【作者简介】
林彦，上海交通大学凯原法学院副教授；杨珍，上海市闵行区人民检察院助理检察员。
【注释】本文为两位作为共同构思，第一、二、四部分为林彦执笔，第三部分为杨珍执笔，最后由林彦统稿。
大约自1988年开始，《比较法研究》发起了当代法学界有关法律移植的讨论。随后，《外国法译评》等刊物也相继加入到讨论的行列之中。这一阶段的研究偏重于介绍国外有关法律移植的理论与实践。自1995年起，朱苏力教授开启了国内学界对于法律移植与本土化的长达数年并延续至今的讨论与争鸣。朱教授的《变法，法治建设及其本土资源》（《中外法学》1995年第5期）一文以及专著《法治及其本土资源》（中国政法大学出版社1996年版）被视为本土资源论的主要载体。相较而言，似乎法律移植论的学术认同度更高和影响力也更大。其中有影响的代表作包括何勤华:《法律移植与法的本土化》，载《中国法学》2002年第3期；刘星：《重新理解法律移植：从“历史”到“当下”》，载《中国社会科学》2004年年第5期；高鸿均：《法律移植：隐喻、范式与全球化时代的新趋向》，载《中国社会科学》2007年第4期。
高鸿钧教授近期对美国法在全球的推广进行了相当深入细致的介绍，这可视为后一种研究路径的代表。参见高鸿钧：《美国法的全球化》，载《中国法学》2011年第1期。
这样的论断难免草率和挂一漏万。事实上，宪法学界与国际法学界有关国际条约与
宪法效力等级关系的讨论、以及法院系统工作人员有关WTO与司法审查关系的一些探讨是比较具体、深入地。参见曹建明：《WTO与中国的法治建设》，载《比较法研究》2002年第2期；孔祥俊：《建立与WTO要求相适应的司法审查制度》，载《中国法学》2001年第6期；甘文：《WTO与司法审查》，载《法学研究》2001年第4期；江必新、程琥：《论判例在WTO争端解决中的适用》，载《法律适用》2010年第Z1期。
汉密尔顿、杰伊、麦迪逊著：《联邦党人文集》，程逢如、在汉、舒逊译，商务印书馆1980年版，第319页。
同前注。
Letter from Thomas Jefferson, Secretary of State, to M. Genet, French Minister (June 5, 1793), quoted in 1 JOHN BASSETT MOORE, DIGEST OF INTERNATIONAL LAW 10 (1906).
有学者指出，在美国建国早期，法院并不对国际法与外国法加以严格地区分，因为两者之间存在很多重合的区域。See Harold Hongju Koh, International Law as Part of Our Law, 98 A. J. I. L. 45 (2004).
2 U.S. (2 Dall.) 419, 474 (1793).
Murray v. Schooner Charming Betsy, 6 U.S. (2 Cranch) 64, 118 (1804).
13 U.S. (9 Cranch) 388, 423 (1815).
Marbury v. Madison, 5 U.S. (1 Cranch) 137, 163 (1803).
Id.
Id, at 168, 169.
Id, at 168-169.
对这些案例的详细梳理和介绍，参见Steven G. Calabresi & Stephanie Dotson Zimdahl, The Supreme Court and Foreign Sources of Law: Two Hundred Years of Practice and the Juvenile Death Penalty Decision, 47 Wm. & Mary L. Rev. 743.
See Sarah H. Cleveland, Foreign Authority, American Exceptionalism, and The Dred Scott Case, 82 Chi.-Kent. L. Rev. 393, 400.
例如，首席大法官坦尼指出，将非洲人后裔视为低等人种是当时“白色人种的闻名世界中固有且普遍”的态度，这也是“每一个欧洲国家公开历史”的一部分。库特斯大法官（Justice Curtis）则认为，正当程序原则来源于《大宪章》（Magna Carta），该原则并未禁止国会将奴隶贸易非法化。当然，在该案中，大法官们也在一些场合拒绝借鉴适用外国法。例如，库特斯大法官则拒绝参考罗马法，认为不管罗马法对于自由人做何种区分，“它们与我们的制度毫无相关”。首席大法官坦尼则拒绝在讨论第五修正案正当程序条款中的财产是否包括奴隶时参考国际公法。See Dred Scott v. Sandford, 60 U.S. 393 (1857).
Reynolds v. United States, 98 U. S. 145, 164.
Id, at 164-165.
Lochner v. New York, 198 U.S. 45, 71 (Harlan, J., dissenting).
Youngstown Sheet & Tube Co. V. Sawyer, 343 U.S. 579, 651-652 (Jackson, J., concurring).
