪的效果，而且这导致了那些如果法官或陪审团除了选择矫正机构服刑或无罪之外别无选择便可能无法作出有罪判决。

第三部分联邦杀人罪法

不存在普遍的联邦杀人罪法。事实上，由于除了对在某一联邦领土内、在联邦大楼中或者其他的联邦财产上的杀人行为或者针对联邦官员的杀人行为之外，国会没有对此类问题进行立法的宪法性权利，因此也不可能有普遍的联邦杀人罪立法。

举例

X在没有正当理由的情况下，在一家邮局射杀Y。X实施了联邦杀人罪。举例

X是一名正在由联邦调查局特工追捕的抢劫银行的逃犯，他开枪射杀了这名特工。X犯有联邦谋杀罪。第四部分当代谋杀-非预谋杀人罪立法体系

在大多数州，谋杀罪和非预谋杀人罪都是由各州法律管辖，这些法律都基本上继承了普通法的形式。但是目前有一种正在进行的法律现代化趋势。1961年《伊利诺斯刑法典》就是一个很好的例子。比如，在对谋杀进行定义的时候，它避免了诸如“预谋”和“冷酷邪恶之心”之类的用于，而是用了更为准确和含义丰富的术语。

根据该刑法典，一个人在没有合法理由的情况下杀死另一个人，（1）如果他故意杀死他或者造成其重大身体伤害；或者（2）在没有杀人的故意的情况下，如果清楚表明他应当知道其行为可能会导致死亡；或者（3）如果死亡是由实施诸如抢劫、入室盗窃或者强奸之类的非常危险的犯罪所造成的，那么就构成谋杀罪。

第五部分死刑

多年来对于死刑是否能够实现其预期的制止谋杀目的一直存有许多争论。这一问题在研究人员之间仍然没有得到解决。但是，由于近年来死刑执行快速减少的原因，关于死刑的争论变得仅局限于学术方面。尽管在1935年有199人被执行死刑，但到了1966年在美国却只有1人被执行死刑，1967年2人，1968年没有。不过在接下来的3年当中每年都有400多人被宣判死刑。

除了人们对已经被宣判死刑的谋杀犯越来越不愿意执行之外，最近美国最高法院最近提出并阐述了一个关于在死刑案件中陪审团选择的法律观念也使得陪审团对犯人判处死刑有了更大的难度。最高法院裁定，即任陪审员不得仅仅因为其反对死刑的良心顾虑而被要求退出陪审团。最高法院认为，如果这样做，就构成了对正当程序的剥夺，因为被告无法获得由“公正和公平的陪审团”的审判。

只有在即任陪审员声明他不会考虑在其参与陪审的特定案件中弃之不管的情况下，才允许仅仅由于这种观念而将其排除到陪审团之外。

第八课民权法

课文沃克诉美国国内税务署案

被指控在工作场所有种族歧视行为的案件绝大多数都是在不同的种族或者不同的种族背景的成员之间互相提起的。但在沃克诉美国国内税务署（IRS）案中，美国佐治亚州北区的美国（联邦）地区法院却根据1964年（联邦）《民权法案》的第七编认定了由一个浅黑皮肤雇员针对其深黑皮肤上司的歧视行为。通过将“种族”和“肤色”识别为（民权法案）第七编的诉讼请求所依据的不同因素，沃克一案在承认产生种族内部歧视的浅黑皮肤和深黑皮肤的人之间的历史性紧张关系问题上迈出了重要的一步。但同时，法院对于第七编范围的扩张（性解释）却预示着削弱法律对黑人不受更为普遍的和破坏性的歧视的保护的危险。

翠曦·沃克是一名浅黑皮肤妇女，在女性占多数的美国国内税务署（IRS）亚特兰大办公室工作。1985年11月，沃克的上司由拉比·刘易斯接替，这是一位深黑皮肤的妇女。虽然沃克与其前任上司有着很友好的工作关系，但她与刘易斯的交往从一开始就比较紧张。

沃克声称刘易斯经常因为一些“伪造的或无关紧要的”事情而斥责她并使她遭受一种其同事均未受到过的“严格审查”。沃克找到了IRS“同等受雇机会办公室（EEO）”亚特兰大地区的项目经理倾诉其冤苦。两周以后，在刘易斯的建议下她被解雇。

沃克依据第七编规定自己提起了雇佣歧视之诉。她诉称刘易斯“对浅黑皮肤的黑人有偏见”，而且在其离职之前对其进行“嫉恨式的歧视”。她还诉称她是由于向EEO项目经理抱怨而被报复性地解雇的。该案首先由一名治安法官审理，这名治安法官建议对于沃克的嫉恨式歧视诉讼请求准予被告的即决（简易）审判动议并驳回被告关于其报复性诉讼请求的即决（简易）审判动议。在上诉中，地区法院驳回了这两个即决（简易）审判动议。

法院确认了两个原则性问题：在种族之外，肤色是否可以构成第七编规定的歧视行为的基础，以及一个基于肤色的案件是否可以由一名有色人针对另一名有色人提起。对于第一个问题，法庭驳回了被告关于“种族”和“肤色”必须按照同义词对待的主张。相反，法庭将第七编与（美国法典）第1981条联系了起来，因此对第七编提供了一个关于“肤色”和“种族”的更广义的解释。

法庭注意到，根据最高法院的解释，第1981条作为第七编的前身，保护公民不受基于“种族、肤色或先前奴隶身份”的歧视并且“原始性地规定应适用于‘每一个种族和肤色’”。另外，它还注意到第七编还将“肤色”包括为被禁止之歧视的一个基础，以及除非“按照字面含义的适用”会破坏“[法律]起草者的意图”，“立法的字面意思（plain meaning：平义，普通词义或显然意义）应当是决定性的”。

法庭将第七编特别提到“种族”和“肤色”两个词解释为明确表明了国会在第七编的诉讼请求中确立两个不同的要素的意图。为了证明这一解释，沃克案法庭引用了最高法院在圣弗朗西斯学院诉艾尔-卡兹拉吉一案中的裁决。在该案中，一名阿拉伯大学教授诉称他的白人雇主基于他的种族对其进行歧视。最高法院在圣弗朗斯西案中认定，尽管第1981条“最低限度地包括了由于一个人在遗传学上是某个依据种族和相貌划分的人类亚群体的部分而产生的针对个别人的歧视„„”，但要根据第1981条受理诉讼，“相貌上的差别并非必须条件”。

法庭在确定基于肤色的歧视可以支持第七编诉讼请求之后，便开始解决一个更为具体的问题，即法律“是否允许浅皮肤黑人对黑皮肤黑人（歧视）的案件”。法庭再次审视圣弗朗西斯案时，注意到了最高法院先前曾对第1981条的立法史有过评论并发现国会的意图是将这条法律“适用于所有形式的歧视”，包括那些由白人实施的针对其他白人亚群体的歧视行为，如针对“芬兰人、吉普赛人、巴斯克人、犹太人、瑞典人„„爱尔兰人和法国人”。法庭推理认为，只有种族中心论和朴素世界论观点才会有所有的黑人与白人不一样，“都是同一个亚群体的一部分”的看法。因此法庭得出结论，认为在确定第七编范围方面，“种族”和“肤色”决非同义词，而且在作为一个种族的黑人之间会存在各种亚群体。因此认定沃克依据第七编提起的嫉恨式歧视是有诉讼理由的。

虽然一些观察家可能会赞美沃克案对黑人之间歧视的承认，认为这是一个对第七编非常必要的扩大（性解释），但这种赞赏可能被误导。沃克案判决认定第七编同时解决种族间和种族内歧视问题，可能会为了纠正一种偶尔发生而且意义不太深远之歧视的短期目标而牺牲国会要粉碎美国传统种族主义的本意。

在圣弗朗西斯案中，最高法院通过承认各种白人亚群体互相之间存在着历史上的敌意从而扩展了第七编保护的范围。但是，直到沃克案，最高法院才发现黑人也存在着同样的情况。黑人社区内部的观察家早就发现在浅肤色黑人和深肤色黑人之间有着历史性的紧张关系，其根源是南北战争以前的奴隶社会。另外，黑人社区中现代关系的评论家也注意到，“对肤色的普遍关注”仍然牢牢地根植于黑人的意识当中。虽然“所有黑人来唯一所共同拥有的就是肤色”，但具有讽刺意味的是，正是肤色破坏了“种族内的和谐”并“永久性地成了种族团结的拦路虎”。沃克案对这种历史性紧张关系的承认反映了一种认识，即正如歧视造成各种白人亚群体之间的冲突一样，黑人之间的偏见仍然是寻求民权之努力中的一个削弱因素。沃克案对于传统上关于歧视行为的受害者和发起者提出了质疑。它承认不管是由其他种族还是在同一种族内部实施的，所有形式的歧视都是有害的。

但是，由于拓宽了第七编的适用范围，沃克案代表着近期对1866年《民权法案》及其后续法案立法意图的削弱。许多在“重建”期间通过的立法都关注群体尤其是黑人群体之间而不是个人之间的歧视。当然，第1981条的历史表明该项立法是要“根除[白人]对黑人在缔结契约特别是在私人雇用方面的种族歧视”。沃克案说明了反歧视立法在反映群体及其历史经历的实际情况与实施更为宽泛的针对歧视的保护之间的张力。沃克案由于认定黑人可能成为种族内部歧视的受害者，因而与第1981条和第七编的立法意图不同，强调的是对个人的直接损害，而不论歧视行为实施者的身份如何。

沃克案对第七编所据以产生的历史的和系统的现实的重要性的降低，可能会转移对第七编、第1981条以及1866年《民权法案》规定的白人歧视黑人行为这一直接规制对象的注意力。在美国一直是经济社会方面的强势群体的白人所实施的歧视比由经济社会地位较低因而在工作场所的影响相对较小的其他黑人所实施的歧视更为有害和普遍。

因此，沃克案的遗产对未来的黑人诉讼者来说可能证明是一把双刃剑。尽管法庭对第七编的广义解释本身可能表明对于受到种族内部其实的黑人来说有所裨益，但它也会证明对那些受到更为普遍的制度性种族主义问题之害的人来说是一种祸根。沃克案可以使法官们在不贬低群体矫正效能的情况下在个人层次上抗击歧视的程度仍有待实践的证明。

第九课合同与合同法

当我们使用“合同”一词的时候，通常是说它是一份存在于两方或三方之间的契约。它不是一种简单的信任，而是通常理解为合同的一方或双方在将来的时候都要去做的某种事情。2.有时候，“合同”也用来指一套包括四部分内容的文件。3.对于律师而言，“合同”通常是指具有法律效力的协议，即设置了一种法律义务，当某行为没有按照预先约定的那样去履行时，可以依照合同去依法强制履行。【对于律师而言，“合同”通常是指当某方没有按照预先约定履行义务时，当事人可以依照这个文件依法强制对方去履行的法律协议书。】这种翻译方式比较符合现代汉语的句式结构，但是在口译时比较费劲。4.因此，有时候，在一次交易中，区分三种不同的因素就变得非常必要，这些因素中的每个因素都可以叫做合同：（1）双方之间的事实合同（2）书面合同，它可能与事实合同不完全一致（3）基于前（1）（2）两项而对应产生的权利和义务。注：此段的“合同”是基于我国《合同法》的分类而翻译的，《合同法》规定了“事实合同”“书面合同”，而非“事实协议”“书面协议”。5.在权利义务问题上，如果情况可以允许，我们可做到不用去努力阐明这种短少但包含法律意义的界定情况，那么它就强烈建议我们在早己设定好的合同和现行法律（定义）柜架下的去审视在（订立）创制合同中律师和法官的（角色）作用，他们会解决各方行为引发的争执以及对违约行为以恰当的形式进行补偿。

在英美法律体系中，有相当大部分的法律都明确或者间接的规定了所有权这个敏感的问题。2.从一台推土机、一枚钻戒到帝国大厦、小说《飘》，都可能是一个人或者一些人的财产。这意味着国家将保护所有权人对其所有物的使用、享受甚至是毁灭的权利，同时排除他人对此行为的干涉。3.按照惯例，第一年的财产课程会侧重于英美法律对财产保护的详细规定，诸如土地和地上物等不动产的所有权的细化性规定。4.然后，你将会学习到基本是对版权、专利权，股权，可转让票据等无形财产的所有权的法律保护。

任何社会一旦承认财产的所有权，那么它就必须解决如何处置“侵犯财产权”的问题。2.财产权不是由法律简单地保护的一种个体性权利。3.甚至，社会不允许财产所有权个人肆意同意他人创设某种随意侵害他人身体或其他有损他人个体自由或者尊严的行为的权利。4.关于（财产权的保护）这个问题，刑法和民事侵权行为法有自己有不同的规定：刑法侧重于对个人和财产性权利不受妨害的保护，即社会认为这些犯罪行为的危险性已经严重到须以一系列刑罚惩处方可阻止的程度。比如抢劫、强奸、谋杀都是明显的例子。民事侵权法则认为对于个体的伤害应给予有效的赔偿。5.由行为在本质上的不同，因此，刑法和民事侵权法即使有很大部分是重合的，但二者并不完全相同。6.许多行为由于他们侵犯的不是个体而是国家，因此它们不是民事侵权行为而是刑事犯罪，比如，叛国罪、偷税罪；而诸如诽谤则是民事侵权行为而非犯罪行为。

在上述情况下，合同法是如何运用的呢？2.我们已经注意到我们的社会已经承认并保护一系列的人身性和财产性权利。3.最初的财产所有权，包括使用和消灭自有物的权利，但通过许多判例，它发展为所在权人有交易或转让的权利，对于交换中的许多人来说，这种所有权具有更高的价值，它可能是金钱，也可能是其他财产的所有权。4.一架钢琴对于会演奏它的人来说，价值要远高于那些不会弹奏的人；两个相邻的不动产，可能比两个彼此独立的不动产捆绑销售更有价值。5.同样地，当一家机器工厂拥有一群可以工作的技师和工人，有独立可靠的原材料供应渠道和加工产品时所需的专利许可的时候，它的所有权的价值要更高。6.为交换而订立的合同，意味着它可以集中并大量的被使用。7.这种合同数量巨大，要求在购买货物或者服务的时候，即时支付合同规定的价钱，比如买早报、汉堡包或者去理发。8.然而，进行那些重要的买卖合同的时候，合同通常会规定双方将在未来相当长的一段时间里要去履行的行为和计划。9.为了保护基于合同的约定而在未来的时候，任何一方都履行自己合同义务的可期待性，合同法己成为我们社会对此予以调整的法律途径。比如转让有形和无形的财产、提供服务行为、支付报酬。

在更加细致地检查合同法之前，这里我们应指出必须先要弄清楚今年你们能遇到的不同的实体法之间的关系，这种关系有时候被描述的过于简单化。2.法律问题并不总是很巧合地按照法律体系调整的类别来发生，有一些法律问题通常须由几个部门法共同来解决。3.例如，在课程里将会学到有多种欺诈行为合同法和侵权行为法都会调整到。4.传统上，地主与佃户之间出租土地契约的法律效力由财产法规则调整，但近年来，法院更倾向于使用传统意义上的合同法来分析他们的法律效力。5.法谚有云：“法网致密，无有疏漏”，尽管这种情况从来不会出现。可是，研习法律的老师和学生都应该小心不要陷入一个错误思维的窠臼：我们不同类型的法律都是坚不可破且永恒不变的，实际上它们并不这样。

第二部分合同法的法律渊源

上面已经分析过合同法的概念了，那接下来，我们就要解决“如何寻找合同法”这个问题。法院是依据什么情况权力和什么授权来制定他们的所争论的合同法的规则呢？我们认为，有关合同法的效力渊源通常有2个：首要法律渊源和次要法律渊源。律师和法官通常认为首要法源是法律本身，它包括判例法（也就是把案例判决集中起来，我们称之为普通法的法律）和制定法和条例，以及相类似的适用规则，诸如基于某份裁定而合理地根据某种目的阐述某个部门法的作用范围的规则。次要法源，也许像任何事情一样，很难准确地定义它对法院的影响，我们认为，次要法源包括两种具有劝诱性的法源，即法学家评论和美国法学会出版的《法律重述汇编》，他们对普通法中的合同法已经产生了深深地影响。

作为一个重要的例外情况，合同法在很大程度上是由法官制定出来的普通法，这部法律的许多规则是法官们对先前的判决进行提炼和概括后而制定的。因此，今年你们的首要任务之一是学会如何读、理解和阐述适用法院的裁决。你一开始就会发现，这些法律像是以一种外语的形式写下来的，诸如技术术语。法律语言充满了奇怪的词语，像“要求赔偿违法行为所造成的损失诉讼”和“无合同规定时，按照合理价格支付”，同时，它们具有不同的含义，且并不相似，比如对价、要约。

我们现在做出判决的法律体系，通常说是一种“遵循先例原则”的体系，它是对先前的判决或决定的坚持。先例是一种先前的决定，它有与将要做出判决案件相似的案件事实，法院认为必须迫使自己去遵守并提出与之相似的裁决。以判例为主要依据的法律制度通常从两个方面证明其合理性。第一，要求欲判决案件与先例在本质上具有高度一致性，法官据此去查明欲判决案件将适用的法律。第二，要求对法官个人对某些案件的癖好、个人情感因素以及其他我们可以看作是对决的有个人倾向的因素上加以控制。这种情况下的法律体系具有明显的特征：有时侯是非常有效的，有时侯是失败的。这些源于法律体系的稳定与保守，通常有助于法律令状的持续稳定。

然而，有时候一个判例法法官盲从一个先例判决会对在审案件造成不公平的结果。实际上，有很多方法可以避免这种情况的出现。一个先例是否是失去效力，通常由作出它的法院或是这个法院的上级法院来认定。而在其他情况下，对于下级法院或其他无管辖权的法院对此只能做劝诱性的结论。在后一种情况下，这个先例实际上不具有“约束性”，法官就可以不考虑他而自由裁判。如果先例不仅是建议性的，而且是无效的，它就不能被简单地忽略掉。而是可以被省略掉，排除在法官的考虑范畴之外。如果目前的预判案件与先例不具有本质上的一致性或必要性，法院会把这个案件与先例区别开来，做出不同的判决。如果判例己处于事实上的无效，尽管这很难并且不太可能区分，仍有一个别外的一种方法使之无效。如果欲判决法院是做出判例的法院或是其上级法院，那就很简单地宣布这个先例无效。宣布判例无效并不对这个判例中诉讼双方的权利义务产生回溯性的改变，它只是改变了欲判决案件所适用的裁判规则。宣布无效被认为是一种严格的行为，法院通常在认为判例所建立的规则是非常错误地时候才适用。比如，“不公正”通常可以理解为“一开始被错误的表达”或者“因后来发展而过时废弃了”。

事实上，合同法发端于英裔美国人制定的普通法而非制定法。直到本世纪，这一法律传统最著名的例外就是“反欺诈行为法”的制定，它首先制定于英格兰，然后，在美国各州都适用。这部法律规定：合同一经签订就具有法院强制执行力的效果。就像我们看到的这部“反欺诈行为法”法典本身己经因法院的判决而失去了原有的制定法的特色，这意味着它具有比现代意义上的制定法具有更多的普通法的特色。但总体而言，即使到了今天，除了受到现代著名的具有里程碑式的《美国统一商法典》的影响外，以这种方式修改合同法仍然是很少见的。

在决定适用某部法律来裁决某个案件的时候，法院会探寻各普通法法律原则的各自不同适用问题。任何法院，即使是联邦最高法院，都会按照现行有效法律的规定范围去适用这部法律。这种适用义务源于当今社会的一个基本的政治信条，即在宪法授权的范围内制定法律，立法机关享有最终的立法权。因此，立法机关可以根据它的意图变更或废止任何普通法的条款。当然，有时候法律用语会有多种理解，这种情况下，法院为使法律发挥更好的效果，通常会探寻最符合立法机关立法时的意图。有时候，立法史资料包括立法资料，大会报告等等，都可以用来说明立法意图。

1923年，美国法学会成立。这个组织的最重要的科研项目是对诸如合同法、侵权法、财产法在内的各种领域的普通法规则的权威和真实目的进行论证和确立。【原意是“准备”和“出版”】这种《法律重述》于1932年由美国法学会正式出版，并最成功地被法官和律师届所引用。但在1932年之前的几年里，它的雏形文本就己经面世了。《法律重述》像一部法律，“黑体字”代表基本原则，或者对某个最佳原则抵触的案例。另外，大多数章节至少都有法学家评论和注释作为论据支持。对于任何一个法官或者法院而言，美国司法协会出版的任何一部《法律重述》都没有法律强制力。尽管对各部门法的《法律重述》仅仅是本部门法的次要法源，但是事实上《法律重述》有着相当显著的说服力，经常有法院为了论证某个问题的公正性，就直接引用和援引《法律重述》的原文或者是相关观点的适用规则。

自1932年《法律重述》出版以来，合同法体系己经发生了实质性的发展，美国司法协会从1962年开始准备对《法律重述》进行修订。最终，此修订于1979年完成。《法律重述（二版）》更换了许多《一版》中裁决所依据的哲学原则模式。在损害多样性和不确定性问题上，《法律重述（一版）》往往强调规则的普遍适用性和可预测性。而《二版》则试图辅以评论和编者按，去证明《一版》中宁愿忽略对这些问题的复杂性的讨论，以及试图去建议对自由裁量权的必要限制。

尽管《法律重述》是次要法源，但《法律重述》中有关合同法的部分己经实实在在的影响到法官如何认识普通法中合同法的应有含义。或许没有其他次要法源可以对法律产生如此的影响，但纵观这几年来出版的各种书籍、文章、条约汇编，他们己经开始对美国法院判例集中公布的浩繁的合同案例进行分析、评价，综合归纳。这些著作的作者们着意探究法律的本意，对未决案件提出判决建议，对某些案件中的问题展开热烈的讨论。综上，这种（类型的）法律评论己经对普通法中的合同法的形成进程产生了决定性的影响。

第十课侵权法

第一部分基本概念

1．在美国,基于侵权行为法产生的诉讼仍是大多民事诉讼案件的主要来源，其中基于交通事故产生的损害赔偿案件居于首位。很多因素造成了这一现象：（a）在美国民事诉讼案件中的原告通常利用法律赋予他的诉讼权利主张赔偿，因为陪审团更多的是基于可以理解的人性考虑而非法律考虑，例如当一个孩子在一起交通事故或因购买大公司的瑕疵产品而受到伤害往往能得到陪审团的同情理解。（b）补偿费和损害赔偿金不仅包括实际的损害而且包括了无形损害。原告经常可以利用陪审团的人性反应：比如，当永久的失去肢体时怎样才算是一个适当的赔偿金额。（c）美国法律允许律师分享原告所获得的赔偿金（胜诉酬金）。这种酬金达到法院判付赔偿金金额的百分之二十五到百分之三十的情况并非罕见。由于以上所有因素的存在，在侵权案件中若想获得巨额的赔偿金必将经历一个冗长的审判过程。这方面的一个例子是在陪审团对一个重大的侵权案件做出裁决后，专家（证人）的酬金可能是“渺小”的原告所获得的损害赔偿金的全部。陪审团做出一个超过100，000美元的裁决已不再是不可能的，而是极其常见的。这些因素都将成为若干改革努力的试金石，我们将在下文中更多的讨论其细节。2．侵权行为法常常与合同法产生竞合，受损害的一方也常常在侵权之诉（例如将未经授权使用的财产转移和因非法占有他人财产所造成的个人损害）和违约之诉中做出选择。比如，在格式合同及在个人损害赔偿案件中或因为违反保证诺言的案例中。因为侵权行为法还将赔偿无形损失（而违约责任往往不赔偿无形的损失），因为侵权行为法如此的规定，在现实生活中原告往往选择它提起个人损害赔偿。3．每个人都要对其侵权行为承担责任，在有限的形式下儿童亦然（但是，父母仅当其作为该儿童之代理人或未能按照其监护义务行事时才负此责任），但国家不在此例，除非法律明确规定取消了国家的豁免权。4．每个人都受到侵权法的保护其中还包括婴儿。继承人或近亲属可以提起损害赔偿之诉，当其被继承人或近亲属被故意或过失导致死亡时（非正常死亡之诉）。一些州的法律规定，对于第三方的行为使侵权行为人醉酒从而导致受害人受伤的可以提起侵权之诉，这些规定被称为“小酒店法令”，作为侵权行为人醉酒之结果而受到伤害的一方有权向那些造成该侵权行为人醉酒的人提出索赔请求。5．最后需要强调的是侵权行为法主要是各州的立法。第二部分故意侵权

以往的判例包含了各类故意侵权。例如殴打、故意伤害、非法占有他人财产、非法拘禁和对动产和不动产权的侵犯。一些侵权行为，例如破坏他人夫妻关系在很多的州的法律中都被废除了。另外一些，例如诽谤，最近就在宪法判例法中得到显著的修改。一些传统侵权为包含的新的侵权行为，也被这些判例法所介绍。其中特别重要的是侵犯隐私权的行为和产品责任侵权行为。第三部分过失侵权责任

过失侵权责任以过失行为与对人身或财产的侵害之间的因果关系为前提。一个人若没有尽到他的照看义务就被认为是有过失的。客观地讲，他没有像一个理性且谨慎的人那样行为。最新的修正案中包含了特殊行业侵权行为所该承担的责任。这样，比方说对一名建筑师就要适用不同于一名建筑工人的标准。判例法已经对“照看义务”给出了限制性解释。这种责任必定属于特殊的原告而非普通的社会大众。这样，一个人对于非法进入其土地者所负有的照看义务就小于其邀请的客人。一些州的侵权立法发展得更加迅速，例如，对于免费搭乘乘客的司机的照看义务做出了规定。即使司机未尽到小心与观察的义务，受害一方仍不能主张赔偿请求。下面就是一个因共同过失或承担风险而获罪的案例。共同过失辩护的严格性，其结果并不是减少赔偿数额而是完全排除侵权行为人的责任，已经因一些州采用了“比较过失”原则而得到减弱。比较过失原则又可译为相对过失原则，即通过比较双方的过失来确定双方的责任。该原则要求共同过失的双方基于造成的损害程度来确定赔偿数额。该法令的贡献在于过失侵权的赔偿责任可能因为“最后明显机会”原则得到排除，有过失的原告可能得到赔偿，如果它能够证明被告因“最后明显机会”原则而避免损害。

过失侵权法极其复杂，因为在庭审过程中很难避免陪审团对原告产生同情从而不考虑原告的过错也不考虑接下来的损失计算。如今对此现象可以从两方面努力去改革它，尽管有时这两者不相一致。一方面可以在很多案件中规定严格责任，另一方面可以创设一种不考虑过错的赔偿制度，例如类似保险制度的形式。在接下来的章节将简要评论这两种立法趋势。第四部分侵权法改革：严格责任和无过错责任

a.严格责任

首先，严格责任只存在于几种特殊情形，比如饲养危险动物、诽谤，通过一个被称之为“不言自明法则”的可反驳之推定，从事实或行为本身的性质推定过错或者过失，例如施工缺陷或者是疏忽使用。

从合同法概念的作用说起，尤其是在合同或侵权中提供担保可以避免出现过失，更多的近期判例法承认在产品责任领域的严格责任。这一新的侵权主张不再依据合同法主张从而独立存在：销售商的责任如今扩大到所有“危险产品”，而不在乎是产品本身的问题还是包装问题。“危险产品”包括产品“在有缺陷的条件”下对使用者或消费者或其财产有不合理的危险。在此，“缺陷”一词意指该产品未达到一般消费者关于该产品安全性能的合理期望标准。销售商“应该预见到会由于对该产品的恰当使用而带来危险的”每一个人均受保护。纵观美国各州，在所有现实目的中这个定律总体扩大了对社会公众的保护。

b.无过错责任

产品责任适用严格责任的趋势应当与另外一种改革努力相比较，就是为了因过失提起的主张，特别是大量的机动车事故，力求寻找更多解决措施。这些主要建立在基顿和奥康内尔两位教授之方案基础上的改革努力试图取消侵权法中的过错责任原则并按照保险原则在不要过错证明（“无过错”）的情况下给予与赔偿。在目前采用无过错责任制度的国家，已经证明了这一主张非常成功。司法实践表明，当很大部分受害者能得到赔偿时可以降低保险费。然而，机动车事故和产品责任引起的损害赔偿仍然是压倒性多数的严重问题。每年超过5,000,000,000美元的损失数额却只有800,000,000美元保险收益可以用来赔偿。鉴于因产品责任引起的侵权主张稳定增长，生产者的保险责任花费（保险费）也从1950年的25,000,000美元增加到1970年的125,000,000美元。进一步的改革运动，尽管目前只在初步阶段，试图将无过错责任原则扩大到几乎所有的诉求，主要是产品责任，但是也包括其他的责任例如医生不当行为。在无过错责任体系中，生产者同意并且据此保证他自身在某些伤害中不用证明过错而承认赔偿。在此“赔偿”意指实际损失赔偿，而不包括无形的损害。因此，生产者的责任将会受到限制，这样就要求相对较少的保险费以涵盖这种风险。另一方面，相较传统的侵权法，受害者能处于更有利的地位，因为其有权因其实际损失（花费、收益损失或者薪资）取得立即赔偿而不用通过长时间的诉讼，也没有证明过错的困难。

第十一课财产法

第一部分简介

财产法是美国法律体系中的核心制度之一，它在自由市场经济中为计划活动提供了必要的确定性和稳定性。和其他的制度一样，它内部也存在大量的不一致和范例。在接触许多之后，讨论将会转向那些影响私人财产紧张关系上。如通过土地所有权转让带来的集体义务和个人自由之间的紧张关系。讨论将转向既作为公共职能机制的管理者和在机构内部时常独立者的政府角色，它试图更进一步自己的政策目标，对后一种角色的全面讨论将留到后面的土地使用模式之处。它作为公共机制的管理者的角色是在美国革命后，在形成政府法律地位的过程中考虑到财产才开始的，她表明了财产法主题的演变过程，从绝对权力的僵硬原则到经常被调整去提高社会目标的一系列权利义务。

