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Conceptualizing and measuring “punitiveness” in contemporary advanced democracies 当代发达民主国家“惩罚性”的概念和衡量
IF 3 2区 社会学 Q1 LAW Pub Date : 2023-07-11 DOI: 10.1111/rego.12533
Elizabeth Gordon Pfeffer
This article addresses a key political question regarding the relationship between states and their citizens: how harsh are judicial systems in their punishment of those who deviate from the law? Punitiveness is a fraught concept in the existing literature and robust measurement methods maximizing conceptual complexity are lacking. Here I develop a functional approach to punitiveness through a revised conceptualization and operationalization of this key variable while cautioning against the solitary use of incarceration rates to measure state intention. Punitiveness is conceptually disaggregated into three main components: (1) a commitment to punishment over rehabilitation, (2) the degree of harshness of response to crime (i.e., a longer sentence in prison), and (3) the lack of a logical progression of punishment based on the severity of crime committed or intent of the offender. These axes are further disaggregated into measurable indicators to build a novel index of punitiveness (P-Index) from the legal codes of 26 countries. Ultimately, this rules-as-data measure offers researchers purchase on the puzzling variation in punitiveness across contexts, which persists regardless of current and historical crime levels, offering particular utility for supply-side political-economic explanations.
这篇文章讨论了一个关于国家和公民之间关系的关键政治问题:司法系统对那些违反法律的人的惩罚有多严厉?在现有文献中,惩罚性是一个令人担忧的概念,缺乏最大化概念复杂性的稳健测量方法。在这里,我通过修订这一关键变量的概念化和操作化,开发了一种功能性的惩罚方法,同时警告不要单独使用监禁率来衡量国家意图。惩罚性在概念上分为三个主要组成部分:(1)对惩罚的承诺,而不是改造;(2)对犯罪反应的严厉程度(即,在监狱里服刑更长时间);(3)缺乏基于犯罪严重程度或罪犯意图的惩罚逻辑进展。这些轴被进一步分解为可测量的指标,以建立一个新的惩罚性指数(p指数),从26个国家的法典。最终,这种“规则即数据”的方法为研究人员提供了在不同背景下惩罚的令人困惑的变化,这种变化无论当前和历史的犯罪水平如何都存在,为供应方的政治经济解释提供了特别的效用。
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引用次数: 0
Concepts and measures of bureaucratic constraints in European Union laws from hand-coding to machine-learning 欧盟法律中官僚约束的概念和措施,从手工编码到机器学习
IF 3 2区 社会学 Q1 LAW Pub Date : 2023-06-28 DOI: 10.1111/rego.12543
Fabio Franchino, Marta Migliorati, Giovanni Pagano, Valerio Vignoli
Scholars employ two main measures of the executive constraints embedded in European Union laws: one is based on the variation in the use of different types of restrictions, and the second is based on the frequency of such use. They reflect two alternative conceptualizations of bureaucratic control. We label them, respectively, as the “toolbox perspective” and the “design perspective”. We illustrate that the constraint frequency measure poses fewer validity problems in estimating legislators' intent to constrain implementation and tends to produce less severe measurement errors. We then evaluate the performance in estimating constraint variation of a recent computational application and identify potential drawbacks of automated learning from hand-coded provisions. We lastly introduce a skeletal framework for a machine-learning approach based on the syntactic structures employed by legislators that could improve the performance of this innovative technique.
