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Viewing Judicial Independence and Accountability through the “Lens” of Performance Measurement and Management 从绩效评估和管理的“视角”看司法独立和问责制
Q2 Social Sciences Pub Date : 2018-12-19 DOI: 10.18352/IJCA.280
I. Keilitz
This article is a review of the European Network of Councils for the Judiciary’s (ENCJ) framework and vision of the independence, accountability, and transparency of the judiciaries in member states of the European Union. Its purpose is to aid ENCJ in the further development of its indicators of judicial independence and accountability. The focus of the article is on performance measurement and management (PMM) as seen, depending on one’s views, either as an instrument for strengthening judicial independence or, alternatively, an instrument for reigning in the power of the judiciary and threatening its independence. The article begins with a general discussion of judicial independence, accountability, and transparency as seen through the “lens” of PMM.  It continues with a critical review and assessment of the conceptual framework of the ENCJ’s 22 indicators and 64 sub-indicators of judicial independence and accountability and identifies several shortcomings that decrease the utility of the framework. It urges a rethinking of the conceptual framework and proposes an alternative model – an input/output/outcome “logic model” --more amenable to understanding and improving indicators of judicial independence and accountability. It makes four recommendations aimed at a better alignment of ENCJ’s framework of indicators with principles and practices of modern PMM. The article concludes with a warning about troubling developments at a higher level of governance and politics that some see as a retreat from democracy and the rule of law in Europe and in many other parts of the world, one that poses an existential threat to the judiciary as a coequal partner in government.
本文回顾了欧洲司法理事会网络(ENCJ)的框架,以及欧盟成员国司法机构的独立性、问责制和透明度。其目的是协助欧洲司法委员会进一步制订其司法独立和问责制指标。本文的重点是绩效衡量和管理(PMM),这取决于人们的观点,要么是作为加强司法独立的工具,要么是作为控制司法权力和威胁其独立性的工具。本文首先通过PMM的“镜头”对司法独立、问责制和透明度进行了一般性讨论。报告继续对《司法独立与问责制》的22个指标和64个子指标的概念框架进行了批判性审查和评估,并指出了降低该框架效用的几个缺点。它敦促对概念框架进行重新思考,并提出了另一种模型——投入/产出/结果“逻辑模型”——更易于理解和改进司法独立和问责制的指标。它提出了四项建议,旨在更好地将ENCJ的指标框架与现代PMM的原则和实践结合起来。文章最后警告说,在更高层次的治理和政治中出现了令人不安的事态发展,一些人认为这是欧洲和世界许多其他地区民主和法治的倒退,对作为政府平等伙伴的司法部门构成了生存威胁。
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引用次数: 2
Reaction on the comments on the ENCJ study on Method for Assessment of Judicial Independence and Accountability. 对ENCJ《司法独立与问责评估方法》研究意见的反应。
Q2 Social Sciences Pub Date : 2018-12-19 DOI: 10.18352/IJCA.283
F. Dijk, P. Langbroek
We are grateful for the contribution of Stefan Voigt, Elaine Mak, David Kosař, Samuel Spac, Ingo Keilitz and Marco Fabri to this Special Issue.  Their commentaries on the indicators for independence and accountability of the judiciary as developed for the ENCJ give many useful ideas for future development. The comments also reflect the different disciplinary backgrounds of the authors and point to the need to position the ENCJ approach within the diverse disciplines that engage in the analysis of judicial independence. It is obvious that the approaches of the commenters on the ENCJ study differ widely. In economics the approach focuses on measuring independence for inclusion as variable in econometric models about, for instance, economic growth or protection of property rights. More (de-facto) independence enhances economic performance, but how more independence is to be achieved is not addressed.  From the perspective of performance management of organizations, independence is part of court performance for the clients and to some degree subservient to it. In a legal, descriptive approach, the situation in different countries is described in detail, also as a part of judicial culture. The ENCJ study only sets criteria for measuring judicial independence, and does not address performance measurement of courts and judges in general.