我将讨论在这一制度中律师的角色。他既作为建议的提供者又作为讨论者。每一角色都有为公和为私的姿态。这里可能是也可能不是简短讨论职业标准和法律职业责任的地方，但事实上，美国不动产法律经常利用律师的专业地位。例如关于产权或为第三者保存契约之安排的观点。

现在不动产律师履行者许多独立但内部有关联的活动。任何参与者冒险的成功不仅仅取决于他自己在交易关系中的关系也取决于他不是一方当事人的交易领域的关系。使用人体做个类比，律师经常承担着循环系统，连接着全部的器官和提供大量互相合作的权利义务体系。如果与开发商洽谈合同的建筑方想获得保障那么他或她很可能根据关于建筑费率表的合同获得工资，建筑商律师便会在查阅银行和开发商间建设贷款合同去了解从该建设贷款中逐次提取资金以支付此费用的时间和条件。如果一个有意投资者想知道当开发商在完成建设后违约时他的债务，他的律师便会通过检阅开发商长期财政记录获得信息。基于律师的发现，投资者可能要求开发商提供履行定金。

如果律师在不动产交易中为一个主要参与者（土地所有者，开发商，出借者）服务，他的作用便是缔结合同、条约和那些描述双方商业意图及定义双方基于合意或法律所期待的行为的文件。对于争议解决方法要认真考虑。如果律师代表着次要一方（提供者或被动投资者），那么律师的主要任务便是履行“适当努力”，即仔细审查全部相关法律、条约和文件，去使当事人确信他的决定是基于关于交易结构的准确信息和他的法律观念与义乌需求相一致，无论他是否决定参与其中。第二部分不动产法律的基础

在不动产法中有三个主要领域。第一所有权和其他拥有形式。第二契约、通行权和妨害行为。第三房主和房客之间的法律。

在两种与不动产转移有关的基本担保：买卖合同和担保交易。关于买卖合同的讨论将会增加对于基本合同条款，关于那些由不动产固有的特点所决定的领域。关于担保交易的讨论将会覆盖各种担保形式，间接融资的概念，抵押财产的转移，抵押权人的补救（或者分期付款的土地出售人），包括恢复占有，取消赎回权和回复不足额判决。

当财产法规定了谁在占有、开发和转移土地时拥有可允许的利益，土地使用法规定了政府在影响土地利用时的利益。正如当地政府使用和法院解释的那样，土地使用法为解决因使用土地产生的竞争需求产生的纠纷提供了一个体系，大多数现代土地使用调整体系既利用针对土地使用的某种形式和强度的禁止措施又利用激励措施去鼓励特定的土地使用方式。这些对自由市场反应好的监管体系可以做好3件事。第一，它们拥有一个机制用来确定在竞争利益全体中根据私有财产和个人的流动能力谁应该在社会中占据主要地位。我们将看到因经济的发展和环境忧虑和历史维护的忧虑的冲突引起的问题。第二它们可以清楚的鉴定出谁应该为决定的制定负责和决定的制定需要考虑什么信息。我们将看到公众参与的需要。最后，它们提供一般原则的基本标准，为了引导将来的参与者。我们将讨论美国宪法、州立法和行政过程在实现这些目标中的角色。

第三部分不动产交易中律师的角色

不动产交易包括买者和卖着，历史上是律师工作的主要来源。现在也是。然而在很多不动产买卖交易中，当事人不雇佣律师，文件准备和其他过户手续都由当事人和其他服务中介实施。比如，经纪人、放款人或产权保险人。不动产买卖双方当大数额金钱被涉及时更可能雇用律师，在一些州律师仍垄断着土地所有权的查索于审验，并且在一些州相关未经授权之从业活动的法律对于经纪人和其他转让中介是相当严格的。律师经常被牵涉进商业的不动产和工业财产的买卖中，多单元住宅产业和更贵的单个家庭住宅，伴随着单个家庭住宅的增势价格，在一个不断增长比例达的买卖交易中，律师似乎可能代表买房和卖方，甚至一般的可以给房子定价。尽管这常常要到买主承诺购买之后。然而，有证据表明至少在一些特定的地区，律师在房屋买卖中的作用长在减弱。美国律师协会特别委员会报告中的摘录指出，以下描述的步骤是需要的以完成一项常规性住宅买卖合同通过按揭。相似的程序在非住宅财产转让时被普遍适用，尽管有些被增加的步骤经常被实施联系到几个相同非住宅地块的出卖。美国律师协会的报告在住宅不动产交易中律师的需要是一份表明立场的文件，正如从事律师所看待的，并且是对作为土地销售总成本之一项的律师费数额批评的一种回答。

第十二课公司法

第一部分基本标准

在美国，商业组织可能被划分为3个主要的类型：个体业主，合伙，公司。影响这些商务企业形式的法律是多种多样的。没有一个单独的法典或法律来管理美国商务企业法。各州的公司法并不尽同。每个州的公司法相似但不相同。下面列举了一些美国商务企业实用的法律的分类。

内部持股公司

一些州采用内部持股公司条例,它授权公司以内部持股公司标明自己，选定这种公司要求限制股东的数量和身份

合伙

几乎在所有的州，对于一般合伙的形式和结构由1916年的统一合伙条例管理，1976年的统一有限合伙修订条例（针对有限合伙）被这些州以微小的偏差采用。

公司法

公司没有统一的法律。调整公司的法律在各个州的商务公司条例中被找到。这些条例为在它的框架下的任何企业的形式和做出决定提供程序。然而，有一部1984年标准商务公司条例（标准公司条例）。标准公司条例仅被一般的州采用，在州的公司条例下运行的企业不是必须在其下组成公司。比如，那经常会发现在特拉华州设立的公司在加利福尼亚州营业。在美国现行的冲突法规则下，关于公司内部事务的法律以公司组建地所在州的制定法和判例法为准。公司的内部事务油它自己的组织章程和内部章程调整。

联邦证券条例

在美国由联邦法律调整证券活动。联邦证券条例是1933年的证券条例（即1933年证券条例）和1934年的证券交易条例（即1934年证券条例）及证券交易委员会（即美国政府证券管理机构）发布的多种法规的总称，它是美国商务法的一个组成部分。1933年证券交易条例主要调整发行企业筹集资本和新的证券的发行，1934年证券条例调整投资者买卖上市证券的机制。

蓝天法

蓝天法是州的证券法，联邦证券法优先于州的蓝天法。在联邦证券法发展以前，蓝天法的创制用于调整工业证券。现在他在抑制联邦证券法没有调整和纯属州内部的违反证券法规的行为仍然具有效力。

联邦反托拉斯法

反托拉斯法主要通过防止垄断调整市场行为和制止贸易限制和鼓励竞争。

第二部分商业形式

A、所有人

任何一个人都可能通过他或她想要建立企业的县获得一个从事商业活动的证书独立创建企业。这种企业的形式就叫做业主。它不像公司和有限责任合伙，没有许可和形式的要求，州的公司处也不包括在内。业主不是独立的法律实体并且它经常是小的零售商店和服务企业像咨询公司和保险代理。从数量上来看，业主是美国企业最普遍的形式。但是，在它们创造的税收方面，他们又不是那么重要。

B、合伙

合伙同公司一样（但不用于独资公司）是独立的法律实体，在美国一个非美国公司或个人可以同个人，公司或其他合伙企业共同组成合伙企业，反之一样。对于合伙的存在只需要一个书面合伙协议，通常书面合伙协议应该实行合伙人的行为就是以构成合伙关系特别是党他们以行为向一般公众表明其为合伙人的话，在没有合伙协议的情况下当事人之间的关系是由统一合伙条例决定的，该条例被所有的州采纳，统一合伙条例制定规则决定一个合伙企业是否存在，例如，当事人持有的企业的股份收据是证明当事人是该企业一员的表面证据（除非，出示该收据是因为其他合法的原因，比如工资），然而，两个或两个以上人共同拥有财产的事实并不必然在共同拥有人之间成立合伙协议。

合伙企业有两种类型：普通合伙和有限合伙

1、普通合伙：当两个或者两个以上的个人作为企业的共有人共同成立的企业，不是作为公司来管理，他们会成立合伙企业，合伙的成立不需要正式手续，除非合伙协议对合伙做了详细的说明。合伙人在解除合伙关系时平等分享该合伙的资产和责任。

在合伙企业中，不划分合伙人和合伙企业的责任。这意味着，不像公司股东一样，当合伙的资产不足以抵其债务时，合伙人个人会负有偿还该合伙之债款的责任，在特定服务企业中如律所，合伙是最普通的形式。

2、有限合伙：当合伙人想要限制其在合伙企业中的个人责任时会成立有限合伙，这些合伙人会被称为有限合伙人，一个有限合伙企业的存在，必须至少有一个为合伙企业债务承担责任的一半合伙人，这个一半合伙人可以是一个公司、不同于一般合伙中的合伙人和有限合伙中的一般合伙人，有限合伙人必须与合伙企业订立书面协议，必须不参与企业的实际运行，她只从有限合伙企业中分享利润，有限合伙人作为一个投资者，与公司的股东类似。

C、公司

1、总体规定：与合伙形成对比公司是独立的组织，一旦公司正式成立，他将成为一个独立的法律实体，他的存在将独立于成立公司的个人，公司可以自己的名义拥有财产，可以以自己的名义起诉或应诉。

公司以不同规模和形式存在，有的公司有成百上千的股东而有的公司只有一个。然而总体上公司被划分为两种

A.公众持股公司b.内部持股公司

公众持股公司是指那些股份能在有组织的市场上公开交易的公司，内部持股公司是指严格限制股东人数俄日35人或更少且尽职在未经股东同意的情况下转让股份，在美国没有联邦公司立法，州制定的合同法律框架只能规制本州范围内的公司，每个州都有州务部长办公室，他的公司部门通常管理公司的行政事务，例如：成立，登记和解散，公司的所有权实际上由那些有权任命公司董事会的人拥有。

州之间关于商务公司的规定的不同，远大于关于合伙的规定的。值得注意的是，一个公司可以不根据其行为规定的法律或者公司主要营业地的法律来设立公司，根据一个州的法律设立公司而根据另一个州的法律设立主要营业地是可能的。然而，对公司而言，在公司在任何一个州而非是为了营业的州注册是必须的。这些登记需要经过营业地所在州的部长的同意，如果不能再其营业地注册，意味着公司不能再该州提起诉讼，并将会导致征收罚金，或者导致这些公司签订的合同是无效或可撤销的。请注意，在这篇文章中是一个加州公司在Arizona就像一个中国公司在arizona一样是一个外国公司，一个公司要想在一个州注册，基本上取决于各州的法律规定，但是，这通常意味着多于一项单独的合同或者由主要业务范围在其他地方的销售代表在该州做的一笔生意。

2、规范公司的不同州之间的法律

一个公司成立的不同法律要求取决于州的组成法律。例如，特拉华州的公司法仅要求一个董事，而哥伦比亚特区纽约州的法律则要求至少三个董事，传统上特拉华州的公司法最为自由，但因此有更多的公司在其注册，特拉华州的突出优点表现在他把独立的董事们对公司的某些错误行为应负的责任减到最小限度。

第十三课保险法

商业保险

第一部分商业保险的种类

很多类型的保险都是通过商业的形式进行购买的。许多保险都是通过团体保险以一个更便宜的价格来满足个人的需求。健康保险和人寿保险的优惠价格可以通过团体购买的政策过得，而这样的商业形式对家庭来说并不是正常能够利用的途径。但这却是给你的员工的一个额外的好处，值得我们进行考虑。团体价格是经常被使用的，即使是那些只有少数员工的家族企业。

其他还有一些重要的商业保险的类型，他们是意外伤害保险和伤残保险。一旦你的员工在上班途中发生事故或者是变残疾了，这将会为他们提供一些额外的保障。责任保险同样也很重要。业主的业务所产生的风险正是责任保险所能够帮助减少的部分。如果你的以为客人滑倒受伤了，业主将要为这些伤害承担赔偿责任。责任保险可以帮助减少因为受伤而引起了侵权判决所带来的失去商业机会的风险。

关于一个商业保险的需求，应当由一个专业的人员来进行处理，他们可以帮助分析什么事可用的，以及什么是企业所能够承受的。要时刻记住一个保险代理人或者经纪人总是在试图做销售。与几个不同的经纪人或代理人讨论投保的事，然后得到最优惠的价格，这是明智的做法。

人寿保险提供多种不同的商业目的的投保种类。首先就是保证一个重要员工的生活不会因为他的死而遭受商业损失。第二种就是当一个合伙人或者股东死了的时候，通过保险来促使赔偿资金回购协议的生效。

通常情况下，一个特定的员工将会是重要业务取得成功的关键。该业务将会给这个员工一个可保利益，因为它会在这名关键员工继续受到聘用中获得pecuniary gain，同时也会因为他的死亡而遭受损失。

当一个公司确保它自己不会因为失去一名有价值员工的供职而遭受损失时，即意味着公司购买了“关键人物”或者是“关键人”的保险。不确定的损失所带来的货币影响可能是显而易见和可预测的，比如失去一个出色的销售人员，一个掌握技术诀窍的工厂经历，一个具有独特技能的特定员工，以及找回失去的销售、收购途径，或找到一个合适的代替品所花费的成本。

关键人物保险的是一个获得的免税的收据，在通常情况下，本公司指定自己的受益人，不能作为在企业成本中扣除的保费。公司通常会获得收益免税，只要公司具有保险利益。这必然是合理的，若这个被保险人继续存活将有利于公司，而他若死了则会造成公司的实际损失。一般情况下，这个雇员必须是在从事至关重要的业务。

例如：XYZ公司，为公司总裁和其中一个股东投保了人寿险。当这个股东死了，那么所有可能的所得收益款都将为应课税的了，因为XYZ公司不具有可保利益。而另一方面，若XYZ公司的总裁去世了，则具有保险利益，因而也可以得到保险收益免税。第二部分买卖计划和股票退休计划

在成立公司时密切的合伙人关系和股东关系常常依赖于个别业主的对业务投入大量的时间。结果是，当任何一个业主死亡的时候，他们常常不希望有错误留在业务中。因此，当他们参与一个买卖协议时，根据该协议，使得健在者（们）可以购买已故股东的股份。一个主要问题是，健在者们没有流动资金来进行购买。

例如：Able, Baker和Charlie在许多年前成立了ABC公司，各自为平等的股东。他们有一个协议，当他们其中任何一个人死了，剩下的股东将会以公平的市场价格，购买ABC公司的股份。当ABC公司价值300万美元时，Charlie死了，但此时，公司只有一点现金。Able和Baker只能去债台高筑来购买C的股票。

在其最基本的形式里，是一个密切召开合作协议，这个合作协议是关于赎回去世的股东所留下的作为遗产部分的股份。这（退股计划）与股权买卖计划不同。按这种计划，赎股使用的是公司资金，而不是由其他股东同意个人购买那些股权

为了保证股票retirement计划的成功运作，公司必须有新的资金来源使它能够参与股东死亡的遗产分配。人寿保险常被用来解决这个问题。在基本的股票retirement计划中，公司将会拥有政策，同时也会成为受益者。就像在关键人物保险中一样，保费将不能抵扣。这可能会带来一个问题，一些股东因为年纪大而需要更高的保费，而相反的，年纪轻的则只需要相对低很多的保费。不相称的金额将会用于保证老股东。问题是，那些老的股东拥有比年轻的股东多很多的股票。这是因为该公司将要支付更大面值的钱去购买保险，来满足更大的股东利益。其中一个解决方案就是，允许少于年纪较大股东股票的全额价值去投保。在stock retirement plans上投保人寿险是为了创造新的资金来源，这是没有必要完全从insurance proceeds就开始支付the stock retirement。这对公司来说是除了以现金支付的股票价款以外，签署本票的方式。合伙关系是一种典型的使用买卖计划来收回一名已死亡之合伙人的股权的一种方式。无论是个人合伙与否，都可以设定关于其他合伙伙伴或者是合伙关系存在与否的own policies。在买卖计划中，有几个关键的元素。首先就是，各方合伙人必须订立一项有约束力的合同，这个合同可以在已故合伙人的遗产中得到强制执行。

在股权买卖协议中的第二元素是一个明确的定价公式。任何一个合伙人都可能先死，并且每个人都有一份既得利益来保证他或者她的财产会通过合伙权益得到公正的补偿。公式不可能适用所有的情形。有一种可能性就是一个建立在合伙利益基础上的公式，但是这将不会在一个真实的房地产合伙关系中发挥作用，因为在这个合伙关系中，资产很少或者是根本没有盈利。因此，另一种可能的公式就是建立于底层合伙资产的值上的。另外，其他的公式可能也需要考虑确定的资产和盈利。

协议的另一个因素是资金。同样的，人寿保险在许多情况下都提供了答案。在某个合伙人死去的时候，它提供了一个快速的资金来源。它允许房地产为利息收取大部分的现金（一些票据可能对保险来说并不是必要的，而这些保险并不能够充分支付合伙利益）。

协议的注释：你和你的合伙人已经决定当一方死亡时，另一方将会购买该合伙伙伴的利益，而不是使继承人继承业务，而且你要保险，以帮助基金买入。你们是不同的年龄，而且你们并不在这个公司享有相同的经济利益。你将如何安排协议，以公平地对待所有的合作伙伴呢？

首先，你需要确定当前的业务价值，并提供一种方法来确定当一个所有人死亡时，业务的价值。这样有许多种方法来完成估值——关键是所有你所需的是承认这种方法，同时它有合同的约束力。你们任何一方都应该得到满足，若是你先死了的话，将提供一个公平和公正的方式来从你的房地产中购买你的利息。

此外，你必须决定购买多少保险。保险可以用于投资所有购买数额，或者它也可以用于支付一部分的购买价款。事实上，由于一些所有人将会花费更多来保证，一个合同可能不为它们购买那么多保险，为了减少目前的保险费用。剩余部分的购买价格大概会分期收入现有的利润。事实上，也值可以协商各种支付方式，在未来的几年内支付完成。同时，年轻的合伙人的付款，可以在扩展到较长一段时间去提供收入。这是所有的协商。你应该试图起草一份协议，从而来保护你自己的权益。

第十四课商法

第一部分国会的力量规制商业活动

宪法的第八章第一条授予国会拥有规制与国外各州之间及与印第安部落的商业活动，这一条款的简要性误导了如下事实：国会的解释在塑造联邦制和允许使用的国家权力的概念中发挥了重大的作用。但我们必须记得的最后一章，联邦，至少在形式上，被授予的既不是一般的警察权力，也不是任何涉及促进整个民族的健康，安全或福利的固有权利。宪法的制定者们没有授予国会规制商业活动的权利。

商业权，依赖于这个似乎并非专门术语之词的定义，包括促进全国各地公民的经济福利的权力。该授权还可以被视为将此事项交托国会并由此取消各州处理那些审议被认为是本条所描述的商业的地方事务的权力。因此可以看出，权力没有进一步限制后，它可能确实是一个广义的功能相当于警察权力，因为大部分发生在国家内的活动，甚至是在一个州，都可以说存在着经济问题。对该条款的广义解释不仅给与联邦政府庞大的权利，同时也限制了每个州通过承认联邦政府的控制的带有关于某些商业活动的规定法律。

从现实意义上来说，历史上的商业条款裁决，就是联邦制的历史，也就是支持一个特定的联邦权力的学说的发展历史。因此不同时期的最高法院在审判中适用本条款的情况就变得非常的重要，即使我们还会总结法院现在的适用情况。因此，本章内容按时间顺序排列的基础上阐述法院对商业权的解释。在一番介绍说明后，我们来转向第一例定义商业权的案例，他展示了法官在确定新的国家政府权力时历史和理论的不确定性。在下一章我们将研究法院试图倾向于保护联邦制度而不是维持政府有限的权利的手段来限制商业权。最后，我们将会看到现代经济问题使得裁决意识到无法在一个原则基础上制度上能够限制商业权。其他政府部门更具有实体性的定义全国性商业性问题的性质及促进国家的经济福祉的能力。今日，只要有合理论据证明该国会规制事项属于商务权力的范畴，该法院就会支持国会的决议。为了理解国会权力的性质和对其的限制，我们必须还要了解法院根据过去的经验所做出的现在的判决。第二部分最高法院对商业条款的解释

The Supreme Court最高法院当今对商业条款的解释为权利的完全授权。第十次修正案不再被视为对于国家条例来讲的某种主题的保留。一旦大法官们开始把商务权利界定为一种独立授权而不是第十修正案中的的授权，生产和商业与直接和间接地区别很快就失去了意义。法庭将会尊重立法团体的经济原理的选择，可能的经济冲撞的活动在经济方面，在州际之间，归到这个权力之内。于是陈旧的与商业有实质联系的概念和“商业流”理念就被作为对商务权力的不恰当的司法限制而抛弃了。法院最终回到马歇尔的州际商业活动定义作为考虑更多的是州际间而不是单一州内的。法官将在这个领域要尊从立法机关的选择，并且赞成法律，如果有一个理论基础在国会能找到一种在法规和商业之间的关系。

现代商务权利检验标准。现在有三种方式，是条款，人或者行为在联邦商业权利之下。第一，国会能制定法规，限制条件，或者禁止与之有关的州际间旅行和装载货物的准许，如果该法律不与某项宪法保障相抵触的话。第二，联邦政府也能规定任何行为包括单一的州府活动，如果这个活动有一个亲近和充足的关系或者说影响对于商业。这种关系或者影响可能在理论性的经济关系或者影响的基础上。这种行为必须服从于国会的权利在一种对贸易有累积影响的普通活动的地方。第三，国会可以规定那些对商业本无影响的单一的州的活动，如果这种规制对管理商业活动或者实施有关商业活动的规则来说“必要且合适”的话。

现代授权原则——授权给州或者给行政部门。就像第十修正案中较旧的理念没有苏醒。没有重要的“反授权”原则限制商业权利的实践。国会可能通过法律去准许州独立的去制定洲际间的商业；这些法律涉及联邦对各种贸易结构的调整，没有任何违反宪法的将商务权利赋予各州。

在当代，政治进程已经导致联邦控制力在州内和多州间的商业事务的广泛多样性；这对于国会来讲去定义商业状态精密的范围和意义是不可能的。在过去的半个世纪已经证明增长联邦执行的代理机构的国会作用去管理联邦法令并且去发布完成的立法政策的法规。国会有授权立法和行政的功能对行政机关或者代理机构的建立。

当今，最高法院会允许国会去和行政部门分享他的立法权力通过授权，从权力到行政部门方面。这种总立法性授权会得到（最高最高法院的）支持，除非国会将某项权力放弃给行政机关或者未能就该行政机关的权力范围给出立法性界定。

如果国会准许一个私下团体去控制它的竞争者的权力，在某些情况下，会有程序上的问题，是否那些被规定的人因必须服从与其利益相对之实体的意志而被剥夺了正当程序（权利）。然而，这个问题不构成一个过分的授权问题。

动机。如果国会制定一个被认为在三个部分的检测对于商业权力的行为，这种国会的动机在通过立法问题上是不相关的。因此，国会应该实践它的商业权力去清晰非经济原因。法庭支持广泛多样的立法在商务权力下的，包括医疗监管，刑法，民权法。如果有理论基础去找到一个充足的关系在法规和商务之间，通过三项测试中的一个去讨论以上问题，在法条在商务权力之内。如果不违背宪法的限制或者基本的宪法权力必须被给予支持。

第三部分统一商法法典

为了统一和改革的利益，律师界，在美国法律协会的领导下，建议综合法典去让各州去采用。最重要的统一商法法典。其他的统一法律被发展为合伙，共同，遗嘱认证在其他之间，但是在所有的最有抱负的统一条例中是统一商法法典。

全国性会议的委员在统一州法和美国法律委员会发起和指导统一商法法典的准备。上百的法律教授，商人，法官和律师给这两个组织帮助。关于统一商法法典的工作开始于1942年，最终的起草在1952年结束。所有50个州和哥伦比亚地区以及维尔京群岛认可统一商法法典的全部或者部分内容。路易斯安那州只接受第1,3,4和5条款。统一商法法典包括10个条款： 1.总则 2.销售 3.商务文件 4.银行押金与托收 5.信用证

6.大量（财务）转让 7.产权证书 8.投资证券 9.有担保的交易 10.生效日期和废止议案

当每个州都采用这个法典，它代替了许多法规，如，统一销售条例，统一提单条例，统一仓储条例，统一票据条例，统一附条件销售条例，统一信托单据条例，统一股票过户条例，（防止）大宗销售条例，代理商留置权条例。

法典没有大量的改变商法源于商业习惯法和普通法的基本原则，但是取而代之的是发展和编成法典去现代化，简明，标准，和自由化那些规则。这部法典也帮助简明不同派别的法律关系，在当今的商品交易。这部法典被设计成去帮助决定不同党派的意图，关于一个商业合同和给予强制和影响在他们的协议之中，这部法典的深层意义是去鼓励商品交换通过呈现商人的协议，如果是有效签订的话，将会被强制实施。

第十五课税法

第一部分美国联邦税收一．引言

美国的联邦财政权是一项综合的权力，它对国家经济产生支配性的影响。这些权力是美国联邦政府拥有的最重要权力之一，它们的宪法性权威已经深入人心。这些权力包括税收权，造币权、为美国举债权，以及财政支出权。

二、税收权的一般范围

宪法特别条款赋予国会自由税收权，除了2项对该权力行使的特定限制和一项禁止性规定外，该税收权是绝对的。对行使税收权的特定限制是：[1]直接税和人头税必须根据各州的人口分配；[2]关税和国产（货物）税在整个美国必须是统一的。该项禁止性规定是指对各州之间的货物销售禁止征税。当然，宪法第五修正案的正当程序条款是对执行税收权的一般限制。允许不在各州按比例分配征收联邦所得税的宪法第16修正案是因波洛克诉农场主信托贷款公司一案（1895年）中五票赞成四票反对而通过的最高法院判例确立的。42年后，当时的最高法院在审理的纽约州科恩诉格雷夫斯案时作出的判例实际上推翻了波洛克案的判例，这使得宪法第16修正案成为多余。

三、直接税和间接税

1．历史背景

尽管美国宪法赋予联邦政府以税收权自由，但对直接税与间接税分歧的最终被证明是美国当今联邦税收结构发展的绊石脚。早在1895年的波洛克案之前，宪法中的“直接”税是仅指土地（不动产）税和人头税已成为共识，通过至少三个重要判例，该共识被牢固地加以确立。第一个判例是希尔顿诉美国案（1796年）。在该判例中，新宪法实施早期的最高法院确认对运输费征收的联邦税是非按比例分配的税。第二个判例是维齐银行诉芬诺案（1869年）。在该判例中，最高法院确认对州货币的发行和流通所征收的限制税（关税）为间接税。第三个也是最重要的判例是斯普林杰诉美国案。该判例中，最高法院确认依据内战所得税法征收的税是非按比例分配的税。因为存在这些判例，波洛克案判例的出台使人大吃一惊。

在波洛克案中，联邦最高法院认为依据1894年的所得税法征收的是直接税，该税法对不动产及私人财产不按比例分配征税是不合宪的，因此无效。而且，重要的是在最高法院的复审判决中，法庭的多数法官特别提到了商业和职业收入所得税。

我们只考虑了对来自于房地产和私人财产投资而产生的收入征税的法律，而未考虑来自于商业特许经营或雇佣产生的收益或利润，同时也未考虑以执照税的形式表现出来并被确认如此的涉及商业、特许经营或雇佣的税收。

这种基本认定的例外是重要的。即，最高法院认定来自于商业和职业所得的税不是直接税，可不以人口为基础按比例分配进行征税。

对适用宪法第16修正案的波洛克案判例的撤销是美国历史上的迷人篇章。19世纪末的美国人民党运动而产生的1894年所得税法仍有影响力。在1908年的（总统）竞选活动中，民主党的竞选纲领中包含有支持用宪法修正案授权政府征收所得税的政策要点。当时的共和党总统侯选人威廉·霍华德·塔夫特在竞选活动中表达的观点是无须宪法修正案国家就可开征一项所得税。1909年，来自于一项所得税的压力最终导致达成了一个折衷方案。即1909年的公司执照税法作为佩恩一奥尔德里奇关税法案的一项修正案，以及参众两院共同决议将宪法第16修正案提交各州批准。1913年2月25日，美国国务卿发布公告，宣布该修正案已被通过。

其间，1909年的公司执照税法受到了来自于弗林特诉斯通·特雷斯公司一案的挑战但被维持。依据该法，在美国任何州或领土从事商业的公司每年其净利润超过5000美元的部分按1%的税率缴纳执照税。该宪法挑战是基于波洛克判例，它假设对来自于不动产和个人财产的公司收入征收的不按比例分配的直接税是无效的。在波洛克案中，最高法院多数法官认定对财产收入征税等同于对创造收入的财产征收直接税。

为维持1909年的公司执照税法的有效性，在弗林特案中最高法院首先指出该法律是“对公司经营范围内的商业行为征税”和“纳税的标的是„收入”。对该税下了定义后，联邦最高法院认为以这种形式出现对包括来自于财产的收入的所有收入计征的税构成了一项直接税。而在依据波洛克判例，禁止对这些不动产和个人财产征收直接税。联邦最高法院认为波洛克判例的基本原则是不可控的。首先，联邦最高法院特别提到波洛克判例的声明中指出该判例未包含来自于商业特许经营或雇佣产生的收益或利润，同时也未考虑以执照税的形式表现出来并被确认如此的涉及商业、特许经营或雇佣的税收。联邦最高法院通过诺尔顿诉穆尔案确认对因继承而转移的财产所征的遗产税是一项执照税。并通过斯普雷克尔斯食糖加工公司诉麦克莱恩案确认对炼油或炼糖业务的毛利征收的特别税是对从事这些商业征收的执照税。在审查了几个有关特许经营税的判例后，联邦最高法院最后对就一项税的征税标的和征税范围的区别概括如下：