学者们主要采用两种方法来衡量欧盟法律中隐含的行政约束:一种是基于不同类型限制的使用差异,另一种是基于这种使用的频率。它们反映了官僚控制的两种不同概念。我们分别将它们称为“工具箱透视图”和“设计透视图”。我们的研究表明,约束频率测量在估计立法者约束实施的意图方面存在较少的有效性问题,并且往往产生较少的严重测量误差。然后,我们评估了最近的计算应用程序在估计约束变化方面的性能,并确定了从手工编码条款中自动学习的潜在缺点。最后,我们介绍了一个基于立法者使用的语法结构的机器学习方法的框架,该框架可以提高这种创新技术的性能。
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引用次数: 0
Jurisdictional overlap: The juxtaposition of institutional independence and collaboration in police wrongdoing investigations 管辖权重叠:在警察不当行为调查中,机构独立与合作并存
IF 3 2区 社会学 Q1 LAW Pub Date : 2023-06-22 DOI: 10.1111/rego.12532
Jihyun Kwon
Introducing multiple layers of “independent” structures has become a go-to strategy for public agent oversight. The question remains whether such decentralized, overlapping structural arrangements of oversight reduce regulatory uncertainty and produce better policy outcomes. Using the case study of Ontario, Canada, I examine the consequences of institutional layering for the specific and broader goal of independent oversight and democratic policing, respectively. Semi-structured interviews with oversight officials and other key stakeholders as well as past governmental reports that led to the police oversight reform are analyzed to study the gap between the policy intention and outcome. I found that multiple “independent” investigatory agencies are meant to operate concurrently within an integrated system to ensure a responsive and comprehensive oversight system. However, their structural separation obstructs collaboration among the external agencies, causing various dysfunctional bureaucratic behaviors that undermine the overarching intention. The disconnect among different oversight authorities exacerbates their reliance on internal police-led procedures for all police misconduct inquiries. Implications of my research extend beyond policing and further the study of overlapping regulatory oversight and structural reform through institutional layering.
引入多层“独立”结构已成为公共代理监督的首选策略。问题在于,这种分散的、重叠的监管结构安排能否减少监管的不确定性,并产生更好的政策结果。通过对加拿大安大略省的案例研究,我分别考察了机构分层对独立监督和民主警务这一具体目标和更广泛目标的影响。本文分析了对监督官员和其他关键利益相关者的半结构化访谈,以及导致警察监督改革的过去政府报告,以研究政策意图与结果之间的差距。我发现,多个“独立”的调查机构应该在一个综合系统内同时运作,以确保一个反应迅速、全面的监督系统。然而,它们的结构性分离阻碍了外部机构之间的协作,导致各种功能失调的官僚行为,破坏了总体意图。不同监督机构之间的脱节加剧了它们对所有警察不当行为调查的内部警察主导程序的依赖。我的研究的影响超出了警务和进一步研究重叠的监管监督和结构改革,通过制度分层。
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引用次数: 0
The logic of regulatory impact assessment: From evidence to evidential reasoning 监管影响评估的逻辑:从证据到证据推理
IF 3 2区 社会学 Q1 LAW Pub Date : 2023-06-19 DOI: 10.1111/rego.12542
Kati Rantala, Noora Alasuutari, Jaakko Kuorikoski
Agencies involved in generating regulatory policies promote evidence-based regulatory impact assessments (RIAs) to improve the predictability of regulation and develop informed policy. Here, we analyze the epistemic foundations of RIAs. We frame RIA as reasoning that connects various types of knowledge to inferences about the future. Drawing on Stephen Toulmin's model of argumentation, we situate deductive and inductive reasoning steps within a schema we call the impact argument. This approach helps us identify inherent uncertainties in RIAs, and their location in different types of reasoning. We illustrate the theoretical section with impact assessments of two recent legislative proposals produced by the European Commission. We argue that the concept of “evidence-based regulatory impact assessment” is misleading and should be based on the notion of “regulatory impact assessment as evidential reasoning,” which better recognizes its processual and argumentative nature.
