八、结语
如果我把关于法律实证方面和规范方面相互作用的讨论与之前关于理论框架和规范框架的阐述联系起来,我会认为理论框架和规范框架之间的区别并不总是那么明确。当然,支持解释和因果关系问题的框架与支持评价和规范建议问题的框架之间也存在着重大区别。不过,那些试图公正对待描述准确性和规范性深度的研究人员,则需要将这两种类型的框架联系起来。一个规范框架本身可能需要证明其合理性,而这种合理性在一定程度上取决于对人和社会性质的解释性理论。再者,如第6节所述,对法律工作价值的充分理解需要以对法律事实和制度背景的理解为基础。
明确规范标准,密切关注支持法律规范判断的争论,对于提高法律研究质量具有重要意义。然而,这也不应使法律学者忘记他们对法律的描述和评价之间的密切联系。
(编辑:戴津伟)
[1]Sanne Taekema,鹿特丹伊拉斯谟法学院教授。本文在很大程度上是与许多同事共同教学和讨论的成果。我与Ellen Hey一起讲授的研究实验室课程一直是这些想法发展的重要场所,感谢Ellen Hey和多年来所有参与者的宝贵意见。还要感谢Wibren van der Burg和Bart van K link的评论。
[2]张钢,男,安徽太和人,华东政法大学2015级法律史专业博士研究生,国防大学政治学院讲师,研究方向为法理学、军事法学。
[3]See Terry Hutchinson&Nigel Duncan,“Defining and describing what we do:doctrinal legal research”,Deakin Law Review,17(1),2012,p.107.
[4]人文学科中的大多数学科,如哲学或文学研究,对研究的理论嵌入也不是很明确。例如,在哲学中,一种常见的方法是使用或回应某一特定的理论,而不是将研究放在更广泛的领域。
[5]关于社会科学中的理论和理论框架的说法,大多也适用于自然科学,自然科学同样注重理论与实证研究结果之间的联系。在此,我不准备讨论自然科学。
[6]See Mark Van Hoecke,“Legal doctrine:Which method(s)for what kind of discipline?”In Mark Van Hoecke,ed.,Methodologies of legal research:Which kind ofmethod for what kind of discipline?Oxford:Hart,2011,pp.1-18.
[7]See Dawn Watkins&Mandy Burton,Research methods in law,Abingdon:Routledge,2013.
[8]See Michael Salter&Julie Mason,Writing law dissertations:An introduction and guide to conducting legal research,Harlow:Pearson Education,2007,p.44.
[9]See J.B.M.Vranken,“Exciting times for legal scholarship”,Recht en Methode in onderzoek en onderwijs(Law and Method)(2),2012,pp.42-62.A lso see Sanne Taekema,(2011).“Relative autonomy.A characterization of the discipline of law”,In Bart van Klink&Sanne Taekema,Ed.,Law and method.Interdisciplinary approaches to legal research.Tübingen:Mohr Siebeck,2011,pp.33-52.
[10]就荷兰学术界而言,可以参考IJzermans 2015年发表论文的观点,IJzermans已将其作为持续研究项目之一。
[11]See PaulineWesterman,“Open or autonomous?The debate on legalmethodology as a reflection of the debate on law”,In Mark Van Hoecke,ed.,Methodologies of legal research:Which kind of method for what kind of discipline?Oxford:Hart,2011,pp.87-110.
[12]See J.B.M.Vranken,“Methodology of legal doctrinal research:A comment on Westerman”,In Mark Van Hoecke,ed.,Methodologies of legal research:Which kind ofmethod for what kind of discipline?Oxford:Hart,2011,pp.111-121.
[13]See Mark Van Hoecke,“Legal doctrine:Which method(s)for what kind of discipline?”In Mark Van Hoecke,ed.,Methodologies of legal research:Which kind of method for what kind of discipline?Oxford:Hart,2011,p3.Also see J.B.M.Vranken,“Methodology of legal doctrinal research:A comment on Westerman”,In Mark Van Hoecke,ed.,Methodologies of legal research:Which kind of method for what kind of discipline?Oxford:Hart,2011,pp.117-118.
