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A Behavioral Approach to International Legal Cooperation 国际法律合作的行为取向
Pub Date : 2012-07-04 DOI: 10.2139/SSRN.1969905
Emilie M. Hafner-Burton, Brad L. LeVeck, D. Victor, J. Fowler
International relations theories have largely ignored the role of individual people who play key roles in treaty design and participation; instead, that scholarship assumes that other factors, such as treaty enforcement, matter most. We use experiments drawn from behavioral economics and cognitive psychology — along with a substantive survey focused on international trade treaties — to illustrate how two traits (patience and strategic skills) could influence treaty outcomes. More patient and strategic players favor treaties with larger numbers of countries (and thus larger long-term benefits). These behavioral traits had much larger impacts on simulated treaty outcomes than treaty enforcement mechanisms. This study is based on a sample of 509 university students yet provides a baseline for future experimental and survey research on actual policy elites who design and implement treaties; a preliminary sample of 73 policy elites displays the same main patterns described in this paper.
国际关系理论在很大程度上忽视了在条约设计和参与中发挥关键作用的个人的作用;相反,这种学术假设其他因素,比如条约的执行,才是最重要的。我们利用行为经济学和认知心理学的实验,以及一项针对国际贸易条约的实质性调查,来说明两种特征(耐心和战略技能)如何影响条约的结果。更有耐心和战略的参与者倾向于与更多国家签订条约(从而获得更大的长期利益)。这些行为特征对模拟条约结果的影响远大于条约执行机制。这项研究基于509名大学生的样本,但为未来对设计和实施条约的实际政策精英的实验和调查研究提供了基线;73位政策精英的初步样本显示出与本文描述的相同的主要模式。
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引用次数: 9
Transnational Dealings - Morrison Continues to Make Waves 跨国交易——莫里森继续兴风作浪
Pub Date : 2012-06-22 DOI: 10.2139/SSRN.2205416
Marc I. Steinberg, K. Flanagan
Morrison v. National Australia Bank Ltd. drastically altered the landscape for transnational securities litigation and the way that courts determine proper application of a statute concerning a transnational claim. The Supreme Court’s characterization of extraterritoriality under the Securities Exchange Act as a merits-based inquiry has led to a reexamination of limitations under other federal statutes that were previously thought to be jurisdictional issues. Significantly, Morrison created a road map for courts to follow when the extraterritoriality of a statute is brought into question. The key to proper application of a statute is to decipher the minimum U.S. contacts required to state a transnational claim. The tests developed addressing this inquiry are critical in discerning the boundaries of U.S. law at a time when transnational dealings are prevalent.
莫里森诉澳大利亚国民银行案(Morrison v. National Australia Bank Ltd.)彻底改变了跨国证券诉讼的格局,也改变了法院判定有关跨国索赔的法规是否适用的方式。最高法院将《证券交易法》下的治外法权定性为基于功绩的调查,导致了对其他联邦法规下的限制的重新审查,这些限制以前被认为是管辖权问题。重要的是,莫里森为法院在法规的治外法权受到质疑时制定了一个路线图。适当适用法规的关键是要理解陈述跨国索赔所需的最低限度的美国联系。在跨国交易盛行的时代,为解决这一问题而开发的测试对于辨别美国法律的界限至关重要。
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引用次数: 2
Stress Testing Stress Tests: Challenging the Authority of Indicators 压力测试:挑战指标的权威性
Pub Date : 2012-06-13 DOI: 10.2139/ssrn.2083594
Matthias Goldmann
This paper examines macroprudential stress tests carried out by financial supervisors from a legal perspective. Stress tests are highly contingent because of their use of a number of controversial indicators such as adverse scenarios and risk models. At the same time, they constitute highly effective exercises of public authority. From a public law perspective, this raises their question whether the current legal framework is suitable. In light of the potential of supervisory stress tests to cause externalities and to second-guess financial regulation, the paper argues that supervisory stress tests should be regulated on the international level. The paper makes specific proposals for international legal rules relating to the design and conduct of stress tests as well as their use and follow-up measures.