联邦最高法院已形成决议，认为主权政府有权对正当的征税标的征税，对征税范围包括部分来自于不应征税的财产的收入的征税，联邦最高法院不持异议。

将该决议应用于本案，联邦最高法院认为该税收范围包括公司的所有所入。因为这属美国国会赋予合法政府拥有征税权力的范围。因此，认为该征税范围至少部分包含了不允许直接征税的财产的反对是无效的。

至此，联邦最高法院重申该决议。即，如一个税收标的属于征税权管辖，对于该征税范围的确定司法权不予介入。

2．直接税和间接税的现状。

因为推翻波多克判例的弗林特诉斯通·特雷公司判例的影响，随后这一影响被联邦最高法院的其他判例加以强化，直接税与间接税的分歧不再是问题了。联邦最高法院认为属于间接税，而非应按比例分配的直接税的税种如下：联邦遗产税（1898年），联邦特别烟草税（1898年）；对炼糖业年毛利征收的特别执照税（1898年）；联邦遗产税（1916年）；和联邦赠与税（1924年）。

四、联邦税收权和税收正当程序。

基于正当程序而对联邦税收条款提起的起诉讼很少，即使有也难以成功。在布拉什波诉联合太平洋R.R.公司案（1916年）中，基于数个正当程序事由首次对1913年10月实施的所得税法（在宪法第16修正案批准后）提起了诉讼。这些事由包括：该税法效力可追溯至1913年3月1日，以及该税法使用累进税率。联邦最高法院用以下评论对这些观点进行了驳斥：

宪法第5修正案的正当程序条款足以解释这些事由是没有根据的，因为该条款并未对宪法赋予国会的征税权加以限制。换句话说，宪法不会一方面赋予征税权，另一方面又用正当程序条款的限制剥夺该征税权而自相矛盾。

在随后的2个所得税判例中，联邦最高法院再次拒绝承认纳税人依正当程序理由而提出的反对意见。第一个判例是科利斯诉鲍尔斯案（1930年）。该案中纳税人挑战对财产赠与人的可撤销信拖收入征税条款，第二个判例是伯内特诉韦尔斯案。该案中纳税人挑战对保险财产赠与人的不可撤销人寿保险信托收入征税的条款。在科利斯诉鲍尔斯案中，联邦最高法院认为对一个人自由支配和任何合适的时候自由享用的收入征税是合理的。在伯内特诉韦尔斯案中，联邦最高法院认为对捐赠者在其有生之年为家庭成员利益而采取的保险策略产生的收入征税是合理的，因为实际上该捐赠者是为自己心安理得而贮备收入。

五、作为法律措施的联邦税收。

一项不论何种形式的税收，对商业和贸易都有内在的影响。无论一个理想的中性税收体制是多么地称心如意，这种影响是不可避免的。20世纪初开始成为联邦财政收入主体的关税中，有一部分关税是为保护美国生产商面临外国产品的竞争而通过立法设立的，直到1928年，联邦最高法院才开始支持很少或根本不能够带来财政收入的保护性关税。

在早期的麦克拉里诉美国案（1904）中，联邦最高法院判决维持对每磅有色人造黄油征收10美分联邦执照税，这预示着保护性关税案件的结果，纳税人声称这种税是禁止征收的，因此对种税的征收违反了宪法第五修正案的正当程序条款。但联邦最高法院驳斥了这种观点：

既然„„宪法赋予的征税权除明文规定外不受限制，因此当一种税属于合法的征税权范围内时，司法权不会因该征税权实施产生的结果而对其加以限制。

联邦最高法院还认为司法部门不顾法律的目的向国会质询立法潜在动机的做法是不正确的。

尽管作为税的联邦税是征税权的实施，但在宪法的特定限制情况下，其仍可能无效。如违反了禁止自我归罪原则。这些特定限制不包括宪法第十修正案。该修正案在童工税案（1922年）中予以了适用。在该案中，判决联邦政府因侵犯了各州保留的权力而违反了宪法第十修正案。而现在，联邦最高法院不再以这种方式适用宪法第十修正案。第二部分 1.介绍

联邦商业条款，就如同宪法里其他的限制，像正当程序和平等保护条款一样，很自然地限制了州和各部门的征税权。

当州或地方税受制于休眠商务条款时，最高法院允许州或地方在不过分限制州际商务的情况下，对州际商务征收一定的税。在Complete Auto Transit, Inc v.Brady案件中，法院进行了四个部分的考察：[1]该税与征税的州之间存在实质性联系，[2]该税是公平合理分配的，[3]没有对州际贸易造成歧视，[4]该税与州政府提供的服务相关。

当一项税收有悖于国内贸易条款时必须符合正当程序条款的需求。正当程序条款限制了州的权利的边界。因此被征税的个人、对象或交易必须与征税的州保持“最起码的接触”，并且肯定在“归属于州的所得与该企业价值之间存在合理的联系”。这种“实质上的联系”在现代化的商业条款审查里与正当程序的要求类似，除非在对州际贸易的贸易条款的审查里。当商务条款要求州和地方的税收公平分配，以避免州际贸易的不公正税收负担时，正当程序条款要求州具有税收管辖权。

州和地方的税种同样必须面对公平保护原则的障碍，但这不是一个很难逾越的障碍。州或地方税必须有“合理的根据”，并且不能是“明显的武断”。然而，如果一个州税种的唯一目的是促进州内贸易，而对其他州的贸易造成歧视，那么这样的目的是不允许的，这样的目的不能证明该歧视性税收的合理性。按照平等保护条款，这样的税种是非法的。

简要的来说，宪法第四章的《特别的权利与宽免条目》禁止州或地方税对这个州以外的居民构成歧视：并且宪法的其他条款也限制了征税的权利。例如宪法第一修正案禁止了对报纸的歧视性征税。2.遗产税

司法上关于遗产税的概念与政府对通常情况下征的从价财产税性质是接近的。不动产和永久固定的有形资产，其坐落的州是唯一纳税地点。从另一方面讲，无形资产可能有多个纳税地点，并且按照普通财产税的规定，无形资产要被多重征税也是同样的原因。对于减免遗产税，普遍采取相互免税法律，减少对无形资产的多重征税。

当下对于无形的遗产进行多重征税存在两种并列的因素。首先是各州在确定有形资产和无形资产的财产利益时会采取不同的概念。其次，因为定居为对无形的遗产征税提供了稳固的基础，这样就可能存在如此的情形，比如不止一个州会主张死者定居在本州。3.所得税

个人所得税：正当程序条款规定了一个州对所辖范围内个人进行征税的权力，不管是定居还是不定居，这最初是由1920年的Maguire v.Trefry宣判的两个典型案例建立起来的。马萨诸塞州对一个费城信托公司管理的遗嘱信托的居民受益人进行征税。信托收入，包括了利息、红利和证券组成了资产信托本值。

这位纳税人主张这些征税违背了Union Refrigerator Transit Co.v.Kentucky案中规定的正当程序条款，因为这些税已经超出了州政府的管辖范围。作为回应，法院提出“我们不是在决定对证券行为征税是否发生在了当地[而是在另一个州]，而是对州有权对作为受益人的居住在该州的居民信托[收入]表示关切。尽管信托行为是在另一个州建立的并且受到其法律的管辖”。

法院维持了进行征税的判决，并且强调了纳税人定居在该州：“受益人定居在马萨诸塞州，受到了其法律的保护，在那里接受并持有信托财产带来的收入，因此是该州的居民拥有并从中受益，我们并没有在宪法第十四修正案中发现不允许马萨诸塞州对此类利息进行征税的规定。”

第二个具有标志性的案件就是Shaffer v.Carter,案，解决了一个州是否有宪法上的权利对一个定居在其他州却在本州取得收入的非本州居民进行征税的问题。一条俄克拉荷马州的法令规定对本州的和非本州的居民征收一般所得税，并且规定这项税适用于“所有财产和商业活动带来的收入关系网„„适用于每一个居住在本州的居民”。纳税人，一个伊利诺伊州的居民，在俄克拉荷马州拥有一处油田并且通过出租油气开采权取得收益。这位纳税人主张对他征税违背了正当程序条款，并且也违背了平等保护条款和《特别的权利与宽免条目》。纳税人主要争论的是该州对其他州居民缺乏征税的管辖权，尽管这些收入是起源于纳税州并取得的。法院对这条争议的处理方式是强调纳税人受益于征税州法律的保护。诚然，如果有了以下的事例，俄克拉荷马州的法令就构成了双重征税，例如，一个纳税人既要为他住所所在地纳税也要为源于俄克拉荷马州的收入纳税。但是宪法并不必然禁止双重征税，毕竟州和联邦政府都可以对同样的收入征税。

尽管这个问题看上去已经被Maguire和Shaffer的判决解决了州对个人征税权力的问题，另一项判决则确定了对定居和住所在本州的其他州人的收入征税的权力。在In New York ex rel.Cohn v.Graves案里，考虑到纳税人住在纽约，她作为丈夫名下房地产的受益人将能够在新泽西州从位于纽约的不动产处取得租金收入。两位遗嘱执行人居住在新泽西州并且房契和抵押凭据都放在新泽西银行的保险库里。问题是纽约是否对她在新泽西州的财产取得的租金收入和利息收入有征税的权力。

在信托案件Pollock v.Farmers'Loan & Trust Co.中，纳税人反对的立场是对其他州不动产和有形资产征税在实质上违背了正当程序条款。在为征税行为寻找依据时，法院区分了财产税和所得税，并且强调了纳税人因为她是纳税州的居民而从中受益的状态。

关于Cohn案的判决移除了任何关于Pollock案件的判决和法院重申了当局对于居民所在州的个人收入不予考虑的担忧。

Maguire, Shaffer和Cohn案建立了一项宪法规定下，按照正当程序条款，无论是不是本州居民都有权对其征税的规则。案例确定了州的宪法性权利的正当程序，一个州可以对定居在本州的个人和不定居在本州的个人征税。对于定居在征税州的个人征税，有定居地就足以证明该税的合法性，因为个人受到该州法律的保护，从中受益。对于不定居在征税州而且不是该州居民的个人征税，其理由是该州法律保护了在这里取得所得的职业、经营活动和财产。

公司所得税：正当程序条款对个人征税的管辖权原则平等的适用于对公司征税。如果公司在征税州依法组建，那么该公司就是居民公司，就要为来自居住州境内境外缴纳所得税。其他州的公司在征税州从事经营活动，或拥有创收财产，这些公司就要为来自经营的收入和拥有的财产纳税，其理由是州对他们提供了好处和保护。

第十六章环境保护法

第二部分：关于强调少数民族人口区和低收入人口区的环境公正原则的联邦法令（1994年，第12898号总统令）

根据美国的宪法和法律赋予作为总统的我权力，在此按次序排列如下： 1-1：实施

1-101.代理人责任。为了达到最大程度的可行性和法律允许，并与《全国行政工作评论》的报告中所宣布的原则相一致，每个联邦政府应该视情况，通过确定和解决美国少数民族区和低收入区的项目、政策、活动和其领地和属地不成比例地升高，以及对人类健康和环境起反作用问题来完成它任务中的环境公正部分，例如：哥伦比亚区、波多黎各自由邦、马里亚纳群岛自由邦。1-102.跨机关环境公正工作组的创作

（A）在法令开始后的3个月里，环保局的局长或者局长指定的人应该召集工作组。工作组应该由下列行政机构和办事处的主管，或者它们指定的人组成：（a）国防部（b）卫生和人类服务部（c）住房和城市发展部（d）劳工部（e）农业部（f）交通部（g）司法部（h）内政部（i）商务部（j）能源部（k）环境保护署（l）管理和预算局（m）科学和技术政策局（n）总统环境政策副助理办公室（o）总统国内政策助理办公室（p）全国经济委员会（q）经济顾问委员会以及（r）由总统指定的一些其他政府官员。工作组应该通过总统环境政策副助理和总统国内政策助理向总统作报告。

（B）工作组应该做到：（1）在少数民族区和低收入区的歧视、不利人类健康或环境影响的鉴定标准上，为联邦机构提供引导。（2）因为该工作组按照规则第1-103部分的要求建立了环境公正战略，因此该工作组应与联邦机构配合，为联邦机构提供引导，并作为信息交换所提供服务。目的是为了确保项目、活动和政策以一致地方式管理、解释和执行。（3）在环保部、卫生和人类服务部、住房和城市发展部，及其他部门依据规则第3-3部分进行研究或其他活动时，工作组应该参与协调研究，促进各部门间的合作。（4）按规则的要求参加数据收集、整合。（5）检查环境公正现有的数据和研究。（6）按照规则第5-502（d）部分的要求举办公众会议。（7）发展环境公正的跨机构模式项目，来表明联邦机构间的合作。1-103 机构战略的发展

（a）正如规则6-605部分提出的例外，各联邦机构应发展一个联邦范围的环境公正战略。就像在本部分（b）-（e）中列出的，鉴定和表明它在少数民族区和低收入区的项目、政策和活动的高度歧视和不利人类健康或环境影响。环境公正战略应列出有关人类健康或需改变环境的项目、政策、计划和公众参与程序、执行情况、和/或规章制定，至少应：（1）加强所有少数民族区和低收入区的健康和环境立法（2）确保更多的公众参与（3）改善少数民族区和低收入区健康和环境方面的研究和数据采集（4）识别少数民族区和低收入区自然资源消耗的不同类型。另外，环境公正战略应当包括适用范围、从事鉴定修正和考虑修正经济、社会含义的时间表。

（b）这项规则开始后的4个月内，各联邦机构应确定一个发展环境公正战略的内部管理程序，并将此程序告知公正组。

（c）这项规则开始后的6个月内，各联邦机构应将它提议的环境公正战略大纲提供给工作组。（d）这项规则开始后的10个月内，各联邦机构应将它提议的环境公正战略提供给工作组。

（e）这项规则开始后的12个月内，各联邦机构应完成其环境公正战略，并提供给工作组一份副本和对此战略的书面描述。在这12个月期间，正如它的部分环境公正战略，各联邦机构应确立一些能快速实施以表明所提环境公正战略发展过程中显示出担忧的具体项目，和实施项目的时间表。

（f）这项规则开始后的24个月内，各联邦机构应将联邦范围内环境公正战略的实施进展报告给工作组。（g）如果工作组要求，联邦机构应提供给工作组额外的阶段性报告。1-104 向总统汇报

这项规则开始后的14个月内，工作组应通过总统环境政策副助理办公室和总统国内政策助理办公室向总统提供一份描述规则实施状况和包含在1-103（e）中提到的最终环境公正战略报告。6-6 综合规定

6-601 机构应履行的义务s 各联邦主席有责任确保服从该规则。各联邦应进行内部检查，并采取必要的措施来监督规则的实施。6-602 第12250号总统令

这条总统令的目的是补充，而不是取代第12250号总统令。这就需要一致并有效地实施各种在获得财政帮助项目中阻止歧视行为的法律。这里的任何东西都不能限制第12250号总统令的效果和授权。6-603 第12875号总统令

这条总统令的目不是限制第12875号总统令的效果和授权。6-604 范围

为达到规则的目的，联邦机构是指工作组中的任何机构，其他的被总统指定的机构实施真正影响人类健康和环境的联邦项目或活动，独立行政机关被要求遵守这项规则的条款。6-605 豁免申请

联邦机构的主席可以向总统申请免责。所有或部分申请机构的项目或活动基础上的规则要求不服从于该规则要求。

6-606 土著美国人计划

在这条规则下，各联邦机构宣布的责任包括平等对待土著美国人计划。另外，与工作组协调并与部落酋长商量后，内政部需要依据在规则中表明的联邦承认的印第安人部落来调整步骤。6-607 花费

除非法律另外规定，联邦机构应承担遵守该规则的金融费用。6-608 综合

联邦机构在实施该规则时应与现有法律相一致，或在现有法律的允许范围内。6-609 公正的审阅

这条规则仅是为了提高对行政分歧的内部管理，而无意也没有通过政党创立任何有特权、利益或信托责任，实质上或程度上，强制性的法律或公正，来对抗美国，美国的机构、官员或个人。这条规则不应被解释为创造特权去进行对遵从或不遵从这项规则的美国，美国机构、官员或个人的公正审阅。

婚姻与家庭

第一部分自由权利的选择

在中自由选择的权利处于隐私权的中心。在是早期的正当程序情况下对于孩子教育和抚养的特别关注显示了自由选择在婚姻与家庭关系中的价值。哈伦大法官提到现代“私隐权”时认为其历史价值和在婚姻关系中自由选择权的体现是一项基本权利。因此,在正当程序或平等保护条款下，限制个人选择结婚或离婚的法律将受到“严格审查”。

在正当程序测试下，一项限制婚姻选择自由的法律将会无效，除非国家可以在这一限制展示出压倒一切或令人信服的利益。同样，在平等保护保证下，一项限制或抑制某一类人结婚的法律将会无效，除非国家能说明这一分类方式在实际中维护了压倒一切或令人信服的利益。

洛夫英诉弗吉尼亚州这一案例，在促使婚姻作为一项基本权利方面具有特殊意义。这一案件审理中，法庭认为一项禁止不同种族通婚的法律是违宪的。这一规约被认为违反了平等保护原则，因为它单单根据种族差异而起草，而且违背正当程序，因为它剥夺了人们选择结婚伴侣的选择自由。既然婚姻是一项基本权利，国家没有令人信服的理由不能限制人们婚姻权利。

博迪诉康涅狄格州最高法院认为涉及到一些提起离婚诉讼但支付不起诉讼费用的人时，先缴纳诉讼费再向国家法院提起诉讼的程序无效。靠领取社会福利金生活的上诉人就因为支付不起诉讼费用而不能向法院提交离婚请求。因为法院不是解决私人纠纷的唯一手段，所以最高法院很少被要求检查诉讼渠道是否通畅作为民法中的正当程序。但是，离婚却必须通过国家司法机制解决。国家不允许上诉人向法院提起离婚诉讼请求，这一离婚的唯一途径，那边相当于拒绝了他们解除婚姻的自由权利。因为国家拿不出压倒一切的国家利益，那么这一限制婚姻选择自由的障碍就是违背正当程序的。根据建立或解除婚姻权利的本质，第十七课家庭法法院的判决以及各州对解除（婚姻关系）之途径的独占是可预测的。确实，法院指出其对此的控制是极为有限的；尊重基本人权的唯一途径不可能被拒绝。

事实上，法院指出其控股极其狭小，不能因为无力支付诉讼费而被拒绝采取唯一手段去调整一项基本人权的关系。当法院拒绝人们因例如福利权力或者破产债务解除等非基本化的要求而拥有出席法庭的权利的命令时，观察的重要性在后来几年里变得更加清楚。

虽然政府监管的能力进入或退出一个婚姻是受到严密裁判的审查,但是政府可能会依据福利系统对婚姻状况分类。在卡利法诺诉乔布斯特案中，当一个人结婚时没有得到社会保险补助金时，社会保险条例没有为维护一个残废的人的好处问题的规定,但作为受一个已故雇佣劳动者抚养的残疾孩子谁收到利益受法案影响。对于那些结婚的残疾儿童有权享受社会保险条例第五修正案正当程序条款结婚中止规则中因为包容违反了平等的一项豁免的福利

史蒂文斯大法官的提述代表全体法官的提述（意见一致之家庭）起草的判决意见发现传统的合理关系检验标准是适用的，因为法律不能被表征为基于“关于一个传统弱势群体的定型化概括），或作为一个尝试，以干涉个人做出如如婚姻一样重要的的决定的自由。”对国会来说，当残疾子女结婚时，终止被继承人社会保障雇佣劳动者的残疾子女的次位补助金是不合理的，即使终止终止这项法律会给这些人造成财政困难。通过免除那些配偶一方根据“社会保障法”享有补助金这些人的次位补助金，国会设法减轻这些依赖已故的雇佣劳动者和社会保障金的人的困难。立法赦免并不是非理性的立法豁免下包，国会有权一次一人处理这些经济问题和困难。卡利法诺诉约布斯特的结果是合理的，因为法律在结婚权方面疾呼没有施加负担，并且为了特殊的经济利益，这是一个合理的方式确定经济上有需要的人士的一个小组第二部分扎布洛基诉雷德海尔案的司法意见

在扎布洛基诉雷德海尔案中，司法机关几乎没有经历困难，取消限制经济上贫穷的人结婚的法律。然而，法官在决定违反法律的平等保护条款的原因方面有相当大的难度。在讨论中的威斯康星州的法令禁止任何威斯康星州的居民未经法庭许可就结婚，根据法庭的命令或判决，如果一个人在他的拘留所被要求有轻微的问题谁都不支持。

第十八章知识产权法

知识产权是一种无形的人身财产权。它是在广阔的商业环境中的一种理念和信息的集合，法律意识到对其提供保护是有价值的。第一部分标的专利

专利是政府通过专利局给予发明了一种产品或方法的个人的一种垄断性的权利。给予这种权利的基本目标是：通过公布专利申请的细节告知公众最新的技术进步；为创新提供刺激同时鼓励经济活动；对创造和创新成果提供奖励。著作权

著作权是一种涉及原创性文学、戏剧、艺术和音乐作品的排他性权利。立法保护创造性努力的成果，同时也通过保护录音资料、电影和文学作品的出版版本保护那些投入创造性成果的人。数据权

信息通过有条理和系统的方式排列，通常采用电子手段例如数据库，这种权利最初是通过著作权法保护。然而，自从通过1997《著作权与数据库法》关于数据库的法律保护实施后一种新的数据权被创造出来。表演权

表演权与著作权相关但旨在为著作作品的实际表演提供保护以区别于著作作品本身。商标

商标是用于相关货物或服务的文字或符号，以使所有人的货物或服务区别于其他人。现行立法正在考虑为区分味道和声音提供保护的可能性。在这个领域的法律限制他人将所有人的商标用于他们的货物或服务上。如果注册，商标所有人的权利通过制定法保护；如果没有注册，商标权基于使用和商誉产生，通过普通法保护。外观设计

那些赋予大量生产货物以视觉吸引力的设计通过注册外观设计保护；而那些功能性的设计通过非注册外观设计保护。一个恐龙造型的牙刷是噙着的例子；一个园林设计是后者的一个例子。第二部分保护及理由提供的保护

法律对知识产权的认可采用了一种消极形式的保护。立法通常描述所有人的权利为“排他性的”因此，其蕴含着给予所有人一种权利在未经其授权的情况下限制他人使用此种知识产权。

也有人认为，给予知识产权保护是纯经济性的。因为知识产权所有人给予了排他性的权利去开发那项知识产权。然而，自1988年，《著作权、外观设计和专利法案》承认了署名权。此外，一个作品的作者也可以依据第80条禁止对作品的贬低性处理以保护作品的完整性。理由

似乎知识产权保护与欧洲经济区域维持的自由竞争政策相冲突。然而也可认为市场经济通过消费者使用商标，例如，区分一个商人与另一个商人的货物，协助作出选择的事实被刺激发展。进一步讲，因为商标使得消费者知道所有人货物的质量，这也是消费者保护的一种手段。授予专利刺激了创新，所以有更多的货物在市场上出现。

欧洲经济区域的竞争被《罗马条约》第28-30条保护，它允许货物的自由流动，第81-86条使欧洲经济区域的自由竞争合法化。

在全国范围内，知识产权滥用通过许多方式被检查，例如专利权许可被提供在20年期间的最后4年，当专利权人不合理的为充分利用专利时强制许可被允许。《著作权、外观设计和专利法案》第144条，限制和著作权相关的不正当竞争性的许可，第238条关于非注册外观设计做了同样的规定。第三部分法律渊源

知识产权法主要是被编篡的。知识产权的每一个主体都是由制定法规制，授权立法支持的。下面是主要的制定法渊源：

1949《注册外观设计法案》（及修订）1977《专利法案》

1988《著作权、外观设计和专利法案》 1994《商标法案》和 1997《著作权和数据库法》。

保密信息和假冒专利的规定是普通法的产物。知识产权不可能仅仅在一个纯粹的国家水平被保护，国际影响可在上述立法中体现，大部分立法被通过强迫英国承担国际义务同时更新法律。例如1994《商标法案》的目标之一就是使1988年12月21日理事会指令第89/104/EEC号执行，以使成员国关于商标的法律相近，此外，1977《专利法案》的通过就是使《欧洲专利公约》生效。

大量判例法通过解释国内法庭和国际组织例如欧洲专利局的规定产生。普通法在假冒专利和保密法上涉及部分内容。

知识产权在最高法院的大法官法庭部门执行，将上诉到上诉法院和上议院。专利法庭是大法官法庭的一部分，审理关于专利和注册外观设计的案件。自从1988《著作权、外观设计和专利法案》通过后，那也有一个专利法庭。

如同我们已经表明的，给予专利保护的本质是消极的，（知识产权）所有人通过去法庭阻止他人未经授权使用权利。大部分案件，寻求救济的方式是临时强制令。一个临时强制令是知识产权所有人在考虑关于所有权实质性争论和侵权前，在诉讼程序中第一个被寻求的指令。结果，那些已经形成的判例法中的多数都主要通过审判法官关于原告人是否已经让他相信原告至少有可争之诉的裁定来形成的，因为这是原告在寻求临时强制令阶段要出示的。

关于知识产权法的案例记录在专门的判例汇编和标准判例汇编中。因此，知识产权专业的学生可以查阅专利局出版的《专利、外观设计、商标案例汇编》与麦克斯韦街出版的《舰队街判例汇编》。《欧洲知识产权评论》是被发现的关于这一主题的主要学术期刊。

第十九课世贸组织规则

关于争端解决规则和程序的谅解成员国达成如下协议：第一条范围适用

本谅解的规则和程序应适用于按照本谅解附录1所列各项协定（本谅解中称“适用协定”）的磋商和争端解决规定所提出的争端。本谅解的规则和程序还应适用于各成员间有关它们在《建立世界贸易组织协定》（本谅解中称“《WTO协定》”）和本谅解规定的权利和义务的磋商和争端解决，此类磋商和争端解决可单独进行，也可与任何其他适用协定结合进行。

本谅解的规则和程序的适用应遵守本谅解附录2中所列明的包含在适用协定中的关于争端解决的特殊的或附加的规则和程序。从这个意义上说，当本谅解的规则和程序与附录2所列特殊或附加规则和程序存在差异时，附录2中的特殊或附加规则和程序应优先适用。在涉及一个以上适用协定项下的规则和程序的争端中，如审议中的此类协定的特殊或附加规则和程序之间产生抵触，且如果争端各方在专家组设立20天内不能就规则和程序达成协议，则第2条第1款中规定的争端解决机构（本谅解中称“DSB”）主席，在与争端各方磋商后，应在任一成员提出请求后10天内，确定应遵循的规则和程序。主席应按照以下原则，即在可能的情况下使用特殊或附加规则和程序，并应在避免抵触所必需的限度内使用本谅解所列规则和程序。第六条专家组的设立

如果起诉方提出请求，则专家组应最迟在此项请求首次作为一项议题列入DSB议程事项之后的DSB会议上设立，除非在此次会上DSB经协商一致决定不设立专家组。

设立专家组的请求应以书面形式提出，请求应指出是否已进行磋商，确定争论中的措施，提供一份足以明确陈述问题的起诉的法律根据概要。在申请方请求设立的专家组不具有标准职权范围的情况下，书面请求中应包括特殊职权范围的拟议案文。第七条专家组的职权范围

专家组应具有下列职权范围，除非争端各方在专家组设立后20天内另有议定：

按照（争端各方引用的适用协定名称）的有关规定，审查（争端方名称）在„„文件中提交DSB的事项，并提出调查结果以协助DSB提出建议或做出该协定规定的裁决。" 专家组应处理在任何适用协定或争端方引用的协定中的有关规定的有关规定。

在设立专家组时，DSB可授权其主席在遵守第1款规定的前提下，与争端各方磋商，制定专家组的职权范围。由此制定的职权范围应散发全体成员。如议定的不是标准的职权范围，则任何成员均可在DSB中提出与此有关的任何问题。第八条专家组的组成

专家组应由资深政府和/或非政府个人组成，包括曾在专家组任职或曾向专家组陈述案件的人员、曾任一成员代表或GATT1947缔约方代表或任何适用协定或其先前协定的理事会或委员会的代表的人员、秘书处人员、曾讲授或出版国际贸易法或政策著作的人员，以及曾任一成员高级贸易政策官员的人员。

专家组成员的选择应以保证各成员的独立性、完全不同的背景和丰富的经验为目的进行。

政府为争端方或为第10条第2款规定的第三方成员的公民不得在与该争端有关的专家组中任职，除非争端各方另有议定。

为协助选择专家组成员，秘书处应保存一份具备第1款所述资格的政府和非政府个人的指示性名单，可从中酌情选出专家组成员。该名单应包括1984年 11月30日制定的非政府专家组成员名册（BISD31册9页），及在任何适用协定项下制定的名册和指示性名单，并保留这些名册和指示性名单中在《WTO 协定》生效之时的人员的姓名。成员可定期提出可供列入指示性名单的政府和非政府个人的姓名，并提供他们在国际贸易和适用协定的部门或主题方面知识的有关信息，待DSB批准后，这些姓名应增加至该名单。对于名单中的每一个人，名单应注明其在适用协定的部门或主题方面的具体阅历或专门知识。

专家组应由3名成员组成，除非在专家组设立后10天内，争端各方同意专家组由5名成员组成。专家组的组成情况应迅速通知各成员。

秘书处应向争端各方建议专家组成员的提名。争端各方不得反对提名，除非由于无法控制的原因。如在专家组设立之日起20天内，未就专家组的成员达成协议，则总干事应在双方中任何一方请求下，经与DSB主席和有关委员会或理事会主席磋商，在与争端各方磋商后，决定专家组的组成，所任命的专家组成员为总干事认为依照争端中所争论的适用协定的任何有关特殊或附加规则和程序最适当的成员。DSB主席应在收到此种请求之日起10天内，通知各成员专家组如此组成。

