案例分析三段论

实训项目二:案例分析三段论

一、实训目标

通过实训，学生应懂得运用案例分析三段论(syllogism of case analysis)来处理具体问题，即第一，全面掌握案情(merit);第二，勾勒出案情要点(key points);第三，在此基础上，初步排选出案情要点对应的法律规范，大致弄清楚这些法律规范适用于有关案情之后的效果，并为较为复杂的案例作出图表。通过实训，学生不仅要在特定的案例中采用此种分析方法与进路，而且要培养其在其他案例或法律实务中采用此种分析方法和进路的习惯，促使学生的一切思考都从厘清案情要点开始，避免对案情理解的不得要领以及对法律适用的无的放矢。通过实训，学生能极大地提高分析问题、归纳问题、总结问题的能力。

二、实训原理

强调将案例分析三段论作为一个单独的实训项目，并非多余之举，而是笔者多年从事涉外法律教学、实务与研究后的总结。

笔者认为，“案情要点(key points of merit)—所适用的法律(applicable law)—裁决及有关结果(judgment or other results)”这样的法律分析三段论，有助于帮助学生尽快把握案件要点、捕捉所适用的法律及其特定条款、预见案件处理结果。不论是在以母语为工作语言的案例分析环境中，还是在以其他语言(如英语)为工作语言的案例分析环境中，都是便捷有效的手段;不论是对国内案件的处理，还是对涉外案件的处理，都是简单实用的方法。

案例分析三段论的特点，就是将案情要点、所适用的法律、裁决及有关结果看做既相对独立又紧密联系的三个阶段或部分，通过对上述三个部分的梳理，使学生对案件的条理、内在逻辑、关键点有一个清晰而有层次的认识。这样一来，无论在模拟法庭的现场遇到何种情况、面对何种刁钻的问题，都可以将案情要点、所适用的法律以及法律适用的结果信手拈来，融会贯通，应对自如。相反，如果对于案情要点理解得稀里糊涂，适用法律匆匆忙忙，预见法律适用的结果主观鲁莽，那么在模拟法庭的现场，就容易出现各种纰漏——思路堵塞卡壳、陈述死记硬背、反驳不知所云、回答提问不着边际……应该说，笔者所指导的参加2008年第六届曼弗雷德·拉克斯空间法模拟法庭竞赛国内赛的武汉大学代表队，之所以能够首次参赛就战胜国内高校中的诸多传统强队并夺得属于冠军的“航天杯”，乃是得益于队员充分的准备、均衡的实力、稳定的表现以及良好的应变，而这一切与笔者坚持在实训的起始阶段采用案例分析三段论是有很大关系的。

而要使用这样的三段论，熟悉案情并分析出案情要点是首要的一步。只有正确捕捉案情要点，才能保证适用法律的准确与预见法律适用的相关结果的正确性。一般来讲，一个案件所涉及的方方面面的内容很多，但是真正对案件的解决起着关键作用的，也就仅仅是几个要点而已。我们需要在全面了解案情的基础上，去粗取精，甄别出案情的要点并予以重点对待，而对其他案情则仅需要作一般性的、背景性的了解。如此一来，就可以化繁为简，对案情作出迅速而深刻的把握;可以以点带面，在短期内得出对案件比较系统的理解;还可以明确主攻方向，把有限的精力集中到几个要点之上并全力突破。

选择适用于案情要点的法律是案例分析三段论的第二步，同时也是最为关键的一步。找准案情的要点，无非是为了准确地适用法律，而只有准确地适用了法律，才能够充分预见法律适用的结果并做好各方面的准备。从这个意义上讲，选择所适用的法律在案例分析三段论中具有承上启下的关键作用。学生应当对照案情要点，确定有关的法律规范(如某国际公约)，排查上述法律规范中的具体条款(如某某国际公约第几条)，确认这些具体条款是否适用于案情要点。

预见法律适用的结果是案例分析三段论的最后一步。捕捉案情要点、选择所适用的法律，最终都是为了预见法律适用的结果并作出相应准备。学生应当将准据法的具体条款适用到案情要点之中，根据有关具体条款的规定，来厘清这些要点所产生的法律权利义务，并对法律适用的结果作出预见或初步判断。