本文从法律的角度考察了金融监管机构进行的宏观审慎压力测试。压力测试具有高度的偶然性,因为它们使用了一些有争议的指标,如不利情景和风险模型。同时,它们是对公共权力极为有效的行使。从公法的角度来看,这引发了他们对现行法律框架是否合适的质疑。鉴于监管压力测试可能导致外部性和事后猜测金融监管,本文认为,监管压力测试应在国际层面进行监管。该文件就有关压力测试的设计和实施及其使用和后续措施的国际法律规则提出了具体建议。
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引用次数: 1
The Role of NGOs and Civil Society in Development and Poverty Reduction 非政府组织和民间社会在发展和减贫中的作用
Pub Date : 2012-06-01 DOI: 10.2139/ssrn.2072157
N. Banks, D. Hulme
Abstract Since the late 1970s, NGOs have played an increasingly prominent role in the development sector, widely praised for their strengths as innovative and grassroots-driven organisations with the desire and capacity to pursue participatory and people-centred forms of development and to fill gaps left by the failure of states across the developing world in meeting the needs of their poorest citizens. While levels of funding for NGO programmes in service delivery and advocacy work have increased alongside the rising prevalence and prominence of NGOs, concerns regarding their legitimacy have also increased. There are ongoing questions of these comparative advantages, given their growing distance away from low-income people and communities and towards their donors. In addition, given the non-political arena in which they operate, NGOs have had little participation or impact in tackling the more structurally-entrenched causes and manifestations of poverty, such as social and political exclusion, instead effectively depoliticising poverty by treating it as a technical problem that can be ‘solved’. How, therefore, can NGOs ‘return to their roots’ and follow true participatory and experimental paths to empowerment? As this paper explores, increasingly, NGOs are recognised as only one, albeit important, actor in civil society. Success in this sphere will require a shift away from their role as service providers to that of facilitators and supporters of broader civil society organisations through which low-income communities themselves can engage in dialogue and negotiations to enhance their collective assets and capabilities.
自20世纪70年代末以来,非政府组织在发展领域发挥了越来越突出的作用,它们作为创新的、由基层驱动的组织,具有追求参与性和以人为本的发展形式的愿望和能力,填补了发展中国家在满足其最贫困公民需求方面的失败所留下的空白,受到广泛赞誉。随着非政府组织的日益普及和突出,对非政府组织提供服务和宣传工作的资助水平也在增加,但对其合法性的担忧也在增加。鉴于这些相对优势与低收入人群和社区的距离越来越远,与它们的捐助者的距离也越来越远,因此对这些相对优势仍有疑问。此外,由于非政府组织所处的非政治领域,它们在解决社会和政治排斥等更为结构性的贫困原因和表现方面几乎没有参与或影响,而是将贫困视为一个可以“解决”的技术问题,有效地将其非政治化。因此,非政府组织如何“回归本源”,走真正的参与式、实验性赋权之路?正如本文所探讨的那样,非政府组织越来越被认为是公民社会中的一个角色,尽管很重要。要在这一领域取得成功,就需要它们从服务提供者的角色转变为更广泛的民间社会组织的促进者和支持者的角色,通过这些组织,低收入社区本身可以参与对话和谈判,以增强其集体资产和能力。
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引用次数: 253
Changes in the Regulation of the Legal Profession in Bailed Out Ireland: For Better or Worse? 受纾困爱尔兰法律行业监管的变化:是好是坏?
