Case Study Methodology
案例分析方法
Introduction
导 论
Sino-German Cooperation on Intellectual Property Rights
中德知识产权法合作项目
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I. Theoretical Background理论背景
1. Objectives of Law 法律、法规与规章的目的
 Regulating Society 管理社会
 Compensation for the State’s Monopoly on Force 国家垄断强制力量的补偿
 Steering Behaviour of the Population 指导人们的行为
2. Alternatives to the Law as the Organizing Principle?
法律之外可以作为社会组织原则的选择?
 Laws versus Policies 法规和政策
 Confucian versus Legalism 儒家学说和法家学说
 Art. 5 of the Constitution of the People’s Republic of China establishes the Rule of Law.
《中华人民共和国宪法》第5条确定了法治
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I. Theoretical Background理论背景
3. Successful Implementation of Law 法律的执行
a) Importance of the Application of the Law 法律适用的重要性
b) Solutions for Violation of Laws and Disputes 违法行为与纠纷的解决
4. Why People Obey or Disobey Legal Rules 人们遵守或违反法律规则的理
由
 Natural Adherence of Certain Rules 对于某些规则自然而然的遵守
 Adherence Due to Threat of Force 因为受到强制力量的威胁而遵守
5. Law and Justice (Justice, Legal Certainty, Transparency)
法律与正义 (正义,法律确定性和透明性)
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I. Theoretical Background 理论背景
6. Reasons for a Methodical Application of the Law
采用一定方法适用法律的理由
a. Problems in law application 法律适用中的问题
 Problem of different understandings of the language of a statute
对于法律条文语言的不同理解
b. Advantages of a uniform method: 一个统一的适用方法的优点:
 Harmonization 统一
 Transparency 透明
 Efficiency 有效率
 easier supervision 便于检查
 simpler self-control 易于自我控制
 unified reasoning schemes 统一推理结构
 fights corruption 防止腐败
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I. Theoretical Background 理论背景
7. Legal Certainty as a Uniform Application’s Main Advantage
统一法律适用最主要的好处-法律具有确定性
 Legal Certainty and the Rule of Law
法律确定性与法治
 Legal certainty can be the key to implementing the rule of law
法律确定性是实现法治的关键
 Legal certainty in China
法律确定性在中国
 Limits of legal certainty
法律确定性的局限
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II. Subsumption Method for Administrative Bodies
行政机关的归入技术
1. Principles of Subsumption Method 归入技术的原则
 Law is the beginning and the end of every subsumption
法律是每一次归入的起点和终点
 Will of the legislator has to be closely respected
立法者的意图必须最大程度的得到遵守
 Wording of a statute is in general the starting point and the limit of any
subsumption
法条的措辞一般来说就是每一次归入的起点,也是限制
 Method is to be strictly applied, no steps are to be left out
该方法必须严格适用,任何一个步骤都不得遗漏
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II. Subsumption Method for Administrative Bodies
行政机关的归入技术
2. Identification of possible legal basis 可能法律依据的确认
 Legal stipulation are mainly to be found in statutes (few times also in public contracts or
a combination of both)
法律规则通常主要在法令中找到(很少情况也在公共规约或者两者的结合中找到)
 Combination of factual preconditions with certain legal consequences
事实构成要件和一定法律后果的结合
 Not every legal provision within a statute represents a legal basis for an administrative
action
并不是一部法律里面的每一个法律条文都能成为某个行政行为的法律依据
(laws can also contain purely defining, descriptive or introductory articles without
stating any legal consequences
有的法律条文可能包含单纯的定义、描述性或者介绍性内容,而没有规定任何法律后果 )
 Identification of possible legal basis always starts from the legal consequence in
question 可能的法律依据的确认经常源于法律后果
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II. Subsumption Method for Administrative Bodies
行政机关的归入技术
3. Requirements and Legal Consequences 构成要件和法律后果
 Each legal basis for actions by administrative bodies or grant the citizen the right to
demand a specific act from the public authority can be divided into two parts
规定行政机关可以作出哪些行政行为、或者授予公民权利去要求行政机关作出具体行政行为的法律依据,可以被分为
两个部分。
» preconditions 构成要件
» legal consequence 法律后果
Note:
批注:
Administrative discretion only concerns the legal consequences.
行政自由裁量权则仅仅在判断法律后果的时候得到使用
 Necessary to extract the different preconditions contained in a legal basis
需要将该法条里面包含的不同构成要件抽象出来
 Single preconditions will then be compared to the facts one by one (Subsumption)
将各个构成要件逐一与事实作出比较 (归入)
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Example 举例
Art. 45 Trademark Law 商标法第45条:


Preconditions: If a registered trademark is used on crudely manufactured commodities that are
passed off as being of high quality, and thus deceives the consumers,
构成要件:使用注册商标,其商品粗制滥造,以次充好,欺骗消费者的,
Legal Consequence: the administrative departments for industry and commerce at various levels
shall circulate a notice on the matter or (and) impose a fine (up to 100,000 RMB).