参与制定监管政策的机构促进基于证据的监管影响评估(ria),以提高监管的可预测性并制定知情政策。在这里,我们分析了ria的认知基础。我们将RIA定义为将各种类型的知识与对未来的推断联系起来的推理。根据Stephen Toulmin的论证模型,我们将演绎和归纳推理步骤置于我们称之为影响论证的图式中。这种方法帮助我们识别ria中固有的不确定性,以及它们在不同类型推理中的位置。我们通过对欧盟委员会最近提出的两项立法建议的影响评估来说明理论部分。我们认为,“基于证据的监管影响评估”的概念具有误导性,应该基于“作为证据推理的监管影响评估”的概念,这更好地认识到其过程性和争论性。
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引用次数: 0
Taming the real estate boom in the EU: Pathways to macroprudential (in)action 驯服欧盟的房地产繁荣:宏观审慎(在)行动之路
IF 3 2区 社会学 Q1 LAW Pub Date : 2023-06-19 DOI: 10.1111/rego.12529
Etienne Lepers, Matthias Thiemann
In the fallout of the 2008 crisis, macroprudential policy has been installed as the policy remedy against future financial instability, a primary focus being developments in the real estate sector. With house prices consistently rising in the EU since 2014, causing alarm among macroprudential supervisory bodies, a core question of EU regulatory governance is how far macroprudential bodies have been capable of bringing about countercyclical actions against the build-up of such vulnerabilities. This paper investigates this question using a novel dataset of macroprudential intensity coded for the 17 EU countries that experienced real estate vulnerabilities post-euro crisis. Specifically, it asks which configuration of conditions account for the (in)capacity of countries to impose stringent countercyclical regulations against housing booms? Using fuzzy set qualitative comparative analysis technics coupled with qualitative analysis of country cases using expert interviews, we find that the absence of political salience of homeownership and the political independence of macroprudential authorities to be crucial conditions that jointly explain countercyclical macroprudential activity. These findings, which show two pathways to action have implications for the capacity of the EU to prevent future crises and future reform of the EU prudential framework.
在2008年危机的影响下,宏观审慎政策已被作为应对未来金融不稳定的政策补救措施,主要重点是房地产行业的发展。自2014年以来,欧盟的房价持续上涨,引起了宏观审慎监管机构的警惕,欧盟监管治理的一个核心问题是,宏观审慎机构在多大程度上能够采取反周期行动,防止此类脆弱性的积累。本文使用一个新的宏观审慎强度数据集来研究这个问题,该数据集是为欧元危机后经历房地产脆弱性的17个欧盟国家编码的。具体来说,它提出的问题是,哪些条件配置导致各国(在)有能力对房地产繁荣实施严格的反周期监管?采用模糊集定性比较分析技术,结合专家访谈的国家案例定性分析,我们发现住房所有权缺乏政治显著性和宏观审慎当局的政治独立性是共同解释逆周期宏观审慎活动的关键条件。这些发现显示了两种行动途径,对欧盟预防未来危机的能力和欧盟审慎框架的未来改革具有重要意义。
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引用次数: 0
An integrated approach to corporate due diligence from a human rights, environmental, and TWAIL perspective 从人权、环境和TWAIL的角度对企业尽职调查进行综合处理
IF 3 2区 社会学 Q1 LAW Pub Date : 2023-06-19 DOI: 10.1111/rego.12538
Fatimazahra Dehbi, Olga Martin-Ortega
Ten years since the adoption of the UN Guiding Principles on Business and Human Rights, we have witnessed an increasing trend in Europe toward the adoption of mandatory human rights and environmental due diligence. Focusing on due diligence legislation from France, Germany, Norway, and the EU, this article examines the extent to which these laws are laying the foundations for the articulation of an integrated, comprehensive, and robust framework that effectively fosters corporate accountability through preventing, addressing, and remedying corporate-related human rights and environmental harms. In this examination, we draw on international human rights and environmental standards and Third World Approaches to International Law, to identify the lessons learned from current approaches and that ought to be considered in future frameworks.