[14]这是一个较为广泛的问题,即缺少方法论教科书。有的教科书也没有提供有关如何进行法律理论研究的实用指导。用英语写的法律方法著作通常以实践为导向(例如:McLeod 2005),而研究方法著作则更注重社会法律研究而不是法教义学研究(例如:McConville&hui2007)。
[15]See Joseph A.Maxwell,Qualitative research design:An interactive approach(3rd edn),Thousand Oaks:Sage,2013.A lso see Earl Babbie,The practice of social research(13th edn.),Belmont:Wadsworth,2013.
[16]See Sotirios A.Barber&James E.Fleming,Constitutional interpretation:The basic questions,Oxford:Oxford University Press,2007.
[17]See Boris Blumberg,Donald R.Cooper&Pamela S.Schindler,Business research methods,New York:M cGraw-Hill,2008,pp.106-148.A lso see Justus J.Randolph,“A guide to w riting the dissertation literature review”,Practical Assessment,Research&Evaluation,2009,14(13),pp.1-13.
[18]See Scott Burchill&Andrew Linklater,ed.,Theories of international relations,Basingstoke:Palgrave Macmillan,2013.
[19]See Michael C.Jensen&William H.Meckling,“Theory of the firm.Managerial behavior,agency costs and ownership structure”,Journal of Financial Economics,1976,4(3),pp.305-360.
[20]See R.Edward Freeman,Strategic management:A stakeholder approach,Boston:Pitman,1984.
[21]See Cass Sunstein,ed.,Behavioral law and economics,Cambridge:Cambridge University Press.2000.
[22]See Mark Van Hoecke,“Legal doctrine:Whichmethod(s)for what kind of discipline?”In Mark Van Hoecke,ed.,Methodologies of legal research:Which kind ofmethod for what kind of discipline?Oxford:Hart,2011,pp.1-18.
[23]See Derek Layder,Sociological practice:Linking theory and social research,Thousand Oaks:Sage,1998,doi:http://dx.doi.org/10.4135/9781849209946.Also see Joseph A.Maxwell,Qualitative research design:An interactive approach(3rd edn),Thousand Oaks:Sage,2013.
[24]See Piergiorgio Corbetta,Social research:Theory,methods and techniques,Thousand Oaks:Sage,2003,doi http://dx.doi.org.eur.idm.oclc.org/10.4135/9781849209922.n3,pp.57-59.
[25]See Barney G.Glaser&Anselm L.Strauss,The discovery of grounded theory:Strategies for qualitative research,Chicago:A ldine,1967.
[26]然而,实证法律研究正在迅速普及,也是方法论研究的主题。例如,参见Van den Bos&Hulst 2016,Dhami&Belton 2016,Melville&Hincks 2016和Webley 2016发表在《Law and Method》上的论文。
[27]Van der Burg 2017年区分了评价性问题,如“法律是好的吗?”;来自规范性问题,如“如何改进”?(https://www.daowen.com)
[28]通常,采取建议改进立法的形式,但也可能涉及解释法规或制定判例法的新方法,或承认新的法律原则的必要性。
[29]See PaulineWesterman,“Open or autonomous?The debate on legalmethodology as a reflection of the debate on law”,In Mark Van Hoecke,ed.,Methodologies of legal research:Which kind ofmethod for what kind of discipline?Oxford:Hart,2011,p.90.
[30]See J.B.M.Vranken,“Methodology of legal doctrinal research:A comment on Westerman”,In Mark Van Hoecke,ed.,Methodologies of legal research:Which kind ofmethod for what kind of discipline?Oxford:Hart,2011,pp.111-121.
[31]See Lina Kestemont,(2015).“A meta-methodological study of Dutch and Belgian PhDs in social security law:Devising a typology of research objectives as a supporting tool”,European Journal of Social Security,2015,17(3),p.373.
[32]广义而言,关于法律研究的内部和外部观点,可参见Taekema 2011。
[33]Hart(1994)和Dworkin(1978)之间的经典辩论与此相关,以及后来关于包容性实证主义的讨论(Waluchow 1994)。
[34]我所说的法律学说,是指律师为澄清和系统化实在法所做的学术工作。
[35]See John Rawls,A theory of justice,Cambridge:Belknap,1971.
