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屠宰场案的负面影响(修订版)/宋飞译

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本人于2005-12-4在贵站发表的译文《屠宰场案的负面影响》,经再次修改,现重新修订并发表!

屠宰场案的负面影响(修订版)

[美]威廉.H.麦勒 著
宋飞 译

(本文及《美国诉微软案》译自《法律界名人英语经典演说辞》 项阳编著(5元丛书第五辑 主编 马德高 张晓博 范希春) 中国对外经济贸易出版社2000年8月第1版 此次翻译未经原作者及编著者的同意,故仅供学术研究使用。)


每天,成百上千的美国人被卷入严重的民事纠纷中,这在美国是史无前例的。这些人因自己的行为而面临逮捕、罚款乃至监禁的风险。你不会再看到有人在声势浩大的游行示威后被纠察队员驱赶或是从运粮车旁拖走。相反,你会发现通过千辛万苦和努力奋斗为自己家庭挣取诚实收入的人们被起诉。他们遵守着全国范围的州市两级法律和规章,可悲地是,这些事情竟让他们触犯了法律。
这些辛勤劳动的男女们反倒成为了这片大陆的法律之下的贱民,这就是屠宰场案和提倡经济自由化的宪法保护的全部内核所造成的负面影响。
在屠宰场案中,最高法院以一个5比4的判决(在那时是一个少见的秘密投票)准许被行贿的路易斯安那州立法机关为正在进行屠宰的家禽创制一个长达25年的垄断法令。立法机关授予一家公司以独占权,让其经营新奥尔良的一家屠宰场,其它屠夫如果要进行家禽屠宰,就得使用那里的设施并接受它的收费服务。失去生计的屠夫们为保护其经济自由权利,向法院提出对这部新制定的第14修正案中的“特权或豁免”条款进行审查。
对当时的屠夫们和如今的美国人来说,不幸的是,法院没有同意屠夫们的要求。大多数法官抛开该条款的本来意图,认为“特权或豁免”包含的仅是宪法所认可的原权利,正如宪法规定人们有权从事对外贸易、有权申请人身保护令状、有权自由进行州际迁徙。但这个条款并不违反人权法案,也不违反经济自由化原则。
什么样的人挺过了这样的诉讼之灾?像二十年前移民到美国开始新生活的医院职工赫克托. 尼克兹这样的人.以前,当他失去他的工作, 他可能会继续靠福利救济或者沦为失业.现在则相反,他决定到纽约的通勤专车上为他的皇后社区从事安全、高效率、低成本的运输工作。
每天,赫克托在他所在地区开车送几千人次上下班.而且他不孤独,上百名其它企业的通勤专车司机与他干着同样的事,每天送近4万人次往返于皇后社区与布鲁克林之间.赫克托有一个忠实的客源和一个没有污点的安全记录,正如我的同事尼克尔.加内特喜欢说的那样,他与其它司机"都是从事送人们上下班的工作".
身处一个超过10%的人口依靠公共救济、将近2%的经济是由黑市操纵的城市中,你如果认为,这样一家诚信企业会得到鼓励支持,那么你就错了。依照纽约州的法律,像赫克托. 尼克兹和他的同行们的行为是非法经营,因为他们在与处于垄断地位的公汽竞争。按照法律,他们的客车定期会被没收,他们还会被迫交纳繁重的罚款。而且,在客车服务只收1美元一乘次的同一线路上,提供糟糕透顶的服务的公汽却要收高达3.95美元一乘次,除此之外,每一乘次还要收1.5美元的小费。市政会的一个铁三角--运输业工会,与公汽公司一道,操纵着对赫克托不公平的运输制度,阻碍后者上路经营,如有不从还会对其提起索偿诉讼。
那时像塔利布-T.乌克达和他妻子帕麦拉.法勒这样从80年代早期就开始在哥伦比亚特区经营首批非洲发艺沙龙的人,通过不懈努力,用他们积攒下来准备买车的500美元,开办企业。本着正当经营和将编辫视为一种商业和艺术形式的理念,不久他们的规模就壮大了,并雇请10人为他们经营沙龙。
然而有一天,美容业警察找上门来,要看塔利布的营业执照。塔利布告知此人他没有营业执照,但假如没有对他的生意很不方便,他会申请一个的。
当他了解到在哥伦比亚特区从事编辫,你就得申请领取美容业执照,而拥有这种执照你就得交5000美元去接受大约3到9个月的培训,完成1500个小时的课堂作业。事实上1500个小时全部都要花在与头发天然护理和编辫完全无关的课程上;在培训结束后,他还得用手势和夹卷发以及1938年法案通过时在白人妇女间流行的发型来展示自己的才艺。而且这还不够坏,为了能继续经营沙龙,他还得进修以争取一个经理人执照。所有这些让塔利布感到震惊。
塔利布,像许多其他被设置准入条件的企业一样,面临着不可理喻的要求,这使得他们不得不忽视办理执照,而理性地去决定继续做生意。当然一切努力都命中注定要通过正常途径获取财政支持,或者甚至要做广告。然而,要想获得一个好的生存,塔利布、法勒及其雇员还要继续做生意。