各成员应承诺，通常允许其官员担任专家组成员。

专家组成员应以其个人身份任职，不是作为政府代表，也不作为任何组织的代表。因此，各成员不得就专家组审议的事项向他们作出指示或试图影响他们个人。

当争端发生在发展中国家成员与发达国家成员之间时，如发展中国家成员提出请求，专家组应至少有1名成员来自发展中国家成员。

专家组成员的费用，包括旅费和生活津贴，应依照总理事会在预算、财务与行政委员会所提建议基础上通过的标准，从WTO预算中支付。

第二十课民事诉讼程序

第一部分民事程序的课程

第一年的民事诉讼程序的课程是讲律师们何选择一个合适的法庭以及如何在整个判决程序（可上诉的程序）终结，判决结果出来之前去设计和介绍他们的案件，还会研究一个判决对之后诉讼的影响。那么，者门课最先应当关注的就是起诉者可以使用的手段和方法。这门课的学习需要对在审判活动中发展起来的原则以及不同的规则和成文法在民事诉讼程序中的作用做一个探究。有的时候它会在理论和体制方面产生一些问题，有的时候谨慎或严格的规则解释会很重要。由始至终，很重要的一点是记住在民事诉讼程序发展过程中规则和原则根本的目的，为人们提供一个可以公正，高效，经济地解决纠纷的方法。这些目的不是一直都可以达到的，像我们看到的一样，有些诉讼程序被辩护律师用来阻碍目的的实现。然而，在我们的民事纠纷解决程序中追求公正效率和经济的意愿构成了法院适用和解释有约束力规则之方法的基础。

在学习法律权益平反程序时，很重要的是记得英美法系是以对抗式为基础的，法官只是就当事人提出的有争议的问题作出裁决，或者在一方当事人恰当的要求使用某些处分措施时便可以适用之。律师塑造了诉讼的轮廓。未提及的问题，反对意见和未提起质疑的论点除了在极少数例外的情况下都会被搁置。案件的审理仅仅依据当事人的诉讼请求进行。即使现在法官有种在诉讼中起更积极一些的作用的倾向，在起诉之前会有一些指导，但是现实仍然是每件案件的最终责任有诉讼当事人负责。

最后有一点要注意的是，再设计诉讼时有一个很重要的方面往往在基础民事诉讼程序课程中没有涉及：怎样选择一个最有可能胜诉或者说最符合委托人需要的特定救济。它会考虑例如是否可以寻求强制性救济或赔偿，或者最正确的应该是采取一些复原性的救济方法这样的问题。历史上，用什么样的类型的救济也可能取决于向哪一个法院提起诉讼，因为法庭是分开建立的，适用不同的救济方式或者受理不同的纠纷案件。例如法庭，衡平法庭，宗教法庭。现代的法庭体系不是这样设定的，而是每一个民事法庭被授权可以决定怎样的救济是正确的。那么，选择一种救济方式，作为准备整个案件很重要的一步，与选择哪个法庭没有特别重要的关系。关于救济方式设计的问题将在有关法律救济的课程中涉及。第二部分对抗审判制

大多数博学的观察者会同意英美法系的对抗审判制度是值得怀疑的。有的人怀疑它是否为达到它宣布的目标，即对相关实施的确认而恰当的设计。此外有人怀疑它到底是怎样适用的。

他没有什么很科学的关于诉讼程序的东西，一个有丰富经验的出庭律师，一个相信坦诚的人，曾经这样描述到：我们通过抗辩程序实现公正，也就是说，我们让当事人“打仗”。哈佛大学法学院的罗伯特教授更非戏剧化的说，庭审时一场对事实和法律理论的不同见解的比赛。无视科学事实认定的所有规则，这个审讯制度运转的相当好。对抗程序看起来是目前为迫使真相浮出水面设计的最好的方法。

对抗审判制有几个鲜明的特点。大多数情况下，案件是通过当事人的法律代表人——律师向法庭提起的。律师，在法官的指导下，控制证据的内容和动态。诉讼的程序是双方的而不是单方的，片面的。至少在理论的意义上，它为每一方当事人提供了平等的调查案件，向法庭出示证据和做出论证的机会。

美国陪审案件中的审判法官只是作为一个仲裁员的身份出现。他（她）把程序规则应用到律师辩护过程中，向陪审团解释实体法程序原则，但基本上陪审团会自行根据优势证据原则决定事实的认定。

换句话说，法官是法律的公断人，陪审团使事实的公断人。陪审团在运用他们找到的事实作出判决的时候，法官在指令书中给陪审团解释法律。（有时会被叫做法官对陪审团的“指令”。）当然，如果陪审团放弃了审理，审判法官会自己找岀案件的事实，运用相关的法律进行法律审。许多原告和被告会希望案件有一个法官单独审理。第三部分审判程序

当一个案件通过证据交换和任何可能做出的审前动议在进行的时候，它将被列入法庭的审判日程表并指定审判的日期。那时，如果没有出现迟延或者延期，各方当事人和他们的法律顾问应当出席开庭审理。、由陪审团和没有陪审团的审判都应该遵守相同的一般格式，即使在陪审团审理的案件中，审判一开始是要把时间花在选择案件的陪审团上。各个法庭之间做陈述的顺序有稍微的不同，但基本规则是这样的：原告律师和被告律师依次做开场陈述，解释他们将要证明的东西。然后是原告方证人、证据的询问和交叉询问，接下来是被告方证人、证据的询问和交叉询问，原告和被告接下来可以介绍他们的反驳证据。在向法庭提交所有的证据之后，每一方作总结陈词，总结出支持他们所代表那方的证据。往往还是由原告方先做总结，但他有在被告方做完总结陈词后再反驳的权利。在没有陪审团的情况下，法官接下来会对证据作出评价，然后作出判决。有陪审团的情况下，法官会提醒陪审团有关法律的适用。通常情况下，法官会要求各方当事人提交一份可能的指示书，并从这些向法院提出的意见中做出选择。在一些司法管辖区，各种不同类型的法律事件的格式指示书都已经经过审核，当事人不需要就他们特定的案件起草特定的指示书。在少数一些司法管辖区，法官也可能会对证据作出评价。然而，在多数的司法管辖区，这被认为是不恰当的，法官只是被授权做出一个公正的证据总结。

陪审团接下来会退庭评议以给出最后的裁定。如果陪审团报告说他们陷入了僵局，法官会退回要求另外再做审议。但如果他们不能打破僵局，法官将宣布未觉判决。如果陪审团最后作出了裁定，法官会做出最后的判决。第四部分证据规则

审判程序是在证据规则下进行的。每一个法庭系统有自身的证据规则，程序的特征一定程度上取决于什么样的证据允许被采纳。最普遍的情况是，正当的证据和证言是指与案件相关而且不属于特免权的或者传闻的证据。相关性，特免权以及传闻证据的定义在法律书籍中有介绍，在各法庭的证据中有更深入的探究。这里做一个简单的介绍。

具体证据的相关性是由在案件中的问题的相关性范围决定的。为了使实施的审定者关注于真正与案件有关的事实，无关证据将被排除。为了保护在某些特定关系中的个人隐私，特免权将被排除。（例如医生和病人，律师和当事人）特权关系者不能揭露任何他们之间的交流。法律更侧重于实现对这些特定关系的不可侵犯性的保护价值，相对于找到基于所有可能的证据找到案件的事实的价值。传闻证据是指一份法庭以外的对于事实或者真实性的证明。定义传闻证据的规则充满了例外。一般来说，传闻证据的禁止使用是因为传闻证据被认为是本质上不可靠的，因为没有机会对做出陈述的人进行交叉询问。例外存在的情况往往是其他情况确定了这个传闻证据的可靠性，（例如一份在每天企业日常运作中做出的记录）或者没有其他证据可以对事实做出证明的情况（例如一个人关于他动机的陈述）。

律师应当立即提出反对证据或者它们将会被放弃。另外，在特免权关系一方提供了相关信息的情况下，特免权关系中的当事人可以放弃对特免权的诉讼请求。如果对方的证据异议得到法官的支持，该证据将被取消，或者陪审团会被建议在做出裁决的过程中不要考虑传闻证据。法官的审判往往是具有刚性的，严格遵守证据规则，因为法官被假定为不会理会不正当证据而只会考虑正当的证据。那么，律师就较少需要频繁的做出反对。同样地，如果法院维持反对，就不需担心不适当的证据被采用。在有陪审团的情况下，有一个很严重的问题，是不是合理的去期待陪审团不理会在他们面前提出的不正当理由，甚至是他们被指示这样做。或者是否陪审团太带有偏见行以至于产生了误判。

第二篇：法律英语课文总结-何家弘

Lesson One: Legal System 法律制度

Part One

The United States is at once a very new nation and a very old nation.It is a new nation compared with many other countries, and it is new, too, in the sense that it is constantly being renewed by the addition of new elements of population and of new States.But in other senses it is old.It is the oldest of the “new” nations--the first one to be made out of an Old World colony.It has the oldest written constitution, the oldest continuous federal system, and the oldest practice of self-government of any nation.One of the most interesting features of Americans youth is that the whole of its history belongs in the period since the invention of the printing press.The whole of its history is, therefore, recorded: indeed, it is safe to say that no other major nation has so comprehensive a record of its history as has the United States, for events such as those that are lost in the legendary past of Italy or France or England are part of the printed record of the United States.And the American record is not only comprehensive;it is immense.It embraces not only the record of the colonial era and of the Nation since 1776, but of the present fifty States as well, and the intricate network of relationships between States and Nation.Thus, to take a very elementary example, the reports of the United States Supreme Court fill some 350 volumes, and the reports of some States are almost equally voluminous: the reader who wants to trace the history of law in America is confronted with over 5,000 stout volumes of legal cases.No one document, no handful of documents, can properly be said to reveal the character of a people or of their government.But when hundreds and thousands of documents strike a consistent note, over more than a hundred years, we have a right to say that is the keynote.When hundreds and thousands of documents address themselves in the same ways, to the same overarching problems, we have a right to read from them certain conclusions which we can call national characteristics.Part Two

The American legal system, like the English, is methodologically mainly a case law system.Most fields of private law still consist primarily of case law and the extensive and steadily growing statutory law continues to be subject to binding interpretation through case law.Knowledge of the case law method as well as of the technique of working with case law therefore is of central importance for an understanding of American law and legal methodology.The Common Law is historically the common general law--with supremacy over local law--which was decreed by the itinerant judges of the English royal court.The enforcement of a claim presupposed the existence of a special form of action, a writ, with the result that the original common law represented a system of “actions” similar to that of classical Roman law.If a writ existed(in 1227)a claim could be enforced;there was no recourse for a claim without a writ, the claim did not exist.This system became inflexible when the “Provisions of Oxford”(1258)prohibited the creation of new writs, except for the flexibility which the “writ upon the case” allowed and which later led to the development of contract and tort law.The narrow limits of the forms of action and the limited recourse they provided led to the development of equity law and equity case law.“Equity”, in its general meaning of doing “equity”, deciding ex aequo et bono, was first granted by the King, and later by his Chancellor as “keeper of the King's conscience”, to afford relief in hardship cases.In the fifteenth century, however, equity law and equity case law developed into an independent legal system and judiciary(Court of Chancery)which competed with the ordinary common law courts.Its rules and maxims became fixed and, to a degree, inflexible as in any legal system.Special characteristics of equity law include: relief in the form of specific performance(in contrast to the common law award of compensatory damages), the injunction(a temporary or final order to do or not to do a specific act), the development of socalled maxims of equity law which permeated the entire legal system and in many cases explain the origin of modern legal concepts.However, equitable relief regularly will lie only when the common law relief is inadequate.For instance, specific performance for the purchase of real property will be granted because common law damages are deemed to be inadequate since they cannot compensate the buyer in view of the uniqueness attributed to real property.As the common law, equity law became part of American law either through judicial acceptance or through express statutory provision.Today, both legal systems have been merged in many American jurisdictions(beginning with New York in 1848), with the result that there is only one form of civil suit in these jurisdictions as well as in federal practice.Only few States continue to maintain a separate chancery court.Nevertheless, the reference to the historical development is important because, on the one hand, it explains the origin and significance of many contemporary legal concepts(for instance the division of title in the law of property)and, on the other hand, it is still relevant for the decision of such questions whether, for instance, there is a right to a trial by jury(only in the case of common law suits, in other cases only before the judge).In addition, the differentiation will determine whether the “ordinary” common law relief of damages applies or whether the “extraordinary” equity remedy of specific performance is available.“Case law” describes the entire body of judge-made law and today includes common law and equity precedents.In imprecise and confusing usage the terms “common law” and “case law” are often used synonymously, with the term “common law” in this usage connoting judge-made law in general as contrasted with statutory law.“Case law” always connotes judg-made law, while “common law” in contrast--depending on the meaning intended--describes either the judge made law in common law subject matters or，Lesson Two：Legal Profession 法律职业

Part One： The Bar

The regulation of the legal profession is primarily the concern of the states, each of which has its own requirements for admission to practice.Most require three years of college and a law degree.Each state administers its own written examination to applicants for its bar.Almost all states, however, make use of the Multistate Bar Exam, a daylong multiplechoice test, to which the state adds a daylong essay examination emphasizing its own law.No apprenticeship is required either before or after admission.A lawyer's practice is usually confined to a single community for, although a lawyer may travel to represent clients, one is only permitted to practice in a state where one has been admitted.However, one who moves to another state can usually be admitted without examination if one has practiced in a state where one has been admitted for some time, often five years.A lawyer may not only practice law, but is permitted to engage in any activity that is open to other citizens.It is not uncommon for the practicing lawyer to serve on boards of directors of corporate clients, to engage in business, and to participate actively in public affairs.A lawyer remains a member of the bar even after becoming a judge, an employee of the government or of a private business concern, or a law teacher, and may return to private practice from these other activities.A relatively small number of lawyers give up practice for responsible executive positions in commerce and industry.The mobility as well as the sense of public responsibility in the profession is evidenced by the career of Harlan Fiske Stone who was, at various times, a successful New York lawyer, a professor and dean of the Columbia School of Law, Attorney General of the United States, and Chief Justice of the United States.There is no formal division among lawyers according to function.The distinction between barristers and solicitors found in England did not take root in the United States, and there is no branch of the profession that has a special or exclusive right to appear in court, nor is there a branch that specializes in the preparation of legal instruments.The American lawyers domain includes advocacy, counselling, and drafting.Furthermore, within the sphere broadly defined as the “practice of law” the domain is exclusive and is not open to others.In the field of advocacy, the rules are fairly clear: any individual may represent himself or herself in court but, with the exception of a few inferior courts, only a lawyer may represent another in court.Nonlawyers are, however, authorized to represent others in formal proceedings of a judicial nature before some administrative agencies.The lines of demarcation are less clear in the areas of counselling and drafting of legal instruments, as for example between the practice of law and that of accounting in the field of federal income taxation.However, the strict approach of most American courts is indicated by a decision of New Yorks highest court that a lawyer admitted to practice in a foreign country but not in New York is prohibited from giving legal advice to clients in New York, even though the advice is limited to the law of the foreign country where the lawyer is admitted.A foreign lawyer may, however, be admitted to the bar of one of the states and may, even without being admitted, advise an American lawyer as a consultant on foreign law.Part Two： Lawyers in Private Practice

Among these fifteen lawyers in practice, nine, a clear majority, are single practitioners.The remaining six practice in law firms, which are generally organized as partnerships.Four or five of these six are partners and the others are associates, a term applied to salaried lawyers employed by a firm or another lawyer.This trend toward group practice is of relatively recent origin.Throughout most of the nineteenth century law practice was general rather than specialized, its chief ingredient was advocacy rather than counselling and drafting, and the prototype of the American lawyer was the single practitioner.Marked specialization began in the latter part of that century in the large cities near the financial centers.With the growth of big business, big government, and big labor, the work of the lawyer accomodated itself to the needs of clients for expert counselling and drafting to prevent as well as to settle disputes.The best lawyers were attracted to this work and leadership of the bar gravitated to persons who rarely if ever appeared in court and who were sought after as advisors, planners, and negotiators.Today the lawyer regards it as sound practice to be continuously familiar with clients business problems and to participate at all steps in the shaping of their policies.Major business transactions are rarely undertaken without advice of counsel.Part Three: House Counsel Out of every twenty lawyers, two are employed by private business concerns, such as industrial corporations, insurance companies, and banks, usually as house or corporate counsel in the concerns legal department.The growth of corporations, the complexity of business, and the multitude of problems posed by government regulation make it desirable for such firms to have in their employ persons with legal training who, at the same time, are intimately familiar with the particular problems and conditions of the firm.In large corporations the legal department may number one hundred or more.The general counsel, who heads the office, is usually an officer of the company and may serve on important policy making committees and perhaps even on the board of directors.House counsel remain members of the bar and are entitled to appear in court, though an outside lawyer is often retained for litigation.However, it is the house counsels skill as advisor rather than as advocate that is a valued asset.Constantly in touch with the employers problems, house counsel is ideally situated to practice preventive law and may also be called upon to advise the company on its broader obligation to the public and the nation.Part Four： Lawyers in Government A parallel development has taken place in government and two out of twenty lawyers are now employees of the federal, state, county, and municipal governments, exclusive of the judiciary.Many of those entering public service are recent law graduates who find government salaries sufficiently attractive at this stage of their careers and seek the training that such service may offer as a prelude to private practice.Limitations on top salaries, however, discourage some from continuing with the government.The majority serves by appointment in the legal departments of a variety of federal and state agencies and local entities.The United States Department of Justice alone employs more than two thousands, and the Law Department of the City of New York more than four hundreds.Others are engaged as public prosecutors.Federal prosecutors, the United States attorneys and their assistants, are appointed by the President and are subordinate to the Attorney General of the United States.State prosecutors, sometimes known as district attorneys, are commonly elected by each county and are not under the control of the state attorney general.As a rule, lawyers in government are directly engaged in legal work, since law training is infrequently sought as preparation for general government service.However, a small but important minority that constitutes an exception to this rule consists of those who have been appointed to high executive positions and those who have been elected to political office.Though the participation of lawyers in government has declined recently, for two centuries lawyers have made up roughly half of the Congress of the United States and of the state governors.These figures bear out the comment of Chief Justice Stone that, “No tradition of our profession is more cherished by lawyers than that of its leadership in public affairs.” Lesson Three: Legal Education 法律教育

In 1983, over 125,000 law students were studying in more than 170 ABA accredited law schools including public law schools supported in part by government funds;private law schools supported by contributions from individuals and foundation funds;and local or national schools offering full time or part time legal study programs.As virtually the only way to prepare for membership in the legal profession, law schools in the United States fulfill several functions including professional training and socialization of future lawyers and screening and gatekeeping for entrance to the profession.Since there is no central institution where all lawyers practice, the only institutional experience which lawyers have in common is law school.The criticisms which range from “mild to caustic” of the way in which law schools have carried out these functions and of the functions themselves have been persistent, diverse and rooted in the historical and political development of the profession.These criticisms have focussed on the curriculum and the dominance of the case method;the distribution of power and prestige reflected in the hierarchy within and among the law schools;and the imbalance in terms of women and minorities in the student body and faculty in the law schools.Part One： Curriculum and the Case Method

The traditional first-year program offered in virtually all American law schools includes contracts, torts, property, criminal law and civil procedure.Duncan Kennedy has described the traditional first-year curriculum as basically teaching the ground rules for late 19th century laissez-faire capitalism.The second year and third year course expound the moderate reformist New Deal program and the administrative structure of the modern regulatory state.The peripheral subjects, if they are offered, include legal philosophy, legal history, legal process, and clinical education, a “kind of playground or finishing school for learning the social art of self presentation as a lawyer”.However, as new areas of the law continue to develop in response to contemporary issues and problems, some law schools have expanded curricula to include courses and clinical programs in environmental law, housing and urban development, women`s rights, health in the workplace, welfare rights and consumer protection.There are also increasing efforts to teach law in interdisciplinary contexts, drawing on other disciplines such as history, psychology, sociology, medicine, and economics.In teaching the traditional curriculum, law teachers in almost all the law schools use to some extent the case method or the Socratic method.Developed in the 1870s by Christopher Columbus Langdell at the Harvard Law School, the case method looked to the common law as the source of legal priniciples and focussed on the teaching of an abstract conception of the law as a science.The legal principles elicited were to be taught divorced from the “grubby world of practice--and also from politics, history, economics, and social contexts”.This narrow formalistic approach was justified on the ground that it taught students how to state, analyze, evaluate and compare concrete fact situations thus developing their powers and skills of analysis, reasoning, and expression.However, this process of learning “how to think like a lawyer” has been criticized as having an adverse impact both on the students and the quality of future lawyering.Students, law teachers, and others have pointed to the alienation, anxiety, hostility and aggression caused by use of the case method or Socratic method.The narrow and destructive interaction of this dialogue, or often “no dialogue”, contributes to the impairment of the ability to care about other people, a professional unemotionalism and cynicism on the part of law students.And it is not only the law students who suffer from this narrowing of their professional selves.The work of a lawyer involves continuous contacts with clients, associates, other lawyers, judges, witnesses, others affected by the law, and involves the lawyer’s own goals, attitudes, performance, and sense of satisfaction.Part Two： Law School Hierarchy

Duncan Kennedy has described the law schools as “intensely political places”, characterized by a “tradeschool mentality, the endless attention to trees at the expense of forests.” The law schools function as the institution for “ideological training for willing service in the hierarchies of the corporate welfare state”.In the ranking and evaluation of students, students learn to accept their place in a hierarchy which is presented as just and inevitable and “so prepare themselves for all the hierarchies to follow”.In the law teachers modeling of hierarchical relationships with students, colleagues, secretaries and support staff, students learn a particular style of condescension towards perceived inferiors and deference towards perceived superiors.And under the subtle but intense pressure to conform to the “white, male, middleclass tone” set by law faculties which are overwhelmingly white, male, and middleclass, law students adapt, “partly out of fear, partly out of hope of gain, partly out of genuine admiration for their role models”.In these ways, “legal education is one of the causes of legal hierarchy.Legal education supports it by analogy, provides it a general legitimating ideology by justifying the rules that underlie it, and provides it a particular ideology by mystifying legal reasoning.Legal education structures the pool of prospective lawyers so that their hierarchical organization seems inevitable, and trains them to look and think and act just like all the other lawyers in the system”.In addition to the hierarchy within the law schools suggested by Kennedy, other analyses of the law schools functions and relationship to the profession suggest the existence of a hierarchy among the law schools.The top dozen or so elite law schools occupy a position of power and prestige which is partially reflected in the professional career paths of their graduates and in the “old boy networks” connecting the law schools and the rest of the legal profession.The models of the “law school as the gateway to the American power elite became possible with the New Deal”.Felix Frankfurter’s placement network for the “best and the brightest” into influential public policy positions during the New Deal in the 1930s was an early example of this kind of network.During his tenure at Harvard and later while on the Supreme Court, Frankfurter developed an “old boy network” which was intimately involved with the placement of many of the “elite” lawyers, all of whom were white and male, into public service.The typical Frankfurter recruit was “a graduate of Harvard Law School, politically liberal, usually ranked high in his class, and either an obvious product of upper class gentile culture or an obvious product of a radically different culture who was 'comfortable' in the upper class gentile world”.In the current hiring practices of the major law firms and in the competition for judicial clerkships, and in the appointments to law faculties, the graduates of the elite schools continue to have an advantage over graduates of other schools.In a recent study of Chicago lawyers, Zemans and Rosenblum found that lawyers who attended “high-prestige law schools and graduated in the top 20 percent of their classes were much more likely to practice in large firms and specialize in high-prestige fields of law”.In terms of appointments to law faculties, 60% of the legal profession’s teaching specialists are produced by fewer than 15% of the nations accredited law schools.These law teacher producer schools are mostly national, located in urban locations, and include schools such as Harvard, Yale, Columbia, University of Michigan, Chicago, New York University, Northwestern University, and Georgetown.If it is true that the fulltime faculty of the law schools “have a virtual monopoly on who will and will not enter the(legal)profession” and “on the power to mold future generations”, then the existence of a hierarchy among the law schools suggests that an elite group of schools is primarily responsible for staffing the law schools, which in turn produce lawyers for the hierarchies within the profession.Lesson Four：Judicial System 司法系统

Part One： Courts

There are fifty-two separate court systems in the United States.Each state, as well as the District of Columbia, has its own fully developed, independent system of courts and there is a separate federal court system.The federal courts are not superior to the state courts;they are an independent, coordinate system authorized by the United States Constitution, Art.Ⅲ,§2, to handle matters of particular federal interest.The presence of two parallel court systems often raises questions concerning the relationship of the state and federal systems, presenting important issues of federalism.The United States Supreme Court, composed of nine justices, sits as the final and controlling voice over all these systems.Although a few states, such as Nebraska, have a two-tiered system, most states, as well as the federal courts, are based on a three-tiered model.That means that for any litigant there will be the opportunity to plead his case before a trial court and then, should he lose, there are two levels of appeal at which he ultimately may succeed.For example, in the federal system the trial court is the United States District Court, of which there is at least one in every state.Many larger states are divided into two, three or even four judicial districts, depending on population, geography and caseload.There are ninety-four districts in the United States and each district court has one judge, or more commonly two or more.After an adverse judgment in the district court, a litigant may appeal to the United States Court of Appeals for the circuit in which the district court is located.There are eleven numbered intermediate appellate courts in the federal system, each including anywhere from three to ten states and territories.Additionally, there is a Court of Appeals for the District of Columbia, hearing appeals from the federal district court there, and one for the Federal Circuit, taking appeals from various specialized federal tribunals, such as the Claims Court.Each court of appeals has four or more judges who sit in panels of three to review district court decisions, as well as some decisions of administrative agencies.A losing litigant in the court of appeals may, in some cases, be able to obtain review by the United States Supreme Court.Cases in the state courts similarly may proceed through a trial court, a state appellate court, and then the state supreme court.If a federal constitutional question is involved the decision of the state Supreme Court may be reviewed by the United States Supreme Court.Since 1988, review by the Supreme Court in civil cases is discretionary;virtually all civil appeals as of right to the highest court have been abolished.Three-tiered systems vary on the role which the highest court plays.The approaches taken reflect differing philosophies with regard to what the highest court should do.For example, in California only criminal cases in which capital punishment has been imposed are appealable as of right to the state supreme court.Similarly, in the federal courts, except in a few very limited circumstances, appeals to the United States Supreme Court are discretionary, by writ of certiorari.The Court decides for itself what are the most important questions that deserve its attention and will refuse to review decisions raising issues that it feels are not as crucial.In this way it supervises the administration of law by the lower courts on an ad hoc basis.At the other end of the spectrum, such as in New York, appeals to the states highest court are as of right in a great many cases provided for by statute.The primary function of the highest court in New York appears to be to assure that cases are correctly decided.It is necessary to check carefully the statutes of the system in which you are appearing to determine the specific rules regarding review by those appellate courts.Part Two： Judges

Fewer than one in twenty of those admitted to practice law is a federal, state, county, or municipal court judge.Except for some inferior courts, judges are generally required to be admitted to practice but do not practice while on the bench.There is so little uniformity that it is difficult to generalize further than to point out three salient characteristics that relate to the ranks from which judges are drawn, to the method of their selection, and to their tenure.Judges are drawn from the practicing bar and less frequently from government service or the teaching profession.There is in the United States no career judiciary like that found in many other countries and there is no prescribed route for the young law graduate who aspires to be a judge, no apprenticeship that must be served, no service that must be entered.The outstanding young law graduates who act for a year or two as law clerks to the most distinguished judges of the federal and state courts have only the reward of the experience to take with them into practice and not the promise of a judicial career.While it is not uncommon for a vacancy on a higher court to be filled by a judge from a lower court, even this cannot be said to be the rule.The legal profession is not entirely unaware of the advantages of a career judiciary, but it is generally thought that they are outweighed by the experience and independence which American lawyers bring to the bench.Many of the outstanding judges of the countrys highest courts have had no prior judicial experience.Criticism has centered instead on the prevalent method of selection of judges.State court judges are usually elected, commonly by popular vote, but occassionally by the legislature.Popular election has been the subject of much disapproval, including that of the American Bar Association, on the ground that the public lacks interest in and information on candidates for judicial office and that therefore the outcome is too often controlled by leaders of political parties.The situation has been somewhat improved since many local bar associations have undertaken to evaluate the qualifications of candidates and to support or oppose them on this basis.Since 1937, the American Bar Association has advocated the substitution of a system under which the governor appoints judges from a list submitted by a special nominating board and the judge then periodically stands unopposed for reelection by popular vote on the basis of his or her record.Such a system is now in effect, for at least some judges, in a substantial minority of states.In a small group of states, judges are appointed by the governor subject to legislative confirmation.This is also the method of selection of federal judges, who are appointed by the President subject to confirmation by the Senate.Even under the appointive system the selection of judges is not immune from political influence and appointees are usually of the Presidents or governor’s own party.But names of candidates for the federal judiciary are submitted to a committee of the American Bar Association and appointment is usually made only with its approval.The office of chief judge or chief justice is usually filled in the same manner as other judicial offices, although in some states it is filled from among the members of the court by rotation, by seniority of service, or by vote of the judges.The Chief Justice of the United States is appointed by the President, subject to Senate confirmation.The third characteristic is that judges commonly serve for a term of years rather than for life.For courts of general jurisdiction it is typically four, six, or eight years, and for appellate courts, six, eight, or ten years.Happily, even where selection is by popular election, it is customary to return to office for sitting judges whose service has been satisfactory.In a few state courts and in the federal courts the judges sit for life.Whether on the bench for a term of years or for life, a judge may be removed from office only for gross misconduct and only by formal proceedings.Instances of removal have been rare indeed and only a handful of federal judges have been removed by formal proceedings.The independence of the judiciary is also encouraged by the rule that a judge incurs no civil liability for judicial acts, even if guilty of fraud and corruption.The American Bar Association’s Code of Judicial Conduct has been widely adopted as a standard to which judges are expected to adhere.Salaries for the higher judicial offices are usually good although less than the income of a successful private practitioner, the prestige of these offices is high, and the bench has been able to attract many of the country’s ablest legal minds.The great names in American law are in large part the names of its great judges.Lesson Five：Constitution 宪法

