Optimal Multistage Adjudication

L. Kaplow
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引用次数: 9

Abstract

In many settings, there are preliminary or interim decision points at which legal cases may be terminated: e.g., motions to dismiss and for summary judgment in U.S. civil litigation, grand jury decisions in criminal cases, and agencies’ screening and other exercises of discretion in pursuing investigations. This article analyzes how the decision whether to continue versus terminate should optimally be made when (A) proceeding to the next stage generates further information but at a cost to both the defendant and the government and (B) the prospect of going forward, and ultimately imposing sanctions, deters harmful acts and also chills desirable behavior. This subject involves a mechanism design analogue to the standard value of information problem, one that proves to be qualitatively different and notably more complex. Numerous factors enter into the optimal decision rule – some expected, some subtle, and some counterintuitive. The optimal rule for initial or intermediate stages is also qualitatively different from that for assigning liability at the final stage of adjudication.
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最佳多阶段裁决
在许多情况下,法律案件可能会在初步或临时决定点上终止:例如,美国民事诉讼中的驳回动议和简易判决,刑事案件中的大陪审团决定,以及机构在进行调查时的筛选和其他自由裁量权行使。本文分析了在以下情况下如何做出继续还是终止的最佳决定:(A)进入下一阶段会产生更多信息,但对被告和政府都有代价;(B)继续进行并最终实施制裁的前景,阻止了有害行为,同时也抑制了可取行为。这一主题涉及一个机制设计模拟的标准值信息问题,一个被证明是定性不同的,明显更复杂。许多因素会影响最佳决策规则——有些是意料之中的,有些是微妙的,还有一些是违反直觉的。初始阶段或中间阶段的最优规则与判决最后阶段的责任分配规则也有质的区别。
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