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Legislative Allocation of Delegated Power: Uncertainty, Risk, and the Choice between Agencies and Courts 授权的立法分配:不确定性、风险和机构与法院之间的选择
Pub Date : 2005-03-01 DOI: 10.2139/ssrn.716863
M. Stephenson
This paper contributes to the positive political theory of legislative delegation by modeling formally the decision calculus of a rational legislator who must choose between delegation to an agency and delegation to a court. The model focuses in particular on the legislator's interest in diversifying risk, both across time and across issues, and her interest in avoiding interpretive inconsistency. The model emphasizes an institutional difference between agencies and courts that the extant literature has generally neglected: Agency decisions tend to be ideologically consistent across issues but variable over time, while court decisions tend to be ideologically heterogeneous across issues but stable over time. For the legislator, then, delegation to agencies purchases inter-temporal risk diversification and inter-issue consistency at the price of inter-temporal inconsistency and a lack of risk diversification across issues, while delegation to courts involves the opposite trade-off. From this basic insight the model derives an array of comparative statics regarding the conditions under which rational legislators would tend to prefer delegating to agencies over courts and vice versa. These results imply hypotheses as to how real-world variation in political and policy-specific variables, as well as variation in characteristics of judicial and agency approaches to statutory interpretation, may affect legislators' preferences regarding allocation of interpretive authority.
本文通过对理性立法者必须在委托代理机构和委托法院之间做出选择的决策演算进行形式化建模,为立法委托的积极政治理论做出贡献。该模型特别关注立法者在跨时间和跨问题分散风险方面的兴趣,以及她在避免解释不一致方面的兴趣。该模型强调了现有文献普遍忽视的机构和法院之间的制度差异:机构的决定往往在意识形态上一致,但随着时间的推移而变化,而法院的决定往往在意识形态上不同,但随着时间的推移而稳定。因此,对于立法者来说,授权给机构以跨期不一致和缺乏跨问题风险分散为代价来购买跨期风险分散和问题间一致性,而授权给法院则涉及相反的权衡。从这一基本见解出发,该模型得出了一系列关于理性立法者倾向于将权力下放给机构而不是法院的条件的比较统计数据,反之亦然。这些结果意味着假设现实世界中政治和政策变量的变化,以及司法和机构对法律解释方法的特征的变化,可能会影响立法者对解释权分配的偏好。
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引用次数: 47
Governmental Public Relations 政府公共关系
Pub Date : 2005-01-01 DOI: 10.2139/ssrn.657001
C. Engel
Should government be allowed to spend tax payers' money on public relations? If one frames the question that way, the negative answer suggests itself. Yet government communication serves more purposes. These purposes may be analysed in terms of behavioural economics and psychology. In moral suasion, government communication is the governance tool itself. Most other governance tools do not automatically reach their addressees. Appropriate communication is necessary for them to become effective. Finally, government is a legitimate player in political process, and communication to the public is a legitimate element of this process. Specifically, the normatively desirable and the normative problematic aspects can usually not be fully disentangled. Hence, the potential distortion of elections must be outweighed against the governance effect. This paper does so by interpreting governmental public relations as a bundled product. It models the people as the principal, and the political parties running government as the agent. The distortion effect is observable, the governance effect is not. This set-up of the model invites a second-best solution in terms of mechanism design. Government is free to advertise. But advertising is costly in that it generates a handicap at the next elections. This solution is taken as a benchmark for discussing politically more digestible third and fourth best.