Pub Date : 2012-04-03 DOI: 10.2139/SSRN.2033714
Maeve Hosier
In accordance with the terms of the loan which was obtained in November 2010 from the IMF and EU (the Troika) the Irish Government committed to significant reform of the legal services market, and the Legal Services Regulation Bill (LSRB) which was published in October 2011 seeks to meet the state's obligations in that regard. The regulation of the legal profession in Ireland is about to be radically altered, if the LSRB is enacted in its current form. It provides for the establishment of a Legal Services Regulatory Authority with responsibility for the regulation of both solicitors and barristers. It will establish the Office of Legal Costs Adjudicator which will endeavor to bring greater transparency to the area of legal costs. A new Legal Practitioners Disciplinary Tribunal will also be established to oversee the operation of an independent system for the investigation of complaints relating to professional misconduct.The publication of the LSRB set the scene for a battle royale between both the Bar Council of Ireland and The Law Society of Ireland on the one hand and the Minister for Justice, Mr Alan Shatter on the other. This paper describes the existing framework which governs the regulation of the legal profession in Ireland, explores the key provisions of the LSRB and assesses their potential impact upon the present regulatory structure. It also describes how the LSRB will replace the present regulatory framework with a system of governmental co-regulation. The paper argues that the provisions of the LSRB will help to prevent the re-emergence of a triad involving property developers, financial institutions and lawyers which was a prime mover in the inflation and subsequent collapse of the Irish property bubble.
根据2010年11月从国际货币基金组织和欧盟(三驾马车)获得的贷款条款,爱尔兰政府承诺对法律服务市场进行重大改革,2011年10月公布的《法律服务条例法案》(LSRB)旨在履行国家在这方面的义务。如果LSRB以目前的形式颁布,爱尔兰对法律职业的监管将会发生根本性的改变。它规定成立一个法律服务监管局,负责监管律师和大律师。它将设立法律费用审核员办公室,该办公室将努力提高法律费用领域的透明度。政府亦会设立新的法律从业员纪律审裁处,监督独立制度的运作,以调查有关专业失当行为的投诉。LSRB的出版为爱尔兰律师协会和爱尔兰律师协会与司法部长Alan Shatter先生之间的一场大战斗奠定了基础。本文描述了管理爱尔兰法律专业监管的现有框架,探讨了LSRB的关键条款,并评估了它们对当前监管结构的潜在影响。它还描述了LSRB将如何用政府共同监管系统取代目前的监管框架。本文认为,LSRB的规定将有助于防止涉及房地产开发商、金融机构和律师的三位一体再次出现,这是导致通货膨胀和随后爱尔兰房地产泡沫破裂的主要推动者。
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引用次数: 0
The EU and Multilateral Crisis Management: Assessing Cooperation and Coordination with the UN 欧盟与多边危机管理:评估与联合国的合作与协调
Pub Date : 2012-04-02 DOI: 10.2139/ssrn.2170430
L. Fioramonti, M. Schoeman, G. Olivier
Multilateralism sits high on the European foreign policy agenda and constitutes a founding principle of the EU’s integration process. Yet, a comparative analysis of key missions and diplomatic initiatives in the field of crisis management reveals lights and shadows in the much-heralded ‘choice of multilateralism’ underpinning the cooperation between the EU and the UN. On the one hand, the EU strives to support the UN and operate legitimately within its framework and mandate; on the other hand, it wishes to carve out an autonomous space for its role in multilateral crisis management, be it through military means or though diplomatic strategies. Moreover, institutional cooperation at the top-level has not always resulted in good coordination on the ground, thus undermining ‘effective multilateralism.’