Trop v. Dulles, 356 U.S. 86, 102 (1958);
Id, at 101.
Coker v. Georgia, 433 U.S. 584, 596, at note 10 (1977).
Enmund v. Florida, 458 U.S. 782, 796, at note 22 (1982).
Roe v. Wade, 410 U.S. 113, 130-138 (1973).
Thompson v. Oklahoma, 487 U.S. 815 (1988).
为此，他还进一步举例明义：尽管英国和新西兰并未完全废除死刑，但这两个国家不会对未成年人适用死刑。联邦德国、法国、葡萄牙、荷兰以及所有斯堪地纳维亚国家都已经废除死刑，而加拿大、意大利和瑞士只针对诸如叛国行为等例外情形适用死刑。而且，就连苏联也禁止对未成年人适用死刑。See Id, at 830-831.
Id, at 869, at note 4 (Scalia, J., dissenting).
Id.
Atkins v. Virginia, 536 U.S. 304, at note 21.
Id, at 323-324 (Rehnquist, C.J., dissenting).
Id, at 325, quoting Stanford, 492 U.S., at 369, n. 1 (Rehnquist, C.J., dissenting).
Id, at 325 (Rehnquist, C.J., dissenting).
Roper v. Simmons, 543 U.S. 551, 575-579 (2005).
详见本文第三部分“争论的主要观点”。
McIntyre v. Ohio Elections Commission, 514 U.S. 334, 381 (1995) (Scalia, J., dissenting).
Lawrence v. Texas, 539 U.S. 558 (2003).
Id, at 598, quoting Foster v. Florida, 537 U.S. 990, n., (2002) (Thomas, J., concurring in denial of certiorari).
See Full Transcript of Scalia-Breyer Debate on Foreign Law: The Court Should Never View A Foreign Legal Decision As A Precedent in Any Way, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
See Richard Posner, No Thanks, We Already Have Our Own Laws, available at
http://www.legalaffairs.org/issues/July-August-2004/feature_posner_julaug04.msp (Nov 17, 2010); Frank H. Easterbrook, Foreign Sources and the American Constitution, 30 Harv. J. L. & Pub. Pol’y 223;
Prepared Remarks of Attorney General Alberto R. Gonzales at the University of Chicago Law School(Nov. 9, 2005), available at
http://www.usdoj.gov/archive/ag/speeches/2005/ag_speech_0511092.html (最后访问日期2008年5月31日)。
Prepared Remarks of Attorney General Alberto R. Gonzales at the University of Chicago Law School(Nov. 9, 2005), available at
http://www.usdoj.gov/archive/ag/speeches/2005/ag_speech_0511092.html (最后访问日期2008年5月31日)。
Prepared Remarks of Attorney General Alberto R. Gonzales at the University of Chicago Law School(Nov. 9, 2005), available at
http://www.usdoj.gov/archive/ag/speeches/2005/ag_speech_0511092.html (最后访问日期2008年5月31日)。
See Gun Owners of America, Second Amendment Threatened by Supreme Court’s Use of Foreign Law, available at
http://gunowners.org/fs0603.htm (last visited Nov 19, 2010).
例如，联邦国会宪法分委员会主席、来自俄亥俄州的众议院Steve Chabot发表了如下言论：
“遗憾的是，在过去的几年中，我们见证了一种趋势，一种在我看来非常危险的趋势，即法院已经背离了坚持宪法真意的誓言和责任。通过在解释美国联邦宪法中援引和依赖外国法院的判决，法院不仅颠覆了开国先辈们的蓝图（vision），而且削弱（chipping away）了我们的立国核心原则，削弱了我国的主权和独立性。”
“经过两百多年的发展，我们国家已经拥有足够的先例和法典（corpus juris）供法院参考，以解释和决定联邦国会或者州立法是否在联邦宪法的许可范围之内。此外，我们的宪法已经明示其超然地位以及法院在维护这一宪法宗旨时所扮演的角色。”
See House Resolution on the Appropriate Role of Foreign Judgments in the Interpretation of the Constitution of the United States, available at
http://commdocs.house.gov/committees/judiciary/hju22494.000/hju22494_0.htm (last visited Dec 13, 2010).
这些决议分别是：H.R.Res.446,108th Cong., 1st Sess. (Nov. 18, 2003) (introduced by Jim Ryun, R-Kan.); H.R.Res.468,108th Cong., 1st Sess. (Nov. 21, 2003) (introduced by Sam Graves, R-Missouri.); H.R.Res.568,108th Cong., 2nd Sess. (March 17, 2004) (introduced by Tom Feeney, R-Florida.); H.R.Res.97,109th Cong., 1st Sess. (Feb. 15, 2005) (reintroduced by Tom Feeney, R-Florida.); S. Res.92,109th Cong., 1st Sess. (March 20, 2005) (introduced by John Cornyn, R-Texas.); H.R.Res.372,110th Cong., 1st Sess. (May 3, 2007) (reintroduced by Tom Feeney, R-Florida.)