不久,美容业警察又找上门来,这次,塔利布被告知因他没办经营执照,要处高达1000元一天的罚款和一次监禁。这对他们越来越红火的生意无疑是一个巨大的打击。我很荣幸地提到一点,在塔利布等人和司法研究所的不懈努力和大量工作下,政府已宣布撤销对塔利布沙龙的管制规定。通过这个经典的企业案例,他们已在全国继续推广着头发天然护理和编辫,并使二者日益专业化,他们还努力尝试清除到现在仍在全国各个州困扰他们的这个壁垒。
以上这两位,是数不清的英雄中的代表。他们每天都在为抵制州和地方政府为规制市场准入而设置的任意和非理性的法律而奋斗。专家指出,如果存在于州和地方层次的广泛的行政许可法规文件都被取消的话,至少全国有10%的市场占有额将因准入条件的放开而从中受益。
像赫克托和塔利布这样没有一点资本又没有受过正式教育的广大民众来说,法律责任正沉重地压在他们肩上。这些法律壁垒意味着不仅仅是不便或做生意成本的增加,而且还是他们命中注定被正式的经济环境所排斥,而成为靠福利救济而生活的人群。
为了分析企业家准入设限壁垒的遍及情况,司法研究所最近受命对以下7个城市进行调查研究。它们分别是格斯顿、巴尔蒂摩、查罗蒂、底特律、纽约、旧金山和圣迭戈。通过调查研究,我们发现,政府为市场准入设置的合法壁垒遍及广泛,似乎无处不在。例如,在底特律,存在帮母亲摆脱靠福利救济的请保姆照料儿童的急切需求,许多妇女都渴望保姆能为其提供安全且富有爱心的家政服务。依政府设立的条件,儿童中心主任必须是在一所可信赖的大学里工作过60个学期,并且按期组织禁止将小孩丢在公寓里照料的联合检查。结果,在密歇根,大约有超过1.5万名保姆被查出没有营业执照。再看看查罗蒂,你会发现当地已出台一项对家政业发展的禁令,毫无道理地极大阻碍其发展,是为适应全职母亲、老年人和上远班的人而配备的理想职位。而且在纽约,除了受通勤车执照管制的倒霉鬼赫克托之外,要想做一个美容业主,你必须完成超过1600个小时的课堂作业以训练其手艺。当这与纽约政府要求的要想成为一名从事恢复正常心律的高级急救药剂师就得接受116个小时的培训或者要想成为官方认可的防暴保安就得接受47个小时的培训相比,为这个培训所抱怨的任何公共安全和健康要求都会随之而去,转向全心投入。
摆在人们让人面前的问题是,在屠宰场案导致的不幸后果中,法院常规性地认定这样一些垄断和许可证制度这一点让人费解。司法评价的标准竟如此宽大以致于对所有甚至不需要在主张公共健康和安全目标以及政府选择方式以达到这些目标之间相合适。的确,任何合理的可信服的事实只会使一部法律正当地成为当法律通过时即使这一事实决没有经立法机关认真考虑过。
今天这一方式甚至存在于福利改革的不幸后果中,与体验福利权相比,诚信劳动挣钱生活的权利享受不到多少法律保护。
在“特权或豁免条款”缺位时,法院起草其它宪法条款和发展各种各样的法律理论以规制经济管理,最大的争议当然是正在维持的预期过程。最终,这些替代性的宪法性的宪法条款被证明不足以完成它们决不清楚的有意识地表达。结果,只要屠宰场案确立的标准不被挑战,经济自由就保持在宪法的被放逐。
使朦胧通过现在事务状态可能会和使干预年度加长,三个趋势为永久的屠宰场案翻案前景提供希望和为特权或豁免条款重构宪法活力。
首先,学识的不断增长的主体挑战着屠宰场案的道德和法律支持。的确,每个严肃的检验过此案的学者,都相信这是一个错误的判决。学术界和伴随的知识骚动,为推翻这个有害的先前判例提供关键的动力。
与骚动同时发生的是最高法院为认识一些到目前为止未被检验的政府权威的边缘,明显推迟像卢卡斯和洛佩兹这样案子的审理。也许最让人诱惑的是,瑞恩奎斯特法官在多兰案中好像已打开将偏爱宪法权利和那些像经济自由和与次一级威胁相关的财产权利之间一分为二的大门。他指出:“为何把第五修正案这个条款与作为人权法案和第一或第四修正案并列,谈得得那么多,我们认为应该使之降级到后者的一个穷亲戚的地位......”
同时,压倒性的优势的证据和正在大量增加的意见一致的认可福利国家的失败,尤其是在城市内部。这为赞同打开设置准入条件的机会和移开不必要的政府对城内企业的压制的争辩提供了一个社会政治的成熟气候。为了决定屠宰场案中什么应更换,我看没有比从法官布拉德利、菲尔德和斯韦尼的异议更好的地方提起了。在那里你会发现经济自由的一个基础,正如布拉德利法官说的那样,“每个美国市民采纳和遵守合法的产业追求--不损害社会利益。正如他会看到没有不合理的规制和干预也一样合适的权利”。警力会依然被训练以保护公共健康和安全,但不是用来创造垄断或将不理行的条件强加于市场准入。
司法活动的最高级形式是清楚的保护宪法权利的被表述。屠宰场案是作为对如此不理性的司法活动所造成的现实世界后果的可怕的证据而存在的。
基于所有这些或更多的理由,我们必须推翻屠宰场案。我们宪法的神圣迫使我们要这样。 我们研究主管部门可计算的能力需要这样。必须承认,这是一项艰难的挑战但在来年,如果你说这是一项无意义的奋斗,那么我邀请你--跟我一起去试。
我将把你介绍给塔利布和赫克托以及许多像他们那样的人--当你有机会读懂他们的眼神--我将问你两个问题。
我们怎么不去尝试?
如果我们去尝试,我们又怎么会失败?