对于案情较为简单的案件，仅仅完成上述分析就可以了;但是对于案情较为复杂的案件^[7]，在运用上述案例分析三段论分析案情之后，最好是就以上分析结果，作出两份图表，一份图表从己方的角度出发，分析己方的涉案要点、所适用的法律、法律适用的结果，另一份从对方的角度出发，分析对方的涉案要点、所适用的法律、法律适用的结果。学生可以根据图表所提供的一目了然的信息，按照自己在模拟法庭中所持的立场，深入分析与研究自己代表的当事方在法庭中的优势与劣势、有利与不利之处，并尝试提出扬长避短、充分表达己方合法主张、尽量驳斥对方不合法主张的方案。

笔者在为法学院本科生开设的《美国法概论》(英文)课程中，采用了案例分析三段论来分析美国法上的两个著名案例，取得了良好的教学效果。由于这两个案例的案情实际上比较简单，故而不需要作出图表，通过直接的三段论分析就可以取得一目了然的效果:

1.马伯里诉麦迪逊案:Marbury v.Madison 5 U.S.(Cranch 1)137(1803)

The merit:Madison didn't deliver the commission for Marbury.

The law:Judiciary Act of 1800;Article 13 of the 1789 Judiciary Act;Article 3(2)(ii)of the 1788 US Constitution.

Judgment and other results:no jurisdiction;the Judiciary act of 1789 violated the constitution;the judicial power to review legislation.

2.杨斯敦钢铁公司诉索耶案:Youngstown sheet＆Tube Co.v.Sawyer 343 U.S.579(1952)

The merit:President Truman issued an order to seize steel mills.

The law:Article 2 of the 1788 US Constitution;the Fifth Amendment to the 1788 US Constitution;the presidential order.

Judgment and other results:the presidential order violated the USConstitution;the legislative power rested always in the congress;the judicial power to review administrative orders and regulations.

三、实训要求与过程

总的来说，实训要求学生通过练习，掌握案例分析三段论，并能够将其运用到具体的案例中去。鉴于案例分析三段论适用范围的广泛性及其效果的显著性，学生应当被引导着去了解、熟悉乃至主动运用案例分析三段论，从而为日后的专业学习、法学研究与法律实务工作打下坚实的基础、提供有效的工具。

在具体步骤方面:

首先，学生应当对案例分析三段论有一个较为全面的认识，应当知晓该方法论的构成与优势，并做好使用案例分析三段论来分析和研究具体案例的充分准备。

其次，学生应学会如何在繁杂的案情中捕捉案情要点;应学会如何去粗取精，重点关注影响案件结局的要点，而将无关紧要的信息一笔带过，对不甚重要的信息仅作一般了解;应当正确而充分地捕捉案情要点，尽量不出现遗漏和错误。

再次，学生应当尝试选择适用于案情要点的法律规范(如某公约)，尽量不犯法律适用上的错误;学生应当对照案情要点，梳理适用于案情要点的法律规范并找出具体适用于这些要点的法律条文(如某公约第几条第几款)，并尽量保证梳理的准确性。

复次，学生应当将案情要点与所适用的法律结合起来，用所适用的法律来解读案情要点，从而根据这些法律规范，预见法律适用的结果的情况。

再复次，对于案情比较复杂的案件，学生应在运用案例分析三段论的基础上，作出两份图表，一份图表从己方的角度出发，分析己方的涉案要点、所适用的法律、法律适用的结果，另一份从对方的角度出发，分析对方的涉案要点、所适用的法律、法律适用的结果。

最后，学生应按照自己在模拟法庭中所持的立场，深入分析与研究自己代表的当事方在法庭中的优势与劣势、有利与不利之处，并尝试提出扬长避短、充分表达合法主张的方案。

四、实训材料

以下是国际空间法学会曼弗雷德·拉克斯空间法模拟法庭竞赛2009年的试题，以及武汉大学代表队针对该试题，站在原告方The Principality of Fornjot的立场，运用案例分析三段论所做的图表。请以此为模板，针对曼弗雷德·拉克斯空间法模拟法庭竞赛2009年的试题，站在被告方The Republic of Telesto的立场，运用案例分析三段论，作出相应的图表。