Part One： The Constitution as Supreme Law

The U.S.Constitution, a relatively simple document, is the selfdesignated “supreme law of the land”.This clause is taken to mean that when state constitutions, or laws passed by state legislatures or the national Congress, are found to conflict with the federal Constitution, they have no force.Decisions handed down by the Supreme Court over the course of two centuries have confirmed and strengthened this doctrine of constitutional supremacy.Final authority is vested in the American people, who can change the fundamental law if they wish, by amending the Constitution, or--in theory, at least--drafting a new one.The peoples authority is not exercised directly, however.The daytoday business of government is delegated by the people to public officials, both elected and appointed.The power of public officials is limited.Their public actions must conform to the Constitution and to the laws made in accord with the Constitution.Elected officials must stand for reelection at periodic intervals, when their record is subject to intensive public scrutiny.Appointed officials serve at the pleasure of the person or authority who appointed them, and may be removed when their performance is unsatisfactory.The exception to this is the lifetime appointment by the President of Justices of the Supreme Court and other federal judges.Most commonly, the American people express their will through the ballot box.The Constitution, however, does make provision for the removal of a public official from office, in cases of extreme misconduct or malfeasance, by the process of impeachment.Article Ⅱ, Section 4 reads: “The President, Vice President, and all civil officers of the United States, shall be removed from office on impeachment for, and conviction of, treason, bribery, or other high crimes and misdemeanors.” In such cases, the House of Representatives must vote a bill of impeachment.The public official is then tried in the Senate, with the Chief Justice of the United States presiding at the trial.Impeachment is considered a drastic measure in the United States.In the past 200 years, only 13 U.S.officials have been impeached: nine judges, an Associate Justice of the Supreme Court, a Secretary of War, a Senator, and a President, Andrew Johnson.(In the case of another President, Richard Nixon, although the House Judiciary Committee recommended impeachment the President resigned before a House vote was taken.)Out of the thirteen cases, only four judges have been convicted and removed from office.State officials are similarly subject to impeachment by the legislatures of their respective states.In addition to setting forth general political ideas, the Constitution provides the blueprint for the governmental system.The three major articles describe the three branches of the national government--legislative, executive and judicial--each with specific duties and responsibilities.Subjects on which the legislative branch can make laws are set out in considerable detail, although over the years judicial decisions have expanded the scope of congressional activity.The powers and duties of the President, as head of the executive branch, are described.A system of federal courts is outlined, and its relationship to other branches of government is set forth.Part Two： The Principles of Government

Although the Constitution has changed in many aspects since it was first adopted, its basic principles remain the same now as in 1789: The three main branches of government are separate and distinct from one another.The powers given to each are delicately balanced by the powers of the other two.Each branch serves as a check on potential excesses of the others.The Constitution, together with laws properly passed according to its provisions, and treaties entered into by the President and approved by the Senate, stands above all other laws, executive acts and regulations.All men are equal before the law and are equally entitled to its protection.All states are equal, and none can receive special treatment from the federal government.Within the limits of the Constitution, each state must recognize and respect the laws of the others.State governments, like the federal government, must be republican in form, with final authority resting in the people.The people have the right to change their form of government by legal means defined in the Constitution itself.Part Three: Provisions for Amendment The authors of the Constitution were keenly aware that changes would be needed from time to time if the Constitution were to endure and keep pace with the growth of the nation.They were also conscious that the process of change should not be facile, permitting illconceived and hastily passed amendments.By the same token, they wanted to assure that a minority could not block action desired by most of the people.Their solution was to devise a dual process by which the Constitution could be changed.The Congress, by a two thirds vote in each house, may initiate an amendment.Or the legislatures of two thirds of the states may ask Congress to call a national convention to discuss and draft amendments.In either case, amendments must have the approval of threefourths of the states before they enter into force.Aside from the direct process of changing the Constitution itself, the effect of its provisions may be changed by judicial interpretation.Early in the history of the republic, in the landmark case of Marbury vs.Madison,the Supreme Court established the doctrine of judicial review, which is the power of the Court to interpret acts of Congress and decide their constitutionality.The doctrine also embraces the power of the Court to explain the meaning of various sections of the Constitution as they apply to changing legal, political, economic and social conditions.Over the years, a series of Court decisions, on issues ranging from governmental regulation of radio and television to the rights of the accused in criminal cases, has had the effect of altering the thrust of constitutional law, with no substantive change in the Constitution itself.Congressional legislation, passed to implement provisions of the basic law, or to adapt it to changing conditions, also broadens and, in subtle ways, changes the meaning of the Constitution.Up to a point, the rules and regulations of the myriad agencies of the federal government may have a similar effect.The acid test in both cases is whether, in the opinion of the courts, such legislation and rules are in conformity with the intent and purposes of the Constitution itself.Lesson Seven: Criminal Law 刑法

Homicide is the killing of one human being by another human being.Not all homicides are criminal, however.For instance, a person who kills another in selfdefense has committed no crime;it is justifiable homicide.The same is true of the police officer who kills a person to prevent the commission of a forcible felony, such as robbery or burglary, when the killing is a reasonably necessary preventive measure;or when the officer kills a dangerous felon in order to prevent his escape.Then, too, some killings are excusable homicides;for instance, where a person accidentally, and without gross negligence, causes the death of another individual.A killing amounts to a criminal homicide when it is done without lawful justification or excuse.Depending upon certain circumstances it may be either murder or manslaughter.In the early days of our country, and prior thereto in England, the elements of the crimes of murder and manslaughter were prescribed by court decisions.These decisions came to be known as the “common law”.Since then, in most jurisdictions murder and manslaughter have been redefined by the legislatures, either in the form of a separate statute or as a provision of a criminal code.1.Murder According to the common law, murder was the killing of a human being with “malice”, and the requirement of “malice” is still found in some presentday statutes and codes.The California Penal Code, for instance, has retained it.That code provides, as did the common law, that “...malice may be express or implied.It is express when there is manifested a deliberate intention to take away the life of a fellow creature.It is implied, when no considerable provocation appears, or when the circumstances attending the killing show an abandoned and malignant heart.”

A clear illustration of express malice is a case where one person intentionally pushes another off the side of a mountain.An example of implied malice is where a person fires a rifle at a moving passenger train, just “to scare” the persons aboard or to display skill at firing a bullet between the cars without hitting anyone.The dangerousness of the conduct would be evidence of “malice” as regards any killing that may be reasonably attributed to such conduct.It would indicate, to a California court or jury, “an abandoned and malignant heart”.The penalty for murder is punishable by death in some states;in others by prison terms extending to “life” or a specified number of years.(a)FelonyMurder

Another example of a satisfaction of the element of malice is a killing during the course of a felony such as robbery.Even though a robbers gun goes off accidentally, killing the robbery victim, or a bystander, or a police officer, his conduct of committing such a dangerous crime as robbery satisfies the requirement of malice so that the killing becomes punishable as murder.A similar line of reasoning has resulted in holding cofelons guilty of murder where, in the course of an exchange of shots between robbers and the police, a police officer is accidentally killed by another officer.Malice may also be attributed to a robber whose partner in the crime intentionally kills someone during the commission of the crime or the attempted escape.Malice on the part of all participants is implied from the dangerousness of the robbery itself;moreover, each robber is considered to act as an agent for the others in accomplishing their objective, including the attempt to escape.This whole issue of felonymurder stems primarily from the prosecutions interest in seeking the death penalty for such killings.In some of the states which have abolished capital punishment(Wisconsin, for example), the legislatures, out of an understandable desire to punish robbers more severely whenever a killing results, have provided that the punishment for such offenses shall be fifteen years greater than that provided for nonfatal robberies.(b)Degrees of Murder Some states have specified varying penalties for murder, depending upon the ci

rcumstances of the killing.A “willful, deliberate and premeditated” killing, such as a poisoning or a killing during the commission of a dangerous felony, may be labeled first degree murder and punishable by death or long imprisonment.Other forms of murder may be of the second degree and punishable with a lesser penalty.According to the common law, however, there were no degrees of murder.Any unlawful killing was either murder or manslaughter.2.Manslaughter Manslaughter was defined at common law as an unlawful killing of another without malice.It could be either voluntary or involuntary.Manslaughter, in contrast to murder, is usually punishable by a prison term which may range from one year to ten or fourteen years.(a)Voluntary Manslaughter An intentional killing upon “great provocation” and “in the heat of passion” constitutes the crime of voluntary manslaughter.A classic example is the killing by a husband(or wife)who unexpectedly finds his or her spouse in an act of sexual intercourse with another person, or in a situation evidencing impending or immediately concluded adulterous conduct.A killing of the paramour or of the spouse, or both, in such a circumstance would fall within the category of manslaughter because(a)the provocation was great, and(b)the killer was in the “heat of passion”.A killing of this type is treated less harshly than murder, out of consideration for the frailties of human nature.In other words, there is an understanding appreciation that the instinctive reaction of the husband(or wife)in such a situation is to kill or do other serious harm.Nevertheless, there is a feeling that such conduct should be discouraged by a criminal sanction, but one with a penalty considerably less than for the crime of murder.It is of interest to note that in such paramour killing cases the conviction rate is quite low, primarily because of the willingness of juries to accept occasionally the frequently concocted explanation that the killing was done in selfdefense;in other words, the paramour attacked the spouse, who killed his “attacker” only in order to keep from being killed himself.The result of acquittal in such cases is sometimes described in the press as an acquittal by reason of “the unwritten law”.A few states(Texas, New Mexico, and Utah)have tried to simplify the whole matter of paramour killings by legalizing such killings where the paramour is caught in the act.But in those states the privilege does not extend to the killing of the participating spouse!

In applying the test of whether an intentional killing was upon great provocation and in the heat of passion, the question is put to the jury, or to the judge in nonjury cases, as to whether the accused reacted as a “reasonable man”.Technically speaking, it is not the particular sensitivity or temper of the killer that is taken into consideration, but rather an effort is made to determine how a “reasonable man” might have acted under similar circumstances.An illustration of this is a famous English case where a sexually impotent man felt insulted by the remarks of a prostitute with whom he had tried in vain to have sexual intercourse, and he proceeded to kill her.He contended that his sensitivity over his condition should be taken into account in determining whether there was serious provocation for this reaction, but the court held that his conduct was to be judged by the standard of an ordinary, normal “reasonable man”.(b)Involuntary Manslaughter Involuntary manslaughter may be described generally as an unintentional killing resulting from gross negligence, or as a result of dangerous unlawful conduct.For example, a person who throws a heavy object from the upper stories of a building into an alley used with some frequency by pedestrians may be guilty of manslaughter if a killing results.Likewise, a motorist may commit manslanghter if he kills a child at a school crossing while travelling at an excessive speed.A number of states have created a related crime known as “reckless homicide” or “negligent homicide”, for application to killings by motorists who were driving in a reckless or grossly negligent manner.This special kind of homicide legislation was enacted because of the difficulty encountered in convicting motorists for the more revoltingly labeled offense of manslaughter(i.e., the slaughter of a man), which also carried, traditionally, a minimum penalty of one year in the penitentiary.It was thought advisable to categorize such conduct with the less revolting label of reckless or negligent homicide and also to permit the imposition of lesser penalties than the one prescribed for manslaughter.Stated another way, it is better to obtain a reasonable number of convictions carrying relatively light penalties than to get very few convictions carrying heavy penalties.The permissible range of penalties in reckless homicide or negligent homicide statutes is generally a fine up to $1,000, or incarceration other than in a penitentiary for any period up to one year, or imprisonment in a penitentiary up to five years.(Where the traffic victim of such conduct does not die, another new statutory offense may be invoked--“reckless conduct”.)

The flexibility of penalties in traffic death cases has the effect of encouraging pleas of guilty from offenders, and it results in convictions that might not be secured if a judge or jury had no choice other than a penitentiary sentence or an acquittal.3.Federal Homicide Law There is no general federal homicide law.There can be none, in fact, since constitutional authority is lacking for Congress to legislate upon the subject, except with respect to killings within a federal territory, in federal buildings or upon other federal property, or killings of federal officials or officers.Example X, without justification or excuse, shoots and kills Y in a Post Office.X has committed a federal offense of criminal homicide.Example X, a bank robber fugitive about to be apprehended by an F.B.I.agent, shoots and kills the agent.X is guilty of a federal crime of murder.4.Modern MurderManslaughter Legislation In most states the crimes of murder and manslaughter are covered in state statutes closely patterned after the common law.A trend is now under way, however, to modernize the law.The 1961 Illinois Criminal Code is a good example.In defining murder, for instance, it avoids such language as “malice” and “abandoned and malignant heart”, and uses more precise and meaningful terminology.According to the Illinois Code, a person who kills another individual without lawful excuse commits murder(a)if he intended to kill him or do great bodily harm;or(b)if, without intending to kill, it clearly appears that he must have known that his conduct probably would cause death;or(c)if death resulted from the commission of a very serious crime like robbery, burglary or rape.5.Capital Punishment For many years there has been much controversy as to whether capital punishment serves its intended purpose--a deterrent to murder.The issue is still unresolved among researchers on the subject.The capital punishment controversy has become rather academic, however, by reason of the rapid decline in executions in recent years.Although there were 199 executions in 1935, there was only one in the entire United States in 1966, two in 1967 and none in 1968.Yet in each of the latter three years over four hundred persons were under sentence of death.In addition to an increasing unwillingness to execute murderers who have been sentenced to death, a legal concept was recently developed and enunciated by the Supreme Court of the United States regarding jury selection in capital cases that will make jury imposition of the death penalty much more difficult to obtain.The Court held that prospective jurors could not be rejected solely because of conscientious scruples against the death penalty.To do so, said the Court, constitutes a deprivation of due process, because the defendant would not then be accorded a trial by a “fair and impartial jury”.Exclusion because of such beliefs alone is permissible only when the prospective juror states that he would not consider setting them aside in the particular case for which he was called for jury service.

第三篇：法律英语1 4 7课文翻译

第一课美国法律制度介绍第一部分特征与特点

第二部分普通法和衡平法同英国一样，美国法律制度从方法论上来说主要是一种判例法制度。许多私法领域仍然主要是由判例法构成，广泛而不断增长的制定法一直受制于有约束力的（解释制定法的）判例法。因此，判例法方法的知识以及使用判例法的技巧对于理解美国法律和法律方法是极其重要的。

第四课美国司法系统概览第一部分法院

第二部分法官

第五课宪法

第一部分作为最高法律的宪法美国宪法虽然是一部相对比较简单的文件，但它自我定名为“国家的最高法律”。制定这一条款意味着，如果各州宪法或者各州立法机关或美国国会通过的法律与联邦宪法相抵触，他们就是无效的。最高法院在两个多世纪的时间内所做出的各种裁决确认并强化了宪法至上原则。

“总统、副总统和合众国的所有文职官员，因叛国、贿赂或其他重罪和轻罪而受弹劾并被定罪时，应予免职。”

在这种情况下，众议院必须投票通过一个弹劾法案。然后由美国（最高法院）首席大法官主持在参议院对该公共官员进行审判。

第二部分政府的原则

尽管这部宪法自从其最初通过至今已经在许多方面有所改变，它仍然保持着1789年的基本原则：

政府的三个主要部门相互分离和独立。赋予一个部门的权力会受到其他两个部门的权力的微妙制衡。每一个部门都作为对其他部门可能滥用职权的制约。

宪法与根据宪法条款通过的法律以及由总统签署并由参议院批准的条约的效力高于所有其他法律和行政法规。

所有的人在法律面前都是平等的并有权获得平等的法律保护。所有的州都是平等的，任何州都不能获得联邦政府的特别待遇。

在宪法的范围内，各州必须承认和尊重其他州的法律。

各州政府在形式上必须与联邦政府一样采取共和体制，最终权力归于人民。人民有权利用宪法规定的合法手段改变其政府的体制。第三部分修正案条款宪法的起草者非常清楚，如果宪法要能够持久并与国家的发展保持同步，有时就需要修改。他们还意识到修改宪法的程序不能太容易，从而可能产生构想拙劣的和草率通过的修正案。由于同样的原因，他们希望确保少数人不能够阻止大多数人所希望的（修宪）行为。他们的解决办法是设计一种修改宪法的双轨程序。国会两院三分之二多数票可以提出修宪动议。而三分之二的州立法机关也可以要求国会召开修宪大会讨论和起草修正案。在这两种情况下，修正案都必须得到四分之三的州的批准才能生效。

第七课刑法课文：杀人罪

杀人如果没有法定的正当性或原因就构成有罪杀人。它根据具体情况不同构成谋杀罪或过失杀人罪。

在我国早些时候以及在那时以前的英格兰，谋杀和过失杀人犯罪的要件是由法院裁决规定的。这些裁决被认为是“普通法”。后来，大多数州的谋杀和非预谋杀人都由立法以单行法规形式或者作为刑法典的某个条文进行了重新定义。

第一部分谋杀根据普通法，谋杀是有“预谋”的杀人，而且在当今的一些立法和法典中也有这种“预谋”的要求。比如，《加利福尼亚刑法典》就保留了这一点。与普通法一样，该法典规定：

谋杀罪在一些州当中可判处死刑，在另一些州仅判处终身监禁或若干年徒刑。（a）重罪中的谋杀

预谋要件得以满足的另一个例子是在诸如抢劫之类的重罪中杀人。即使抢劫者的枪走火致使抢劫受害人或旁观者或警察死亡，其实施诸如抢劫之类的危险犯罪的行为就满足了预谋的要求，因此这种杀人可按谋杀罪惩处。根据同样的推理，在抢劫者与警察的互相射击过程中，如果一名警察意外地被另一名警察射杀，那么就可以将其认定为谋杀罪的重罪共犯。如果一名抢劫者的犯罪同伙在犯罪或者逃跑过程中故意杀人，也可以认定该抢劫者有预谋。参与者的预谋是由抢劫本身的危险性所暗示出来的。而且每一个抢劫者都可以被视为在实现他们的目的（包括逃跑）过程中代表其他人行事。

（b）谋杀的等级

第二部分非预谋杀人

非预谋杀人在普通法中被定义为没有预谋地非法杀害他人的行为。它可以是故意或非故意。

与谋杀相比，非预谋杀人通常被判处一年到十年或十五年的监禁。（a）故意的非预谋杀人

有不少的州（得克萨斯、新墨西哥和犹他州）已经试着在起立法中通过将在奸夫（妇）被捉的情况下发生的此类杀人行为合法化而使整个的奸夫（妇）被杀问题简单化。但是在这些州当中，这种特权并没有延伸到杀死参与通奸的配偶！

（b）非故意的非预谋杀人

非故意的非预谋杀人一般可以被定义为由于重大疏忽或者作为危险的非法行为的结果而非故意地致人死亡。比如，一个人从一栋大楼的高层向常有行人行走的小巷投掷重物，如果导致杀人的结果，就可能构成非故意的非预谋杀人罪。同样，汽车驾驶人如果在学校区的人行横道超速行驶而撞死学生也可能构成该项犯罪。很多州已经创设了一个与此相关的罪名，叫做“疏忽大意杀人”或“过失杀人”，它们适用于汽车驾驶人以一种疏忽大意或者重大过失的方式致人死亡的行为。制定这种特使种类的杀人罪立法是因为在将汽车驾驶人定罪为非预谋杀人（即对人的屠杀——英文中“对人的屠杀”的复合词）罪这个越来越令人反感的罪名时所遇到的难题，而且这种罪行传统上还带有最低在矫正机构服刑一年的刑罚。因此将这种行为归入不太令人反感的疏忽大意或者过失杀人罪名当中并且允许判处比对非预谋杀人罪规定的更轻的刑罚被认为是比较可取的。换一种说法，即有适当数量的带有相对较轻的刑罚的定罪要强于虽有重罚但定罪很少的情况。在关于疏忽大意或过失杀人的法律中，允许的刑罚范围一般最高1000美元罚金，或者最高一年的监禁而不在矫正机构中服刑，或者在矫正机构中服刑最高五年的处罚。（在这类行为的交通受害人没有死亡的情况下，可援引另一新的法定罪名“疏忽大意行为”。）

第三部分联邦杀人罪法

举例

X在没有正当理由的情况下，在一家邮局射杀Y。X实施了联邦杀人罪。举例

X是一名正在由联邦调查局特工追捕的抢劫银行的逃犯，他开枪射杀了这名特工。X犯有联邦谋杀罪。

第四部分当代谋杀-非预谋杀人罪立法体系在大多数州，谋杀罪和非预谋杀人罪都是由各州法律管辖，这些法律都基本上继承了普通法的形式。但是目前有一种正在进行的法律现代化趋势。1961年《伊利诺斯刑法典》就是一个很好的例子。比如，在对谋杀进行定义的时候，它避免了诸如“预谋”和“冷酷邪恶之心”之类的用于，而是用了更为准确和含义丰富的术语。

第五部分死刑

只有在即任陪审员声明他不会考虑在其参与陪审的特定案件中弃之不管的情况下，才允许仅仅由于这种观念而将其排除到陪审团之外。

第四篇：《法律英语阅读与翻译教程》课文英文版摘录

Legal English : A Coursebook on Reading and Translation

Lesson 1

Law and Classification of Law 1，General Introduction Law is a system of rules and guidelines,usually enforced through a set of institutions.It shapes politics,economics and society in numerous ways and serves as a social mediator of relations between people.Contract law regulates everything from buying a bus ticket to trading on financial derivatives markets.Property law defines rights and obligations related to the transfer and title of personal and real property.Trust law applies to assets held for investment and financial security, while tort law allows to claims for compensation if a person’s rights or property are harmed.If the harm is criminalized in legislation.Criminal law offers means by which state can prosecute the perpetrator.Constitutional law provides a framework for the creation of law, the protection of human rights and the election of political representatives.Administrative law is used to review the decisions of government agencies, while international law governs affairs between sovereign states in activities ranging from trade to environment regulation or military action.Writing in 350 BC, the Greek philosopher Aristotle declared,” The rule of law is better than any rule of individual.”

Law raises important and complex issues concerning equality,fairness and justness,”In its majestic equality”,said the author Anatole France in 1894,”the law forbids the rich and poor alike to sleep under the bridge, beg in the street and steal loaves of bread.”

In a typical democracy, the central institution for interpreting and creating law are the three main branches of government, namely an impartial judiciary, a democratic legislature, and an accountable executive.To implement and enforce the law and provide services for the public, a government’s bureaucracy, the military and police are vital.While all these organs of the state are creatures created and bound by law, an independent legal profession and a vibrant civil society will support their progress.2, Classification of Law There are several different ways in which laws can be classified,depending on the criteria or characteristics a, Substantive Law vs.Procedural Law Substantive law explains what you can and you cannot do.For example, you cannot murder another human being unless it was a self-defense, you were under duress, or if you were drugged by another person.Unlike substantive law, procedural law are just steps that must take place when filing a lawsuit against another party.b, Public Law vs.Private Law Law can be divided into two main branches:public law and private law.Public law is the body of law dealing with the relations between private individuals and the government, and with the structure and operation of the government itself, including constitution law, criminal law, and administrative law.Private law is the body of law dealing with private persons and their property and relationships.c, Criminal Law vs.Civil Law Criminal law or penal law defines breaches of duty to society at large.It is society, through government employees called prosecutors(such as district attorneys),that brings court action against violators.If you are found guilty of a crime such as theft, you will be punished by imprisonment or a fine.Civil law,as opposed to criminal law, is the branch of law dealing with disputes between individuals or organizations, in which compensation may be awarded to the victim.For instance, if a car crash victim claims damages against the driver for loss or injury sustained in an accident, this will be a civil law case.d, Common Law vs.Civil Law Common law is law developed by judges through decisions of courts and similar tribunals rather than through legislative statutes or executive branch action.Common law countries prosecute with the concept of “ stare decisis”, which means that these countries such as the United States of America make decisions based on precedents.Because each judicial opinion serves as a precedent for later decisions, as a result, common law is sometimes called judge-made law.Anglo-American law is rooted in the tradition of the common law.In 1881,Justice Oliver Wendell Holmes,Jr.Wrote,”The life of the law has not been logic;It has been experience.” Common law developed as a response to the need to find solutions to the pressing issues of the time.Unlike common law, the principle of civil law is to provide all citizens with an accessible and written collection of the laws which apply to them and which judges must follow.Lesson 2

Legal Systems: Common Law and Civil Law

Every independent country has its own legal system.The system vary according to each country’s social traditions and form of government.But most systems can be classed as either a common-law system or a civil-law system.The United States, Canada, Great Britain,and other English-speaking countries have a common-law system.Most other countries have a civil-law system.Many countries combine features of both systems.A general distinction can be made between civil law jurisdictions,which codify their laws,and common law systems,where judge made law is not consolidated.1，Common-law System The common-law system prevails in England, the United States, and other countries colonized by England.It is distinct from the civil-law system,which predominates in Europe and in areas colonized by France and Spain.The common-law system is used in all states of the United States except Louisiana, where French Civil Law combined with English Criminal Law to form a hybrid system.The common-law system is also used in Canada,except in the province of Quebec,where the French civil-law system prevails.Anglo-American common law evolved chiefly from three English Crown courts of the twelfth and thirteenth centuries: the Exchequer, the King’s Bench, and the Common Pleas.These courts eventually assumed jurisdiction over disputes previously decided by local or manorial courts,such as baronial admiral’s(maritime), guild, and forest courts,whose jurisdiction was limited to specific geographic or subject matter areas.Equality courts,which were instituted to provide relief to litigants in cases where common-law relief was unavailable, also merged with common-law courts.This consolidation of jurisdiction over most legal disputes into several courts was the framework for the modern Anglo-American judicial system.Common-law courts base their decisions on prior judicial pronouncements rather than on legislative enactments.Common-law judges rely on their predecessor’s decisions of actual controversies, rather than on abstract codes or texts, to guide them in applying the law.Common-law judges find the grounds for their decisions in law reports, which contain decisions of past controversies.Under the doctrine of stare decisis, common-law judges are obliged to adhere to previously decided cases, or precedents, where the facts are substantially the same.A court’s decision is binding authority for similar cases decided by the same court or by lower courts within the same jurisdiction.The decision is not binding on courts of higher rank within that jurisdiction or courts in other jurisdictions, but it may be considered as persuasive authority.Under a common-law system, disputes are settled through an adversarial exchange fo arguments and evidence.Both parties present their cases before a neutral fact finder, either a judge or a jury.The judge or jury evaluates the evidence, applies the appropriate law to the facts, and renders a judgment in favor of one of the parties.Following the decision, either party may appeal the decision to a higher court.Appellate courts in a common-law system may review only findings of law, not determinations of fact.The lawmaking role of legislatures in common law countries has increased greatly during the 1900’s.For example, the United States Congress has made major changes in American contract and property law.The changes have dealt, for example, with such matters as labor-management relations, worker’s wages and hours, health,safety, and environmental protection.Nevertheless ,common-law countries have kept the basic feature of the English legal system, which is the power of judges to make laws.In addition, constitutional law in these countries continues the common-law tradition of defending the people’s rights and liberties.2，Civil-law System Civil-law systems are based mainly on statutes.The majority of civil-law countries have assembled their statures into one or more carefully organized collections called codes.Most modern law codes can be traced back to the famous code that was commissioned by the Roman Emperor Justinian I in the A.D.500’s.Justinian’s code updated and summarized the whole of Roman law, which was called the Corpus Juris Civilis, meaning Body of Civil Law.For this reason, legal systems that are based on the Roman system of stature and code law are known as civil-law systems.This use of the term civil law should not be confused with its use as an alternate term for private law.Civil-law systems include both private law and public law.The monumental Corpus Juris Civilis commissioned by Justinian still influences the evolution of law in virtually every civil-law country.The roots of civil law are so deeply imbedded in French jurisprudence that French universities did not even teach common law until 1689.It affects legal rules, legal thought, legal classifications, the treatment of legal precedents and techniques, and the organization of court systems.One interesting aspect of civil law is that it transfer from place to place more easily than common law.It is sometimes said that there are two branches of civil law: French and German.The civil codes of both countries have proven particularly adaptable.For example, the French Civil Code(or Napoleonic Code), first promulgated by Napoleon I in 1804, is the basis of the laws of Belgium, the Netherlands, Luxembourg, and parts of Germany, Switzerland, and Italy, Spain,Romania, and parts of Africa and South America also borrowed the Code Civil as a guide for local civil codes.In North America, for example, the civil laws of both the state of Louisiana, and the Canadian province of Quebec are rooted in the Code Civil.Inherited from the Holy Roman Empire, the German Civil Code, which was enacted in 1900, also reveals the strong influence of Roman civil law.Although its reach has been much narrower than that of the French Code Civil, it has been important in such far-reaching sites as Thailand, China,Japan,Eastern Europe, and Greece.Lesson 3