作者简介:威廉.H.麦勒,美国司法研究所主席,此篇演讲发表于1998年4月华盛顿特区CATO研究中心。1873年,最高法院在著名的屠宰场案中支持路易斯安那州对屠宰行业进行管制的立法。由于法院对这一案件中援引的特权或豁免权条款的解释有问题,因此一直以来,该案在美国司法界颇受非议,此篇演讲便是威廉.H.麦勒主张此案确立原则应予推翻的演说。
译者简介:宋飞,1980年12月11日生,华中科技大学毕业,现在湖北黄冈市黄州区政府法制办工作.曾在法律图书馆网发表论文《人治与法治的较量-兼论德治》、《从一案看劳动教养制度的存废》、《试论国有资产流失与法律规制》、《周??与》、《盖尤斯与》;译作《中国传统哲学与争端解决》、《美国诉微软案》。

在网上找到的有关屠宰场案的其他介绍,简单整理,以供补充,欢迎大家对译文批准指正!:
1、在“屠宰场案” 中,最高法院多数意见完全拒绝这样的理解,“那里提到的宪法条款(宪法4条2款)并没有创设所谓的州公民权的特权和豁免权。该条款并没有向州公民提供任何他们声称运用的特权与豁免权的保护,它也没有表示要控制州政府对自己公民拥有的权利”。“它的唯一目的是向各州宣布,无论其向本州公民授予、创设权利还是对本州公民运用这些权利加以限制、限定和规制,该州对处于其管辖之下的他州公民的权利予以衡量时,应一视同仁,不得损益”。参见slaughter-House Cases, 83 U.S. 36,77 (1872)。
2、援引特权或豁免权条款有着更深远的影响。正如首席大法官伦奎斯特(Rehnquist)在其异议中所说,赛恩斯案判决“把新的生命注入到了以前休眠的”特权或豁免条款中去,366 而该条款已被最高法院在屠宰场案判决367中的解释搞得奄奄一息。
注:366、1873年,美国最高法院在著名的屠宰场案中支持路易斯安那州对屠宰行业进行管制的立法。由于法院对这一案件中援引的特权或豁免权条款的解释有问题,因此一直以来,该案在美国司法界颇受非议。
3、在联邦最高法院的“司法审查权”历史上的第二个时期(从1865年到1937年的“最高法院革命”),面临的主要是由发展提出的挑战,因为所谓工商业与政府的关系的核心为垄断问题。这一问题虽然集中,但是涉及的层面很广:一是企业与企业之间的关系;二是国家与企业之间的关系;三是企业内部的劳资关系;四是社会各阶层财富分配之不公。正因为如此,这个时期围绕“垄断”问题的矛盾和斗争非常尖锐,这些矛盾和问题的解决意义也更为重大,在推进经济文明方面尤为明显。仅举几例:在1873年“屠宰场案”以及1887年“芒恩案”审理中,联邦最高法院大法官菲尔德建立的“实质性正当程序权利”理论,强调在每个美国公民享有的特权中包含着一项为了谋生而追求合法工作机会的权利,丰富了第五条宪法修正案所提出的“正当法律程序”的内涵和精神。



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TRADE DESCRIPTIONS ORDINANCE ——附加英文版