【材料一】

Case concerning the Deployment and Use of Force in Low Earth Orbit Fornjot v.Telesto

Statement of Agreed Facts

1.The Republic of Telesto is a rich and powerful continental State.It has one of the world's highest gross domestic product，both on an aggregate and per capita basis，and has one of the world's top ten territorial areas and population.It is also one of the world's most powerful and advanced military powers.

2.The Principality of Fornjot is an archipelagic State and is the largest economy in the world，with its principal economic activities being banking and finance，transport and shipping as well as the manufacturing of advanced technological products.Its location allows it to be shipping and aviation transport hub and a thriving centre of international commerce.In recent years，Fornjot has significantly increased its military expenditure，but its military power nevertheless lags far behind that of Telesto.

3.The Commonwealth of Daphnis is a former province of Fornjot that broke away in 2009afteraplebiscitesupervisedbytheUnitedNations voted overwhelmingly in favour of independence from Fornjot.Relations between Fornjot and Daphnis remained tense，with Fornjot refusing to recognise the independence of Daphnis，despite its recognition by almost all Member States of the United Nations and its admission as a member of that organisation on 10 September 2010.In particular，the unsettled boundary between the two States has even led to skirmishes between the naval and air forces of the two States throughout the 2010s.

4.Relations between Telesto and Fornjot have traditionally been friendly. However，in recent times tensions have increased between the two States as they compete fiercely for world markets in raw materials and manufactured goods.This was particularly so with the continuing military assistance provided by Telesto to Daphnis，including the lease of military bases and the sale of advanced technology aircraft，missile systems and naval vessels.

5.Both Telesto and Fornjot have invested heavily in the deployment of governmental satellite constellations in low Earth orbit.In particular，Telesto has launched:

(i)the Tarvos series of 36 satellites deploying a global positioning and navigation system;

(ii)the Narvi series of 72 satellites deploying a mobile satellite communications system;and

(iii)the Paaliaq series of 34 satellites deploying a high-resolution remote sensing system.

6.The Tarvos system is owned and controlled by the Government of Telesto，which contracted out its manufacturing to Dione Satellite Corporation(DSC)，a privately-owned company incorporated in Telesto of which all of its shareholders are private individuals or firms of Telestoese nationality.The satellites were launched by Farbauti Aerospace International Limited(FAI)，a launch services company in Telesto that is majority-owned by the Government of Telesto，with the remaining shares held by private interests of Telestoese nationality.All of the Tarvos series，except for Tarvos-24 and Tarvos-39，were launched from a facility owned by FAI that was located in Daphnis.

7.Tarvos-24 and Tarvos-39 were launched from Telesto when the facility in Daphnis was being refurbished to comply with new safety standards imposed under Daphnisan law.

8.The Government of Telesto uses the Tarvos system exclusively for its own use，including both non-military and military applications.The Government of Telesto has an equal interest in the Albiorix global positioning and navigational system，which is a joint venture between the Governments of Daphnis and Telesto.The system，which is inferior in accuracy to Tarvos，was built entirely by DSC in Daphnis and launched by FAI in Telesto.It is operated commercially and is made available for use in Telesto，Daphnis and other States.

9.The satellites of the Narvi and the Paaliaq systems were all built by DSC and launched by FAI in Telesto.The systems are both owned and operated by the Government of Telesto for its own exclusive governmental use，including both military and non-military applications.

10.The Government of Fornjot does not own or operate similar systems exclusively for its own use.However，it has access to the following satellite systems:

(i)the Ijiraq series of 32 satellites deploying a global positioning and navigation system;

(ii)the Kari series of 18 satellites deploying a global mobile communications system;and

(iii)the Bebhionn series of 24 satellites deploying a high-resolution remote sensing system.