多边主义是欧洲外交政策的重要议程,也是欧盟一体化进程的基本原则。然而,对危机管理领域的主要任务和外交举措的比较分析揭示了欧盟和联合国之间合作的“多边主义选择”的光明和阴影。一方面,欧盟努力支持联合国,在其框架和授权范围内合法运作;另一方面,中国希望通过军事手段或外交战略,为自己在多边危机管理中发挥作用开辟自主空间。此外,高层的机构合作并不总能带来实际的良好协调,从而削弱了“有效的多边主义”。
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引用次数: 1
Economic Violence in the Practice of African Truth Commissions and Beyond 非洲真相委员会及其他组织实践中的经济暴力
Pub Date : 2012-03-27 DOI: 10.1007/978-1-4614-8172-0_4
Dustin N. Sharp
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引用次数: 5
Converging Trends in Investment Treaty Practice 投资条约实践的趋同趋势
Pub Date : 2012-03-08 DOI: 10.2139/SSRN.1933314
K. H. Cross
Traditionally, the vested interests of states concluding bilateral investment treaties (BITs) fell into two categories: on the side of capital-exporting states, an interest in adopting strong protections for foreign investors; on the side of capital-importing states, an interest in attracting foreign investment but also in attempting to preserve host country sovereignty and authority to promote the public interest. Over the past decade or so, however, the line between capital-exporting and capital-importing state increasingly has blurred, and the calculus for states negotiating BITs has become less certain. The experience of the US as a respondent to claims brought to arbitration by Canadian investors under Chapter 11 of NAFTA significantly affected the development of a new generation of US BITs that better balance the interests of host states against those of foreign investors. Similarly, as emerging market economies become significant exporters of capital, these countries are concluding BITs and resorting to investor-state arbitration, driven at least in part by the needs of their own foreign investors. This article examines this convergence in BIT practice. It suggests that these converging trends, a function of states operating behind what Rawls referred to as a “veil of ignorance,” are having and should continue to have a moderating influence on the content of BITs.
传统上,缔结双边投资条约(BITs)的国家的既得利益分为两类:对资本输出国来说,对外国投资者采取强有力的保护是一种利益;资本输入国一方面有兴趣吸引外国投资,另一方面也有兴趣维护东道国主权和权威,以促进公共利益。然而,在过去十年左右的时间里,资本输出国和资本输入国之间的界限越来越模糊,各国谈判双边投资协定的考量也变得不那么确定了。美国作为加拿大投资者根据《北美自由贸易协定》(NAFTA)第11章提起仲裁的诉讼的被告的经验,极大地影响了新一代美国双边投资协定的发展,这些协定更好地平衡了东道国与外国投资者的利益。同样,随着新兴市场经济体成为重要的资本出口国,这些国家正在缔结双边投资协定,并诉诸于投资者与国家之间的仲裁,至少在一定程度上是出于本国外国投资者的需求。本文将研究BIT实践中的这种收敛性。它表明,这些趋同的趋势,在罗尔斯所说的“无知之幕”背后运作的国家的功能,正在并且应该继续对双边投资协定的内容产生缓和的影响。
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引用次数: 4
Bombshells with Black Faces: Examining the Intersection between Terrorism, State Failure, and Sexual Gender Based Violence in Sub-Saharan Africa 黑脸炸弹:审视撒哈拉以南非洲的恐怖主义、国家失败和基于性别的暴力之间的交集
Pub Date : 2012-03-05 DOI: 10.2139/ssrn.2015945
Tiffiany Howard
At the time of this writing there exist a handful of studies that examine the relationship between fragile states and the emergence of political violence; few that restrict their research to the study of Africa, and even fewer that assess the impact this relationship has on women. In conflict ridden societies where the state has collapsed and there are fledgling political infrastructures, there has been a gross negligence in the protection of women and girls. In failed states, women are at a high risk of becoming the victims of rape and other gender based violence; and while studies have examined this phenomenon and the psychological impact this type of violence has on women, there are few existing studies that evaluate the socio-political impact on women; mainly how exposure to gender based violence influences women’s attitudes towards the key political issues of terrorism and political violence. I raise this issue because in conflict ridden societies where sexual dominance and female inferiority have become institutionalized as a societal norm, there is a propensity for these women, after having been sexually victimized, to cling to their feelings of revenge, which has later been cited as the overwhelming reason why women seek to join and support terrorist organizations. The female suicide terrorism literature supports this assertion, pointing to the victimization and powerlessness of women as the major impetus that motivates females to engage in acts of terrorism. Consequently, using sub-Saharan Africa as the unit of analysis, where terrorism and political violence are on the rise, and conflict, rape and gender based violence are prevalent, I evaluate the attitudes of women, who have been victimized, and their support for political violence. The findings suggest that the international community could soon encounter the emergence of terrorist threats from sub-Saharan Africa with female faces.