应该允许政府把纳税人的钱花在公共关系上吗?如果一个人这样思考问题,否定的答案就会浮现出来。然而,政府的沟通服务于更多的目的。这些目的可以从行为经济学和心理学的角度来分析。在道德劝说中,政府沟通本身就是治理工具。大多数其他治理工具不会自动到达它们的收件人。适当的沟通是使其有效的必要条件。最后,政府是政治过程中的合法参与者,与公众的沟通是这一过程的合法因素。具体来说,规范性的可取性和规范性的问题性方面通常不能完全分开。因此,必须权衡选举的潜在扭曲和治理效果。本文通过将政府公共关系解释为捆绑产品来做到这一点。它以人民为主体,政党执政为代理人。扭曲效应可见,治理效应不可见。就机制设计而言,该模型的这种设置引发了次优解决方案。政府可以自由地做广告。但广告成本高昂,因为它会在下次选举中造成障碍。这一解决方案被视为讨论政治上更容易接受的第三和第四方案的基准。
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引用次数: 1
How the Filed Rate Doctrine Wreaks Havoc with Energy Market Development and Policy ... And What Courts Can Do About it 税率主义如何破坏能源市场发展与政策…以及法院能做些什么
Pub Date : 2004-09-01 DOI: 10.2139/ssrn.587141
Jim Rossi
The filed rate doctrine is a venerable doctrine of public utility regulation. When a court applies it - and courts frequently do - the doctrine serves as a litigation shield for regulated utilities. Federal courts invoking this shield refuse to exercise jurisdiction over an alleged violation of antitrust, tort or contract claim whose resolution would require a departure from a utility's filed rate. Like many venerable legal rules, the filed rate doctrine is rarely questioned. For over a century, it has served many important purposes. However, with deregulated wholesale electric power markets at the federal level and various degrees of deregulation across the states, both the doctrine's continued applicability and usefulness are suspect. Moreover, as recent examples in the industry suggest, presumptive application of the filed rate doctrine by both firms and courts can cause affirmative harm for energy market development and policy. For example, a recent U.S. District Court decision in Texas applied the filed rate doctrine in an astonishingly broad manner, precluding antitrust claims against energy suppliers in the deregulated Texas wholesale power market and leaving those harmed by market abuses without any legal or administrative remedy. The Essay draws on examples such as this to illustrate the serious need for reassessment of the doctrine by federal courts in the energy context. It is argued that both courts and litigators have at their disposal ways of lowering the filed tariff shield to allow more efficient energy markets to develop, better furthering the goals of energy policy.
归档费率原则是公用事业监管的一个令人尊敬的原则。当法院适用这一原则时——法院经常这样做——这一原则为受监管的公用事业公司提供了诉讼保护。援引这一保护的联邦法院拒绝对涉嫌违反反托拉斯、侵权或合同索赔行使管辖权,这些索赔的解决需要偏离公用事业公司的备案费率。像许多受人尊敬的法律规则一样,备案税率原则很少受到质疑。一个多世纪以来,它起到了许多重要的作用。然而,随着联邦一级对批发电力市场的放松管制以及各州不同程度的放松管制,该原则的持续适用性和有效性都受到怀疑。此外,正如最近行业中的例子所表明的那样,公司和法院对备案费率原则的推定适用可能会对能源市场的发展和政策造成肯定的损害。例如,最近美国地方法院在德克萨斯州的一项裁决以令人惊讶的广泛方式应用了提交费率原则,排除了对放松管制的德克萨斯州批发电力市场的能源供应商的反垄断索赔,并使那些受到市场滥用损害的人没有任何法律或行政救济。本文利用诸如此类的例子来说明联邦法院在能源背景下重新评估该原则的迫切需要。有人认为,法院和诉讼当事人都有办法降低提交的关税保护,以允许更有效的能源市场发展,更好地推进能源政策的目标。
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引用次数: 0
Joe Cannon and the Minority Party: Tyranny or Bipartisanship 乔·坎农和少数党:暴政还是两党合作
Pub Date : 2004-07-01 DOI: 10.2139/ssrn.577861
Keith. Krehbiel, Alan E. Wiseman
The minority party is rarely featured in empirical research on parties in legislatures, and recent theories of parties in legislatures are rarely neutral and balanced in their treatment of the two parties. This paper makes a case for redressing this imbalance. We identify four characteristics of bipartisanship and evaluate their descriptive merits in a purposely hostile testing ground: during the rise and fall of Speaker Joseph G. Cannon, a.k.a., the Tyrant from Illinois. Drawing on century-old recently discovered records now available in the National Archives, we find that Cannon was anything but a majority-party tyrant during the important committee assignment phase of legislative organization. The findings underscore the need for future, more explicitly theoretical research on parties-in-legislatures.