S. Res.92,109th Cong., 1st Sess. (March 20, 2005); H.R.Res.372,110th Cong., 1st Sess. (May 3, 2007).
就连反对援引外国法的斯卡利亚大法官也对这一决议提出批评。他认为，国会在决议中将立法历史（legislative history）等同于立法的说法是不妥的。See Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305 (2004).
此外，针对众议院97号决议，著名的公益律师事务所——美国公民权利联合会（the American Civil Liberties Union, “ACLU”）发表了强烈的抗议信。信中指出，参考借鉴外国法并非一种意识形态的工具，而是美国法院一贯的做法，而且这种参考并不具有约束力。因此，该决议是对三权分立原则和司法独立的挑战。同时，这种做法也将严重损害美国在世界上的威信。See American Civil Liberties Union，ACLU Letter to the House of Representatives Regarding H.Res. 97 and the Interpretation of the Constitution in International Law (9/27/2005).
有些参议员在这一议题上态度之保守让人啼笑皆非。例如，在卡根大法官提名批准听证上，有参议员对其在担任哈佛大学法学院院长期间要求一年级学生必修一门国际法课表示强烈不满。Transcript of Elena Kagan Confirmation Hearing, available at
http://www.politicsdaily.com/2010/05/10/elena-kagan-confirmation-hearing-transcript-wake-me-when-its-o/ (last visited Dec 15, 2010).
Judge Sonia Sotomayor Advocates Use of International Law, available at
http://www.traditionalvalues.org/modules.php?sid=3662 (last visited Sept. 1, 2009).
Transcription of Sonia Sotomayor Confirmation Hearing, available at
http://www.washingtonpost.com/wp-dyn/content/article/2009/07/16/AR2009071602232_5.html (last visited Mar. 11, 2012).
Remarks by Justice O’Connor (delivered on Oct. 28, 2003), available at
http://www.southerncenter.org/OConnor_transcript.pdf (last visited Dec. 10, 2010).
Id.
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
布莱耶大法官为此举了个非常生动的例子。他在面对一个有关政府是否应当为教会学校提供代金券以及这种行为是否违反联邦宪法第一修正案中的立教条款（the Establishment Clause）时非常纠结、难以定夺。于是他研究了法国、英国以及其他国家的情况。结果发现这些国家的政府也做同样的事情，但并未出现负面影响。这些经验为他提供了非常有益的参考。See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec 4, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Justice Ruth Bader Ginsburg, “A Decent Respect to the Opinions of Kind”: The Value of A Comparative Perspective in Constitutional Adjudication (July 30, 2010), available at
http://www.supremecourt.gov/publicinfo/speeches/viewspeeches.aspx?Filename=sp_07_30_10.html (last visited Dec 5, 2010).
Louis Henkin, John Marshall Globalized, Proceedings of the American Philosophical Society, Vol. 148, No. 1 (Mar., 2004), p. 56. See also Remarks by Justice O’Connor (delivered on Oct. 28, 2003), available at
http://www.southerncenter.org/OConnor_transcript.pdf (last visited Dec. 10, 2010).
Remarks by Justice O’Connor (delivered on Oct. 28, 2003), available at
http://www.southerncenter.org/OConnor_transcript.pdf (last visited Dec. 10, 2010).
Remarks by Justice O’Connor (delivered on Oct. 28, 2003), available at
http://www.southerncenter.org/OConnor_transcript.pdf (last visited Dec. 10, 2010).
Remarks by Justice O’Connor (delivered on Oct. 28, 2003), available at
http://www.southerncenter.org/OConnor_transcript.pdf (last visited Dec. 10, 2010).
Remarks by Justice O’Connor (delivered on Oct. 28, 2003), available at
http://www.southerncenter.org/OConnor_transcript.pdf (last visited Dec. 10, 2010).
William H. Rehnquist, Constitutional Courts—Comparative Remarks (1989), reprinted in Germany and Its Basic Law: Past, Present and Future—A German-American Symposium 411, 412 (Paul Kirchhof & Donald P. Kommers eds., 1993).