Judicial System of the United States 1，General Introduction Court organization in the United States is complicated by the form of government, federalism.Instead of a single, unified court system such as exists in Great Britain or France, the United States actually has fifty-one court systems-the federal courts and the courts of the fifty individual states.The United States Congress and the state legislatures are free to organize their respective court system to meet their own needs.Not only is the federal court structure different from those in the states, but there is also tremendous diversity among the individual states.A trial court might be called a district court in one state, a superior court in another, and a supreme court in yet another.Most states have a single supreme court;two states, Oklahoma and Texas, have two courts of last resort-one for civil appeals and one for criminal appeals.Such diversity makes it difficult to generalize about the “typical” state court system.Each state is free to determine for itself what behavior is forbidden, and each is free to establish reasonable punishment for defined crimes.Consequently, two states may have entirely different definitions of the same criminal act and two entirely different penalties for it.2，State Court System Although there is no “typical” state court system because federalism allows each state to adopt a court system fitted to its individual needs, a state court system usually includes several levels, or tiers, of courts.State courts may include trial courts of limited jurisdiction, trial courts of general jurisdiction, appellate courts,and the state’s highest court(often called the state supreme court).Generally , and person who is a party to a lawsuit has the opportunities to plead the case before a trial court and then, if he or she loses, before at least one level of appellate court.Finally, if a federal stature or federal constitutional issue is involved in the decision of the state Supreme Court, that decision may be further appealed to the United States Supreme Court.(1)Courts of limited jurisdiction All state courts have had their jurisdiction limited in some way.The jurisdiction of any court comes from the state constitution or from statutes passed by the state legislature, or both.Courts of limited jurisdiction, as their name implies, are created to handle cases of limited or special nature.Court of limited jurisdiction is the first set of state trial courts.One of the most common courts of limited jurisdiction is the municipal court.Municipal courts are often limited to minor offenses or misdemeanors.Municipal courts are often referred as”traffic courts”because their main function is to hear cases involving traffic violations within the city limits.Municipal courts frequently have jurisdiction over cases involving violations of city ordinances.Another category of courts of limited jurisdiction includes county courts.Like municipal courts,which are limited to exercising their jurisdiction within city limits, county courts’ jurisdiction is limited to county lines.County courts typically have a greater expanse of jurisdiction than municipal courts.In criminal cases, for example, county courts may have jurisdiction over offenses with penalties as great as one year in prison and relatively high fines.(2)Courts of general jurisdiction A second level of courts in most state judicial system consists of courts of general jurisdiction.A court of general jurisdiction has the power to hear any case that falls within the general judicial power of the state.That is , a court of general jurisdiction has the authority to render a verdict in any case capable of judicial resolution under the constitution and laws of the state.Courts of general jurisdiction are the major trial courts of the state.They may be called superior courts, district courts, circuit courts, as in the case of New York, supreme courts.Court of general jurisdiction is another set of state trial courts.(3)Appellate courts All states have some kind of appeals mechanism available for litigants who were unsuccessful at the trial-court level.Most states have created an intermediate appeals courts between the trial courts and the states highest court of appeal.The purpose of intermediate appeals is to guarantee the litigants the right to at least one appeal while preventing the state’s highest court from having to hear “routine”appeals.These intermediate appellate courts screen out the routine cases so that only the most important cases reach the states’s highest court.(4)State Supreme(Highest)Courts Every state has a highest appellate court, usually called the state supreme court.Many states have chosen to pattern their state’s highest court after the U.S.Supreme Court in the number of justices, procedures, and so forth.The highest appellate court in a state is usually called the Supreme Court but many be called by some other names.For example,in both New York and Maryland, the highest state court is called the court of appeals.The decisions of each state’s highest court on all questions of state law are final.Only when issues of federal law are involved can a decision made by a state’s highest court be overruled by the United States Supreme Court.3，The Federal Court System The federal court system is characterized by two types of courts:constitutional and legislative.Constitutional courts are sometimes referred as Article Ⅲcourts because they are created under Article Ⅲ of Constitution, which authorizes Congress to “ordain and establish” courts inferior to the Supreme Court.The Constitution also states that judges of both the supreme and inferior courts”shall hold their Offices during good Behavior”,which is tantamount to a lifetime appointment, subject to removal only through the impeachment process.Furthermore, Congress may not reduce the salaries of constitutional court judges “during their Continuance in Office”, U.S district courts, U.S.Courts of appeal, and the U.S.Supreme Court are examples of constitutional courts.Legislative court are created by Congress, pursuant to one of its legislative powers.Article I empowers Congress to make all laws”...for organizing, arming, and disciplining the Militia.” Under that authority, Congress may establish military tribunals for the purpose of disciplining soldiers.Two major distinctions generally differentiate legislative courts from constitutional courts.First , the judges who serve in the legislative courts do not have lifetime appointment, but instead serve fixed terms of office.The length of the term designated by Congress is often a long one in order to ensure judicial independence.The second distinction is that a legislative court judge’s salary is not protected by Constitution, as in the case of constitutional court judges.In conclusion, the federal court system is composed of courts created by Congress under either Article I or Article Ⅲ powers.The federal courts are not “ superior” to state courts: rather, they exist alongside state courts.The vast majority of cases are tried in state courts.Nevertheless, the federal courts remain an alternative forum that citizens can turn to for relief if state courts prove unresponsive.It is no surprise to discover that southern African Americans preferred to file their civil rights cases in federal rather than state courts, since southern judges were notoriously unsympathetic to African American claims.Despite the confusion caused by federalism, a dual court system provides additional guarantees that justice will eventually prevail.Lesson 4

Constitutional Law 1，General Introduction Most commonly, the term constitution refers to a set of rules and principles that define the nature and extent of government.Most constitutions seek to regulate the relationship between institutions of the state, in a basic sense the relationship between the executive, legislature and the judiciary, but also the relationship of institutions within those branches.For example, executive branches can be divided into a head of government, government departments/ministries, executive agencies and a civil service.Most constitutions also attempt to define the relationship between individuals and the state, and to establish the broad rights of individual citizens.It is thus the most basic law of a territory from which all the other laws and rules are hierarchically derived;in some territories it is in fact called”Basic Law”.Constitutions may also provide that their most basic principles can never be abolished, even by amendment.In case a formally valid amendment of a constitution infringes these principles protected against any amendment, it may constitute a so-called unconstitutional constitutional law.2，Codified Constitution and Uncodified Constitution(1)Codified constitution Most states in the world have codified constitutions(also known as written constitutions).Codified constitutions are often the product of some dramatic political change, such as a revolution.The process by which a country adopts a constitution is closely tied to the historical and political context driving this fundamental change.States that have codified constitutions normally give the constitution supremacy over ordinary statute law.That is, if there is any conflict between a statute and the codified constitution, all or part of the statute can be declared ultra vires by a court, and struck down as unconstitutional.In the United States, the Supreme Court is the final interpreter of the Constitution and has the power to rule on the constitutionality of the actions of the other two branches of government as well as those of the states and other governmental entities.Through judicial elaboration of the meaning of the Constitution, the Court can broaden or limit the powers of the president and the Congress.In so doing, the Court breaths life into the Constitution, making it a “living” document that changes as the nation changes.Codified constitutions normally consist of a preamble, which sets forth the goals of the state and the motivation for the constitution, and several articles containing the substantive provisions.The preamble, which is omitted in some constitutions, may contain a reference to God and/or to fundamental values of the state such as liberty,democracy or human rights.(2)Uncodified constitution As of 2010 at least three states have uncodified constitutions:Israel, New Zealand, and the United Kingdom.Uncodified constitutions(also known as unwritten constitutions)are the product of an “evolution” of laws and conventions over centuries.By contrast to codified constitutions, uncodified constitutions include written sources like constitutional statutes enacted by the Parliament and also unwritten sources,such as constitutional conventions, observation of precedents, royal prerogatives, custom and tradition.In the ways of the British Empire, the Judicial Committee of the Privy Council acted as the constitutional court for many of the British Colonies such as Canada and Australia which had federal constitutions.3，Functions of Constitutions(1)State and legal structure One of the key tasks of constitutions is to indicate hierarchies and relationships of power.In a unitary state, the constitution will vest ultimate authority in one central administration and legislature, and judiciary, though there is often a delegation of power or authority to local or municipal authorities.In contrast, a federal form of government is one in which the states form a union and the sovereign power is divided between a central governing authority and the member states.The U.S.Constitution delegates certain powers to the national government, and the states retain all powers not delegated to the national government.The relationship between the national government and the state governments is a partnership;neither partner is superior to the other except within the particular area of authority granted to it under the Constitution.(2)Human rights Human rights or civil liberties form a crucial part of a country’s constitution and govern the rights of the individual against the states.The United States and France each have a codified constitution with a bill of rights.Perhaps the most important example is the Universal Declaration of Human Rights under the UN Charter.These are intended to ensure basic political, social and economic standards that a nation or intergovernmental body is obliged to provide to its citizens.Some countries like the Unite Kingdom have no entrenched document setting out fundamental rights;in those jurisdictions the constitution is composed of statute, case law and convention.A case named Entick v.Carrington is a constitutional principle deriving from the common law.John Entick’s house was searched and ransacked by Sheriff Carrington.Carrington argued that a warrant from a Government minister, the Earl of Halifax was valid authority, even though there was no statutory provision or court order for it.Inspired by John Locke, the court, led by Lord Camden stated that,”The great end, for which men entered into society, was to secure their property.That right is preserved sacred and incommunicable in all instances, where it has not been taken away or abridged by some public law for the good of the whole.By the laws of England,every invasion of private property, be it ever so minute, is a trespass...”The case hence created the fundamental constitutional principle is that the individual can do anything but that which is forbidden by law, while the state may do nothing but that which is authorized by law.(3)Legislative procedure Another main function of constitutions may be to describe the procedure by which parliaments may legislate.For instance, special majorities may be required to alter the constitution.In bicameral legislatures, there may be a process laid out for second or third readings of bills before a new law can enter into force.Lesson 5 Criminal law 1，General Introduction Criminal law is the body of law that defines criminal offenses, regulates the apprehension, charging, and trial of suspected offenders, and fixes punishment for convicted persons.Substantive criminal law defines particular crimes, and procedural law established rules for the prosecution of crime.In a democratic society, it is the function of legislative bodies to decide what behavior vill be made criminal and what penalties will be attached to violations of the law.Capital punishment may be imposed in some jurisdictions for the most serious crimes.And physical or corporal punishment may still be imposed such as whipping or caning, although these punishments are prohibited in much of the world.A convict may be incarcerated in prison or jail and the length of incarceration may vary from a day to life.Criminal law is a reflection of the society that produces it.In an Islamic theocracy, such as Iran, criminal law will reflect the religious teachings of the Koran;in a Catholic country, it will reflect the tenets of Catholicism.In addition, criminal law will change to reflect changes in society, especially attitude changes.For instance, use of marijuana was once considered a serious crime with harsh penalties, whereas today the penalties in most states are relatively light.As public tolerance of marijuana use grew.As a society advances, its judgments about crime and punishment change.2，Elements of a Crime Obviously, different crimes require different behaviors, but there are common elements necessary for proving all crimes.First , the prohibited behavior designated as a crime must be clearly defined so that a reasonable person can be forewarned that engaging in that behavior is illegal.Second ,the accused must be shown to have possessed the requisite intent to commit the crime.Third ,the state must prove causation.Finally , the state must prove beyond a reasonable doubt that the defendant committed to crime.(1)actus reus The first element of cirme is the actus reus.Actus is an act or action and reus is a person judicially accused of a crime.Therefore, actus reus is literally the action of a person accused of a crime.A criminal statute must clearly define exactly what act is deemed “guilty”-that is, the exact behavior that is being prohibited.That is done so that all persons are put on notice that if they perform the guilty act, they will be liable for criminal punishment.Unless the actus reus is clearly defined, one might not know whether or not one’s behavior is illegal.Actus reus may be accomplished by an action, by threat of action, or exceptionally, by an omission to act, which is a legal duty to act.For example, the act of Cain striking Abel might suffice, or a parent’s failure to give food to a young child also may provide the actus reus for a crime.Where the actus reus is a failure to act, there must be a duty of care.A duty can arise through contract, a voluntary undertaking, a blood relation, and occasionally through one’s official position.Duty also can arise from one’s own creation of a dangerous situation.(2)mens rea A second element of a crime is mens rea.Mens rea refers to an individual’s state of mind when a crime is committed.While actus reus is proven by physical or eyewitness evidence, mens rea is more difficult to ascertain.The jury must determine for itself whether the accused had the necessary intent to commit the act.A lower threshold of mens rea is satisfied when a defendant recognizes an act is dangerous but decides to commit it anyway.This is recklessness.For instance, if Cain tears a gas meter from a wall, and knows this will let flammable gas escape into a neighbor’s house, he could be liable for poisoning.Courts often consider whether the actor did recognize the danger, or alternatively ought to have recognized a risk.Of course, a requirement only that one ought to have recognized a danger(though he did not)is tantamount to erasing intent as a requirement.In this way, the importance of mens rea has been reduced in some areas of the criminal law.Wrongfulness of intent also may vary the seriousness of an offense.A killing committed with specific intent to kill or with conscious recognition that death or serious bodily harm will result, would be murder, whereas a killing affected by reckless acts lacking such a consciousness could be manslaughter.(3)Causation The next element is causation.Often the phrase”but for” is used to determine whether causation has occurred.For example, we might say “Cain killed Abel”, by which we really mean”Cain caused Abel’s death.” In other words,”But for Cain’s act,Abel would still be alive.” Causation, then, means”but for”the actions of A, B would not have been harmed.In criminal law, causation is an element that must be proven beyond a reasonable doubt.(4)Proof beyond a Reasonable Doubt In view of the fact that in criminal cases we are dealing with the life and liberty of the accused person, as well as the stigma accompanying conviction, the legal system places strong limits on the power of the state to convict a person of a crime.Criminal defendants are presumed innocent.The state must overcome this presumption of innocence by proving every element of the offense charged against the defendant beyond a reasonable doubt to the satisfaction of all the jurors.This requirement is the primary way our system minimizes the risk of convicting an innocent person.The state must prove its case within a framework of procedural safeguards that are designed to protect the accused.The state’s failure to prove any material element of its case results in the accused being acquitted or found not guilty, even though he or she may actually have committed the crime charged.3，Strict Liability In modern society, some crimes require no more mens rea, and they are known as strict liability offenses.For instance, under the Road Traffic Act 1988 it is a strict liability offence to drive a vehicle with an alcohol concentration above the prescribed limit.Strict liability can be described as criminal or civil liability notwithstanding the lack mens rea or intent by the defendant.Not all crimes require specific intent, and the threshold of culpability required may be reduced.For example, it might be sufficient to show that a defendant acted negligently, rather than intentionally or recklessly.Lesson 6 Defendant’s Rights in the Criminal Justice System There are two fundamental aspects of the U.S.Criminal justice system-the presumption that the defendant is innocent and the burden on the prosecution to prove guilt beyond a reasonable doubt.Furthermore, criminal defendants have other rights too.1，The Defendant’s Right to Remain Silent The Fifth Amendment to the U.S.Constitution provides that a defendant cannot be compelled in any criminal case to be a witness against himself.In short, the defendant has the right to “sit mute”.The prosecutor cannot call the defendant as a witness, nor can a judge or defense attorney force the defendant to testify if the defendant chooses to remain silent.By contrast, a defendant may be called as a witness in a civil case.A defendant in a criminal trial may choose whether or not to give evidence in the proceedings.Further , there is no general duty to assist the police with their inquiries.Although certain financial investigatory bodies have the power to require a person to answer questions and impose a penalty if a person refuses, if a person gives evidence in such proceedings, the prosecution cannot adduce such evidence in a criminal trial.The Supreme Court ruled that the government cannot punish a criminal defendant for exercising his right to silence, by allowing the prosecutor to ask the jury to draw an inference of guilt from the defendant’s refusal to testify in his own defense.The Court overturned as unconstitutional under the federal constitution a provision of the California state constitution that explicitly granted such power to prosecutors.2，The Defendant’s Right to Confront Witness The “confrontation clause” of the Sixth Amendment gives defendants the right to “be confronted by the witness against”them.Implicit in this right is the right to cross-examine witnesses-that is,the right to require the witnesses to come to court,”look the defendant in the eye”, and subject themselves to questioning by the defense.The Sixth Amendment prevents secret trials, and except for limited exceptions, forbids prosecutors from proving a defendant’s guilt with written statements from absent witnesses.Like most of the protections given criminal defendants in the Constitution, the right of confronting witness has its origins in English common law.Until the sixteenth century, the right of confronting witness was nearly absent from the Anglo-American legal tradition.Then ,with the introduction of the right to trial by an impartial jury and the firm establishment of the presumption of innocence, the right of confrontation came to be seen as an integral part of the proper defense rights of the accused.Through cross-examination, defendants are allowed to test the reliability and credibility of witnesses.However , the right of cross-examination also has limits.For example, defendants may be denied the right to ask questions that are irrelevant, collateral, confusing, repetitive, or prejudicial.3，The Defendant’s Right to a Public Trial The Sixth Amendment guarantees public trials in criminal cases.This is an important right, because the presence in courtrooms of a defendant’s family and friends, ordinary citizens and the press can help ensure that the government observes other important rights associated with trials.In a few situations, normally involving children, the court will close the court to the public.For example, judges can bar the public from attending cases when defendants are charged with sexual assaults against children.In recent years, legislators have been concerned about defendants who escape punishment for sexually molesting young children because the children are afraid to testify in the defendant’s presence.To address this problem, many states have enacted special rules that authorize judges-in certain situations-to allow children to testify via closed circuit television.The defendant can see the child on a television monitor, but the child cannot see the defendant.The defense attorney can be personally present where the child is testifying and can cross-examine the child 4，The Defendant’s Right to be Represented by an Attorney The Sixth Amendment to the U.S.Constitution provides that “in all criminal prosecutions, the accused shall enjoy the right...to have the assistance of counsel for his defense.” A judge must appoint an attorney for indigent defendants(defendants who cannot afford to hire attorneys)at government expense only if the defendants might be actually imprisoned for a period of more than six months for the crime.As a practical matter, judges routinely appoint attorneys for indigents in nearly all cases in which a jail sentence is a possibility.In a series of cases, the U.S.Supreme Court ruled that American indigents do have a right to counsel, but only in criminal cases.The federal government and some states have offices of public defenders which assist indigent defendants, while other states have systems for outsourcing the work to private lawyers.A judge normally appoints the attorney for an indigent defendant at the defendant’s first court appearance.For most defendants, the first court appearance is either an arraignment or a bail bearing.The job of defense counsel at trial is to prepare and offer a vigorous defense on behalf of the accused.A proper defense often involves the presentation of evidence and the examination of witness, all of which requires careful thought and planning.Good attorneys, like quality craftspeople everywhere, may find themselves emotionally committed to the outcome of trials in which they are involved.Lesson 7 Contract Law A contract is a legally enforceable agreement between two or more parties with mutual obligations.Contracts can be in writing,orally or verbally agreed upon(parol contracts)or cerated through the actings of the parties.The remedy at law for breach of contract is usually”damages”or monetary compensation.In equity, the remedy can be specific performance of the contract or an injunction.The importance of contract stability is emphasized by Article I, § 10 of the U.S.Constitution, which provides that”No state shall...pass any...law impairing the Obligation of Contracts.”

At common law, the element of a contract are mutual assent and consideration.1，Mutual Assent: Offer and Acceptance At common law, mutual assent is typically reached through offer and acceptance.That is , when an offer is met with an acceptance that does not vary the offer’s terms.The requirement is known as the “mirror image”rule.If a purported acceptance does vary the terms of an offer, it is not an acceptance but a counteroffer and, therefore, simultaneously a rejection of the original offer.Offer and acceptance does not always need to be expressed orally or in writing.An implied contract is one in which some of the terms are not expressed in words.The implied contract is in two kinds of forms.(1)Contract Implied in Fact

A contract which is implied in fact is one in which the circumstances imply that parties have reached an agreement even though they have not done so expressly.For example, by going to a doctor for a checkup, a patient agrees that he will pay a fair price for the service.If one refuses to pay after being examined, the patient has breached a contract implied in fact.(2)Contract Implied in Law A contract which is implied in law is also called a quasi-contract, because it is not in fact a contract;rather, the obligation is created by law in absence of agreement between the parties for reasons of justice and fairness.It is a means for the courts to remedy situations in which one party would be unjustly enriched were the or she not required to compensate the other.For example, a plumber accidentally installs a sprinkler system in the lawn of the wrong house.The owner of the house had learned the previous day that his neighbor was getting new sprinklers.That morning, he sees the plumber installing them in his lawn.Pleased at the mistake, he says nothing, and then refuses to pay when the plumber delivers the bill.Will the man be held liable for payment? Yes , if it could be proven that the man knew that the sprinklers were being installed mistakenly, the court would make him pay because of a quasi-contract.If that knowledge could not be proven, he would not be liable.Such a claim is also referred to as”quantum meruit”.2，Consideration:Sufficient and Insufficient Consideration is something of value given by a promissor to a promisee in exchange for something of value given by a promisee to a promissor.Typically, the thing of value is an act, such as making a payment, or a forbearance to act when one is privileged to do so, such as an adult refraining from smoking.Consideration must be sufficient, but courts will not weight the adequacy of consideration.For instance, agreeing to sell a car for a penny may constitute a binding contract.All that must be shown is that the seller actually wanted the penny.This is known as the peppercorn rule.Otherwise, the penny would constitute nominal consideration, which is insufficient.Parties may do this for tax purposes, attempting to disguise gift transaction as contracts.Past consideration is not sufficient.Indeed , it is an oxymoron.For instance, the guardian of a young girl obtained a loan to educate the girl and to improve her marriage prospects.After her marriage, her husband promised to pay off the loan.It was held that the guardian could not enforce the promise because taking out the loan to raise and educate the girl was past consideration-it was completed before the husband promised to repay it.The insufficiency of past consideration is related to the preexisting duty rule.For instance, a captain’s promise to divide the wages of two deserters among the remaining crew if they would sail home from the Baltic short-handed, was found unenforceable on the grounds that the crew were already contracted to sail the ship through all perils of the sea.3，Classification of Contract(1)Express contract and implied contract An express contract is one in which the terms are stated by the parties;it may be either an oral or written contract.An implied contract is one that is inferred from the conduct of the parties.(2)Bilateral contract and unilateral contract A bilateral contract is one in which the parties exchange promises to do some future act.For example, you agree with the car dealer that you will pay for your car when you take delivery next week.Each of you has promised to do something in the future: the dealer to deliver the car and you to pay for it.In contrast,a unilateral contract is one in which one party acts immediately in response to the offer.(3)Executory contract and executed contract An executory contract is one in which some or all of the terms are uncompleted the car deal in above paragraph, for example.An executed contract,then , is one which all terms have been completed.For instance, you have eaten your meal and paid your bill at the restaurant.(4)Void, voidable and unenforceable contract The terms “void, voidable and unenforceable” are relevant in situations where there is a breach of contract or when one party fails to comply with the terms of the agreement.A void contract is a nullity from its beginning, and damages do not result.A voidable contract is one that is binding until it is disaffirmed or canceled by the party with the authority to do so.In many ways, marriage is a contract that either party may rescind by obtaining a divorce.Unenforceable contracts are those that meet the basic common law elements for contracts but lack some other additional legal requirements such as being signed in front of a notary public.Lesson 8 Tort Law 1，General Introduction A tort, in common law jurisdictions , is awrong that involves a breach of a civil duty(other than a contractual duty)owned to someone else.It is differentiated from a crime,which involves a breach of a duty owed to society in general.Though many acts are both torts and crimes, prosecutions for crime are mostly the responsibility of the state, private prosecutions being rarely used;whereas any party who has been injured may bring a lawsuit for tort.One who commits a tortious act is called a tortfeasor.A person who suffers a tortious injury is entitled to receive”damages”,usually monetary compensation, from the person or people responsible for those injuries.Tort law defines what a legal injury is and, therefore, whether a person may be held liable for an injury he or she has caused.Legal injuries are not limited to physical injuries.They may also include emotional, economic, or reputational injuries as well as violations of privacy, property, or constitutional rights.Tort cases therefore comprise such varied topics as auto accidents,false imprisonment, defamation, product liability(for defective consumer products), copyright infringement, and environmental pollution, among many others.In much of the common law world, the most prominent tort liability is negligence.If the injured party can prove that the person believed to have caused the injury acted negligently, that is, without taking reasonable care to avoid injuring others-tort law will allow compensation.Furthermore ,tort law also recognizes intentional torts, where a person has intentionally acted in a way that harms another, and “strict liability” or quasi-tort, which allows recovery under certain circumstances without the need to demonstrate negligence.Hence ,torts may be divided into Negligence, Intentional Torts, and Quasi-Torts.2，Negligence The standard action in tort is negligence.The tort of negligence provides a cause of action leading to damages, or to relief, in each case designed to protect legal rights, including those of personal safety, property , and, in some cases, intangible economic interests.Negligence actions include claims coming primarily from car accidents and personal injury accidents of many kinds, including clinical negligence, worker’s negligence and so forth.Product liability cases, such as those involving warranties, may or may not be considered negligence actions.(1)”Snail Case”

Negligence is a tort which depends on the existence of a breaking of the duty of care owned by one person to another.One well-known case is Donoghue v.Stevenson where Mrs.Donoghue consumed part of a drink containing a decomposed snail while in a public bar in Paisley, Scotland and claimed that it had made her ill.The snail had not been visible,as the bottle of beer in which it was contained was opaque.Neither the friend who bought the bottle for her, nor the shopkeeper who sold it, were aware of the snail’s presence.The manufacturer was Mr.Stevenson, whom Mrs.Donoghue sued for damages for negligence.She could not sue Mr.Stevenson for damages for breach of contract because there was no contract between them.Lord MacMillan thought this should be treated as a new product liability case.Lord Atkin argued that we owe a duty of reasonable care to our neighbors.He quoted the Bible in support of his argument, specifically the general principle that”thou shalt love thy neighbor.”(2)Elements of negligence Negligence is a breach of legal duty to take care resulting in damages to the plaintiff.The legal burden of proving elements of negligence falls upon the plaintiff.The elements in determining the liability for negligence are: a)The tortfeasor owed a duty of care;b)There was a breach of that duty;c)The tortfeasor directly caused the injury, that is, there was proximate cause;d)The plaintiff suffered damage as a result of that breach.There are a number of situations in which the courts recognize the existence of a duty of care.These usually arise as a result of some sort of special relationship between the parties.Examples include one road-user to another, employer to employee, manufacturer to consumer, doctor to patient and solicitor to client.3，Intentional torts Intentional torts include, among others, certain torts arising from the occupation/ use of land and trespass to chattels.Any direct interference, such as entering land without the occupier’s consent or dispossessing him of a book, a hat, or a picture is actionable.Several intentional torts do not involve land.Examples include false imprisonment, the tort of unlawfully arresting or detaining someone, and defamation(in some jurisdictions split into libel and slander),where false information is broadcasted and damages the plaintiff’s reputation.4，Quasi-torts Quasi-tort means a tort for which a nonperpetrator is held liable.In a quasi tort, a person who did not actually commit a wrong is held liable.For instance, a master will be held liable for a tort committed by a servant under the principle of vicarious liability.5，Tort Liability Tort liability is customarily divided into intentional tort liability, negligence liability and strict liability.Strict liability makes some persons responsible for damages their actions or products cause, regardless of any “fault”on their part.Strict liability mainly includes but not restricted to the following situations: Abnormally Dangerous(ultrahazardous)Activities.Strict liability often applies when people engage in inherently hazardous activities, such as bursting dams,”blow-out”oil wells, testing rocket motors, or blasting on a construction site.If a plaintiff is injured by these activities-no matter how careful the doer was-he/she is liable for the injury.Products Liability Strict liability also may apple in the case of certain manufactured products.In strict product liability, typically anyone who is engaged in the stream of the product(from the manufacturer to the wholesaler to the retailer, or all of them)can be held responsible if the product was defective and someone was injured.There is no need to prove negligence but the injured party must prove that the product was defective.Lesson 9 Company Law