少数党很少出现在立法机关政党的实证研究中,近年来的立法机关政党理论也很少在对待两党时保持中立和平衡。本文提出了纠正这种不平衡的理由。我们确定了两党合作的四个特征,并在一个故意充满敌意的试验场中评估了它们的描述性优点:在议长约瑟夫·g·坎农(又名来自伊利诺伊州的暴君)的兴衰过程中。根据国家档案馆最近发现的百年历史的记录,我们发现,在立法组织的重要委员会分配阶段,坎农绝不是一个多数党暴君。研究结果强调,未来需要对立法机构中的政党进行更明确的理论研究。
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引用次数: 17
Lost in Translation: Social Choice Theory is Misapplied Against Legislative Intent 迷失在翻译中:社会选择理论与立法意图的误用
Pub Date : 2004-04-12 DOI: 10.2139/ssrn.529742
A. Lupia, Mathew D. McCubbins
Several prominent scholars use results from social choice theory to conclude that legislative intent is meaningless. We disagree. We support our argument by showing that the conclusions in question are based on misapplications of the theory. Some of the conclusions in question are based on Kenneth Arrow's famous possibility theorem. We identify a substantial chasm between what Arrow proves and what others claim in his name. Other conclusions come from a failure to realize that applying social choice theory to questions of legislative intent entails accepting assumptions such as legislators are omniscient and legislators have infinite resources for changing law and policy. We demonstrate that adding more realistic assumptions to models of social choice theory yields very different theoretical results - including ones that allow meaningful inferences about legislative intent. In all of the cases we describe, important aspects of social choice theory were lost in the translation from abstract formalisms to real political and legal domains. When properly understood, social choice theory is insufficient to negate legislative intent.
一些著名学者利用社会选择理论的结果得出立法意图没有意义的结论。我们不同意的状况。我们通过表明所讨论的结论是基于对理论的误用来支持我们的论点。一些有争议的结论是基于肯尼斯·阿罗著名的可能性定理。我们发现在阿罗所证明的和其他人以他的名义所宣称的之间存在着巨大的鸿沟。其他结论来自未能认识到将社会选择理论应用于立法意图问题需要接受假设,例如立法者是无所不知的,立法者有无限的资源来改变法律和政策。我们证明,在社会选择理论模型中加入更现实的假设会产生非常不同的理论结果——包括那些允许对立法意图进行有意义推论的理论结果。在我们描述的所有案例中,社会选择理论的重要方面在从抽象的形式主义到现实的政治和法律领域的翻译中丢失了。在正确理解的情况下,社会选择理论不足以否定立法意图。
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引用次数: 9
A Fresh Look at Accounting Ethics (or Dr. Smith Goes to Washington) 重新审视会计伦理(或史密斯博士前往华盛顿)
Pub Date : 2003-03-01 DOI: 10.2308/ACCH.2003.17.1.47
Murphy D. Smith
This article (editorial) proposes actions to be taken by educators and practitioners in providing ethical direction to the accounting profession. In the wake of corporate scandals and a shaky stock market, Congress passed legislation that established a new board to oversee auditors of publicly traded companies and increased prison sentences for fraud. This article is based on the author's opening statement to the U.S. House of Representatives Subcommittee on Commerce, Trade, and Consumer Protection, Friday, July 26, 2002. At the Congressional Hearing, Truett Cathy, founder of Chick-Fil-A, quoted Proverbs 22:1, which says: A good name is more desirable than great riches; to be esteemed is better than silver or gold. The truth is that living an honorable life really is more satisfying than fame and fortune. The accounting professional must be skilled at implementing moral judgments so that he or she can consider the welfare of those affected by his or her actions. The ultimate measure of success is not fame and fortune, but moral character and personal integrity. The leadership of the accounting profession has a responsibility to inculcate in practitioners and students ethical behavior and personal integrity. Rules and regulations of government cannot preserve a free and ethical society whose people lack integrity.