Hong Kong


TRADE DESCRIPTIONS ORDINANCE
 (CHAPTER 362)
 ARRANGEMENT OF SECTIONS
  
  ion
  I    PRELIMINARY
  hort title
  nterpretation
  pecial provisions applicable to goldware
  arking orders
  nformation to be given in advertisements
  II    FALSE TRADE DESCRIPTIONS OR REPRESENTATIONS AND FORGED
TRADE
  S
  pplying a trade description, trade mark or mark to goods
  ffences in respect of trade descriptions
  rade descriptions used in advertisements
  ffences in respect of trade marks
  False representations as to Royal approval or award. etc.
  False representations as to supply of goods
  Prohibited import and export of certain goods
  Power to exempt goods sold for export
  III   ENFORCEMENT
  Appointment of authorized officers
  Power to enter premises and inspect and seize goods and documents
  Restrictions on the entry and search of domestic premises
  Power to detain goods by locking or sealing premises or container
  Powers of arrest of authorized officers
  Disclosure of information, etc.
  Offences of obstruction and disclosure of information
  Penalties
  Time limit for prosecutions
  Offences by corporations
  Offences due to fault of other person
  Accessory to offences committed outside Hong Kong
  Samples
  Evidence by certificate
  Rule of evidence regarding imported goods with false trade
  ription
  Description of trade mark in pleading
  Defence mistake, accident, etc.
  Innocent publication of advertisements
  Costs in proceedings
  Power to make orders with respect to property in possession of
the
  n
  Forfeiture and disposal of certain goods
  [Repealed]
  IV    MISCELLANEOUS
  Trade marks containing trade descriptions
  Definition Orders
  Saving for civil rights
  Compensation for loss of goods seized under section 15 (1) (f)
 Whole document
  
  rohibit false trade descriptions, false marks and 
misstatements in
  ect of goods provided in the course of trade; to confer 
power to
  ire information or instruction relating to goods to be marked on
or to
  mpany the goods or to be included in advertisements; to prohibit 
the
  thorized use of devices or emblems signifying an award by the
Queen or
  Governor; to restate the law relating to forgery of trade marks; 
and
  purposes connected therewith.
  pril 1981.]
 PART I PRELIMINARY
  
  hort title.
  Ordinance may be cited as the Trade Descriptions Ordinance.
  nterpretation.
  In this Ordinance, unless the context otherwise requires--
  ertisement" includes a catalogue, a circular and a price list;
  horized officer" means a public officer appointed under section
14;
  missioner" means the Commissioner of Customs and Excise and any
Deputy
  ssistant Commissioner of Customs and Excise; (Added, L. N.
294/82)
  vention country" has the meaning assigned to it by section 13A
(6) of
  Trade Marks Ordinance (Cap. 43.);
  se trade description" means--
  a trade description which is false to a material degree;
  a trade description which, though not false, is misleading, that
is to
  likely to be taken for such an indication of any of the 
matters
  ified in the definition of "trade description" as would be false
to a
  rial degree;
  anything which, though not a trade description, is likely to be 
taken
  an indication of any of the matters specified in the 
definition of
  de description" and, as such an indication, would be false 
to a
  rial degree;
  a false indication, or anything likely to be taken as an 
indication
  h would be false, that any goods comply with a standard specified 
or
  gnized by any person or implied by the approval of any person if
there
  o such person or no standard so specified, recognized or implied;
or
  a false indication, or anything likely to be taken as an 
indication
  h would be false, that any goods of any class or type--
  being goods in respect of which duty is payable under the laws
of Hong
  , are supplied free of the duty so payable in respect of that class
or
  of goods; or
  not being goods in respect of which duty is payable under the laws
of
  Kong, are supplied free of the duty so payable;
  ds" includes vessel and aircraft. things attached to land and 
growing
  s; "goods in transit" means goods which--
  are brought into Hong Kong solely for the purpose of taking them 
out
  ong Kong; and
  remain at all times in or on the vessel, aircraft or vehicle in
or on
  h they are brought into Hong Kong;
  ort" means to bring, or cause to be brought, into Hong Kong;
  mises" includes any place and any stall, vehicle, vessel or
aircraft;
  