法律后果:各级工商行政管理部门分别不同情况,责令限期改正,并可以予以通报或者处以罚款
(不超过10万人民币)。
I.
Before you start the subsumtion, identify and extract the single preconditions:
在进行归入之前,确定及抽象各个构成要件:




A registered trademark is used 一个注册商标被使用
on crudely manufactured commodities 商品粗制滥造
that are passed off as being of high quality 被拿来充当高质量的产品
the act deceives the consumers 欺骗消费者
II. Then every single precondition is compared to the facts according to the subsumtion
scheme
根据归入法,将各个构成要件逐一和事实做比较
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II. Subsumption Method for Administrative Bodies
行政机关的归入技术
4. The Steps of Subsumption 归入的步骤
 Step 1: Introductory sentence 总起句
 Step 2: Definition 定义
Definitions provided by law, or in case a term is not defined by law, one has to refer to
definitions developed in case law or in published interpretations of the law or in
commentaries
参考法律对此定义的规定,或者在法律并未作出明确规定的情况下,参考之前判例中对此的定义,或
者在公布的法律解释当中的定义,或者参考一些学术文章
 Step 3: Subsumption 归入
Compare the facts of the case to the definition and decide whether the facts fall under
the definition
将案件事实与定义作出比较,确定事实是否符合定义
 Step 4: Conclusion 结论
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II. Subsumption Method for Administrative Bodies
行政机关的归入技术
5. Difficulties within the Subsumption Method 归入方法中的困难点
 Definitions of Undefined Legal Terms/The Four Rules of Interpretation
没有定义的法律术语/法律解释的四个原则
» Definitions should be 定义应当
clear-cut 明确
abstract and universally valid
抽象、普遍有效
» The four modes of interpretation:
法律解释有四种方式
semantic interpretation
systematic interpretation
historical interpretation
teleological interpretation
字面解释
体系解释
历史解释
目的解释
 Development of the Law 法律的发展
» Analogy 类推
» Teleological Reduction 目的退缩
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II. Subsumption Method for Administrative Bodies
行政机关的归入技术
6. Determination of the Legal Consequences 确定法律后果
 Legal Consequences without Discretion
不允许自由裁量的法律后果
 Legal Consequences with Discretion 允许自由裁量的法律后果
- Decision to Act or to Remain Passive 作为还是不作为
- Choice of Means 选择行为方式
- Choice of Addressee 选择行政相对方
- Limits of Administrative Discretion » Principle of proportionality
行政自由裁量权的限制 »比例原则
Note:
批注:
The public authority must exercise discretion 行政机关必须行使了自由裁量权
The authority must take only the relevant arguments into account
行政机关必须只考虑了相关的理由
The authority must take all relevant arguments into account
行政机关必须考虑了所有相关的理由
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II. Subsumption Method for Administrative Bodies
行政机关的归入技术
7. Formal and Procedural Requirements
形式及程序要件
 Formal and Procedural Requirements 形式及程序要件
1. Administrative Organ legally competent (empowered) to act? 行政机关是否有相关职权?
(a) Competence on the subject matter 事项管辖权
(b) Local competence 地域管辖权
2. Administrative act in accordance with the formal requirements? 行政措施的相关形式要件
 Substantive Preconditions 实质要件
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II. Subsumption Method for Administrative Bodies
行政机关的归入技术
Preconditions: 前提:
 Identify possible legal basis 确定可能的法律依据
 Identify the preconditions of the legal basis 确定该规定的各个要件
Subsumption for each of the preconditions: 归入:
 Step one: Introductory Sentence: What issue/ which pre-requisite is to be examined?
第一步:总起句:需要审查什么问题/什么要件?
 Step two: Definition: Give a definition of the prerequisite using 第二步:定义:给出指向的要件的定义
 Definitions provided in the law 法律规定的定义
 Definitions by courts, commentaries etc. 司法解释、判例、学术文章等中的定义
 If the definition is in dispute: 如果针对定义存在分歧:
» State first opinion 说明第一种观点
» State second opinion 说明第二种观点
» Discuss all opinions and state which one you follow (give persuasive reasoning!)
对所有观点进行讨论,并说明你将采用哪种观点(务必给出令人信服的理由!)
 If the definition still includes unclear expressions: start new, “inner” subsumption
如果定义仍然含有不明确的内容:启动一个新的“嵌入”的归入过程
» Step 1 第一步
» Step 2 第二步
» Step 3 第三步
» Step 4 第四步
» Resume the “outer” subsumption with your conclusion of the inner subsumption
根据嵌入归入的结论,继续回到原先的归入过程
 Step three: Comparison/Subsumption: Compare the facts of the case to the definition 第三步:比较/归入:将案件事实与定义作出比较
 Step four: Conclusion: State the result of your comparison; always mirror the Introductory Sentence! 第四步:结论: 说明比较的结果,务
必与总起句严格呼应!
Overall Conclusion: 结论:
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Thank you! 非常感谢!
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