第一条法庭,第三条法院和美国的司法权

IF 3.5 2区 社会学 Q1 LAW Harvard Law Review Pub Date : 2004-04-21 DOI:10.2307/4093393
James E. Pfander
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引用次数: 11

摘要

对于国会在宪法下的权力范围,我们缺乏一个完全令人信服的解释,以创建第一条法庭,并赋予它们权力,对看似属于第三条范围的争端进行裁决。对许多人来说,第三条的字面意思似乎完全排除了对第一条法庭的依赖;该条款将美国的司法权授予联邦法院,联邦法院的法官享有薪金和任期保护,旨在确保在分权体制下的司法独立。第一条法庭的法官- -包括领土法院、军事法庭和行政机构- -往往没有这种保护,将工作移交给他们似乎威胁到司法独立。然而,字面上的解释并不能很好地解释第一条法庭的扩散,它们在整个国家的历史上不断发展和繁荣。这条裁决的制度历史解释了替代账户的必要性,但没有一个竞争对手解决了这个问题。最高法院现在似乎更喜欢的平衡测试,承认第一条法庭的一些作用,但未能就国会何时可以回避第三条提供明确的指导方针。一个更有前途的学术理论-上诉审查说-强调宪法法院上诉审查的必要性,作为第一条裁决的关键。虽然它提供了更大的连贯性,但它并不特别适合我们的制度历史,而且它似乎会授权一些与现行法律大相径庭的安排。本文对第一条和第三条之间的相互作用提出了一种新的“下级法庭”解释。该条以“下级法庭”(第1条)和“下级法院”(第3条)之间的宪法区别为基础,为第1条的法庭提出了新的文本基础。该条特别指出,国会可以设立下级法庭来审理根据第三条规定不属于美国司法权的事项。这类非第三条规定的事项传统上包括一系列熟悉的诉讼程序:公共权利索赔(其中缺乏终局性排除了司法介入);军事法庭诉讼(被指派给军方处理,不受第三条约束);地方事务交由领土法院处理(据了解,这与第三条法院期望执行的全国统一法律规则有重大不同)。该条进一步表明,第一条法庭的合宪性要求法庭仍然低于美国的司法部门。根据第一条的文本,劣等性要求的力量来自于对第一条裁决的广泛司法监督的制度历史。司法部门通过各种工具——包括人身保护令、强制令和官员诉讼——保持了第一条法庭的低人一等。虽然下级法庭的解释并不要求对每个案件进行上诉审查,但它确实确保了法院作为联邦法律最后解释者的作用。
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Article I Tribunals, Article Iii Courts, and the Judicial Power of the United States
We lack an entirely convincing account of the scope of Congress's power under the Constitution to create Article I tribunals and invest them with authority to adjudicate disputes that seemingly come within the scope of Article III. The literal terms of Article III have seemed to many to rule out reliance upon Article I tribunals altogether; the provision vests the judicial power of the United States in federal courts whose judges enjoy salary and tenure protections that were designed to ensure judicial independence in a scheme of separated powers. Judges of Article I tribunals - including territorial courts, courts-martial, and administrative agencies - often serve without such protections, and the transfer of work to them seems to threaten judicial independence. Yet the literal account does not well explain the proliferation of Article I tribunals, which have grown up and flourished throughout the nation's history. This institutional history of Article I adjudication explains the need for alternative accounts, but none of the competitors resolves the problem. The balancing test, which the Supreme Court now appears to prefer, acknowledges some role for Article I tribunals, but fails to provide clear guidelines as to when Congress may sidestep Article III. A more promising academic theory - the appellate review account - emphasizes the need for appellate review in constitutional courts as the key to Article I adjudication. While it offers greater coherence, it does not fit especially well with our institutional history, and it would seemingly authorize some arrangements that depart dramatically from current law. This Article develops a new "inferior tribunals" account of the interplay between Article I and Article III. Building on the constitutional distinction between "inferior tribunals" (in Article I) and "inferior courts" (in Article III), the Article suggests a new textual foundation for Article I tribunals. In particular, the Article contends that Congress may constitute inferior tribunals to hear matters that it has structured to fall outside the judicial power of the United States under Article III. Such non-Article III matters have traditionally included a range of familiar proceedings: public-rights claims (where the lack of finality precluded judicial involvement); courts-martial proceedings (which were assigned to the military for handling outside Article III); and local matters before territorial courts (which were understood to differ importantly from the nationally uniform rules of law that Article III courts were expected to enforce). The Article further suggests that the constitutionality of Article I tribunals requires that the tribunals remain inferior to the judicial department of the United States. Based upon the text of Article I, the inferiority requirement draws its strength from an institutional history that features widespread judicial oversight of Article I adjudication. The judicial department has preserved the inferiority of Article I tribunals with a variety of tools - including habeas corpus, mandamus, and officer suit litigation. While the inferior tribunals account does not demand appellate review in every case, it does secure the Court's role as the final expositor of federal law.
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来源期刊
CiteScore
2.90
自引率
11.80%
发文量
1
期刊介绍: The Harvard Law Review is a student-run organization whose primary purpose is to publish a journal of legal scholarship. The Review comes out monthly from November through June and has roughly 2,500 pages per volume. The organization is formally independent of the Harvard Law School. Student editors make all editorial and organizational decisions and, together with a professional business staff of three, carry out day-to-day operations. Aside from serving as an important academic forum for legal scholarship, the Review has two other goals. First, the journal is designed to be an effective research tool for practicing lawyers and students of the law. Second, it provides opportunities for Review members to develop their own editing and writing skills. Accordingly, each issue contains pieces by student editors as well as outside authors. The Review publishes articles by professors, judges, and practitioners and solicits reviews of important recent books from recognized experts. All articles — even those by the most respected authorities — are subjected to a rigorous editorial process designed to sharpen and strengthen substance and tone.
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