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Legalism without adversarialism?: Bureaucratic legalism and the politics of regulatory implementation in the European Union 没有对抗主义的法家主义?:官僚法律主义与欧盟监管实施的政治
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-03-27 DOI: 10.1111/rego.12524
Chase Foster
Many scholars predict that European integration will foster adversarial legalism in Europe. In this article, I empirically assess the Eurolegalism thesis by examining EU regulatory mandates in the competition and securities fields, two policy areas where adversarial legalism is seen as most likely to develop. I argue that the diffusion of adversarial legalism to Europe has faced significant political opposition in the EU policymaking process which has curtailed the use of private enforcement mandates in EU secondary legislation. European policymakers have relied more on administrative enforcement through public regulatory agencies, a mode of policy implementation closer to bureaucratic legalism. In practice, public authorities play the primary enforcement role and private litigation serves the narrower function of compensation following public enforcement actions. Drawing from institutionalist theory, I identify several factors that have encouraged the development of bureaucratic rather than adversarial styles of European legalism, especially member states' commitments to procedural subsidiarity, the negative feedback effects from the US experience with entrepreneurial litigation, and the stickiness of European legal and bureaucratic traditions.
许多学者预测,欧洲一体化将在欧洲滋生对抗性的法律主义。在本文中,我通过研究欧盟在竞争和证券领域的监管任务,实证地评估了欧洲法律主义的论点,这两个政策领域被认为是最有可能发展对抗性法律主义的。我认为,对抗性法律主义在欧洲的扩散在欧盟政策制定过程中面临着重大的政治反对,这限制了欧盟二级立法中私人强制执行授权的使用。欧洲决策者更多地依靠公共监管机构的行政执法,这是一种更接近官僚法律主义的政策实施模式。在实践中,公共当局发挥着主要的执行作用,私人诉讼在公共执行行动之后起着较为狭隘的赔偿作用。根据制度主义理论,我确定了几个因素,这些因素鼓励了欧洲法律主义的官僚风格(而不是对抗性风格)的发展,尤其是成员国对程序辅助性的承诺,美国在企业诉讼方面的经验带来的负面反馈效应,以及欧洲法律和官僚传统的粘性。
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引用次数: 1
Mandatory due diligence laws and climate change litigation: Bridging the corporate climate accountability gap? 强制性尽职调查法律和气候变化诉讼:弥合企业气候责任差距?
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-03-14 DOI: 10.1111/rego.12518
Mikko Rajavuori, Annalisa Savaresi, Harro van Asselt
The debate on corporate climate accountability has become increasingly prominent in recent years. Several countries, particularly in the Global North, have adopted mandatory human rights and/or environmental due diligence legislation. At the same time, judicial and quasi-judicial proceedings are helping to shape the contours of corporate climate accountability. This article considers how litigation against corporations and due diligence legislation interact, and thereby help develop and strengthen corporate climate accountability. While the practice in this area is still limited, there is scope to reflect on early developments and how they may influence both future climate litigation as well as ongoing and future law-making on due diligence. We first review recent developments in climate litigation against corporations, focusing on the extent to which they rely on climate due diligence obligations. We then survey existing and proposed due diligence legislation, examining the extent to which it addresses corporate climate accountability. Finally, we identify scenarios of how due diligence legislation and climate litigation may interact and possibly converge to strengthen corporate climate accountability. We furthermore identify knowledge gaps and areas for further research.