11.The Ijiraq system is owned and operated by Iapetus＆Co.，a commercial venture that is majority owned by the Government of Fornjot and the other shareholders are private interests of Fornjot nationality.The Government of Fornjot has contracted with Iapetus for access to all three satellite systems for its military and non-military use.

12.Under the 2014 Convention of Eternal Friendship，Cooperation and Partnership in Peace(the Skoll Convention)signed in Skoll，Telesto，between Telesto and its core allies，including Daphnis，which is granted access and use of both the Narvi and the Paaliaq systems and their associated technology for an annual charge payable to Telesto.Further，Telesto is given access to all military installations and bases in Daphnis for the deployment of its air force，missile systems and naval vessels.

13.The Skoll Convention entered into force on 3 February 2015.

14.The Government of Daphnis immediately began adapting its military forces to the Narvi system，which provided a superior communications capability，particularly for encrypted communications，than the Kari system that was available to the military forces of Fornjot.Similarly，the Paaliaq system has provided Daphnis with real-time remote sensing imagery of far superior quality than that available to Fornjot from the Bebhionn system.

15.Fornjot strongly objected to the Skoll Convention，in particular the access to the military satellite systems given to Daphnis by Telesto.It perceives this as a threat to the national security of Fornjot，especially as skirmishes continue between Fornjot and Daphnis along their borders.Repeated protests through bilateral diplomatic channels between Fornjot and Telesto were ignored.The Security Council，General Assembly，Conference on Disarmament and Committee on the Peaceful Uses of OuterSpace of the United Nations all declined to take any action，despite much diplomatic effort on the part of Fornjot.

16.Since the Skoll Convention entered into force，Daphnis has enjoyed substantially more success in its irregular military skirmishes against Fornjot.On 29 November 2015，Fornjot deployed a large naval fleet with the intention of destroying the Daphnisan Navy in a surprise attack.However，the attack was unsuccessful as access to the Paaliaq system enabled Daphnis to be forewarned of the attack and had precise locations of each of the Fornjot vessels for missile targeting purposes，with the active assistance of Telestoese military aircraft，vessels and personnel.After the battle，Telesto deployed ground-based anti-missile rocket systems and short-range nuclear missiles in Daphnis.These are technological and military capabilities that Daphnis did not have prior to the Skoll Convention.

17.Now with evidence that access to the Narvi and Paaliaq systems is a serious threat to the national security of Fornjot，especially if serious armed conflict broke out between it and Daphnis in the future，Fornjot decided to deploy an anti-satellite weapon system，called Hyperion，with the capability of destroying the Tarvos，Narvi and Paaliaq satellite systems.In addition，Fornjot decided also to deploy a spacebased missile warning and defence system，called Rhea.The Hyperion and the missile defence component of Rhea are designed to lock onto missiles heading towards Fornjot or a targeted satellite and destroying them with a combination of laser and projectile weapon systems.The Hyperion and the Rhea were to be deployed gradually in low Earth orbit from August 2016 until their completion in December 2022 through a combination of manned and unmanned launch vehicles.

18.Telesto and Daphnis strongly protested the deployment of the Hyperion and the Rhea and，with the sanction of the United Nations Security Council，began an embargo of the supply of advanced satellite and launch vehicle components and laser systems to Fornjot.This has forced Fornjot to manufacture most of the components it needs for both satellite systems，significantly increasing the costs of their deployment and further increased tensions between the States.

19.On 11 November 2017，the Fornjotian manned reusable launch vehicle Bergelmir，carrying a crew of nine，had to make an emergency de-orbit and return to the Earth after its life support system was damaged after a collision with a microscopic piece of space debris.At that time，it had deployed the Hyperion-16 and Hyperion-23satellites，but the Hyperion-24 satellite was still onboard.The Bergelmir made an emergency landing at an air force base in Telesto where some of the strategic nuclear bombers of Telesto were based.Telesto refused to return the crew，the Hyperion-24 or the Bergelmir to Fornjot，despite repeated requests by Fornjot through diplomatic channels，and charged the crew members with espionage.After a public trial，the crew members were convicted and sentenced to life in prison.

