• 沒有找到結果。

第二類批評,我們難以將某國會議員的意見、陳詞視為立法者意圖的代表。Eskridge 與 Frickey 和 Garrett 認為,所有的 intentionalism,也就是本文用以統稱所有 intentionalism 的立法目的 主義,都共享這二個困難。請見 WILLIAM N.ESKRIDGE,JR.,PHILIP P.FRICKEY AND ELIZABETH GARRETT,supra note 32, at 218-22.

80 形式主義的基本概念請見 Frederick Schauer, Formalism, 97YALE L. J. 509, 510 note 68 (1988) (“At the heart of the word “formalism,” in many of its numerous uses, lies the concept of decision-making according to rule.”); 以及 Richard A. Posner, Legal Formalism, Legal Realism, and The Interpretation of Statutes and the Constitution, 37CASE W.RES.L.REV. 179, 180-182 (1987) (“I want it to mean the use of deductive logic to derive the outcome of a case from premises accepted as authoritative. Formalism enables a commentator to pronounce the outcome of the case as being correct or incorrect, in approximately the same way that the solution to a mathematical problem can be pronounced correct or incorrect.”). (emphasis added)

81 Posner 法官曾精準表述形式主義者對於法官裁判與法律客觀意義之間的必然聯繫的信念,

請見 RICHARD A.POSNER,REFLECTIONS ON JUDGING 4-5 (2013) (“The character of legal formalism can be captured in such slogans as “the law made me to it” or “the law is its own thing.” The law as seen from the formalist perspective is a compendium of texts, like the Bible, and the task of the judge or other legal analyst is to discern and apply the internal logic of the compendium…”).

(emphasis added)

82 以下形式主義者的三個攻擊路線整理自 William N. Eskridge, Jr., supra note 38, at 646-50.

義者包括 Frank Easterbrook 法官、83Kenneth Starr 法官、84時任特區巡迴上訴法 院法官 Antonin Scalia 法官、James Buckley 法官、85Alex Kozinski 法官,86以及 1989 年司法部根據前述主張所做成的評估立法史考察的報告。87有些形式主義者

83 請見 Frank Hoover Easterbrook, The Role of Original Intent in Statutory Construction, 11 HARV J.

L.&PUB.POLY 59 (1988); Easterbrook, supra note 74, at 548; Frank Hoover Easterbrook, Legal Interpretation and the Power of the Judiciary, 7 Harv. HARV J.L.&PUB.POLY 87 (1984); 判決 部份請見 In re Sinclair, 870 F.2d 1340 (7th Cir. 1989) (Easterbrook, J.); Marozsan v. United States, 852 F.2d 1469, 1498-1501 (7th Cir. 1988) (Easterbrook, J., dissenting,); Wisconsin Knife Works v.

National Metal Crafters, 781 F.2d 1280, 1291 (7th Cir. 1986) (Easterbrook, J., dissenting).

84 請見 Kenneth W. Starr, Observations About the Use of Legislative History, 1987 DUKE L.J. 371 (1987); 及其判決 United States v. McGoff, 831 F.2d 1071, 1080 n. 19 (D.C. Cir. 1987) (Starr, J.);

American Mining Congress v. EPA, 824 F.2d 1177, 1190 (D.C. Cir. 1987) (Starr, J.); Natural Resources Defense Council, Inc. v. EPA, 822 F.2d 104, 113 (D.C. Cir. 1.987) (Starr, J.); Federal Election Commission v. Rose, 806 F.2d 1081, 1089-90 (D.C. Cir. 1986) (Starr, J.).

85 請見 United States v. Nofziger, 878 F.2d 442, 447-49 (D.C. Cir.) (Buckley, J.), cert. denied, 110 S.

Ct. 564 (1989); Overseas Educ. Ass’n, Inc. v. Federal Labor Relations Auth., 876 F.2d 960, 974-75 (D.C. Cir. 1989) (Buckley, J., joined by Starr, J., concurring in part); IBEW Local 474 v. NLRB, 814 F.2d 697, 715-17 (D.C. Cir. 1987) (Buckley, J., concurring).

86 請見 Wallace v. Christensen, 802 F.2d 1539, 1559-60 (9th Cir. 1986) (Kozinski, J., concurring in the judgment).

87 UNITED STATES DEPT OF JUSTICE,USING AND MISUSING LEGISLATIVE HISTORY:ARE-EVALUATION OF THE STATUS OF LEGISLATIVE HISTORY IN STATUTORY INTERPRETATION (1989).