近年来,关于企业气候责任的辩论变得越来越突出。一些国家,特别是全球北方国家,已通过强制性人权和/或环境尽职调查立法。与此同时,司法和准司法程序正在帮助塑造企业气候责任的轮廓。本文考虑了针对公司的诉讼和尽职调查立法如何相互作用,从而有助于发展和加强公司的气候问责制。虽然这一领域的实践仍然有限,但仍有空间反思早期的发展,以及它们如何影响未来的气候诉讼以及正在进行和未来的尽职调查立法。我们首先回顾了针对企业的气候诉讼的最新进展,重点关注它们在多大程度上依赖于气候尽职调查义务。然后,我们调查了现有的和拟议的尽职调查立法,检查了它在多大程度上解决了企业的气候责任。最后,我们确定了尽职调查立法和气候诉讼如何相互作用并可能趋同以加强企业气候问责制的情景。我们进一步确定知识差距和进一步研究的领域。
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引用次数: 2
Conceptualization and measurement of regulatory discretion: Text analysis of 120 years of British legislation 监管自由裁量权的概念与测度:英国120年立法文本分析
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-03-09 DOI: 10.1111/rego.12516
Nir Kosti
Regulatory discretion is a central concept in the study of the regulatory state. Yet little attention has been paid to the origins of regulatory discretion, and how it varies across polities, policy areas, and over time. This paper presents a conceptualization of regulatory discretion that draws on three dimensions: delegation, content, and procedure. It argues that to measure regulatory discretion in legislation, we need to identify provisions that delegate regulatory powers to governments and then examine the extent to which exercising regulatory powers is constrained. Using Natural Language Processing techniques, this paper presents descriptive findings of the dynamics of regulatory discretion in the United Kingdom between 1900 and 2020. The findings portray how discretion has been constrained and formalized over the years through the content of regulations, while it has still retained high levels of flexibility in exercising regulatory powers. In doing so, the findings illustrate the rise of the British regulatory state through its legislative language.
监管自由裁量权是监管国家研究中的一个核心概念。然而,很少有人关注监管自由裁量权的起源,以及它在不同的政策、政策领域和时间里是如何变化的。本文提出了一个概念化的监管自由裁量权,借鉴了三个方面:授权,内容和程序。它认为,为了衡量立法中的监管自由裁量权,我们需要确定将监管权力委托给政府的条款,然后研究监管权力的行使受到限制的程度。利用自然语言处理技术,本文介绍了1900年至2020年间英国监管自由裁量权动态的描述性发现。调查结果显示,多年来,自由裁量权是如何通过法规的内容受到限制和正式化的,同时在行使监管权力方面仍保持着高度的灵活性。在这样做的过程中,调查结果说明了英国监管国家通过其立法语言的崛起。
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引用次数: 1
Under the influence: The celebrity factor in policy capture 受影响:政策捕捉中的名人因素
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-03-08 DOI: 10.1111/rego.12517
Christopher N. Dougherty, Susan D. Phillips
Celebrity is a form of policy influence that can occur under distinctive circumstances. This paper draws on the regulatory/policy capture literature to develop a model of celebrity capture that explains how interest groups can affect policy in the absence of economic clout or constituency mobilization. We posit that the likelihood of celebrity capture increases when several factors align: (1) a context open to change; (2) reduced oversight in decisionmaking processes; (3) organizations that have credibility and a halo effect due to their celebrity status; and (4) an uncoordinated sector with weak intermediary organizations. The analysis applies process tracing to account for the success of one celebrity-founded and celebrity-led organization, WE Charity, in shaping the design and being awarded sole-source implementation of the CAD $543 million Canada Student Service Grant (CSSG) program during COVID-19. The CSSG, which proposed to pay up to 100,000 students to “volunteer” in nonprofits over the course of a summer, quickly failed and became a public ethical scandal.