本文(社论)建议教育工作者和从业人员采取行动,为会计专业提供道德指导。在公司丑闻和股市动荡之后,国会通过了一项立法,成立了一个新的委员会来监督上市公司的审计师,并增加了对欺诈行为的刑期。本文是根据作者2002年7月26日星期五在美国众议院商业、贸易和消费者保护小组委员会上的开场陈述写成的。在国会听证会上,Chick-Fil-A的创始人特鲁特·凯西(Truett Cathy)引用了箴言22:1的话,其中说:“好名声比巨额财富更可取;德高望重,胜过金银。事实是,光荣的生活确实比名利更令人满足。会计专业人员必须善于执行道德判断,以便他或她能够考虑受其行为影响的人的福利。衡量成功的最终标准不是名利,而是品德和操守。会计行业的领导有责任向从业人员和学生灌输道德行为和个人诚信。如果人民缺乏诚信,政府的规章制度就无法维持一个自由和有道德的社会。
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引用次数: 78
National Legislative Autonomy? The Procedural Constraints of European Law 国家立法自治?欧洲法的程序约束
Pub Date : 1998-06-01 DOI: 10.54648/leie1998002
J. Jans
The key question addressed in this article is at what points does European law impose constraints on the national legislative process, and does this mean that the national legislature’s powers are no longer wholly autonomous?
本文讨论的关键问题是,欧洲法律在哪些方面对国家立法程序施加了限制,这是否意味着国家立法机构的权力不再完全自治?
{"title":"National Legislative Autonomy? The Procedural Constraints of European Law","authors":"J. Jans","doi":"10.54648/leie1998002","DOIUrl":"https://doi.org/10.54648/leie1998002","url":null,"abstract":"The key question addressed in this article is at what points does European law impose constraints on the national legislative process, and does this mean that the national legislature’s powers are no longer wholly autonomous?","PeriodicalId":297504,"journal":{"name":"Legislation & Statutory Interpretation","volume":"27 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"1998-06-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"122326151","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
引用次数: 3
The Treatment of Foreign Country Convictions as Predicates for Sentence Enhancement Under Recidivist Statutes 累犯法规对外国定罪作为减刑谓词的处理
Pub Date : 1994-10-01 DOI: 10.2307/1372868
Alex Glashausser
All jurisdictions within the United States have some form of repeat offender statute that enhances sentences based on prior convictions. Many criminals in the United States have committed crimes in other countries. It is no surprise, then, that a recurring question is whether convictions from foreign countries count as predicate offenses for the purpose of recidivist statutes. Some state legislatures have addressed that question directly, but many more have enacted ambiguous statutes that use phrases such as outside this state. Some courts have interpreted those phrases as embracing convictions from outside the United States, while others have limited their scope to the United States. This note discusses doctrinal and policy considerations and proposes a standard courts should use in deciding when to include foreign country convictions.
美国的所有司法管辖区都有某种形式的累犯法规,根据先前的定罪来加重刑罚。美国的许多罪犯在其他国家也犯过罪。因此,毫不奇怪,一个反复出现的问题是,根据累犯法规的目的,来自外国的定罪是否算作上游犯罪。一些州的立法机构已经直接解决了这个问题,但更多的州制定了模棱两可的法规,使用了诸如“州外”之类的短语。一些法院将这些措辞解释为包括来自美国以外的定罪,而另一些法院则将其范围限制在美国。本说明讨论了理论和政策方面的考虑,并提出了法院在决定何时包括外国定罪时应使用的标准。
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引用次数: 2
Asset Forfeiture and Third Party Rights: The Need for Further Law Reform 资产没收与第三人权利:进一步法律改革的必要性
Pub Date : 1989-11-01 DOI: 10.2307/1372518
Michael Goldsmith, M. Linderman
Asset forfeiture has become an important weapon in the fight against narcotics trafficking and racketeering. ... Pearson addressed the constitutionality of Puerto Rico's civil forfeiture statute. ... Who had standing to assert it? For example, would a reasonable precautions defense be available to a bona fide purchaser who paid full value for a conveyance and neither knew, nor had reason to know, of any prior illegal use? Similarly, would the defense be available to a lienholder acting reasonably without knowledge of any impropriety? Such third party claimants seem to deserve more protection than an owner because they generally lack any opportunity to prevent illegal use of the conveyance. ... In 1970 Congress provided for criminal forfeiture in the newly enacted CCE and RICO statutes. CCE authorized forfeiture of assets linked to drug trafficking, and RICO extended asset forfeiture beyond narcotics trafficking to other racketeering activities as defined in the statute. ... By adopting a negligence test instead of some higher standard or one that distinguishes between types of third party claims, Congress has failed to adequately protect the third party interest. ...