自《联合国工商业与人权指导原则》通过十年以来,我们看到欧洲越来越多地采用强制性人权和环境尽职调查。本文以法国、德国、挪威和欧盟的尽职调查立法为重点,考察了这些法律在多大程度上为构建一个综合、全面和健全的框架奠定了基础,该框架通过预防、处理和补救与企业相关的人权和环境危害,有效地促进了企业问责制。在这项审查中,我们借鉴了国际人权和环境标准以及第三世界对待国际法的方法,以确定从目前的方法中吸取的教训,并应在今后的框架中加以考虑。
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引用次数: 0
The stealth legitimization of a controversial policy tool: Statistical profiling in French Public Employment Service 一个有争议的政策工具的秘密合法化:法国公共就业服务的统计分析
IF 3 2区 社会学 Q1 LAW Pub Date : 2023-06-18 DOI: 10.1111/rego.12541
Alizée Delpierre, Didier Demazière, Hajar El Fatihi
Statistical profiling algorithms claiming to predict which jobseekers are at risk of becoming long-term unemployed are spread unevenly across countries. However, the pathways and histories of these tools are understudied. Because the profiling path in France is a winding one, it is fruitful to study the production of profiling acceptability within the Public Employment Service (PES), and upstream of its reception by frontline advisers. Using a mix of interviews and written sources, we show that the production of profiling acceptability sits at the crossroads of two processes: technical and political transformations of the instrument itself and broader institutional and managerial transformations of the PES. On the basis of this case study, the paper enriches our understanding of the slow and incremental rationalization of public services that we have termed “professional rationalization.” We argue that, far from being a softened or moderated form of bureaucratic rationalization, it is powerful—perhaps even irreversible—precisely because it transforms its target (frontline advisers) before the rationalization instrument is even deployed.
声称可以预测哪些求职者有长期失业风险的统计分析算法在各国的分布并不均衡。然而,这些工具的途径和历史尚未得到充分研究。由于法国的分析路径是曲折的,因此研究公共就业服务(PES)内部分析可接受性的产生以及一线顾问对其接受程度的上游是富有成效的。通过访谈和书面资料的组合,我们表明,概要分析可接受性的产生处于两个过程的十字路口:工具本身的技术和政治变革以及PES更广泛的制度和管理变革。在此案例研究的基础上,本文丰富了我们对公共服务缓慢而渐进的合理化的理解,我们称之为“专业合理化”。我们认为,它远不是一种软化或缓和的官僚合理化形式,它是强大的——甚至可能是不可逆转的——正是因为它在合理化工具部署之前就改变了它的目标(一线顾问)。
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引用次数: 0
Hardening corporate accountability in commodity supply chains under the European Union Deforestation Regulation 根据欧盟森林砍伐条例加强商品供应链中的企业问责制
IF 3 2区 社会学 Q1 LAW Pub Date : 2023-06-09 DOI: 10.1111/rego.12540
Laila Berning, Metodi Sotirov
The European Union (EU) has recently introduced the Deforestation Regulation to close regulatory gaps in the sustainability and legality of global forest and agricultural commodity supply chains. We analyze this regulatory policy change by drawing on accountability scholarship and institutionalist theories of regulation. Our results show that the Regulation aims to enhance corporate accountability mechanisms through mostly state-based hard regulation of commodity supply chains, reducing the role of market incentives and private regulation. This policy change is found to be the result of strategic policy-oriented learning from perceived accountability failures of existing soft market-based instruments, voluntary trade agreements, and experience with market-correcting EU timber legality trade rules in a politically favorable context. The institutionalization of new forest-risk commodity supply chain accountability norms in new EU trade rules would, by design, harden foreign corporate accountability for negative socio-environmental externalities. However, the de-facto hardening will depend on the final regulatory design, acceptance, compliance, implementation, enforcement improvements, and avoidance of leakage effects.