在写这篇文章的时候,有一些研究研究了脆弱国家与政治暴力的出现之间的关系;很少有人将他们的研究局限于对非洲的研究,评估这种关系对女性的影响的人就更少了。在冲突不断的社会中,国家已经崩溃,政治基础设施刚刚起步,在保护妇女和女孩方面存在严重疏忽。在失败的国家,妇女极有可能成为强奸和其他基于性别的暴力的受害者;虽然有研究调查了这一现象以及这类暴力对妇女的心理影响,但目前很少有研究评估对妇女的社会政治影响;主要是基于性别的暴力如何影响妇女对恐怖主义和政治暴力等关键政治问题的态度。我之所以提出这个问题,是因为在充满冲突的社会中,性优势和女性劣势已经成为一种制度化的社会规范,这些女性在遭受性侵害后,有一种倾向,她们会坚持自己的复仇情绪,这后来被认为是女性寻求加入和支持恐怖组织的主要原因。女性自杀式恐怖主义文献支持这一说法,指出女性的受害和无能为力是促使女性参与恐怖主义行为的主要动力。因此,我将撒哈拉以南非洲作为分析单元,在那里恐怖主义和政治暴力正在上升,冲突、强奸和基于性别的暴力普遍存在,我评估了受害妇女的态度,以及她们对政治暴力的支持。研究结果表明,国际社会可能很快就会遇到来自撒哈拉以南非洲的女性面孔的恐怖主义威胁。
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引用次数: 0
Global Harmonization Through Public-Private Partnership: The Case of Pharmaceuticals 通过公私伙伴关系实现全球协调:制药业的案例
Pub Date : 2012-01-29 DOI: 10.2139/SSRN.1995035
Stéphanie Dagron
The harmonization activities of the International Conference on Harmonization (ICH) in the field of pharmaceutical marketing regulation perfectly illustrate the possible normative influence of non-binding instruments adopted by sub-national actors. The ICH is a hybrid organization composed of representatives of the pharmaceutical industry on one hand and the national regulation agencies of three regions on the other. An intergovernmental organization, the World Health Organization (WHO), is associated to the ICH activities through its observer status. The ICH has adopted more than 50 “technical” guidelines which have developed into global standards. It has thus become extremely difficult for national regulators to modify the criteria for drug marketing approval unilaterally. Some guidelines go beyond the standardization of technical requirements. They reflect commercial, political or ethical choices and pose complex legitimacy and accountability challenges. The analysis of the multi-level procedure and institutional framework of the ICH has so far not been conducted from a global administrative law perspective. A closer examination of the ICH process reveals a deficient structure and the need for the development of new legal standards. Some steps already taken by the ICH should be pursued further and could contribute a model for greater accountability and legitimacy for new forms of global administrative decision-making procedures.
国际协调会议(ICH)在药品销售监管领域的协调活动完美地说明了次国家行为体通过的非约束性文书可能产生的规范影响。ICH是一个由制药业代表和三个地区的国家监管机构组成的混合型组织。世界卫生组织(世卫组织)这一政府间组织通过其观察员地位参与了非物质遗产活动。该委员会采用了50多项“技术”指南,这些指南已发展成为全球标准。因此,国家监管机构单方面修改药品销售批准标准变得极其困难。一些准则超越了技术要求的标准化。它们反映了商业、政治或道德选择,并构成了复杂的合法性和问责挑战。迄今为止,还没有从全球行政法的角度对非物质文化遗产的多层次程序和制度框架进行分析。对非物质文化遗产程序的更仔细审查揭示了结构的缺陷和制定新的法律标准的必要性。应当进一步推行文化遗产委员会已经采取的一些步骤,这些步骤可以为新形式的全球行政决策程序提供一个更大的责任制和合法性的模式。
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引用次数: 1
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