1，General Introduction Company law(also “corporate” or “corporations”law)is the study of how shareholders, directors,employees,creditors, and other stakeholders such as consumers, the community and the environment interact with one another under the internal rules of the firm.Corporate law is a part of a broader companies law(or law of business associations).In UK, other types of business associations can include partnerships, trusts(like a pension fund), corporations limited by shares or companies limited by guarantee(like some universities or charities).US corporations are generally classified into Corporations, S Corporations, close corporations, public corporations, professional corporations and non-for-profit corporations.The four characteristics of the modern corporation are:(1)Separate Legal Personality of the corporation(the right to sue and be sued in its own name i.e the law treats the company as a human being);(2)Limited Liability of the shareholders(so that when the company is insolvent, they only owe the money that they subscribed for in shares);(3)Shares(usually on a stock exchange, such as the London Stock Exchange, New York Stock Exchange);(4)Delegated Management(in other words,control of the company placed in the hands of a board of directors).Corporate law is often divided into corporate governance(which concerns the various power relations within a corporation)and corporate finance(which concerns the rules on how capital is used).2，Corporate Personality One of the key legal features of corporations is their separate legal personality, also known as”personhood” or being”artificial persons”.However , the separate legal personality was not confirmed under English law until 1895 by the House of Lords in Salomon v.Salomon& Co.,Ltd.Separate legal personality often has unintended consequences, particularly in relation to smaller, family companies.In a case of 1978 it was held that a discovery order obtained by a wife against her husband was not effective against the husband’s company as it was not named in the order and was separate and distinct from him.And in another case, a claim under an insurance policy failed where the insured had transferred timber from his name into the name of a company wholly owned by him, and it was subsequently destroyed in a fire;as the property now belonged to the company and not to him, he no longer had an”insurable interest”in it and his claim failed.However , separate legal personality does allow corporate groups a great deal of flexibility in relation to tax planning, and also enables multinational companies to manage the liability of their overseas operations.For instance, victims of asbestos poisoning at the hands of an American subsidiary could not sue the English parent in tort.There are certain specific situations where courts are generally prepared to “pierce the corporate veil”, to look directly at, and impose liability directly on the individuals behind the company.The most commonly cited examples are: a)where the company is a mere facade;b)Where the company is effectively just the agent of its members or controllers;c)Where a representative of the company has taken some personal responsibility for an action;d)Where the company is engaged in fraud or other criminal wrongdoing;e)Where permitted by statute(for example,many jurisdictions provide for shareholder liability where a company breaches environmental protection laws);f)in many jurisdictions, where a company continues to trade despite foreseeable bankruptcy, the directors can be forced to account for trading losses personally.3，Corporate Governance Corporate governance is primarily the study of the power relations between the board of directors and those who elect them(shareholders and employees).It also concerns other stakeholders, such as creditors, consumers, the environment and the community at large.One of the main differences between different countries in the internal form of companies is between a two-tier and a one tier board.The United Kingdom, the United States, and most Commonwealth countries have single unified boards of directors.In Germany, companies have two tiers, so that shareholders(and employees)elect a “supervisory board”, and then the supervisory board chooses the “management board”.There is the option to use two tiers in France.4，Corporate Constitution The United States, and a few other common law countries, split the corporate constitution into two separate documents(the UK got rid of this in 2006).The memorandum of association(or articles of incorporation)is the primary document, and will generally regulate the company’s activities with the outside world.It states which objects the company is meant to follow(e.g.”this company makes automobiles”)and specifies the authorized share capital of the company.By-laws are the secondary document, and will generally regulate the company’s internal affairs and management, such as procedures for board of directors meetings, dividend entitlements etc.In the event of any inconsistency, the memorandum prevails and in the United States only the memorandum is publicized.It is quite common for members of a company to supplement the corporate constitution with additional arrangements, such as shareholders’agreements, whereby they agree to exercise their membership rights in a certain way.A shareholders’ agreement fulfills many of the same functions as the corporate constitution, but it is a contract, it will not normally bind new members of the company unless they accede to it.One benefit of shareholders’ agreement is that they will usually be confidential, as most jurisdictions do not require shareholder’s agreements to be publicly filed.Lesson 10 Law of International Sales of Goods 1，General Introduction Since World War Two international sales of goods has grown extensively, seeing the increasing importance of laws and customs related to international sales of goods.The laws and customs to sales of goods play a vital role in world economy development, particularly in the integration of world markets.The key feature of international sales of goods is the fact that it is a sales transaction that crosses national borders.An exporter may sell goods directly to an importer abroad or he may set up a marketing organization abroad and transact business through distributors, agents,branch offices or subsidiary companies.Given the international nature of trading transactions, the parties to these international contracts have to deal with other legal concerns in addition to the basic legal issues addressed in domestic sales transactions.As a basic principal, international law comes into effect only when states consent to accept it.The particular consent of a state to be bound by an international law can be found in the declarations of its government, in its domestic legislations, in its court decision, and in the treaties(both bilateral and multilateral)to which it is a party.As to sales of goods, the most important and effective international law is The United Nations Convention on Contracts for the International Sale of Goods(CISG).Some rules have simply been around for such a long time or are so generally accepted that they are described as customary laws.In the field of international sales of goods, the widely used customary law is the International Rules for the Interpretation of Trade Terms(INCOTERMS)which is a codification of international rules for the uniform interpretation of common rules for the uniform interpretation of common contract clauses in sales of goods.2，CISG The United Nations Convention on Contracts for the International Sale of Goods is a treaty offering a uniform international sales law that, as of August 2010, has been ratified by 76 countries that account for a significant proportion of world trade, making it one of the most successful international uniform laws.The CISG has been described as a great legislative achievement and the most successful international document so far in international sales law, in part due to its flexibility in allowing Contracting States the option of taking exception to some specified article.Although a number of countries that have signed the CISG have made declarations and reservations, the vast majority-55 out of the current 76 Contracting States-has chosen to accede to the Convention without any reservations.Language is one of the most complex and important tools of international sales.As in any sophisticated business activities, small changes in wording can have a major impact on all aspects of an international treaty.The CISG is written using plain language.Further , it facilitated the transaction into six languages so all texts are equally authentic.Greater acceptance of the CISG will come from three directions.Firstly ,it is likely that within the global legal profession, the number of new lawyers educated in the CISG in increasing, and the existing Contracting States will embrace the CISG more, appropriately interpret the article and demonstrate a greater willingness to accept precedents from other Contracting States, Secondly, business people will increasingly pressure both lawyers and governments to make sales of goods disputes less expensive and reduce the risk of being forced to use a legal system that may be completely alien to their own.Both of these objectives can be achieved through use of the CISG.Finally ,UNCITRAL will need to develop a mechanism to further develop the Convention and to resolve conflicting interpretation issues.This will make it more attractive to both business people and potential Contracting States.3，INCOTERMS Parties to international sales of goods have developed ceratin special trade terms used commonly the allocate rights and duties between themselves.These trade terms have been expressed through various standard abbreviations and each type of term carries with its specific legal consequences.The most common trade terms are CIF and FOB.However , uncertainties may still exist because the interpretation of these terms can vary depending on the law governing the contract.For example, the definitions of these trade terms under the US Uniform Commercial Code are different from their definitions in English common law, so to avoid controversy, the parties should specify which set of definitions are to apply.Parties to international sales of goods can choose to adopt the definitions set out in INCOTERMS: International Rules for the Interpretation of Trade Terms.INCOTERMS are a series of international sales with terms, published by International Chamber of Commerce(ICC)and widely used in international commercial transactions.These are accepted by governments, legal authorities and practitioners worldwide for the interpretation of most commonly used terms in international trade.This reduces or removes altogether uncertainties arising from different interpretation of such terms in different countries.Article 9 of the CISG provides that parties are also bound by practices established between themselves or those widely used in international trade, which they knew or ought to have known.Parties who wish to use INCOTERMS may specify that the provisions of INCOTERMS govern the contract.Hence a sales transaction governed by CISG can incorporate INCOTERMS as well.INCOTERMS were created primarily for people inside the world of global trade.Outsiders frequently find them difficult to understand.Seemingly common words such as “responsibility”and”delivery”have different meanings in global trade than they do in other situations.In global trade,”delivery” refers to the seller fulfilling the obligation of sale or to completing a contractual obligation.”Delivery” can occur while the merchandise is on a vessel on the high seas and the parties involved are thousands of miles from the goods.INCOTERMS are relating to rights and obligations of the parties to the contract of sale with respect to the delivery of goods sold.They are used to divide transaction costs and responsibilities between buyer and seller and reflect transportation practices.They closely correspond to the UN Convention on Contracts for the International Sales of Goods.The first version was introduced in 1936 and the present dates from 2010.As of January 1,2011, INCOTERMS 2010(the 8st edition)has effect.The changes therein affect all of the five terms previously listed in section D.SUPPLEMENTARY

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The eight published set of pre-defined terms.Incoterms 2010 defines 11 rules, reducing the 13 used in Incoterms 2000 by introducing two new rules(“Deliver at Terminal”,DAT;”Delivery at Place”,DAP)that replace four rules of the prior version(“Delivered at Frontier”,DAF;”Delivered Ex Ship”,DES;”Delivered Ex Quay”,DEQ;”Delivered Duty Unpaid”,DDU).In the prior version, the rules were divided into four categories, but the 11 pre-defined terms of Incoterms 2010 are subdivided into two categories based only on method of delivery.General Modes of Transportation The seven rules defined by Incoterms 2010 for general modes of transportation are;EXW-Ex Works(named place)The seller makes the goods available at his premises.The buyer is responsible for all charges.This trade term places the greatest responsibility on the buyer and minimum obligations on the seller.The Ex Works term is often used when making an intitial quotation for the sale of goods without any costs included.EXW means that a seller has the goods ready for collection at his premises(Work, factory, warehouse,plant)on the date agreed upon.FCA-Free Carrier(named places)The seller hands over the goods, cleared for export, into the custody of the first carrier(named by the buyer)at the named place.This term is suitable for all modes of transport, including carriage by air,rail,road,and containerized/multi-modal sea transport.This is the correct”freight collect” term to use for sea shipments in containers.CPT-Carrier Paid To(named place of destination)The seller pays for carriage to the named point of destination, but risk passes when the goods are handed over to the first carrier.CIP-Carrier and Insurance Paid To(named place of destination)Seller pays for carriage and insurance to the named destination point,but risk passes when the goods are handed over to the first carrier.DAT-Delivered at Terminal Seller pays for carriage to the terminal, except for costs related to import clearance, and assumes all risks up to the point that the goods are unloaded at the terminal.DAP-Delivered at Place(named place of destination)Seller pays for carrier to the named place, except for costs related to import clearance, and assumes all risks prior to the point that the goods are ready for unloading by the buyer.DDP-Delivered Duty Paid(destination place)Water Transportation(solely)The four rules defined by Incoterms 2010 for sales where transportation is entirely conducted by water are: FAS-Free Alongside Ship(named loading port)The seller must place the goods alongside the ship at the named port.The seller must clear the goods for export.This term is typically used for heavy-lift or bulk cargo.FOB-Free on board(named loading port)The seller must load the goods on board the ship nominated by the buyer,cost and risk being divided at ship’s rail.The seller must clear the goods for export.The buyer must instruct the seller the details of the vessel and port where the goods are to be loaded, and there is no reference to, or provision for, the use of a carrier of forwarder.It dose not include air transport.CFR-Cost and Freight(named destination port)Seller must pay the costs and freight to bring the goods to the port of destination.However ,risk is transferred to the buyer once the goods are loaded on the ship.Maritime transport only and Insurance for the goods is NOT included.Insurance is at the Cost of the Buyer.CIF-Cost,Insurance and Freight(named destination port)Exactly the same as CFR except that the seller must in addition procure and pay for insurance for the buyer.Lesson 11 Law of the World Trade Organization

1，General Introduction The World Trade Organization(WTO)is an organization that intends to supervise and liberalize international trade.The organization officially commenced on January 1,1995 under the Marrakech Agreement, replacing the General Agreement on Tariffs and Trade(GATT), which commenced in 1948.The organization deals with regulation of trade between participating countries;it provides a framework for negotiating and formalizing trade agreement, and a dispute resolution process aimed at enforcing participants’ adherence to WTO agreement which are signed by representatives of member governments and ratified by their parliaments.Most of the issues that the WTO focuses on derive from previous trade negotiations, especially from the Uruguay Round(1986-1994).The organization is currently endeavoring the persist with a trade negotiation called the Doha Development Agenda(or Doha Round), which was launched in 2001 to enhance equitable participation of poorer countries which represent a majority of the world’s population.However ,the negotiation has been dogged by disagreement between exporters of agricultural bulk commodities and countries with large numbers of subsistence farmers on the precise terms of a “special safeguard measure” to protect farmers from surges in imports.At this time, the future of the Doha Round is uncertain.The WTO has 153 members, representing more than 97% of the world’s population, and 30 observers, most seeking membership.The WTO is governed by a Ministerial Conference, meeting every two years;a General Council, which implements the Conference’s policy decisions and is responsible for day-to-day administration;and a Director-General, who is appointed by the Ministerial Conference.2，Principles of the Trading System The WTO established a framework for trade policies;it dose not define or specify outcomes.That is, it is concerned with setting the rules of the trade policy games.Five principles are of particular importance in understanding both the pre-1994 GATT and the WTO.(1)Non-Discrimination.It has two major components:the most favored nation(MFN)rule, and the national treatment policy.Both are embedded in the main WTO rules on goods, services, and intellectual property The MFN rule requires that a WTO member must apply the same conditions on all trade with other WTO members, i.e.“Grant someone a special favor and you have to do the same for all other WTO members.” national treatment means that imported goods should be treated no less favorably than domestically produced goods and was introduced to tackle non-tariff barriers to trade(e.g.Technical standards and security standards discriminating against imported goods).(2)Reciprocity.It reflects both a desire to limit the scope of free-riding that may arise because of the MFN rule, and a desire to obtain better access to foreign markets.A related point is that for a nation to negotiate, it is necessary that the gain from doing so be greater than the gain available from unilateral liberalization;reciprocal concessions intend to ensure that such gains will materialize.(3)Binding and enforceable commitments.The tariff commitments made by WTO members in a multilateral trade negotiation and on accession are enumerated in a schedule(list)of concessions.These schedules establish’ceiling bindings”: a country can change its bindings, but only after negotiating with its trading partners, which could mean compensating them for loss of trade.If satisfaction is not obtained, the complaining country may invoke the WTO dispute settlement procedures.(4)Transparency.The WTO members are required to publish their trade regulations for the review of administrative decisions affecting trade, to respond to requests for information by other members, and to notify changes in trade policies to the WTO.These internal transparency requirements are supplemented and facilitated by periodic country-specific reports(trade policy reviews)through the Trade Policy Review Mechanism(TPRM).The WTO system tries also to improve predictability and stability, discouraging the use of quotas and other measures used to set limits on quantities of imports.(5)Safety valves.In specific circumstances, governments are able to restrict trade.There are three types of provisions in this direction: articles allowing for the use of trade measures to attain noneconomic objectives;articles aimed at ensuring” fair competition”;and provisions permitting intervention in trade for economic reasons.Exceptions to the MFN principle also allow for preferential treatment of developing countries, regional free trade areas and customs unions.3，Agreements of WTO The WTO oversees about 60 different agreements which have the status of international legal texts.WTO member countries must sign and ratify all WTO agreements on accession.A discussion of some of the most important agreements follows.(1)The Agreement on Agriculture(AOA)came into effect with the establishment of the WTO at the beginning of 1995.The AOA has three central concepts, or” pillars”: domestic support, market access and export subsidies.(2)The General Agreement on Trade in Services was created to extend the multilateral trading system to service sector.The Agreement entered into force in January 1995.(3)The Agreement on Trade-Related Aspects of Intellectual Property Rights sets down minimum standards for many forms of intellectual property(IP)regulation.It was negotiated at the end of the Uruguay Round in 1994.(4)The Agreement on the Application of Sanitary and Phytosanitary Measures-also known as the SPS Agreement was negotiated during the Uruguay Round, and entered into force with the establishment of the WTO at the beginning of 1995.Under the SPS Agreement, the WTO sets constraints on members’ policies relating to food safety as well as ainmal and plant health.(5)The Agreement on Technical Barriers to Trade is an international treaty of the World Trade Organization.The object ensures that technical negotiations and standards, as well as testing and certification procedures, do not create unnecessary obstacles to trade.(6)The Agreement on Customs Valuation, formally known as the Agreement on Implementation of Article Ⅷ of GATT, prescribes methods of customs valuation that members are to follow.Chiefly ,it adopts the “transaction value” approach.4，Dispute Settlement Dispute settlement is the central pillar of the multilateral trading system, and the WTO’s unique contribution to the stability of the global economy.Without a means of settling disputes, the rules-based system would be less effective because the rules could not be enforced.The WTO’s procedure underscores the rule of law, and it makes the trading system more secure and predictable.The dispute settlement system of WTO is based on clearly-defined rules, with timetables for completing a case.However ,the point is not to pass judgment.The priority is to settle disputes, through consultations if possible.By January 2008, only about 136 of the nearly 369 cases had reached the full panel process.Most of the rest have either been notified as settled “out of court” or remain in a prolonged consultation phase-some since 1995.If the courts find themselves handling an increasing number of criminal cases, does that mean law and order is breaking down? Not necessarily.Sometimes it means that people have more faith in the courts and the rule of law.They are turning to the courts instead of taking the law into their own hands.For the most part, that is what is happening in the WTO.No one likes to see countries quarrel.But if there are going to be trade disputes anyway, it is healthier that the cases are handled according to internationally agreed rules.There are strong grounds for arguing that the increasing number of disputes is simply the result of expanding world trade and the stricter rules negotiated in the Uruguay Round;and that the fact that more are coming to the WTO reflects a growing faith in the system.

第五篇：研究生英语下册课文翻译

Unit 1 The Hidden Side of Happiness 1 Hurricanes, house fires, cancer, whitewater rafting accidents, plane crashes, vicious attacks in dark alleyways.Nobody asks for any of it.But to their surprise, many people find that enduring such a harrowing ordeal ultimately changes them for the better.Their refrain might go something like this: “I wish it hadn't happened, but I'm a better person for it.” 1飓风、房屋失火、癌症、激流漂筏失事、坠机、昏暗小巷遭歹徒袭击,没人想找上这些事儿。但出人意料的是,很多人发现遭受这样一次痛苦的磨难最终会使他们向好的方面转变。他们可能都会这样说 :“我希望这事没发生,但因为它我变得更完美了。” We love to hear the stories of people who have been transformed by their tribulations, perhaps because they testify to a bona fide type of psychological truth, one that sometimes gets lost amid endless reports of disaster: There seems to be a built-in human capacity to flourish under the most difficult circumstances.Positive responses to profoundly disturbing experiences are not limited to the toughest or the bravest.In fact, roughly half the people who struggle with adversity say that their lives subsequently in some ways improved.2我们都爱听人们经历苦难后发生转变的故事,可能是因为这些故事证实了一条真正的心理学上的真理,这条真理有时会湮没在无数关于灾难的报道中 :在最困难的境况中,人所具有的一种内在的奋发向上的能力会进发出来。对那些令人极度恐慌的经历作出 ? 积极回应的并不仅限于最坚强或最勇敢的人。实际上,大约半数与逆境抗争过的人都说他们的生活从此在某些方面有了改善。This and other promising findings about the life-changing effects of crises are the province of the new science of post-traumatic growth.This fledgling field has already proved the truth of what once passed as bromide: What doesn't kill you can actually make you stronger.Post-traumatic stress is far from the only possible outcome.In the wake of even the most terrifying experiences, only a small proportion of adults become chronically troubled.More commonly, people rebound-or even eventually thrive.3诸如此类有关危机改变一生的发现有着可观的研究前景,这正是创伤后成长这一新学科的研究领域。这一新兴领域已经证实了曾经被视为陈词滥调的一个真理 :大难不死,意志弥坚。创伤后压力绝不是唯一可能的结果。在遭遇了即使最可怕的经历之后, 也只有一小部分成年人会受到长期的心理折磨。更常见的情况是, 人们会恢复过来 — 甚至最终会成功发达。Those who weather adversity well are living proof of the paradoxes of happiness.We need more than pleasure to live the best possible life.Our contemporary quest for happiness has shriveled to a hunt for bliss-a life protected from bad feelings, free from pain and confusion.4那些经受住苦难打击的人是有关幸福悖论的生动例证 :为了尽可能地过上最好的生活, 我们所需要的不仅仅是愉悦的感受。我们这个时代的人对幸福的追求已经缩小到只追求福气 :一生没有烦恼,没有痛苦和困惑。5 This anodyne definition of well-being leaves out the better half of the story, the rich, full joy that comes from a meaningful life.It is the dark matter of happiness, the ineffable quality we admire in wise men and women and aspire to cultivate in our own lives.It turns out that some of the people who have suffered the most, who have been forced to contend with shocks they never anticipated and to rethink the meaning of their lives, may have the most to tell us about that profound and intensely fulfilling journey that philosophers used to call the search for “the good life”.5这种对幸福的平淡定义忽略了问题的主要方面 — 种富有意义的生活所带来的那种丰富、完整的愉悦.那就是幸福背后隐藏的那种本质 — 是我们在明智的男男女女身上所欣赏到并渴望在我们自己生活中培育的那种不可言喻的品质。事实证明,一些遭受苦难最多的人-他们被迫全力应付他们未曾预料到的打击,并重新思考他们生活的意义 — 或许对那种深刻的、给人以强烈满足感的人生经历(哲学家们过去称之为对“美好生活”的探寻.最有发言权。6 This broader definition of good living blends deep satisfaction and a profound connection to others through empathy.It is dominated by happy feelings but seasoned also with nostalgia and regret.“Happiness is only one among many values in human life,” contends Laura King, a psychologist at the University of Missouri in Columbia.Compassion, wisdom, altruism, insight, creativity-sometimes only the trials of adversity can foster these qualities, because sometimes only drastic situations can force us to take on the painful process of change.To live a full human life, a tranquil, carefree existence is not enough.We also need to grow-and sometimes growing hurts.6这种对美好生活的更为广泛的定义把深深的满足感和一种通过移情与他人建立的深切联系融合在一起。它主要受愉悦情感的支配,但同时也夹杂着惆怅和悔恨。密苏里大学哥伦比亚分校的心学家劳拉 ? 金认为 :“幸福仅仅是许许多多人生价值中的一种。”慈悲、智慧、无私、.洞察力及造力—有时只有经历逆境的考验才能培育这些品质, 因为有时只有极端的情形才能迫使我们去承受痛苦的改变过程。只过安宁的、无忧无虑的生活是不足以体验一段完整的人生的。(此文来自袁兵博客)我们也需要成长-尽管有时成长是痛苦的。In a dark room in Queens, New York, 31-year-old fashion designer Tracy Cyr believed she was dying.A few months before, she had stopped taking the powerful immune-suppressing drugs that kept her arthritis in check.She never anticipated what would happen: a withdrawal reaction that eventually left her in total body agony and neurological meltdown.The slightest movement-trying to swallow, for example-was excruciating.Even the pressure of her cheek on the pillow was almost unbearable.7在纽约市皇后区一间漆黑的房间里, 31岁的时装设计师特蕾西.塞尔感到自己奄奄一息。就在几个月前,她已经停止服用控制她关节炎的强效免疫抑制药。她从没预见到接下来将要发生的事 :停药之后的反应最终使她全身剧烈疼痛, 神经系统出现严重问题。最轻微的动作—比如说试着吞咽—对她来说也痛苦不堪。甚至将脸压在枕头上也几乎难以忍受。

8Cyr is no wimp-diagnosed with juvenile rheumatoid arthritis at the age of two, she had the symptoms and the treatments(drugs, surgery)her whole life.But this time, she was way past limits, and nothing her doctors did seemed to help.Either the disease was going to kill her or, pretty soon, she felt she might have to kill herself.8塞尔并不是懦弱的人。她在两岁时就被诊断得了幼年型类风湿性关节炎, 一生都在忍 ? 受着病症和治疗(药物、手术)的折磨。但是这一次,她实在不堪忍受了,她的医生所做的一切似乎都不作用。要么让疾病结束她的生命,要么她就得很快了结自己的生命了。As her sleepless nights wore on, though, her suicidal thoughts began to be interrupted by feelings of gratitude.She was still in agony, but a new consciousness grew stronger each night: an awesome sense of liberation, combined with an all-encompassing feeling of sympathy and compassion.“I felt stripped of everything I'd ever identified myself with,” she said six months later.“Everything I thought I'd known or believed in was useless-time, money, self-image, perception.Recognizing that was so freeing.” 9然而,在经历了若干个不眠之夜后,她想自杀的念头开始被新的感激之情所打断。虽然她仍然感到痛苦,但一种新的意识每一夜都变得更加强烈 :一种令人惊叹的解脱感,结合着一种包容一切的同情和怜悯的情感。“我感到一切我曾经用来认同 ? 自己身份的东西都被剥夺了, ”六个月后她这样说道, “一切我认为我知道或相信的事物—时间、金钱、自我形象、对事物的看法—都毫无价值了。意识到这一点真是让我感到解脱。” Within a few months, she began to be able to move more freely, thanks to a cocktail of steroids and other drugs.She says now there's no question that her life is better.“l felt I had been shown the secret of life and why we're here: to be happy and to nurture other life.It's that simple.” 10在几个月内,得益于类固醇加其他药物的鸡尾酒疗法,她开始能够更加自如地活动了。她说,毫无疑问她现在的生活状况有了好转。“我感觉我窥探到了生命的秘密以及我们生存的意义,那就是快乐地生活,同时扶持他人。就这么简单!” Her mind-blowing experience came as a total surprise.But that feeling of transformation is in some ways typical, says Rich Tedeschi, a professor of psychology at the University of North Carolina in Charlotte who coined the term “post-traumatic growth”.His studies of people who have endured extreme events, like combat, violent crime or sudden serious illness show that most feel dazed and anxious in the immediate aftermath;they are preoccupied with the idea that their lives have been shattered.A few are haunted long afterward by memory problems, sleep trouble and similar symptoms of post-traumatic stress disorder.But Tedeschi and others have found that for many people-perhaps even the majority-life ultimately becomes richer and more Gratifying.11她这种不可思议的经历完全是个惊喜。但是北卡罗来纳大学夏洛特分校心理学教授里奇 ? 特德斯基认为,这种转变的感觉从某些方面看却是很典型的。里奇 ? 特德斯基教授首创了“创伤后成长”一词。他对那些经历了诸如搏斗、暴力犯罪、突患重病等极端事件的人群进行了研究,这些研究表明,在刚经历不幸后大多数人随即都会感到茫然和焦虑。他们一心想的就是, 自己的生活完全被毁了。有少部分人事后很久了还不断被记忆问题、失眠以及类似的创伤后应激障碍所折磨。但特德斯基和其他学者发现, 对很多人(可能甚至是绝大多数人)来说, 生活最终会变得更加丰富和更加令人满足。Something similar happens to many people who experience a terrifying physical threat.In that moment, our sense of invulnerability is pierced, and the self-protective mental armor that normally stands between us and our perceptions of the world is torn away.Our everyday life scripts-our habits, self-perceptions and assumptions-go out the window, and we are left with a raw experience of the world.12许多经历过恐怖的人身威胁的人会遇到类似的情况。在事情发生的那一瞬间,我们的安全感被冲破了,平时处于我们与我们对世界的种种看法之间的自我保护的精神盔甲被剥离了。我们的日常生活轨迹(我们的习惯、自我认识和主观意念)全部被抛到九霄云外,只剩下对世界的原始体验。Still, actually implementing these changes, as well as fully coming to terms with a new reality, usually takes conscious effort.Being willing and able to take on this process is one of the major differences between those who grow through adversity and those who are destroyed by it.The people who find value in adversity aren't the toughest or the most rational.What makes them different is that they are able to incorporate what happened into the story of their own life.13尽管如此,要实际实现这些转变并完全接受新的现实,通常需要有意识地付出努力。是否愿意并有能力承担这个过程, 就是那些在灾难中成长和那些被灾难所摧毁的人之间主要的区别之一。认为灾难有价值的人并不是最坚强或最理性的人。使他们与众不同的是他们能够将所遭遇的事融入他们自己的人生历程中。” Eventually, they may find themselves freed in ways they never imagined.Survivors say they have become more tolerant and forgiving of others, capable of bringing peace to formerly troubled relationships.They say that material ambitions suddenly seem silly and the pleasures of friends and family paramount-and that the crisis allowed them to recognize life in line with their new priorities.14最终,他们可能会发现自己以从未想到过的方式获得了解脱。幸存者往往说他们变得更加宽容,也更能原谅别人, 能够缓和原本糟糕的关系。他们说物质追求突然间变得很无聊, 而朋友和家庭带来的快乐变得极为重要,他们还说危机使他们能够按照这些新的优先之事来重新认识生活。People who have grown from adversity often feel much less fear, despite the frightening things they've been through.They are surprised by their own strength, confident that they can handle whatever else life throws at them.“People don't say that what they went through was wonderful,” says Tedeschi.“They weren't meaning to grow from it.They were just trying to survive.But in retrospect, what they gained was more than they ever anticipated.” 15从灾难中成长起来的人尽管经历过恐怖的事情,但他们的恐惧感往往大为减少。他们对自己的力量感到吃惊,相信不管今后生活中将要遭遇什么,他们都能应付。特德斯基说 :“人们不会说他们所经历的是美好的。他们并不是特意要通过这样的经历来成长。他们只是尽其所能生存下来。但回顾起来, 他们的收获远远大于他们所预料的。In his recent book Satisfaction, Emory University psychiatrist Gregory Berns points to extreme endurance athletes who push themselves to their physical limits for days at a time.They cycle through the same sequence of sensations as do trauma survivors: self-loss, confusion and, finally, a new sense of mastery.For ultramarathoners, who regularly run 100-mile races that last more than 24 hours, vomiting and hallucinating are normal.After a day and night of running without stopping or sleeping, competitors sometimes forget who they are and what they are doing.16埃默里大学精神病学家格列高利 ? 伯思斯在他的近作《满足》中指出,极限耐力运动员每次训练都要使自己的身体连续数天处于极限状态。他们和经历创伤的幸存者所经历的感觉过程一样 :自我失落,困惑,最后获得一种新的驾驭感。对于经常跑超过 24小时的 l00英里比赛的超级马拉松运动员来说,呕吐和产生幻觉是常事。在一昼夜不停歇不睡觉地跑步之后,竞赛者有时会忘了自己是谁,忘了自己在干什么。

17For a more common example of growth through adversity, look to one of life's biggest challenges: parenting.Having a baby has been shown to decrease levels of happiness.The sleep deprivation and the necessity of putting aside personal pleasure in order to care for an infant mean that people with newborns are more likely to be depressed and find their marriage on the rocks.Nonetheless, over the long haul, raising a child is one of the most rewarding and meaningful of all human undertakings.The short-term sacrifice of happiness is outweighed by other benefits, like fulfillment, altruism and the chance to leave a meaningful Legacy.17更普遍的在逆境中成长的例子要数生命中最大的挑战之一 :为人父母。生育孩子一直被认为会降低幸福程度。为了照顾婴儿而睡眠不足并且必须将自己的消遣撇到一边, 意味着有了新生儿的人更有可能感到抑郁并且面临婚姻的危机。然而,长远看来,养育孩子是所有人类活动中最有意义、最值得去做的一件事情。短时间内牺牲了幸福,却有了更多的收获,比如满足感、无私以及有机会留下一笔意义深远的遗产。Ultimately, the emotional reward can compensate for the pain and difficulty of adversity.This perspective does not cancel out what happened, but it puts it all in a different context: that it's possible to live an extraordinary rewarding life even within the constraints and struggles we face.In some form or other, says King, we all must go through this realization.“You're not going to be the person you thought you were, but here's who you are going to be instead-and that turns out to be a pretty great life.” 18总之,情感上的回报可以弥补灾难带来的痛苦和艰难。这种精神收获并不能抵消所发生的苦难,但是它可以把这些苦难全部放在另一个不同的背景中来看待,..那就是即使我们面临约束和挣扎,我们仍然可以生存得极有价值。金指出,我们所有的人都必须以这样或那样的形式经历这种觉悟。“你将不再是自己心目中曾经的你,取而代之的是一个新的你—而事实会证明生活从此将非常美好。”