  de description" means an indication, direct or indirect, 
and by
  ever means given, of any of the following matters with respect
to any
  s or parts of goods, that is to say--
  quantity (which includes length, width, height, area, 
volume,
  city, weight, and number), size or gauge;
  method of manufacture. production, processing or reconditioning;
  composition;
  fitness for purpose, strength, performance, behaviour or
accuracy;
  any physical characteristics not included in the preceding
paragraphs;
  testing by any person and results thereof;
  approval by any person or conformity with a type approved 
by any
  on;
  place  or  date  of  manufacture ,  production, 
processing  or
  nditioning;
  person by whom manufactured, produced, processed or
reconditioned;
  other history, including previous ownership or use;
  de mark" means--
  a trade mark relating to goods registered in Hong Kong under the
Trade
  s Ordinance (Cap. 43.);
  a trade mark registered in the register of trade marks kept under 
or
  erved by the Trade Marks Act 1938;
  a trade mark--
  registered, or in respect of which an application for
registration has
  made, in a British territory or a Convention country; and
  capable of registration in Hong Kong under the Trade Marks 
Ordinance
  trade mark relating to goods, and
  ) in respect of which a period of 6 months has not expired since 
the
  of the application for the registration thereof in a 
British
  itory or a Convention country.
  (a) For the purposes of this Ordinance, goods shall be deemed to 
have
  --
  manufactured in the country in which they last underwent a 
treatment
  rocess which changed permanently and substantially the shape, 
nature,
  or utility of the basic materials used in their manufacture; or
  produced in the country in which they were wholly grown or mined.
  The Commissioner may by order specify--(Amended, L. N. 294/82)
  in relation to any description of goods, what treatment or process 
is
  e regarded for the purposes of this Ordinance as resulting 
or not
  lting in a permanent and substantial change in shape, nature, form 
or
  ity of the basic materials used in their manufacture;
  in relation to any description of goods different parts of which
were
  factured or produced in different countries, or of goods
assembled in
  untry different from that in which their parts were 
manufactured or
  uced, in which of those countries the goods are to be regarded
for the
  oses of this Ordinance as having been manufactured or produced.
  This subsection shall not apply to goods which are the subject 
of a
  ce published under subsection (2A).
  The Director-General of Trade may by notice in the Gazette specify
in
  tion to any description of goods (being goods that are subject 
to a
  me of import or export control specified in the notice) the place 
in
  h the goods are to be regarded for the purposes of this Ordinance 
as
  ng been manufactured or produced, and any such goods shall, for 
the
  oses of this Ordinance, be deemed to have been 
manufactured or
  uced in such place. (Added 96 of 1991, s. 2)
  
  For the purposes of this Ordinance, a trade description or 
statement
  ished in any newspaper, book or periodical or in any film or sound 
or
  vision broadcast shall not be deemed to be a trade description
applied
  tatement made in the course of a trade or business unless it 
is or
  s part of an advertisement.
  pecial provisions applicable to goldware.
  Notwithstanding the definition of "false trade description" in
section
  trade description which indicates the fineness (whether in parts 
per
  sand or in carats) of gold shall be a false trade description if 
that
  cation is false to any extend or degree, except by understating 
the
  ness.
  For the purpose of construing descriptions relating to the
fineness of
  --
  a description indicating that an article, or the metal in an 
article,
  o many carats shall be presumed to be an indication that the 
article
  etal is of gold, and that its fineness is that specified in the 
table
  he Schedule for that number of carats;
  paragraph (a) shall not apply if (as in a case where the article
is a
  ious stone) the word "carat" is used as a measure of 
weight for
  ious stones, and not as a measure of fineness.
  Notwithstanding the definition of "false trade description" in
section
  
  a trade description which indicates that any article (other 
than an
  cle of pure gold) is of gold shall be a false trade description
unless
  article consists solely of gold alloy and--
  contains not less than 8 carats of gold; or
  bears a mark clearly indicating in carats, by number or by number
and
  letters "k", "c" or "ct", the fineness of the gold content; or
  ) bears a mark clearly indicating in parts per thousand the 
fineness
  he gold content; and
  a mark calculated to be taken as an indication of the fineness
of gold
  n article--
  which is plated with or enclose in gold alloy or gilded; or
  to which gold alloy is soldered or otherwise affixed, shall 
be a
  e trade description unless it is manifest from the appearance of 
the
  cle that the mark refers solely to the part of the article 
which
  ists of gold alloy.
  Any number of 1 or 2 digits on an article which indicates or 
purports
  ndicate, or is likely to be taken as an indication of, the fineness
in
  ts of its gold content shall be a false trade description unless 
the
  cle contains at least the same proportion of pure gold as the 
number
  s to 24.
  Any number of 3 digits on an article which indicates or 
purports to
  cate, or is likely to be taken as an indication of, the fineness 
in
  er of parts per thousand of its gold content shall be a false 
trade
  ription unless the article contains gold of such a 
standard of
  ness.
  For the purposes of this section "fineness" means the 
proportion of
  gold in accordance with subsection (4) or the number of 
parts by
  ht of gold in accordance with subsection (5) as the case may
require.
  
  arking orders.
  The Governor in Council may by order require that any goods 
specified
  he order shall be marked with or accompanied by any information
  ther or not amounting to or including a trade 
description) or
  ruction relating to the goods and, subject to the provisions of 
this
  nance, impose requirements for securing that the goods are so 
marked
  ccompanied, and regulate or prohibit the supply of goods with 
respect
  hich the requirements are not complied with; and the requirements 
may
  nd to the form and manner in which the information or instruction 
is
  e given.
  Where an order under this section is in force with respect to goods
of
  description, any person who, in the course of any trade or 
business,
  lies or offers to supply goods of that description in
contravention of
  order commits an offence.
  An order under this section may make different provision for
different
  umstances and may, in the case of goods supplied in 
circumstances
  e the information or instruction required by the order would 
not be
  eyed until after delivery, required the whole or part thereof 
to be
  displayed near the goods.
  nformation to be given in advertisements.
  The Governor in Council may by order require that any 
description of
  rtisements of any goods specified in the order shall contain or 
refer
  information (whether or not amounting to or including 
a trade
  ription) relating to such goods and subject to the provisions of 
this
  nance impose requirements as to the inclusion of that 
information or
  n indication of the means by which it may be obtained.
  An order under this section may specify the form and manner in 
which
  such information or indication is to be included in
advertisements of
  description and may make  different  provision  for 
different
  umstances.
  Where an advertisement of any goods to be supplied in the 
course of
  trade or business fails to comply with any requirement imposed 
under
  section, any person who publishes the advertisement 
commits an
  nce.
 PART II FALSE TRADE DESCRIPTIONS OR REPRESENTATIONS AND 
FORGED TRADE MARKS
  