我们感谢Stefan Voigt、Elaine Mak、David Kosař、Samuel Spac、Ingo Keilitz和Marco Fabri对本期特刊的贡献。他们对为ENCJ制定的司法独立性和问责制指标的评论为未来的发展提供了许多有用的想法。评论还反映了作者的不同学科背景,并指出有必要在参与司法独立性分析的不同学科中定位ENCJ方法。很明显,对ENCJ研究的评论者的方法大相径庭。在经济学中,该方法侧重于衡量包容性的独立性,将其作为经济增长或产权保护等计量经济模型中的变量。更多的(事实上的)独立性可以提高经济表现,但如何实现更多的独立性并没有得到解决。从组织绩效管理的角度来看,独立性是客户法庭绩效的一部分,并在一定程度上服从于它。通过法律、描述性的方法,详细描述了不同国家的情况,也是司法文化的一部分。ENCJ的研究只设定了衡量司法独立性的标准,而没有涉及法院和法官的总体绩效衡量。
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引用次数: 0
A Method for Assessment of the Independence and Accountability of the Judiciary 司法机构的独立性和问责性的评估方法
Q2 Social Sciences Pub Date : 2018-12-19 DOI: 10.18352/ijca.276
F. Dijk, Geoffrey Vos
The method outlined in this paper consists of a systematic assessment of the level of independence achieved in practice by national judicial systems throughout Europe, for the purpose of improving the design of judicial arrangements. Accountability of the judiciary is assessed alongside independence as those two concepts are intricately linked. Judicial independence and accountability are both evaluated in relation to the judicial system as a whole, as well as in relation to individual judges. Judicial independence is considered both objectively and subjectively. Specific indicators have been identified for each of these assessments. The whole methodology was applied to the judicial systems of 23 countries in Europe. The main findings of this exercise are summarised in this paper, with the strengths and weaknesses of these judicial systems and the most acute risks to judicial independence identified below.
本文概述的方法包括系统地评估整个欧洲国家司法系统在实践中实现的独立程度,以便改进司法安排的设计。司法机构的问责制与独立性一起受到评估,因为这两个概念错综复杂地联系在一起。司法独立和问责制既与整个司法系统有关,也与法官个人有关。司法独立有客观和主观两个方面的考虑。为每一项评估都确定了具体指标。整个方法适用于欧洲23个国家的司法系统。本文总结了这项工作的主要发现,并指出了这些司法系统的优点和缺点,以及司法独立面临的最严重风险。
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引用次数: 6
Innovate – Don’t Imitate! -ENCJ Research Should Focus on Research Gaps 创新——不要模仿!-ENCJ研究应关注研究差距
Q2 Social Sciences Pub Date : 2018-12-19 DOI: 10.18352/ijca.279
S. Voigt
After a critical evaluation of the proposal by van Dijk and Vos to make judicial independence and accountability measurable, this paper discusses a number of basic methodological decisions that need to be made before meaningful indicators can be constructed. The paper then moves on to deplore the lack of knowledge regarding the effects of judicial councils and proposes that more research be carried out to reduce our knowledge deficit. It further describes the rising importance of prosecutors and the complete lack of indicators regarding prosecutorial accountability. It argues that producing indicators with regard to prosecutors could add a lot more value than yet another indicator on judicial independence.