Unit2 Commercialization and Changes in Sports 1.Throughout history sports have been used as forms of public entertainment.However, sports have never been so heavily packaged, promoted, presented and played as commercial products as they are today.Never before have decisions about sports and the social relationships connected with sports been so clearly influenced by economic factors.The bottom line has replaced the goal line for many people, and sports no longer exist simply for the interests of the athletes themselves.Fun and “good games” are now defined in terms of gate receipts, concessions revenues, the sale of media rights, market shares, rating points, and advertising potential.Then, what happens to sports when they become commercialized? Do they change when they become dependent on gate receipts and the sale of media rights? 1在整个历史长河中,人们都是把体育当作某种形式的公众娱乐。然而,体育从未像今天这样作为一种商业产品被如此盛大地包装、推广、呈现和开展,有关体育的决策以及与体育相关的社会关系也同样从未如此显然地受到商业因素的影响。对许多人来说,账本底线已取代了球门线,体育不再只是为了运动员们自身的兴趣而存在。今天,乐趣和“好比赛”的定义取决于门票收入、特许权收人、媒体传播权的出售、市场份额、收视率以及广告潜力。那么,当体育变得商业化时,它会怎样?当体育变得依赖于门票收人和媒体传播权的出售时,它会发生变化吗? 2.We know that whenever any sport is converted into commercial entertainment, it success depends on spectator appeal.Although spectators often have a variety of motives underlying their attachment to sports, their interest in any sporting event is usually related to a combination of three factors: the uncertainty of an event's outcome, the risk or financial rewards associated with participating in an event,and the anticipated display of excellence or heroics by the athletes.In other words, when spectators refer to a “good game” or an “exciting contest”, they are usually talking about one in which the outcome was in doubt until the last minutes or seconds, one in which the stakes' were so high that athletes were totally committed to and engrossed in the action, or one in which there were a number of excellent or “heroic” performances.When games or matches contain all three of these factors, they are remembered and discussed for a long time.2我们知道,每当任何一项体育运动被转化为商业性娱乐活动时,它的成功就依赖于观众的兴趣。尽管观众对于体育的拥护背后潜藏着多种动机,但他们对体育比赛的兴趣通常与三种相结合的因素有关:比赛结果的不确定性,参加一项比赛相关的风险或经济回报,以及预期中的运动员的卓越、英勇表现。换句话说,当观众提及一场“不错的比赛”或一场“激动人心的比赛”时,这场比赛,通常在比赛即将结束的最后几分钟甚至儿秒钟时,结果仍然扑朔迷离;或者比赛涉及高额奖金,因而运动员们都全身心地投入比赛。或者比赛展示了许多出色的或者“英雄式”的表现。只要运动比赛包含所有这三方面因素,人们就会长时间记得并讨论这场比赛。3.Commercialization has not had a dramatic effect on the format and goals of most sports.In spite of the influence of spectators, what has occurred historically is that sports have maintained their basic format.Innovations have been made within this framework, rather than completely dismantling the design of a game.For example, the commercialization of the Olympic Games has led to minor rule changes in certain events, but the basic structure of each Olympic sport has remained much the same as it was before the days of corporate endorsements and the sale of television rights.3商业化对于大多数体育运动的结构和目标没有太大的影响。尽管观众会对其产生影响,但在历史上,运动项目保持了它们的基本结构。创新也是在这一框架内进行的,并不会完全废除这项运动的基本设计。例如、奥运会的商业化导致了某些赛事规则的微小变化但其每项运动的基本结构还是和商家赞助及电视转播权出售之前基本一致。4.Commercialization seems to affect the orientations of sport participants more than it does the format and goals of sports.To make money on a sport, it's necessary to attract a mass audience to buy tickets or watch the events on television.Attracting and entertaining a mass audience is not easy because it's made up of many people who don't have technical knowledge about the complex athletic skills and strategies used by players and coaches.Without this technical knowledge, people are easily impressed by things extrinsic to the game or match itself;they get taken in by hype.During the event itself they often focus on things they can easily understand.They enjoy situations in which players take risks and face clear physical danger;they are attracted to players who are masters of dramatic expression or who are willing to go beyond and their normal physical limits to the point of endangering their safety and well-being;and they like to see players committed to victory no matter what the personal cost.4看来,与运动的结构和目的相比,商业化更多的是影响运动参与者的取向。若要通过一项运动盈利,就必须吸引广大观众买门票或在电视上观看比赛。吸引和娱乐广大观众并非易事,因为这些观众中有很多人没有技木性的知识,因而不懂得运动员和教练采取的复杂竞技技巧和策略。由于缺乏这些技术性知识,人们容易受到运动或赛事之外的东西的影响,容易受到天花乱坠的宜传的迷惑。在比赛期间,他们经常关注那些他们容易理解的事情。他们喜欢那种运动员冒险并明显面临身体危险的情境,他们喜爱那些搜长戏剧化表现或者愿意超越正常的生理极限以致威胁到自己的安全和健康的运动员。他们喜欢看到运动员不惜代价,立志求胜。

5.For example, when people lack technical knowledge about basketball, they are more likely to talk about a single slam dunks than about the consistently flawless defense that enabled a team to win a game.Similarly, those who know little about the technical aspects of ice skating are more entertained by triple and quadruple jumps than by routines carefully choreographed and practiced until they are smooth and flawless.Without dangerous jumps, naive spectators get bored.They like athletes who project' exciting or controversial personas, and they often rate performances in terms of dramatic expression leading to dramatic results.They want to see athletes occasionally collapse as they surpass physical limits, not athletes who know their limits so well they can successfully compete for years without going beyond them.5比如,当人们缺乏篮球方面的技术知识时,他们更津津乐道于某一个灌篮,而不会关注球队取胜必需的因素:自始至终配合得天衣无缝的后防。同样,那些对滑冰技术知之甚少的人,他们更感兴趣的是三连跳或四连跳,而不是那些精心设计并训练直至流畅、完美的舞步。没有惊险的跳跃,无知的观众会感到厌倦。他们喜欢那些表现得激动人心或有争议性的运动员。他们往往根据戏剧化的表现是否导致戏剧化的结果来评价比赛。他们想看运动员在超越自己极限时偶尔的突然失败,而不是多年来稳操胜券,熟知自己极限而不去超越它的运动员。

6.When a sport comes to depend on entertaining a mass audience, those involved in the sport often revise their ideas about what is important in sport.This revision usually involves a shift in emphasis from what might be called an aesthetic orientation to a heroic orientation In fact, the people in sport may even refer to games or matches as “show-time”, and they may refer to themselves as entertainers as well as athletes.This does not mean that aesthetic orientations disappear, but it does mean that they often take a back seat to the heroic actions that entertain spectators who don't know enough to appreciate the strategic and technical aspects of the game or match.6当一项体育运动变得依赖于娱乐广大观众时,对于运动中什么才是重要的,运动参与者们往往会改变观念。这一改变常常意味着重心从所谓的美学取向向英雄主义取向转变。其实,运动员可能甚至把运动或比赛称为“表演秀”,并把自己称作表演者兼运动员。这并不意味着美学取向不复存在了,但是这确实意味着与英雄主义行为相比,它们常常退居其后。英雄主义行为吸引着那些没有足够的知识欣赏运动或比赛的策略和技术的观众。7.As the need to please naive audiences becomes greater, so does the emphasis on heroic orientations.This is why television commentators for US football games continually talk about danger, injuries, playing with pain, and courage.Some athletes, however, realize the dangers associated with heroic orientations and try to slow the move away from aesthetic orientations in their sports.For example, some former figure skaters have called for restrictions on the number of triple jumps that can be included in skating programs.These skaters are worried that the commercial success of their sport is coming to rely on the danger of movement rather than the beauty of movement.However, some skaters seem to be willing to adopt heroic orientations if this is what will please audiences and generate revenues.These athletes usually evaluate themselves and other athletes in terms of the sport ethic, and they learn to see heroic actions signs of true commitment and dedication to their sport.7取悦无知观众的需求越强烈,就越会强调英雄主义取向。这就是为什么美国橄榄球比赛的电视评论员喋喋不休地谈论危险、受伤、带伤比赛和胆量。不过,有些运动员意识到了与英雄主义取向随之而来的危险,并试图在他们的运动中放慢偏离美学取向的步伐。比如,一些前花样滑冰运动员已经呼吁限制滑冰项目中三连跳的数量。这些滑冰运动员担心,他们的体育项目在商业上的成功正越来越依赖于动作的危险性,而不是动作的美感。然而,另外一些滑冰运动员似乎愿意采取英雄主义取向,只要这样能取悦观众,获得收入。这些运动员用体育道德规范去评价自己和他人,他们还学会把英雄主义行为看成是真正地投入及为运动献身的标志。Commercialization also leads to changes in the organizations that control sports.When sports begin to depend on generating revenues, the control of sport organizations usually shifts further and further away from the players.In fact, the players often lose effective control over the conditions of their own participation in the sport.These conditions come under the control of general managers,team owners,corporate sponsors, advertisers, media personnel, marketing and publicity staff, professional management staff, accountants, and agents.8商业化同样会导致那些控制体育的组织发生变化。当体育开始依赖于创造收入时,体育组织的控制权就会离运动员越来越远。事实上,运动员常常对于自身的体育参与环境失去有效控制。这些环境越来越受控于下列人员:总经理、运动队老板、企业赞助商、广告商、传媒人员、营销和宜传推广人员、专业管理人员、会计师以及经纪人。

9..The organizations that control commercial sports are usually complex, since they are intended to coordinate the interests of all these people, but their primary goal is to maximize revenues.This means that organizational decisions generally reflect the combined economic interests of many people having no direct personal connection with a sport or with the athletes involved.The power to affect these decisions is grounded in a variety of resources, many of which are not even connected with sports.Therefore athletes in many commercial sports find themselves cut out of decision-making processes even when decisions affect their health and well-being.9那些控制商业体育的组织通常非常复杂,这是因为它们企图协调上述所有人的利益,但它们的首要目标还是盈利最大化。这意味着组织决策通常反映的是许多人的混合利益,而他们与体育或相关运动员没有直接联系。影响这些决策的力量根植于各种不同的资源,其中许多甚至与体育没有关联。因此,许多商业体育中的运动员发现自己被逐出了决策过程,即便这些决策影响到他们的健康和幸福。

Unit4 Is Google Making Us Stupid 1.Over the past few years I've had an uncomfortable sense that someone, or something,has been tinkering with my brain, remapping the neural circuitry, reprograming the memory.My mind isn't going一 so far as I can tell一 but it's changing.I'm not thinking the way I used to think.I can feel it most strongly when I’m reading.Immersing myself in a book or a lengthy article used to be easy.My mind would get caught up in the narrative or the turns of the argument, and I’d spend hours strolling through long stretches of prose.That's rarely the case anymore.Now my concentration often starts to drift after two or three pages.I get fidgety, lose the thread, begin looking for something else to do.I feel as if I'm always dragging my wayward brain back to the text.The deep reading that used to come naturally has become a struggle.1在过去的几年里,我老有一种不祥之感,觉得有什么人,或什么东西,一直在我脑袋里捣鼓不停,重绘我的脑电图,重写我的脑内存。我的思想倒没跑掉 — 到目前为止我还能这么说,但它正在改变。我的思维方式在变。这种感觉在我阅读的时候尤为强烈。过去总是不费劲就能让自己沉浸在一本书或一篇长文章中,被其中的叙述或不同的论点深深吸引。我还会花数小时徜徉在长篇散文中。可如今这都不灵了。现在,我翻上两三页书,注意力就开始不集中了。我会变得烦躁,抓不住重点,开始想找点其他的事情做。我感觉我似乎要硬拖着我任性的大脑才能回到文章中。原本轻松自然的深度阅读,已成了痛苦挣扎。

2.I think I know what's going on.For more than a decade now, I've been spending a lot of time online, searching and surfing and sometimes adding to the great databases of the Internet.The Web has been a godsend to me as a writer.Research that once required days in the stacks or periodical rooms of libraries can now be done in minutes.A few Google searches, some quick clicks on hyperlinks, and I've got the telltale fact or pithy quote I was after.Even when I'm not working, I'm as likely as not to be foraging in the Web's info-thickets2-reading and writing emails, scanning headlines and blog posts, watching videos and listening to podcasts, or just tripping from link to link to link.(Unlike footnotes, to which they're sometimes likened, hyperlinks don't merely point to related works;they propel you toward them.)2我想我知道到底是怎么一回事了。十多年来,我在网上花了好多时间,在因特网的信息汪洋中冲浪、搜寻、添加。对作家而言,网络就像个天上掉下来的聚宝盆。过去要在书堆里或图书馆的期刊阅览室中花上好几天做的研究,现在几分钟就齐活。“谷歌”几下,快速点开几个链接,就可以找到我所需要的事实或者精炼的引证。即使在工作之余,我也很有可能在信息丰富的网络里遨游 — 收发电子邮件、浏览头条新闻、点击博客、看视频、听播客或者只是从一个链接跳转到一个又一个链接。(超链接常被比作脚注,但是和脚注不一样,超链接不仅仅链接到相关作品;它们还驱使你去点击创门。)3.For me, as for others , the Net is becoming a universa一 medium, the conduit for most of the information that flows through my eyes and ears and into my mind.The advantages of having immediate access to such an incredibly rich store of information are many, and they've been widely described and duly applauded.“The perfect recall of silicon memory,” Wired's0 Clive Thompson has written, “can be an enormous boon to thinking.” But that boon comes at a price.As the media theorist Marshall McLuhan pointed out in the 1960s, media are not just passive channels of information.They supply the stuff of thought, but they also shape the process of thought.And what the Net seems to be doing is chipping away at my capacity for concentration and contemplation.My mind now expects to take in information the way the Net distributes it: in a swiftly moving stream of particles.Once I was a scuba diver in the sea of words.Now I zip along the surface like a guy on a Jet Ski.3对我来说, 像对其他人也一样, 网络已经成为了一种通用的媒介, 大部分信息都通过这个渠道进人我们的眼、耳,最后进人我们的大脑。能从这样一个异常丰富的信息库中直接获取信息,其优点是很多的,而且也得到了广泛的描述和适当的赞誉。“硅存储器的完美记忆性, ” 《连线》杂志的克莱夫 ? 汤普森写道, “对于思想来说是一个大实惠。”但是这个实惠是要付出代价的。(此文来自袁勇兵博客)就像媒体理论家马歇尔 ? 麦克卢恩在上世纪 60年代所指出的那样,媒体可不只是被动的信息渠道。它们不但提供了思想的源泉,也塑造了思想的进程。网络似乎粉碎了我专注与沉思的能力。现如今,我的脑袋就盼着以网络提供信息的方式来获取信息 :飞快的微粒运动。曾经我是文字海洋中的潜水者,现在我则像是摩托艇骑手在海面上风驰电掣。

4.I’m not the only one.When I mention my troubles with reading to friends and acquaintances-literary types, most of them-many say they're having similar experiences.The more they use the Web, the more they have to fight to stay focused on long pieces of writing.Some of the bloggers I follow have also begun mentioning the phenomenon.Scott Karp, who writes a blog about online media, recently confessed that he has stopped reading books altogether.“I was a lit major in college, and used to be a voracious book reader,” he wrote.“What happened?” He speculates on the answer: “What if I do all my reading on the web not so much because the way I read has changed, i.e.I'm just seeking convenience, but because the way I think has changed?” 4我并不是唯一一个有此感觉的人。当我向文学界的朋友和熟人提到我在阅读方面的困扰, 许多人说他们也有同样的感受。他们上网越多,在阅读长文章时,就越难集中精力。我所关注的一些博主也提到了类似的现象。斯科特 ? 卡普开了一个有关在线媒体的博客,最近他承认自己已经完全不读书了。“我大学读的是文学专业, 曾经是一个嗜书如命的人, ”他写道。“到底发生了什么事呢 ? ”他推测出了一个答案 :“如果对我来说,通过网络来阅读的真正理由与其说是我的阅读方式发生了改变,比如,我只是图个方便,不如说是我的思维方式在发生变化,那么我该怎么办呢 ? ”

5.Bruce Friedman, who blogs regularly about the use of computers in medicine, also has described how the Internet has altered his mental habits.“I now have almost totally lost the ability to read and absorb a longish article on the web or in print,” he wrote earlier this year.A pathologist who has long been on the faculty of the University of Michigan Medical School, Friedman elaborated on his comment in a telephone conversation with me.His thinking, he said, has taken on a “staccato” quality, reflecting the way he quickly scans short passages of text from many sources online.“I can't read War and Peace anymore,”he admitted “I've lost the ability to do that.Even a blog post of more than three or four paragraph is too much to absorb.I skim it.” 5布鲁斯 ? 弗里德曼经常撰写有关电脑在医学领域应用的文章。他在早些时候同样提到因特网如何改变了他的思维习惯。“稍长些的文章,不管是网上的还是已经出版的,我现在几乎已经完全丧失了阅读它们的能力。” 在密歇根大学医学院长期任教的病理学家布鲁斯,弗里德曼在电话里告诉我,由于上网快速浏览文章的习惯, 他的思维呈现出一种“碎读”特性。“我再也读不了《战争与和平》了。”弗里德曼承认, “我失去了这个本事。即便是一篇长达三四段的博客也难以消化。我只能略微浏览一下。”

6.Anecdotes alone don't prove much.And we still await the long-term neurological and psychological experiments that will provide a definitive picture of how the Internet use affects cognition.But a recently published study of online research habits, conducted by scholars from University College London, suggests that we may well be in the midst of a sea change in the way we read and think.As part of the five-year research program, the scholars examined computer logs' documenting the behavior of visitors to two popular research sites, one operated by the British Library and one by a UK educational consortium, that provide access to journal articles, e-books, and other sources of written information.They found that people using the sites exhibited “a form of skimming activity”, hopping from one source to another and rarely returning to any source they'd already visited.They typically read no more than one or two pages of an article or book before they would “bounce” out to another site.Sometimes they'd save a long article, but there's no evidence that they ever went back and actually read it.6仅仅是趣闻轶事还不能证明什么。我们仍在等待长期的神经学和心理学的实验, 这将给因特网如何影响到我们的认识一个权威的定论。伦敦大学学院的学者做了一个网络研读习惯的研究并发表了研究结果。该研究指出,我们可能已经彻底置身于阅读与思考方式的巨变之中了。作为五年研究计划的一部分,学者们检测了计算机日志,它跟踪记录了两个流行的搜索网站的用户行为。其中一个网站是英国图书馆的,另一个是英国教育社团的,他们提供了期刊论文、电子书以及其他一些文献资源。他们发现,人们上网时呈现出“一种浮光掠影般的形式” ,总是从一个资源跳到另一个资源,并且很少返回他们之前访问过的资源。他们常常还没读完一两页文章或书籍,就“弹”出来转到另一个网页去了。有时候他们会保存一个篇幅长的文章,但没有任何证据表明他们曾经返回去认真阅读。

7.Thanks to the ubiquity of text on the Internet, not to mention the popularity of text-messaging on cell phones, we may well be reading more today than we did in the 1970s or 1980s, when television was our medium of choice.But it's a different kind of reading, and behind it lies a different kind of thinking-perhaps even a new sense of the self.' “We are not only what we read,” says Maryanne Wolf, a developmental psychologist at Tufts University and the author of Proust and the Squid: The Story and Science of the Reading Brain, “We are how we read.” Wolf worries that the style of reading promoted by the Net, a style that puts “efficiency” and “immediacy” above all else, may be weakening our capacity for the kind of deep reading that emerged when an earlier technology, the printing press, made long and complex works of prose commonplace.When we read online, she says, we tend to become “mere decoders of information”.Our ability to interpret text, to make the rich mental connections that form when we read deeply and without distraction, remains largely disengaged.7多亏铺天盖地的网络文本, 更别说当下时兴的手机短信, 可供我们阅读的东西很可能比上世纪七八十年代要多了,那时,我们选择的媒体还是电视。但是,这已是另一种阅读模式,背后隐藏的是另一种思考方式 — 也许甚至是一种全新的自我意识。“不仅阅读的内容塑造了我们, ”塔夫茨大学的发展心理学家、《普鲁斯特与鱿鱼 :阅读思维的科学与故事》的作者玛丽安娜 ? 沃尔夫说, “阅读方式也体现了我们自身。”沃尔夫担忧,网络所倡导的将“丰富”与“时效性”置于首位的阅读方式可能已经削弱了那种深度阅读能力。深度阅读能力的形成应归功于早期印刷术的发明,有了它,长而复杂的散文作品也相当普遍了。然而,她说,当我们在线阅读时,我们往往只是一“信息解码器”而已。我们对文句的设释,心无旁鹜、深度阅读时形成的丰富的精神联系,这些能力很大程度上已经消失了。

8.Reading, explains Wolf, is not an instinctive skill for human beings.It's not etched into our genes the way speech is.We have to teach our minds how to translate the symbolic characters we see into the language we understand.And the media or other technologies we use in learning and practicing the craft of reading play an important part in shaping the neural circuits inside our brains.Experiments demonstrate that readers of ideograms, such as the Chinese, develop a mental circuitry for reading that is very different from the circuitry found in those of us whose written language employs an alphabet.The variations extend across many regions of the brain, including those that govern such essential cognitive functions as memory and the interpretation of visual and auditory stimuli.We can expect as well that the circuits woven by our use of the Net will be different from those woven by our reading of books and other printed Works.8沃尔夫认为,阅读并非人类与生俱来的技巧,它不像说话那样融人了我们的基因。我们得训练自己的大脑, 让它学会如何将我们所看到的字符译解成自己可以理解的语言。而媒体或其他我们用于学习和练习阅读的技术在塑造我们大脑的神经电路中扮演着重要角色。实验表明,表意字读者(如中国人)为阅读所创建的神经电路和我们这些用字母语言的人有很大的区别。这种变化延伸到大脑的多个区域,包括那些支配诸如记忆、视觉设释和听觉刺激这样的关键认知功能的部位。我们可以预料,使用网络阅读形成的思维,一定也和通过阅读书籍及其他印刷品形成的思维不一样。9.Sometime in 1882, Friedrich Nietzsche bought a typewriter.His vision was failing, and keeping his eyes focused on a page had become exhausting and painful, often bringing on crushing headaches.He had been forced to curtail his writing, and he feared that he would soon have to give it up.The typewriter rescued him, at least for a time.Once he had mastered touch-typing, he was able to write with his eyes closed, using only the tips of his fingers.Words could once again flow from his mind to the page.9 1882年,弗里德里希 ? 尼采买了台打字机。此时的他,视力下降得厉害,长时间盯着一张纸会令他感觉疲惫、疼痛,还常常引起剧烈的头痛。他只得被迫缩减他的写作时间,并担心自己今后恐怕不得不放弃写作了。但打字机救了他,起码一度挽救过他。他终于熟能生巧,闭着眼睛只用手指尖也能打字 — 盲打。心中的词句又得以倾泻于纸页之上了。

But the machine had a subtler effect on his work.One of Nietzsche's friends, a composer, noticed a change in the style of his writing.His already terse prose had become even tighter, more telegraphic.“Perhaps you will through this instrument even ntake to a new idiom,” the friend wrote in a letter, noting that, in his own work, his “`thoughts' in music and language often depend on the quality of pen and paper.” 10然而,新机器也使其作品的风格发生了微妙的变化。尼采的一个作曲家朋友注意到他行文风格的改变。他那已经十分简练的行文变得更紧凑、‘更电文式了。“或许就因为这个仪器,你甚至可能会喜欢上一个新短语, ”这位朋友在一封信中提到,在他自己的作品中,他“在音乐和语言方面的‘思想’常常要依赖于笔和纸的质量”。

Unit7 the poetry of architecture 1 The science of Architecture, followed out to its full extent, is one of the noblest of those which have reference only to the creations of human minds.It is not merely a science of the rule and compass, it does not consist only in the observation of just rule or of fair proportion;it is , or ought to be, a science of feeling more than of rule, a majesty of a building depend upon its pleasing certain prejudices of the eye, than upon its rousing certain trains of meditation in the mind, it will show in a moment how many intricate question of feeling are involved in the raising of an edifice;it will convince us of the truth of proposition, which might at first have appeared startling, that no man can be an architect who is not a metaphysician.建筑科学,如果得以充分体现的话,是只与人类心智创造有关的科学中最高贵的科学之一。它不仅仅是尺子与圆规的科学,不仅仅需要遵守恰当的规则或合适的比例,它是或者应该是,一门重感情胜过于规则的科学,它更多的是服务于心灵,而非眼睛。如果我们明白,一座建筑的美和雄伟,很大程度上取决于它能引发心灵的一系列沉思,而非来自于它能满足视觉上的某种偏爱,我们很快就会发现,一座建筑的兴建会涉及多少错综复杂的情感问题。我们会因此而相信一个乍然一听不无惊人的论点,那就是,一个人如果不是玄学家,就无法成为建筑师。To the illustration of the department of this noble science which may be designated The Poetry of Architecture, this and some future articles will be dedicated.It is this peculiarity of the art which constitutes its nationality;And it will be found as interesting as it is useful, to trace in the distinctive characters of the architecture of nations, not only its adaptation to the situation and climate in which it has arisen, but its strong similarity to, and connection with, the prevailing turn of mind by which the nation who first employed it is distinguished.对这一高尚科学进行说明的文本及今后要写的一些文章都将收入进我暂命名为《建筑之诗意》一书中。正是这一艺术特性构成了它的民族性。建筑不仅与其周围的环境和气候相适应,也与率先采用这种风格的民族的主流性情极其相似,密切关联,这些都可以从各民族的建筑特征中得以追溯,我们会发现,这种追溯既有益,亦有趣。I consider the task I have imposed upon myself the more necessary, because this department of the science, perhaps regarded by some who have no ideas beyond stone and mortar as chimerical, and by others who think nothing necessary but truth and proportion as useless, is at a miserably low ebb in England.And what is the consequence?We have Corinthian columns placed beside pilasters of no order at all, surmounted by monstrosified pepper-boxes, Got hic in form and Grecian in detail, in a building nominally and peculiarly “National”;we have Swiss cottages, falsely and calumniously so entitled, dropped in the brick-fields round the metropolis;and we have staring square-windowed, flat-roofed gentlemen’s seat, of the lath and plaster, mock-magnificent, Regent’t park description, rising on the woody promontories of Derwent Water.在我看来,赋予自己这项任务显得尤为重要,因为这门科学在英国正处于可悲的低谷之中:在那些只知石头和砂浆的人看来,它是虚妄幻想;在那些满脑袋只有事实和比例的人看来,它毫无用处。那么结果是什么呢?我们看到科林斯式的柱子竖立在杂乱无章的壁柱旁边,上面是怪异的胡椒罐式的塔顶,形式上是哥特式的,细节上是希腊式的,这种建筑美其名曰别具“民族特色”;我们看到所谓的“瑞士小屋”散落在周围的一片砖砌的房子中实在是糟践了这一名称;我们看到那些平顶、有着显眼的方窗,用条板和石灰建造而成的乡绅别墅,它们仿照摄政王公园的样式,冒充宏伟的气势,耸立在德文特湖林木丛生的岬角上。How deeply is it to be regretted, how much is it to be wondered at, that, in a country whose school of painting, though degraded by its system of meretricious coloring, and disgraced by hosts of would-be imitators of inimitable individuals, is yet raised by the distinguished talent of those individuals to a place of well-deserved honor, and the studios of whose sculptors are filled with designs of the most pure simplicity, and most perfect animation;the school of architecture should be so miserably debased!多么令人惋惜,多么令人惊异啊。在这个国家,绘画学派虽然受到华而不实的着色方法的损害,并因成群试图东施效颦的模仿者而蒙羞,但在那些天分超群的画家的带动下,绘画享受着当之无愧的荣耀,雕塑家的工作室里随处可见最朴素却最富有生气的设计。

而建筑界竟会堕落到如此悲惨的境地!5 There are, however, many reasons for a fact so lamentable.In the first place, the patrons of architecture(I am speaking of all classes of buildings, from the lowest to the highest)are a more numerous and less capable class than those of painting…There, the power is generally diffused.Every citizen may box himself up in as barbarous a tenement as suits his taste or inclination;The architect is his vassal, and must permit him not only to criticize, but to perpetrate.The p alace or the nobleman’s seat may be raised in good taste, and become the admiration of a nation;but the influence of their owner is terminated by the boundary of his estate: he has no command over the adjacent scenery,And the possessor of every 30 acres around him has him at his mercy.The streets of our cities are examples of the effects of this clashing of different tastes;and they are either remarkable for the utter absence of all attempt at embellishment, or disgraced by every variety of abomination… 不过,现实之所以令人惋惜,原因是多方面的。首先,建筑(我指的是所有等级的建筑,从最低等级到最高等级)的出资人,相比于绘画的赞助者来说,人数更庞大,能力却相形见绌。在建筑领域,权利总体上是分散的。每个公民可以按照自己的品味或爱好,住进粗鄙的房屋里。建筑师是他的仆从,不仅必须听任他批评,还得容忍他胡作非为。宫殿或贵族的宅邸也许能建出好品味,可以成为举国欣赏的对象,但这些建筑的主人的影响力到了地产的边界便中断了:他无法控制周边的景观。他住宅周围的人,只要拥有30英亩土地,就能对他随意摆布。我们的城市街道就体现了不同品位相互冲突的结果:他们或是因为毫无装饰之企图而引人注目,或是因为布满各种面目可憎的建筑而有失脸面。。。I shall attempt, therefore, to endeavor to illustrate the principle from the neglect of which these abuses have arisen;That of unity of feeling, the basis of all grace, the essence of all beauty.We shall consider the architecture of nations as it is influenced by their feelings and manners, as it is connected with the scenery in which it is found, and with the skies under which it was erected;We shall be led as much to the street and the cottage as to the temple and the tower;And shall be more interested in buildings raised by feeling, than in those corrected by rule.We shall commence with the lower class of edifices, proceeding from the roadside to the village, and from the village to the city;and, if we succeed in directing the attention of a single individual more directly to this most interesting department of the science of architecture, we shall not have written in vain.因此,我要尽力尝试对建筑原则进行阐释。正是由于漠视了原则,才会产生这些恶果。建筑的原则是感情的统一,这是所有优雅的基础、所有美得本质。当我们考察民族建筑时,应该考虑到它受到了人类情感和风俗的影响,它关乎周围的景致,关乎其下的那片天空。我们不仅应该考察殿堂与高塔,也要考察街道和村舍。我们应该将兴趣更多的投向用感情搭建而成的建筑,而不是用规则制定出来的建筑。我们应该从建筑的低级层次开始,从路边到村庄,再从村庄到城市;如果我们能够成功地进行引导,哪怕只有一个人为此更加直接的注意到建筑学中这最为有趣的领域,我们就没有白费笔墨。

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