  pplying a trade description, trade mark or mark to goods.
  A person applies a trade description or trade mark or mark to goods
if
  
  affixes or annexes it to or in any manner marks it on or 
incorporates
  ith--
  the goods themselves; or
  anything in, on or with which the goods are supplied;
  places the goods in, on or with anything which the trade 
description
  rade mark or mark has been affixed or annexed to, marked 
on or
  rporated with, or places any such thing with the goods;
  uses the trade description or trade mark or mark in any manner 
likely
  e taken as referring to the goods; or
  makes in any affidavit, declaration or writing any statement 
to the
  ct that a trade description or trade mark or mark is applicable
to the
  s.
  
  An oral statement may amount to the use of a trade 
description or
  e mark or mark.
  Where goods are supplied in pursuance of a request in which a 
trade
  ription or trade mark or mark is used and the circumstances are 
such
  o make it reasonable to infer that the goods are supplied as 
goods
  esponding to that trade description or trade mark or mark, the 
person
  lying the goods shall be deemed to have applied that trade
description
  rade mark or mark to the goods.
  ffences in respect of trade descriptions.
  Subject to the provisions of this Ordinance, any person who--
  in the course of any trade or business--
  applies a false trade description to any goods; or
  supplies or offers to supply any goods to which a false 
trade
  ription is applied; or
  has in his possession for sale or for any purpose of 
trade or
  facture any goods to which a false trade description is 
applied.
  its an offence.
  A person exposing goods for supply or having goods in his 
possession
  supply shall be deemed to offer to supply them.
  Subject to the provisions of this Ordinance any person who
disposes of
  as in his possession any die, block, machine, or other instrument 
for
  purpose of making, or applying to goods a false trade 
description
  its an offence unless he proves that he acted without 
intent to
  aud.
  rade descriptions used in advertisements.
  The following provisions of this section shall have effect where
in an
  rtisement a trade description is used in relation to any 
class of
  s.
  The trade description shall be taken as referring to all goods
of the
  s, whether or not in existence at the time the 
advertisement is
  ished--
  for the purpose of determining whether an offence has been 
committed
  r section 7 (1) (a) (i); and
  where goods of the class are supplied or offered to be supplied 
by a
  on publishing or displaying the advertisement, also for the
purpose of
  rmining whether an offence has been committed under section 7 (1)
(a)
  .
  In determining for the purposes of this section whether any goods 
are
  class to which a trade description used in an advertisement 
relates,
  rd shall be had not only to the form and content of the 
advertisement
  also to the time, place, manner and frequency of its publication 
and
  other matters making it likely or unlikely that a person to whom 
the
  s are supplied would think of the goods as belonging to the class 
in
  tion to which the trade description is used in the advertisement.
  
  ffences in respect of trade marks.
  Subject to the provisions of this Ordinance, any person who--
  forges any trade mark;
  falsely applies to any goods any trade mark or any mark so 
nearly
  mbling a trade mark as to be calculated to deceive;
  makes any die, block, machine or other instrument for the 
purpose of
  ing, or of being used for forging, a trade mark;
  disposes of or has in his possession any die, block, machine or 
other
  rument for the purpose of forging a trade mark; or
  causes to be done anything referred to in paragraph (a), (b), (c)
or
  commits an offence unless he proves that he acted without intent 
to
  aud.
  Subject to the provisions of this Ordinance, any person who 
sells or
  ses or has in his possession for sale or for any purpose of trade 
or
  facture, any goods to which any forged trade mark is applied, 
or to
  h any trade mark or mark so nearly resembling a trade mark as 
to be
  ulated to deceive is falsely applied, commits an offence.
  For the purposes of this section, a person shall be deemed--
  to forge a trade mark who either--
  without the assent of the proprietor of the trade mark, makes 
that
  e mark or a mark so nearly resembling that trade mark as 
to be
  ulated to deceive; or
  falsifies any genuine trade mark, whether by alteration, 
addition,
  cement or otherwise;
  falsely to apply to goods a trade mark who without the assent of 
the