在对范迪克和沃斯提出的使司法独立性和问责制可衡量的建议进行批判性评估后,本文讨论了在构建有意义的指标之前需要做出的一些基本方法决定。然后,该文件对缺乏对司法委员会影响的了解表示遗憾,并建议进行更多的研究,以减少我们的知识赤字。它进一步描述了检察官的重要性日益上升,以及检察官问责制完全缺乏指标。它认为,制定关于检察官的指标可能比另一个关于司法独立的指标增加更多的价值。
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引用次数: 1
Conceptualization(s) of Judicial Independence and Judicial Accountability by the European Network of Councils for the Judiciary: Two Steps Forward, One Step Back 欧洲司法委员会网络对司法独立和司法问责制的概念化:前进两步,后退一步
Q2 Social Sciences Pub Date : 2018-09-19 DOI: 10.18352/IJCA.284
D. Kosař, Samuel Spáč
This article focuses on conceptual issues regarding the new methodology of the European Network of Councils for the Judiciary (ENCJ) for measuring judicial independence and accountability. First, we argue that the proposal mixes up several concepts – judicial independence, judicial accountability, transparency of the judiciary, and public trust in the judiciary – which should be treated separately. Second, the proposal relies too much on conceptions of independence developed by the judicial community. As a result, it treats judicial administration with higher levels of involvement of judges as inherently better without empirical evidence, and does not sufficiently distinguish between de iure and de facto judicial independence. Moreover, the ENCJ’s indicators of judicial accountability are underinclusive as well as overinclusive and do not correspond to the traditional understanding of the concept. Finally, we argue that the ENCJ has to accept the possibility that (at least some types of) judicial councils (at least in some jurisdictions) might negatively affect (at least some facets of) judicial independence and judicial accountability. As a result, the ENCJ must adjust the relevant indicators accordingly.
本文重点讨论了欧洲司法委员会网络(ENCJ)衡量司法独立性和问责制的新方法的概念问题。首先,我们认为该提案混淆了几个概念——司法独立、司法问责制、司法透明度和公众对司法的信任——这些概念应该分开对待。其次,该提案过于依赖司法界提出的独立概念。因此,在没有经验证据的情况下,它将法官参与程度更高的司法行政视为天生更好,并且没有充分区分事实上的司法独立和事实上的独立。此外,欧洲法院的司法问责指标既包含不足,也包含过度,与对这一概念的传统理解不符。最后,我们认为,ENCJ必须接受(至少某些类型的)司法委员会(至少在某些司法管辖区)可能对(至少某些方面的)司法独立和司法问责制产生负面影响的可能性。因此,ENCJ必须相应地调整相关指标。
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引用次数: 2
JUDICIAL INDEPENDENCE IN A DEMOCRACY: Reflections on Impeachments in America and the Philippines* 民主制度下的司法独立:对美国和菲律宾弹劾案的反思*
Q2 Social Sciences Pub Date : 2018-07-17 DOI: 10.18352/IJCA.260
David C. Steelman
On May 11, 2018, Maria Lourdes Sereno was removed from office as the Chief Justice of the Supreme Court of the Philippines. She had been a vocal critic of controversial President Rodrigo Duterte, and he had labeled her as an “enemy.” While she was under legislative impeachment investigation, Duterte’s solicitor general filed a quo warranto petition in the Supreme Court to challenge her right to hold office. The Supreme Court responded to that petition by ordering her removal, which her supporters claimed was politically-motivated and possibly unconstitutional. The story of Chief Justice Sereno should give urgency to the need for us to consider the proposition that maintaining the rule of law can be difficult, and that attacks on judicial independence can pose a grave threat to democracy. The article presented here considers the impeachment of Chief Justice David Brock in the American state of New Hampshire in 2000, identifying the most significant institutional causes and consequences of an event that presented a crisis for the judiciary and the state. It offers a case study for the readers of this journal to reflect not only on the removal of Chief Justice Sereno, but also on the kinds of constitutional issues, such as judicial independence, judicial accountability, and separation of powers in any democracy, as arising from in conflicts between the judiciary and another branch of government.