Justice Ruth Bader Ginsburg, “A Decent Respect to the Opinions of Kind”: The Value of A Comparative Perspective in Constitutional Adjudication (July 30, 2010), available at
http://www.supremecourt.gov/publicinfo/speeches/viewspeeches.aspx?Filename=sp_07_30_10.html (last visited Dec 5, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Remarks by Justice O’Connor (delivered on Oct. 28, 2003), available at
http://www.southerncenter.org/OConnor_transcript.pdf (last visited Dec. 10, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Remarks by Justice O’Connor (delivered on Oct. 28, 2003), available at
http://www.southerncenter.org/OConnor_transcript.pdf (last visited Dec. 10, 2010).
Remarks by Justice O’Connor (delivered on Oct. 28, 2003), available at
http://www.southerncenter.org/OConnor_transcript.pdf (last visited Dec. 10, 2010)。
Alexis de Tocqueville, Democracy in America (New York: Langley, 1840), part 2, p36.
斯卡利亚特别指出，《联邦党人文集》中充斥着对欧洲许多制度的不尊重，并特别提到麦迪逊曾轻蔑地数落欧洲大陆的国家是一群“害怕让他们人民持有武器的人”。See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Roper v. Simmons, 543 U.S. 551, 624, (Scalia, J., dissenting), quoting Bivens v. Six Unknown Fed. Narcotics Agents, 403 U.S. 388, 415 (1971) (Burger, C. J., dissenting).
Id, at 624-625.
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
See David Stout, Democrats Press Alito for Specifics on Abortion, N. Y. Times, available at
http://www.nytimes.com/2006/01/11/politics/politicsspecial1/11cnd-confirm.html?_r=1&pagewanted=print (last visited on Mar 11, 2012).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305, 308 (2004).
Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305, 310(2004).
Richard Posner, No Thanks, We Already Have Our Own Laws, available at
http://www.legalaffairs.org/issues/July-August-2004/feature_posner_julaug04.msp (Nov 17, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Richard Posner, No Thanks, We Already Have Our Own Laws, available at
http://www.legalaffairs.org/issues/July-August-2004/feature_posner_julaug04.msp (Nov 17, 2010).
Richard Posner, No Thanks, We Already Have Our Own Laws, available at
http://www.legalaffairs.org/issues/July-August-2004/feature_posner_julaug04.msp (Nov 17, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Transcript: Day Two of the Roberts Confirmation hearings, available at
http://www.washingtonpost.com/wp-dyn/content/article/2005/09/13/AR2005091301210.html(last visited )。罗伯茨大法官这一说法借用了莱文瑟尔法官（已故联邦华盛顿特区巡回法院法官）对立法背景资料（legislative history）所做的评论。莱文瑟尔法官认为，参考援引立法背景资料就像在参加鸡尾酒会时在人群中搜寻你的朋友。See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305, 309 (2004).
Lawrence v. Texas, 539 U.S. 558 (2003).
Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305, 309 (2004).
Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305, 309 (2004).
Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305, 309 (2004).
Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305, 308 (2004).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305, 306 (2004).
See Crawford v. Washington, 541 U.S. 36 (2004).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Justice Ruth Bader Ginsburg, “A Decent Respect to the Opinions of Kind”: The Value of A Comparative Perspective in Constitutional Adjudication (July 30, 2010), available at
http://www.supremecourt.gov/publicinfo/speeches/viewspeeches.aspx?Filename=sp_07_30_10.html (last visited Dec 5, 2010).
Justice Ruth Bader Ginsburg, “A Decent Respect to the Opinions of Kind”: The Value of A Comparative Perspective in Constitutional Adjudication (July 30, 2010), available at
http://www.supremecourt.gov/publicinfo/speeches/viewspeeches.aspx?Filename=sp_07_30_10.html (last visited Dec 5, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Southern Center for International Studies, “Remarks by Sandra Day O’Connor”, available at
http://www.southerncenter.org/OConnor_transcript.pdf (最后访问日期2008年6月2日)。
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
See Full Transcript of Scalia-Breyer Debate on Foreign Law, available at
http://www.freerepublic.com/focus/news/1352357/posts (last visited Dec. 4, 2010).
Roper v. Simmons, 125 S. Ct. 1183, 1200 (2005).
Justice Ruth Bader Ginsburg, “A Decent Respect to the Opinions of Kind”: The Value of A Comparative Perspective in Constitutional Adjudication (July 30, 2010), available at
http://www.supremecourt.gov/publicinfo/speeches/viewspeeches.aspx?Filename=sp_07_30_10.html> (last visited Dec 5, 2010).
Justice Antonin Scalia, Keynote Address: Foreign Legal Authority In the Federal Courts, 98 Am. Soc’y Int’l. L. Proc. 305, 307 (2004).