名人是在特殊情况下可能产生的一种政策影响。本文借鉴了监管/政策捕获文献,建立了一个名人捕获模型,该模型解释了利益集团如何在缺乏经济影响力或选民动员的情况下影响政策。我们假设,当几个因素一致时,名人捕获的可能性会增加:(1)一个开放的环境;(2)决策过程中的监督减少;(三)具有公信力和名人光环效应的组织;(4)中介组织薄弱,行业不协调。该分析采用流程追踪来解释由名人创立和领导的WE Charity慈善组织在2019冠状病毒病期间成功塑造设计并获得5.43亿加元加拿大学生服务补助金(CSSG)计划的唯一来源实施。CSSG曾提议在一个暑假期间向多达10万名学生支付非营利组织“志愿者”的费用,但很快就失败了,并成为一个公共道德丑闻。
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引用次数: 0
Regulating government affairs: Integrating lobbying research and policy concerns 规范政府事务:整合游说研究与政策关注
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-02-22 DOI: 10.1111/rego.12515
David Coen, Alexander Katsaitis, Matia Vannoni
Lobbying has never been as sophisticated, complex, and well-funded as it is today. Significantly, interest group strategies are more advanced than the regulatory practices meant to contain them. This raises concerns about states' ability to resist unwanted influence from interest groups. How can government regulations be brought up to speed to address 21st-century lobbying practices? We argue that there are three critical dimensions to focus on: (i) regulatory consolidation; (ii) system interoperability; and (iii) open-source implementation. These aspects address the need for better coordination within jurisdictions, cooperation across systems, and effective use of public resources. Developing future regulations along these lines can help policy to leap-ahead interest groups; while limiting unwanted adverse effects on states' administrative efficiency and political legitimacy. In doing so, we provide a constructive roadmap forward in the field, linking common discussions between researchers, policymakers, and policy stakeholders.
游说从来没有像今天这样精密、复杂、资金充足。值得注意的是,利益集团战略比旨在遏制它们的监管实践更为先进。这引发了人们对国家抵御利益集团不利影响的能力的担忧。政府监管如何才能跟上21世纪游说活动的步伐?我们认为有三个关键方面需要关注:(i)监管整合;(ii)系统互操作性;(三)开源实现。这些方面涉及加强司法管辖范围内协调、跨系统合作和有效利用公共资源的需要。按照这些思路制定未来的法规可以帮助政策超越利益集团;同时限制对国家行政效率和政治合法性的不利影响。在此过程中,我们提供了该领域的建设性路线图,将研究人员、决策者和政策利益相关者之间的共同讨论联系起来。
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引用次数: 1
The portrayal of effectiveness of supplier codes of conduct in improving labor conditions in global supply chains: A systematic review of the literature 供应商行为准则在改善全球供应链劳动条件方面的有效性描述:对文献的系统回顾
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-02-06 DOI: 10.1111/rego.12514
Sarah Vandenbroucke
Even though workplace conditions worldwide are subject to local and international laws, labor conditions in global supply chains have continuously raised human rights concerns. In response to societal pressure, multinationals have taken on a certain degree of responsibility regarding workplace conditions in supplier factories, notably by adopting codes of conduct. Investigating the impact of this self-regulatory policy, scholars have examined whether and how codes shape labor conditions at the production level, but the results of their empirical studies diverge and sometimes contradict. To bring clarity to the field and gain an overarching understanding of the impact of codes, this literature review analyzes the question of their effectiveness as examined in 33 scientific papers gathered via a systematic selection of empirical studies. The review shows that supplier codes are not deemed unanimously and evenly effective by scholars and often fail to improve labor conditions. However, a range of factors are identified that facilitate the implementation of codes and ensure its effectiveness. This article develops a taxonomy of these factors and intends to contribute to understanding codes' decoupling and recoupling processes by investigating the gap between codes provisions and their intended outcome: the improvement of labor practices in global supply chains.