88 請見 Oliver Wendell Holmes Jr., The Theory of Legal Interpretation, 12 HARV. L. REV. 417, 419 (1899). Easterbrook, supra note 82 (The Role of Original Intent in Statutory Construction), at 61;

Starr, supra note 83, at 378 (1987). 判決請見 American Mining Congress v. EPA, 824 F.2d 1177, 1190 n.19 (D.C. Cir. 1987) (Starr, J.);UNITED STATES DEPT OF JUSTICE,supra note 86, at 20 (1989).

‧ 國

立 政 治 大 學

N a tio na

l C h engchi U ni ve rs it y

50

改法律的成果就是法律的文義,法院在解釋國會通過的法律時,處理的也是法律 的文義。如果法院在解釋法律時,不優先考察法律文義甚至忽略法律文義,反而 去優先考察甚至僅僅考察立法者原意或目的,則國會將可以藉此控制法院對法律 文義的解釋。在這種情形下,法院解釋法律文義的憲法功能等同於被國會篡奪,

憲法對立法權和司法權的區分所蘊涵的權力分立也會被打破。89

第二個路線強調,文義解釋是防止法院篡奪憲法所賦予國會制定政策的立法 權力的必要條件。90Easterbrook 法官也主張,在代議民主(representative democracy)

的政體中,政策(policies)是由大多數人民所選出的大多數代議士形成和制定的,

以實現人民的自我統治。雖然在某些情況下,法官不可避免地會做出影響政策的 判決,但若法官在解釋法律時考察立法史甚至根據立法史推翻明確文義,則無疑 將增加甚至大幅強化法官裁量政策的空間,這種政策裁量在代議民主體制中是不 正當的。91

Starr 法官也指出,若法官在解釋法律時將探究的範圍從相對具體的文義擴 大到立法史的考察,則這將擴大法官能選擇的解釋,從而使得法官可以很容易地 從相對寬泛的解釋選擇中找到符合自己偏好的解釋。Starr 法官批評,法官在立法 史考察中能找到的只是他自己想找的答案。Kozinski 法官則批評,立法史考察所 能引用的資料幾乎可以用來支持所有命題。92Leventhal 法官更批評,從立法史考 察引用相關資料其實就是從一群人中挑出你自己的朋友罷了。93

第三個路線強調,不論立法史考察引用的是提案人提案說明,或引用委員會 記錄,或甚至二院協商記錄,都會歪曲了憲法所規定的,所有國家機關在法律生

89 請見 UNITED STATES DEPT OF JUSTICE, supra note 86, at 34 (1989); Wallace, supra note 85, at 1560 (Kozinski, J., concurring in the judgment) (強調法院在法律解釋上的獨特功能).

90 如 Starr 法官,請見 American Mining Congress, 824 F.2d at 1190 note19 (Starr, J.).

91 請見 Easterbrook, supra note 82,at 62-63 (1988).

92 請見 Starr, supra note 83, at 376 (1987); 判決部份請見 Wallace, supra note 85, at 1559 (Kozinski, J., concurring in the judgment) (“The fact of the matter is that legislative history can be cited to support almost any proposition, and frequently is.”).

93 請見 Patricia M. Wald, Some Observations on the Use of Legislative History in the 1981 Supreme Court Term, 68 IOWA L.REV. 195, 214 (1983).

‧ 國

立 政 治 大 學

N a tio na

l C h engchi U ni ve rs it y

51

效與適用過程中所扮演的結構角色。94美國憲法明確規定,法律生效的程序是參 議院和眾議院二院都通過該法律,且總統在不行使否決權的前提下簽署法律,或 在行使否決權後二院仍以足夠比例的票數通過該法律,換言之,法律通過和生效 的程序不僅僅是由單一國會或二會參與,連總統也參與其中。

Starr 法官認為,若確定法律客觀意義不靠具體的文義而要靠立法者原意或 目的,而立法史的考察所引用的又總是、僅僅是立法機關在立法過程中某一環節 的資料,則這無異於扭曲甚至消除了憲法所規定的使法律生效的其他國家機關

(例如總統)的結構條件。再者,若總統和國會都是法律制定與生效的國家機關,

則立法史考察僅僅考慮其中一個機關甚至一個機關的一個環節時,其他機關的原 意就被忽略。95

依此,這三個論證都蘊含一種與立法目的主義的階層式權力分立觀極為不同 的觀點,即司法機關與立法機關應嚴格分立,不可干預憲法賦予彼此的功能。由 於司法機關不從屬國會,因而,忠實代理人原則、階層式的權力分立觀是錯誤的。