没收资产已成为打击贩毒和敲诈勒索的重要武器. ...皮尔逊谈到了波多黎各民事没收法规. ...的合宪性谁有资格主张呢?例如,一个善意的购买者支付了运输工具的全部价值,但既不知道,也没有理由知道,之前有任何非法使用,他是否可以为合理的预防措施辩护?同样,在不知道任何不当行为的情况下合理行事的留置权人是否也可以使用该抗辩?此类第三方索赔人似乎比所有权人更应得到保护,因为他们通常没有任何机会防止非法使用转让. ...1970年,国会在新颁布的CCE和RICO法规中规定了刑事没收。CCE授权没收与贩毒有关的资产,RICO将资产没收范围从贩毒扩大到法规. ...中定义的其他敲诈勒索活动通过采用过失检验而不是采用某种更高的标准或区分第三方索赔类型的标准,国会未能充分保护第三方利益. ...
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引用次数: 12
Advance Notice Provisions in Plant Closing Legislation: Do They Matter? 工厂关闭立法中的提前通知条款:它们重要吗?
Pub Date : 1988-06-01 DOI: 10.3386/W2611
Ronald G. Ehrenberg, George H. Jakubson
This paper evaluates the cases for and against plant closing legislation. In spite of the growth of legislative efforts in the area, there has been surprisingly little effort devoted to analyzing what the effects are of existing plant closing legislation, of provisions in privately negotiated collective bargaining agreements that provide for advance notice in case of plant shutdowns and/or layoffs, and of voluntary employer provision of advance notice. The paper summarizes the results of previous research, and our own empirical analyses that used the January 1984 Bureau of Labor Statistics Survey of Displaced Workers, on the effects of advance notice on displaced workers' durations of nonemployment and post-displacement earnings. Based upon these findings, implications for public policy are drawn.
本文对赞成和反对关闭工厂立法的案例进行了评价。尽管该领域的立法努力不断增加,但令人惊讶的是,很少有人致力于分析现有工厂关闭立法的影响,私人谈判的集体谈判协议中规定在工厂关闭和/或裁员时提前通知的规定,以及雇主自愿提前通知的规定。本文总结了之前的研究结果,以及我们自己使用1984年1月劳工统计局对失业工人的调查进行的实证分析,研究了提前通知对失业工人失业时间和失业后收入的影响。根据这些发现,得出了对公共政策的影响。
{"title":"Advance Notice Provisions in Plant Closing Legislation: Do They Matter?","authors":"Ronald G. Ehrenberg, George H. Jakubson","doi":"10.3386/W2611","DOIUrl":"https://doi.org/10.3386/W2611","url":null,"abstract":"This paper evaluates the cases for and against plant closing legislation. In spite of the growth of legislative efforts in the area, there has been surprisingly little effort devoted to analyzing what the effects are of existing plant closing legislation, of provisions in privately negotiated collective bargaining agreements that provide for advance notice in case of plant shutdowns and/or layoffs, and of voluntary employer provision of advance notice. The paper summarizes the results of previous research, and our own empirical analyses that used the January 1984 Bureau of Labor Statistics Survey of Displaced Workers, on the effects of advance notice on displaced workers' durations of nonemployment and post-displacement earnings. Based upon these findings, implications for public policy are drawn.","PeriodicalId":297504,"journal":{"name":"Legislation & Statutory Interpretation","volume":"1 1","pages":"0"},"PeriodicalIF":0.0,"publicationDate":"1988-06-01","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"128507187","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
引用次数: 19
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Legislation & Statutory Interpretation
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