基于“态度”的司法决策  

Attitude-based Judicial Decision-making

作　　者：陈林林[1] 杨桦[2] 

机构地区：[1]浙江大学光华法学院,浙江杭州310008 [2]哈佛大学法学院,马萨诸塞剑桥02138

出　　处：《浙江大学学报（人文社会科学版）》2014年第3期164-174,共11页Journal of Zhejiang University:Humanities and Social Sciences

基　　金：教育部新世纪优秀人才支持计划(NCET-13-0512);国家社会科学基金项目(10CFX033)

摘　　要：对司法行为的经验研究表明,疑难案件中的司法决策取决于法官的"态度",即法官所持的意识形态或政策偏好。态度理论归纳了主导疑案裁判的三个决策变量:案件事实、态度,以及事实与态度之间的相互作用。态度模型作为一种主导型司法决策理论,能解释、预测大多数美国最高法院和联邦上诉法院的判决。因为受态度测量上的方法论局限,以及对制度性约束和法官角色认知的忽视,态度模型无法解释相当一部分案件的判决,也无法解决法官的意识形态漂移问题。在量化法官的投票行为时,态度理论实际将意识形态界定为法官的党派倾向。这种非此即彼的量化方式是粗糙的,它将法官描绘成"身披法袍的政客",这决定了它是一种片面的司法决策理论。As a representative of the empirical theory of judicial decision-making, the attitudinal model will be helpful in understanding the ＂open area＂ in hard cases, as well as answering the questions like how judges act, why are they acting like this, what will be the consequence of the action, and what intellectual instruments will be the most appropriate for the analysis of these issues. If we use the attitudinal model to predict the decisions of the Supreme Court of the United States, the accuracy is far above average. Among the various interpretative theories of the decision-making of the U.S. Supreme Court, the attitudinal model is dominant at present. The starting point of the attitude theory lies in the standpoint that judicial decision-making should not just depend on the application of the ＂right＂ legal rules. When deciding hard cases, the judge has a lot of discretion, and the exercises of discretion are directed by the judge＇s own views on public policy and rights. Judicial decision-making depends on three variants： （1） The facts of a case. This is the common core of both the attitudinal model and the legal model. However, the differences between the two modelsare that the legal model considers the facts in combination with legalism while the attitudinal model allows the Justices to vote by applying personal policy preference to the fact conditions. （2） Attitudes or policy preferences. They are the key in the attitudinal model. （3） The interaction between facts and attitudes. According to the analysis of the voting results from the Supreme Court and the Federal Courts of Appeals, judges＇ policy preference and votes are positively correlated, that is, the Justice appointed by a Democratic president are likely to vote in favor of the liberal wing while the Justice appointed by a Republican president will tend to vote for the conservative wing. No matter what method is used to determine the judges＇ political tendency and no matter which rank the judge belongs to in the judicial hier

关 键 词：态度 司法决策 意识形态 疑案裁判 法官角色认知 

分 类 号：D926.2[政治法律—法学]