[36]See Umberto M.Unger,The critical legal studiesmovement:Another time,a greater task,Cambridge:Harvard University Press,1986.
[37]尽管这些理论不必是哲学的,但其他规范理论,例如规范经济学,也可能产生外部标准,例如效率(比较Kestemont2015,p.374)。
[38]同样,可以提出的问题是,法律目的在何种意义上真正存在于法律内部?
[39]SeeWibren Van der Burg,“Themerits of law:An argumentative framework for evaluative judgements and normative recommendations in legal research”(working paper).2017,SSRN:https://ssrn.com/abstract=3020624.
[40]在其他地方,我认为这意味着大多数法律研究,尤其是教义法学,采取了适度的内部视角:它从其他学科中汲取见解,但它仍然致力于针对法律实践的规范性论证(Taekema 2011,p.50)。
[41]Franken 2004年在荷兰关于法律研究性质的辩论中即主张这种双重性。
[42]我关于如何将这些结合起来的观点,参见本文第6节和第7节。
[43]See Sanne Taekema,“Relative autonomy.A characterization of the discipline of law”,In Bart van Klink&Sanne Taekema,eds.,Law and method.Interdisciplinary approaches to legal research,Tübingen:Mohr Siebeck,2011,pp.33-52.
[44]See Mathias Siems,Comparative law,Cambridge:Cambridge University Press,2014,pp.22-23.
[45]Compare Mathias Siems,Comparative law,Cambridge:Cambridge University Press,2014,p.221.
[46]关于Kelsen理论在这方面的讨论,可参见Van Klink and Lembcke,2016,pp.212-214。
[47]将事实和法律规范联系起来的重要传统是解释学(Smith 2011)和解释主义(Dworkin 1986)。
[48]See David Papineau,“Naturalism”,In Edward N.Zalta,ed.,Stanford encyclopedia of philosophy(Winter 2016 edn),https://plato.stanford.edu/archives/win2016/entries/naturalism/.
[49]See Jakob v.H.Holtermann&Mikael Rads Madsen,“What is empirical in empirical studies of law?A European new legal realist conception”,Retfærd,2016,39(4),pp.3-21.
[50]See Maksymilian Del Mar,“The natural and the normative:The distinction,not the dichotomy,between facts and values in a broader context”,In S.Taekema,B.van Klink&W.de Been,eds.,Facts and norms in law.Interdisciplinary reflections on legalmethod,Cheltenham:Edward Elgar,2016,pp.224-241.
[51]在实用主义文学中,被否认的二元论实际上是事实和价值的二元论(Putnam 2002)。然而,我认为规范和价值在学术界是同一领域的部分,在本体论上,规范是价值的义务表达(即提供实现价值所需的行为标准)。在本文中,我将使用事实和规范或规范性作为主要区别,包括必要的价值。
[52]See Philip Selznick,A humanist science:Values and ideals in social inquiry,Stanford:Stanford University Press,2008,pp.55-56.
[53]这种实用主义形式与进化思维有着密切的联系。比较De Been 2008,p14.
[54]See John Dewey,Reconstruction in philosophy,the middle works,1899-1924(Vol.12),Carbondale:Southern Illinois University Press,1988,p.174.
[55]See Maksymilian DelMar,“The natural and the normative:The distinction,not the dichotomy,between facts and values in a broader context”.In S.Taekema,B.van K link&W.de Been,eds.,Facts and norms in law.Interdisciplinary reflections on legalmethod,Cheltenham:Edward Elgar,2016,p.235.
[56]See Martin Krygier,Philip Selznick:Ideals in theworld,Stanford:Stanford University Press,2012.pp.202-204.
[57]See Philip Selznick(with P.Nonet and H.Vollmer),Law,society and industrial justice,New York:Russell Sage Foundation,1969,p18.
[58]试图将所有这些要素结合到一个广泛的规范理论中,这种方法即是广义的反思均衡方法(Daniels 1996)。