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 2012年3月14日新修订的《刑事诉讼法》第二百七十五条规定:“犯罪的时候不满十八周岁,被判处五年有期徒刑以下刑罚的,应当对相关犯罪记录予以封存。犯罪记录被封存的,不得向任何单位和个人提供,但司法机关为办案需要或者有关单位根据国家规定进行查询的除外。依法进行查询的单位,应当对被封存的犯罪记录的情况予以保密。”这一未成年人犯罪记录封存制度在《刑法修正案(八)》规定的前科报告义务免除的基础上又向前迈进了坚实的一步,但该条规定并没有明确封存实施的主体、操作程序等问题,在实践中仍然会存在诸多的障碍。

  一、前科封存制度的司法实践困境

  1.与我国现行诸多法律存在冲突之处。虽然修订后的《刑事诉讼法》关于涉罪未成年人犯罪前科封存与《刑法修正案(八)》规定的“前科报告义务免除”规定协调一致,但一些民事、行政法律仍旧对未成年人犯罪记录作出了否定性评价。我国《公务员法》、《法官法》、《检察官法》、《律师法》、《执业医师法》、《教师法》等法律都有曾因犯罪受过刑事处罚的人不得担任法官、检察官、医师、人民教师等的规定,很显然,上述法律属于新修订的《刑事诉讼法》第二百七十五条但书中的“国家规定”,换言之,有关单位根据上述法律查询未成年人的犯罪记录,即犯罪记录封存后,未成年人仍然无法从事上述法律规定的职业。另有其他诸多领域中对受过刑事处罚者剥夺从业资格,这些规定与前科封存所追求的保护未成年犯罪人的目的有所冲突。

  2.一定程度上触及到公开审判原则。公开审判是司法机关接受群众监督的重要途径,而前科封存制度更侧重于保护未成年人隐私,因而引发了人们对司法公开、公正的质疑。此外,根据我国法律规定,即使不公开审判的案件,在宣判时一律公开。而公开宣判,就是对未成年人犯罪前科的一次公开,虽然对大多数案件来说公开范围可能不会很大,但对个别社会关注较多的案件,一经新闻媒介宣传,限制公开就成了一句空话。

  3.缺乏前科封存的实践操作程序。我国新修订的《刑事诉讼法》第二百七十五条的规定过于笼统,对于实施封存的主体,如何操作等都没有作出具体的规定,容易导致实践中的困惑,比如,对一个判处五年以下有期徒刑的未成年犯,到底是由提起公诉的检察院,还是进行审判的法院对犯罪记录进行封存;决定封存是采取决定书、裁定书还是以判决书的形式;对犯罪记录封存后的材料保存是由未成年人所在学校、还是公安、检察院或者是法院,等等诸如此类问题。

  4.缺乏相应的保障机制。建立未成年人犯罪前科封存制度,不仅仅是立法层面即可完成的工作。仅仅在立法中规定该制度如同空中楼阁,没有公安、监狱、司法行政机关、学校、社区等各个机构的协调互动,这一制度都很难运行。再如在我国每个人出生、上学、结婚、就业和迁移等无不受到户籍制度和人事档案制度的制约。居民户口簿和人事档案通常还会对一个人从何处转来、是否受过刑事处罚等内容有详细的记录,前科封存制度又如何与我国的户籍制度和人事档案制度有机协调,亦需要作出相应的调整,否则也会导致封存成为一句空话。

  二、前科封存制度实施中应明确的几个问题

  前科封存的基本点,不在于彻底消除失足少年的犯罪记录,而是在于对符合前科封存条件的失足少年,通过严格限制其犯罪档案的查阅、调用,为失足少年继续复学、升学、就业创造条件,从而使他们能够顺利回归社会,最大限度地预防和减少犯罪。新修订的《刑事诉讼法》第二百七十五条虽然规定了未成年人犯罪记录封存制度,但该条规定并没有明确前科封存的实施主体,封存的法律文书的形式,封存是否有例外情形等问题,笔者认为以下几点应当在今后的立法或司法解释中进一步明确:

  1.前科封存的实施主体。从新《刑事诉讼法》第二百七十五条“犯罪的时候不满十八周岁,被判处五年有期徒刑以下刑罚的,应当对相关犯罪记录予以封存。”的规定中可以看出,法院是实施未成年人犯罪记录的法定主体之一。但是否只有法院是实施封存的唯一主体呢?笔者认为,根据设立未成年人犯罪记录封存制度的立法目的,为充分保护未成年人权益,在人民检察院依照《最高人民检察院《人民检察院办理不起诉案件质量标准(试行)》》中有关规定作出不起诉决定时,人民检察院也应是实施封存的主体之一。不过因为,新《刑事诉讼法》并没有提到检察院作出不起诉时是否应当以犯罪记录进行封存,因此,审查起诉阶段的封存义务不是法定义务,检察院可以依职权作出封存的决定,也可以依当事人的申请作出封存决定。

  2.前科封存的法律文书的形式。新《刑事诉讼法》并没有规定在对未成年人犯罪记录予以封存时采取何种法律文书,根据《刑事诉讼法》中的规定判决书、裁定书一般适用于实体、程序需要作同裁决的情况,笔者建议,对未成年人犯罪记录予以封存应统一采取《决定书》的形式。