尽管世界各地的工作条件都受当地和国际法律的约束,但全球供应链中的劳动条件不断引发人权问题。为了应对社会压力,跨国公司对供应商工厂的工作条件承担了一定程度的责任,特别是通过采用行为准则。为了调查这种自我监管政策的影响,学者们研究了法规是否以及如何影响生产层面的劳动条件,但他们的实证研究结果存在分歧,有时甚至相互矛盾。为了使该领域更加清晰,并获得对代码影响的总体理解,本文献综述分析了通过系统选择实证研究收集的33篇科学论文中所检查的代码有效性问题。审查表明,学者们并不一致和均匀地认为供应商规范有效,而且往往不能改善劳动条件。然而,确定了一系列促进守则执行和确保其有效性的因素。本文对这些因素进行了分类,并打算通过调查代码条款与其预期结果之间的差距来帮助理解代码的解耦和再耦合过程:全球供应链中劳工实践的改善。
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引用次数: 1
Trustworthy artificial intelligence and the European Union AI act: On the conflation of trustworthiness and acceptability of risk 可信赖的人工智能和欧盟人工智能法案:关于可信赖性和风险可接受性的合并
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-02-06 DOI: 10.1111/rego.12512
Johann Laux, Sandra Wachter, Brent Mittelstadt
In its AI Act, the European Union chose to understand trustworthiness of AI in terms of the acceptability of its risks. Based on a narrative systematic literature review on institutional trust and AI in the public sector, this article argues that the EU adopted a simplistic conceptualization of trust and is overselling its regulatory ambition. The paper begins by reconstructing the conflation of “trustworthiness” with “acceptability” in the AI Act. It continues by developing a prescriptive set of variables for reviewing trust research in the context of AI. The paper then uses those variables for a narrative review of prior research on trust and trustworthiness in AI in the public sector. Finally, it relates the findings of the review to the EU's AI policy. Its prospects to successfully engineer citizen's trust are uncertain. There remains a threat of misalignment between levels of actual trust and the trustworthiness of applied AI.
在其《人工智能法案》中,欧盟选择从风险的可接受性方面来理解人工智能的可信赖性。基于对公共部门机构信任和人工智能的系统性文献综述,本文认为欧盟采用了一种简单的信任概念,并夸大了其监管野心。本文首先重构了人工智能法案中“可信赖性”与“可接受性”的合并。它继续通过开发一套规定性变量来审查人工智能背景下的信任研究。然后,本文使用这些变量对公共部门人工智能的信任和可信赖性的先前研究进行了叙述性回顾。最后,它将审查结果与欧盟的人工智能政策联系起来。它能否成功地赢得公民的信任还不确定。实际信任水平与应用人工智能的可信度之间仍然存在不一致的威胁。
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引用次数: 10
Emotions, crisis, and institutions: Explaining compliance with COVID-19 regulations 情绪、危机和制度:解释遵守COVID-19法规
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-01-13 DOI: 10.1111/rego.12509
Danqi Guo, Sabrina Habich-Sobiegalla, Genia Kostka
Amid the COVID-19 pandemic, citizens' compliance with government preventive measures was one of the top policy priorities for governments worldwide. This study engages with socio-legal and psychological theories on compliance and proposes an analytical framework to explore the role of different psychological factors on individual-level compliance during global health crises. Using the results of three national surveys, we argue that various negative emotional states, perceptions of the ongoing crisis, and of the institutional settings are major factors influencing individual compliance across countries. Most importantly, while increased panic, anxiety, and sadness lead to higher compliance, rising anger, loneliness, and impatience decrease compliance levels. Notably, perceptions of the COVID-19 crisis—especially health concerns and a worsening financial situation—tend to elicit anger among citizens across countries, thereby further hampering their obedience with pandemic regulations. Furthermore, perceptions of public institutions also influence individual compliance. Overall, in order to ensure compliance, we suggest that policymakers and those implementing government measures take individual psychological factors into account both within and beyond the public crisis context.