2018年5月11日,菲律宾最高法院首席大法官玛丽亚·卢尔德·塞利诺被免职。她曾直言不讳地批评有争议的总统罗德里戈·杜特尔特(Rodrigo Duterte),杜特尔特称她为“敌人”。在她接受立法弹劾调查期间,杜特尔特的副检察长向最高法院提交了一份现状保证请愿书,质疑她的任职权利。最高法院对这一请愿作出回应,下令将她撤职,她的支持者称这是出于政治动机,可能违宪。首席大法官塞利诺的故事应该让我们迫切需要考虑这样一个命题:维护法治可能是困难的,对司法独立的攻击可能对民主构成严重威胁。本文研究了2000年美国新罕布什尔州首席大法官戴维·布洛克(David Brock)被弹劾的事件,找出了这起给司法和国家带来危机的事件的最重要的制度原因和后果。它为本杂志的读者提供了一个案例研究,不仅反映了首席大法官塞利诺的免职,而且还反映了各种宪法问题,如司法独立、司法问责制和任何民主国家的权力分立,这些问题都是由司法部门与政府另一个部门之间的冲突引起的。
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引用次数: 0
BOOK REVIEW: THE IMPEACHMENT OF CHIEF JUSTICE DAVID BROCK – JUDICIAL INDEPENDENCE AND CIVIC POPULISM 书评:弹劾首席大法官大卫·布洛克——司法独立与公民民粹主义
Q2 Social Sciences Pub Date : 2018-07-17 DOI: 10.18352/IJCA.261
M. Zimmer
This article reviews The Impeachment of Chief Justice David Brock – Judicial Independence and Civic Populism, published in 2018 by Lexington Books, co-authored by John Cerullo and David C. Steelman. The book is an historic chronicle and analysis of events in the increasingly fractious relationship between the legislative and judicial powers of state government in the last four decades in the U.S. state of New Hampshire that culminated in an effort by the Senate Judiciary Committee to impeach Chief Justice David A. Brock. The narrative identifies, traces and documents the meandering sources of that effort against a national movement emphasizing enhanced institutional independence within state judicial systems by shedding the traditional constraints and controls over state courts exercised by elected bodies. Simultaneously, it scrutinizes growing resistance within populist pockets of the New Hampshire State Legislature in particular and the state’s population in general against the presumptive hubris of the state judiciary to arrogate unto itself far-reaching decision-making authority and to demonstrate in its internal affairs a clear disregard of and even contempt for basic canons of judicial ethics. These tendencies are viewed as particularly egregious in the Supreme Court of New Hampshire as it migrates from adjudicating narrowly defined issues of law and fact on appeal to drafting judgments mandating, for example, broad public education funding initiatives grounded in its own views of what constitute fundamental human rights and the social policies that flow from them. Other misbehavior touching on judicial conduct prohibitions culminated in a variety of disciplinary proposals, including impeaching Chief Justice David Brock, and other initiatives seeking to rein in the excesses of the state judiciary.
本文回顾了莱克星顿图书公司2018年出版的《弹劾首席大法官大卫·布洛克——司法独立与公民民粹主义》一书,该书由约翰·塞鲁洛和大卫·c·斯蒂尔曼合著。这本书是一部历史编年史,分析了美国新罕布什尔州过去40年来州政府立法权和司法权之间日益紧张的关系,最终导致参议院司法委员会试图弹劾首席大法官戴维·a·布洛克。本书的叙述确定、追溯并记录了反对一场全国性运动的曲折来源,这场运动强调通过摆脱选举产生的机构对州法院的传统约束和控制,在州司法系统内加强机构独立性。同时,它也审视了新罕布什尔州立法机构的民粹主义势力中日益增长的阻力,尤其是该州的普通民众,他们反对州司法机构自以为是的傲慢,妄称自己拥有深远的决策权,并在其内部事务中表现出对司法道德基本准则的明显无视甚至蔑视。这种倾向在新罕布什尔州最高法院被认为是特别恶劣的,因为它从在上诉中裁决狭义的法律和事实问题,转向起草判决,例如,根据自己对基本人权的构成和由此产生的社会政策的看法,制定广泛的公共教育资助倡议。其他涉及司法行为禁令的不当行为最终导致了各种纪律建议,包括弹劾首席大法官戴维·布洛克(David Brock),以及其他寻求控制州司法机构过度行为的倡议。
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引用次数: 0
THE PERFORMANCE OF INTERNATIONAL COURTS AND TRIBUNALS 国际法院和法庭的表现
Q2 Social Sciences Pub Date : 2018-07-17 DOI: 10.18352/IJCA.266
Samira Allioui
The Performance of International Courts is a book edited by Theresa Squatrito, Oran Young, Geir Ulfstein, and Andreas Follesdal, and published by Cambridge University Press. These last decades, there have been an expansion of international courts and tribunals and an apparent variation in their performance. The contributors to this book raise several questions regarding how to conceptualize and measure international courts’ performance, what explains variation in their performance, and whether there are ways to improve their performance.