  3.前科封存的起始时间。未成年人犯罪记录从何时开始封存,新《刑事诉讼法》也没有明确规定,封存起始时间应当明确,否则不便于执行或者容易导致执行不统一。那么封存是从宣判之日起,还是从刑罚执行完毕之日起亦或另外确定一个时间?笔者认为,为尽可能地保护未成年犯罪人的隐私,封存时间越早就越容易将封存制度落到实处,反之,封存时间越晚,犯罪记录就越容易被公开,封存制度越容易变成一纸空文。故封存的起始时间,被宣告相对不起诉的,自宣告之日;被判处五年以下有期徒刑、拘役或者管制及单处罚金的,自判决作出之日。

  4.前科材料的保管。新《刑事诉讼法》也没有规定未成年人犯罪记录在实施封存后,材料由哪个机关保管。笔者认为,但凡接触未成年人犯罪记录的机关,都应当严格保管,自觉履行新《刑事诉讼法》第二百七十五条规定的义务。因此,建议在公检法分别建立专门的涉罪未成年人档案库,执行严格的保密制度,由专人管理,除司法机关调查案件或基于其他法定事由外,不得查阅,犯罪记录不载入户籍和人事档案。与此同时,作出犯罪记录封存决定的检察院、法院,向少年犯的档案管理机关(通常为少年犯所在学校、少管所等)送达《犯罪记录封存决定书》和《保存档案备查函》,并附该案的判决书、裁定书等法律文书。相关档案管理机关应根据前科封存决定书和保存档案备查函妥善保管少年犯的刑事档案,少年犯所在学校、监管单位应根据新《刑事诉讼法》的规定严格限制非法定单位和个人查阅、复制或调用。

  5.前科封存的例外。在我国《公务员法》、《法官法》、《检察官法》、《律师法》、《执业医师法》、《教师法》等法律尚未修改“曾因犯罪受过刑事处罚的人不得担任法官、检察官、医师、人民教师”等的规定的现阶段,在实施前科封存的同时,若未成年犯罪人成年后涉及从事法律明文规定限制前科人员进入的单位或部门,如军队、法院、检察院等,有关单位根据相应法律规定进行查询时,档案管理机关应当如实出示其前科记录,不得隐瞒。

  6.违反前科封存规定的救济。所谓无救济则无权利,为了使相关职权部门切实担负起保密义务,应建立责任追究制度,依情节的不同,对于泄露者追究行政或者刑事责任。

  三、前科封存制度的进一步完善

  作为一项制度创新成果,前科封存制度不可避免地存在一些缺陷,需要在实践中逐步加以完善。

  1.立法层面:修改与未成年人犯罪前科封存制度相抵触的法律、法规及其他“国家规定”。虽然我国《预防未成年人犯罪法》、《未成年人保护法》中有未成年犯罪人 “在复学、升学、就业等方面与其他未成年人享有同等权利,任何单位和个人不得歧视。”的规定。但是由于前文所述法律冲突和传统观念的制约,加上缺失相应的操作机构和操作程序,这些规定在实践中犹如一纸空文,无法得到有效实施。要使前科封存制度得以有效执行,应当在今后的立法或司法解释中对违反前科封存制度的条款进行修订,如对《公务员法》、《法官法》、《检察官法》、《律师法》、《执业医师法》、《教师法》等法律以及可以上升到新《刑事诉讼法》第二百七十五条中的“国家规定”中所有与前科封存制度相违背的内容予以修订,删除未成年犯罪人在复习、升学、就业、从军等的歧视条件的内容。以与新《刑事诉讼法》第二百七十五条规定相统一。

  2.实践层面:设立负责前科封存制度的专门机构,推出配套举措。首先,设置少年法庭。建立和完善专门机构有利于真正让处理未成年犯罪人的司法程序和成年人区别开来,有利于对未成年人犯罪档案的统一有序管理。其次,改革户籍制度。应对户籍制度之前科记载的附加功能进行剥离,消除未成年前科人员新生的制度障碍。再次,严格执行犯罪记录查询制度。当然,既然是前科限制公开,在特定情况下,被封存的前科还是可以公开的,但前科信息限制公开应把握好“两个特定”:一是对未成年人前科信息公开的对象应当特定。对未成年人前科信息予以公开的对象,应当仅限于法律、法规设定的与刑事处罚密切相关的单位或者确有必要查清的刑事处罚事项,其他单位或者个人均无权查询未成年人前科记录。二是对未成年人前科封存的机关应当特定。未成年人前科档案信息区别于一般档案信息,应由特定的机关进行单独保管或进行封存,并设立专门的机构或科室接受相关的查询申请,负责审核申请条件。对于符合未成年人前科信息公开条件的,方可公开未成年人前科信息,确保犯罪记录封存落到实处。

  (作者单位:江苏省南通市港闸区人民法院)