在新冠肺炎大流行期间,公民遵守政府的预防措施是世界各国政府的首要政策之一。本研究结合社会法律和心理学的依从性理论,提出了一个分析框架,探讨在全球健康危机中不同心理因素对个人层面依从性的作用。利用三个国家调查的结果,我们认为各种负面情绪状态、对持续危机的看法和制度设置是影响各国个人合规的主要因素。最重要的是,增加的恐慌、焦虑和悲伤会导致更高的依从性,而增加的愤怒、孤独和不耐烦会降低依从性。值得注意的是,对COVID-19危机的看法,特别是对健康问题和日益恶化的财务状况的担忧,往往会引起各国公民的愤怒,从而进一步阻碍他们遵守大流行法规。此外,对公共机构的看法也影响个人的遵守情况。总体而言,为了确保合规,我们建议政策制定者和实施政府措施的人考虑公共危机背景内外的个人心理因素。
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引用次数: 2
Regulation from above or below: Port greening measures in the European Union and the United States 自上而下的监管:欧盟和美国的港口绿化措施
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-01-02 DOI: 10.1111/rego.12510
Elizabeth R. DeSombre, Jette Steen Knudsen, Molly Elder
Focusing on 23 greening measures, this paper systematically compares the greening efforts of the busiest container and cargo ports in the United States (US) and the European Union (EU). We move beyond accounts for general environmental differences between the EU and the US to examine how specific environmental decisions are shaped by the effects of regulatory characteristics in each region. We identify systematic variation in number and type of port greening measures adopted in the two regions. We demonstrate that differences in the number and type of measures adopted reflect the level of policy making with local policy making playing a more important role in the US compared to the EU, thus proposing a pathway through which the form of regulatory approach could influence content and extent of regulation. The EU adopts regulation that is broader in scope while US ports are more likely to address problems affecting local populations.
本文以23项绿化措施为重点,系统比较了美国和欧盟最繁忙的集装箱和货物港口的绿化力度。我们超越了欧盟和美国之间一般环境差异的解释,研究了每个地区监管特征的影响如何影响具体的环境决策。我们确定了两个地区所采取的港口绿化措施的数量和类型的系统性变化。我们证明,所采取措施的数量和类型的差异反映了政策制定的水平,与欧盟相比,美国的地方政策制定发挥了更重要的作用,从而提出了监管方式形式影响监管内容和程度的途径。欧盟采用的监管范围更广,而美国港口更有可能解决影响当地人口的问题。
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引用次数: 1
Judicial Self-Governance Index: Towards better understanding of the role of judges in governing the judiciary. 司法自治指数:进一步了解法官在管理司法方面的作用。
IF 3 2区 社会学 Q1 Social Sciences Pub Date : 2023-01-01 DOI: 10.1111/rego.12453
Katarína Šipulová, Samuel Spáč, David Kosař, Tereza Papoušková, Viktor Derka

The aim of this article is to introduce a novel view on how to evaluate the share of power held by judges in judicial governance. Its contribution to court administration and the regulation of judges is three-fold. First, it provides a novel empirically tested conceptualization of judicial governance that includes 60 competences grouped into eight dimensions (ranging from selection and education of judges to case allocation and publication of judicial decisions). Second, it proposes a new Judicial Self-Governance (JSG) Index that measures how much power domestic judges hold in these eight dimensions of judicial governance. Third, by applying the JSG Index to the longitudinal data for Germany, Italy, Czechia, and Slovakia this article demonstrates that the Judicial Council model is not the only institutional model of judicial governance leading to the empowerment of judges. This means that judges can hold many powers without the existence of judicial councils and even in the Ministry of Justice model.

本文的目的是介绍一种关于如何评估法官在司法治理中的权力份额的新观点。它对法院管理和法官管理的贡献有三方面。首先,它提供了一种新颖的、经过实证检验的司法治理概念,其中包括分为八个维度的60项能力(从法官的选拔和教育到案件分配和司法判决的公布)。其次,本文提出了一个新的司法自治指数(JSG),衡量国内法官在司法治理的这八个维度中拥有多少权力。第三,通过将JSG指数应用于德国、意大利、捷克和斯洛伐克的纵向数据,本文表明司法委员会模式并不是导致法官赋权的司法治理的唯一制度模式。这意味着法官可以在没有司法委员会的情况下拥有许多权力,甚至是法务部模式。
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引用次数: 3
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Regulation & Governance
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