20.On 18 September 2018，a Telestoese spacecraft called Janus，carrying the President of Telesto and the Federal Chancellor of Daphnis，was returning to Earth after a brief six-hour visit to the International Space Station.The Janus was returning to Daphnis where the President of Telesto was to make a State visit for the following three days.Mistaking the Janus for an intercontinental ballistic missile fired from Telesto towards Fornjot，the Rhea system alerted ground-based systems in Fornjot，which automatically fired one of its ground-based missiles at the spacecraft，destroying it during its re-entry through the Earth's atmosphere.Images from both the Paaliaq and the Bebhionn systems at the time revealed that the Janus was destroyed one hundred(100)kilometres directly above the large island of Mundilfari in Fornjot.Debris from the Janus then collided with and destroyed the Tarvos-9 and Tarvos-24 satellites.

21.Outraged at what it perceived as an armed attack on one of its spacecraft and the intentional assassination of its President，the Government of Telesto ordered immediate retaliation.On 19 September 2018，Telesto launched a large-scale attack from ground-based missiles located in Telesto and Daphnis，destroying most of the satellites of the Rhea and Ijiraq systems.

22.Fornjot responded on 20 September 2018 by bombing military bases in Daphnis where Telestoese military aircrafts and personnel were based and using the Hyperion satellite system to destroy seven satellites of the Tarvos constellation.

23.However，before further attacks were launched by either Fornjot or Telesto，the United Nations Security Council mandated a cease-fire that came into effect on 21 September 2018.The Secretary-General of the United Nations began mediating between the three States.Eventually，Fornjot and Telesto agreed to refer their dispute to the International Court of Justice.Similarly，Fornjot and Daphnis agreed to refer their boundary dispute and other liability issues to the International Court of Justice in separate proceedings.

24.Fornjot contends that:

(i)Telesto contravened international law by refusing to promptly return to Fronjot the Bergelmir，its cargo and its crew;

(ii)Telesto contravened international law by the military use of satellite systems by Telesto and later by Daphnis pursuant to the Skoll Convention;and

(iii)Telesto is liable for the destruction of the Rhea and Ijiraq satellite systems.

25.Telesto contends that:

(i)Fornjot contravened international law by deploying the Hyperion and the Rhea satellite systems in low Earth orbit;

(ii)Fornjot is liable for the destruction of the Janus and the Tarvos-9 and Tarvos-24 satellites and for the deaths of the individuals onboard the Janus;and

(iii)Fornjot is liable for the destruction of the seven Tarvos satellites by the Hyperion.

26.In addition to the specific claims advanced by Fornjot and Telesto，each party has specifically denied the claims asserted by the other.Thus，Telesto has denied that its refusal to return the Bergelmir，its cargo and its crew was contrary to international law;that its use(or that of Daphnis)of certain satellites pursuant to the Skoll Convention contravened international law;and that it was liable for the destruction of the Rhea and Ijiraq satellite systems.Similarly，Fornjot has denied that its deployment of the Hyperion and Rhea satellite systems contravened international law;that it was liable for the destruction of the Janus and the Tarvos-9 and Tarvos-24 satellites，or for the deaths of the individuals onboard the Janus;and that it was liable for the destruction of seven Tarvos satellites by the Hyperion.

27.Fornjot and Telesto are members of the United Nations，the Conference on Disarmament and the International Atomic Energy Agency.Fornjot and Telesto are both parties to the Outer Space Treaty，the Rescue Agreement，the Liability Convention and the Registration Convention.Fornjot has signed but not ratified the Vienna Convention on the Law of Treaties，while Telesto has not signed it.

【材料二】

Syllogism ChartⅠ

五、延伸思考与习题

1.什么是案例分析三段论?

2.简析案例分析三段论在法律实训中的作用。

3.如何捕捉案情要点?

4.如何正确选择所适用的法律?

5.如何准确地在所适用的法律中选择具体适用于案情要点的条款?

6.如何根据案情要点与所适用的法律，预见法律适用的结果?

7.简述运用案例分析三段论，为复杂的案件作出图表的心得体会。