欧洲联盟(欧盟)最近推出了《森林砍伐条例》,以弥补全球森林和农产品供应链可持续性和合法性方面的监管空白。我们通过借鉴问责学术和制度主义监管理论来分析这种监管政策的变化。我们的研究结果表明,该法规旨在通过主要以国家为基础的商品供应链硬监管来增强企业问责机制,从而降低市场激励和私人监管的作用。研究发现,这一政策变化是战略政策导向的学习结果,这些学习来自现有软市场工具、自愿贸易协定的问责失败,以及在政治有利的背景下纠正市场的欧盟木材合法性贸易规则的经验。在新的欧盟贸易规则中,将新的森林风险商品供应链问责制规范制度化,将在设计上加强外国公司对负面社会环境外部性的问责。然而,事实上的强化将取决于最终的法规设计、验收、遵从性、实现、执行改进和避免泄漏影响。
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引用次数: 2
Mechanisms of regulatory capture: Testing claims of industry influence in the case of Vioxx 监管捕获机制:在万络案中检验行业影响力的声明
IF 3 2区 社会学 Q1 LAW Pub Date : 2023-05-30 DOI: 10.1111/rego.12531
Eva Heims, Sophie Moxon
This paper presents a systematic empirical study of the causal mechanisms of regulatory capture. It applies process-tracing methods to the Vioxx drug scandal that was widely regarded to be a result of capture. In doing so, this paper provides a robust empirical analysis of regulatory capture lacking in the current literature. The analysis focuses on the role of the UK drug regulator in licensing and monitoring a drug that caused hundreds of thousands of heart attacks before it was taken off the market in 2004. We develop and systemically operationalize three causal mechanisms of capture to study the evidence on regulatory decision-making on Vioxx. Through explicit theoretical and empirical evaluation of the evidence, we show that the degree of capture through the revolving door, information overload and shared cultural frameworks was limited. By opening the black-box of empirical capture research, the paper highlights the problematic consequences of (mis-)diagnosis of regulatory capture by scholars, the media, and policymakers.
本文对规制捕获的因果机制进行了系统的实证研究。它将过程追踪方法应用于万络(Vioxx)药物丑闻,该丑闻被广泛认为是抓捕的结果。在此过程中,本文对当前文献中缺乏的监管捕获提供了强有力的实证分析。该分析聚焦于英国药品监管机构在许可和监督一种药物方面所扮演的角色。在2004年退出市场之前,这种药物曾导致数十万人心脏病发作。我们开发并系统地操作捕获的三个因果机制,以研究对万络的监管决策的证据。通过对证据进行明确的理论和实证评估,我们发现通过旋转门、信息过载和共享文化框架捕获的程度是有限的。通过打开实证捕获研究的黑箱,本文强调了学者、媒体和政策制定者对监管捕获(错误)诊断的问题后果。
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引用次数: 0
The politics of supply chain regulations: Towards foreign corporate accountability in the area of human rights and the environment? 供应链监管的政治:对人权和环境领域的外国公司问责制?
2区 社会学 Q1 LAW Pub Date : 2023-05-30 DOI: 10.1111/rego.12526
Maria‐Therese Gustafsson, Almut Schilling‐Vacaflor, Andrea Lenschow
Abstract In recent years, binding regulations in the “home states” of corporations have emerged mainly in the Global North with the aim of holding corporations accountable for human rights and environmental impacts throughout their supply chains. However, we still need a better understanding about to what extent such regulations contribute to enhance “foreign corporate accountability (FCA).” This article introduces a special issue that theorizes and empirically investigates foreign accountability dynamics. We do so by advancing an analytical framework that conceptualizes FCA and identify important contextual conditions that help to explain accountability dynamics. Applying this framework, we show that the drafting, implementation, and enforcement of such regulations are highly political processes, wherein competing ideas embedded within unequal actor constellations and institutional environments shape the possibilities to achieve more transformative change. By theorizing and empirically investigating FCA dynamics, we contribute to advance debates about the sustainability governance of global supply chains.
近年来,公司“母国”的约束性法规主要出现在全球北方,其目的是让公司在其整个供应链中对人权和环境影响负责。然而,我们仍然需要更好地了解这些法规在多大程度上有助于加强“外国公司问责制”。本文介绍了一个特殊的问题,理论和实证调查国外问责制的动态。为此,我们提出了一个分析框架,将FCA概念化,并确定有助于解释问责制动态的重要背景条件。应用这一框架,我们表明,这些法规的起草、实施和执行是一个高度政治化的过程,在这个过程中,不平等的行动者群和制度环境中嵌入的竞争思想塑造了实现更具变革性变革的可能性。通过理论化和实证研究FCA动态,我们有助于推进关于全球供应链可持续性治理的辩论。
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引用次数: 3
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Regulation & Governance
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