《国际法院的表现》一书由Theresa Squatrito、Oran Young、Geir Ulfstein和Andreas Follesdal编辑,剑桥大学出版社出版。在过去的几十年里,国际法院和法庭不断扩大,其表现也明显不同。本书的撰稿人提出了几个问题,涉及如何概念化和衡量国际法院的表现,如何解释其表现的差异,以及是否有办法提高其表现。
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引用次数: 6
THE IMPACT OF ATTORNEYS ON JUDICIAL DECISIONS: EMPIRICAL EVIDENCE FROM CIVIL CASES 律师对司法判决的影响:来自民事案件的经验证据
Q2 Social Sciences Pub Date : 2018-07-17 DOI: 10.18352/IJCA.244
C. Vasconcelos, Eduardo Watanabe de Oliveira, Waldir Leôncio Netto
This article analyses the impact of attorneys on the outcome of judicial decisions in civil cases. We currently have little quantitative information about the effect of attorneys on the outcome of civil cases due to (i) the nonrandom pairing of attorneys and cases and (ii) the difficulty in accurately defining what a favorable decision in a civil case is. The Office of the Solicitor General of the Union in Brazil presents a unique research opportunity, since it assigns cases among its attorneys on a random basis and has standardized rules to record outcomes of civil cases. We analyzed the work performed by 386 Federal Attorneys and their impact on 30,821 judicial decisions. Significant win-rate differences among attorneys were detected in half of the 70 teams surveyed. The fact that attorneys achieve different outcomes, despite working in the same type of cases, indicates how judicial decisions can be affected by the work of an attorney in the civil area. No statistical correlation between attorney experience and outcome of civil cases was detected.
本文分析了民事诉讼中律师对司法判决结果的影响。由于(i)律师和案件的非随机配对以及(ii)难以准确定义民事案件中的有利决定,我们目前几乎没有关于律师对民事案件结果的影响的定量信息。欧盟驻巴西总检察长办公室提供了一个独特的研究机会,因为它在其律师之间随机分配案件,并制定了记录民事案件结果的标准化规则。我们分析了386名联邦检察官的工作及其对30,821项司法判决的影响。在接受调查的70支球队中,有一半的律师胜率存在显著差异。尽管律师在同一类型的案件中工作,但他们取得了不同的结果,这一事实表明,民事领域律师的工作如何影响司法判决。律师经验与民事案件结果之间无统计学相关性。
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引用次数: 3
CONSTITUTIONAL GROUNDS FOR JUDICIAL INDEPENDENCE AS A GUARANTEE FOR PROPER ADMINISTRATION OF JUSTICE (COMPARATIVE LEGAL ANALYSIS). THE ARMENIAN EXPERIENCE 司法独立作为适当司法保障的宪法依据(比较法律分析)。亚美尼亚的经验
Q2 Social Sciences Pub Date : 2018-07-17 DOI: 10.18352/IJCA.254
A. Hovhannisyan
The article reveals the constitutional grounds of judicial independence within the context of recent constitutional reforms in the Republic of Armenia. It discusses the issues of cooperation of the judicial, executive and legislative powers in the frames of the new parliamentary form of government. In particular, the article discusses the issue of the role of the legislative body of the Republic of Armenia in formation of the judiciary. It also turns to the issues of the internal and external independence of the Supreme Judicial Council which is itself responsible for the independence of the judiciary and the appointment of judges. As a conclusion, the article outlines the advantages and disadvantages of the current and new constitutional regulations.
该条揭示了在亚美尼亚共和国最近的宪法改革背景下司法独立的宪法依据。它讨论了在新的议会形式的政府框架内司法、行政和立法权力的合作问题。该条特别讨论了亚美尼亚共和国立法机构在组建司法机构方面的作用问题。它还涉及最高司法委员会的内部和外部独立性问题,最高司法委员会本身负责司法机构的独立性和法官的任命。作为结束语,本文概述了现行和新宪法规定的优缺点。
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引用次数: 0
期刊
International Journal for Court Administration
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