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The Idea of Socratic Contestation and the Right to Justification: The Point of Rights-Based Proportionality Review 苏格拉底之争理念与正当权利:基于权利的比例审查之点
Q2 Social Sciences Pub Date : 2010-09-30 DOI: 10.2202/1938-2545.1047
M. Kumm
The institutionalization of a rights-based proportionality review shares a number of salient features and puzzles with the practice of contestation that the Socrates of the early Platonic dialogues became famous for. Understanding the point of Socratic contestation, and its role in a democratic polity, is also the key to understanding the point of proportionality based rights review. To begin with, when judges decide cases within the proportionality framework they do not primarily interpret authority. They assess reasons. Not surprisingly, they, like Socrates, have been prone to the charge that they offend the values and traditions of the community.The article discusses four types of pathologies that occasionally infect democratic decision-making that rights-based proportionality review is particularly suited to identify. But more basic and equally important is a second kind of justification: Proportionality-based judicial review institutionalizes a right to contest the acts of public authorities and demand a public reasons-based justification. Having a legal remedy that allows for the contestation of acts by public authorities before an impartial and independent court and demanding its justification in terms of public reason is as basic a commitment of liberal democracy as the right to vote. The real question is not whether judicial review is democratically legitimate, but how judicial institutions ought to be structured to best serve their democracy-enhancing and rights protecting purpose. If Socrates was right to insist that the practice of contestation he engaged in deserves the highest praise in a democratic polity, it is equally true that a well structured and appropriately embedded court engaged in rights based proportionality review deserves to be embraced as a vital element of liberal constitutional democracy.
以权利为基础的比例审查的制度化与苏格拉底早期柏拉图对话录中著名的辩论实践有许多显著的特点和困惑。理解苏格拉底辩论的要点及其在民主政体中的作用,也是理解基于比例性的权利审查要点的关键。首先,当法官在相称性框架内判决案件时,他们并不主要解释权力。他们评估理由。毫不奇怪,他们和苏格拉底一样,容易被指责违背了社会的价值观和传统。本文讨论了偶尔影响民主决策的四种病态,基于权利的比例审查特别适合于识别这些病态。但更基本和同样重要的是第二种理由:基于比例的司法审查使人们有权对公共当局的行为提出质疑,并要求以公共理由为基础的理由。拥有一种法律补救措施,允许公共当局在公正和独立的法院对其行为进行辩论,并要求其以公共理性为理由,这与投票权一样是自由民主主义的基本承诺。真正的问题不在于司法审查是否具有民主合法性,而在于司法机构的结构应该如何才能最好地服务于促进民主和保护权利的目的。如果苏格拉底坚持认为他所从事的辩论实践应该在民主政体中得到最高的赞扬是正确的,那么同样正确的是,一个结构良好、适当嵌入的法院,从事基于比例性的权利审查,应该被视为自由宪政民主的一个重要因素。
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引用次数: 107
Balancing, Subsumption and the Constraining Role of Legal Text 法律文本的平衡、包容与约束作用
Q2 Social Sciences Pub Date : 2010-04-30 DOI: 10.2139/SSRN.1403343
F. Schauer
Robert Alexy has for many years been a prominent analyst of the role of principles in legal argumentation, and an equally prominent defender of the rationality of balancing and proportionality modes of legal decision-making. But although Alexy's defense of proportionality and balancing against charges by Jurgen Habermas and Justice Antonin Scalia that balancing is essentially an irrational process is sound, Alexy in the process is too quick to collapse the important differences between the process of balancing competing principles and the process of interpreting a canonical written text. Although both can be and are frequently rational, rationality is not the same as external constraint, and the ability of canonical texts to provide a degree of external constraint on legal decision-making that cannot be provided by open-ended principles is a difference that should not be lost in the well-aimed efforts to demonstrate that both can be rational and both have important places in legal argumentation and decision-making.
罗伯特·阿列克谢(Robert Alexy)多年来一直是研究原则在法律论证中的作用的杰出分析师,也是法律决策中平衡和比例模式合理性的杰出捍卫者。但是,尽管阿列克谢对比例和平衡的辩护反对尤尔根·哈贝马斯(Jurgen Habermas)和大法官安东宁·斯卡利亚(Antonin Scalia)的指控,即平衡本质上是一个非理性的过程,但阿列克谢在这个过程中太快了,无法消除平衡竞争原则的过程与解释规范书面文本的过程之间的重要区别。虽然两者都可以是理性的,而且经常是理性的,但理性与外部约束是不一样的,规范文本为法律决策提供某种程度的外部约束的能力是开放式原则所不能提供的,这是一个区别,不应该在目标明确的努力中丢失,以证明两者都可以是理性的,两者在法律论证和决策中都有重要的地位。
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引用次数: 17
A Democratic Defense of Constitutional Balancing 宪法平衡的民主辩护
Q2 Social Sciences Pub Date : 2010-04-30 DOI: 10.2202/1938-2545.1045
Stephen A. Gardbaum
We all live in the age of constitutional balancing. Abstracting away differences of nuance and doctrinal detail, balancing is a common feature of the structure of rights analysis across contemporary constitutional systems. Indeed, abstracting just a little further still, balancing is an inherent part of the near-universal general conception of a constitutional right as an important prima facie claim that nonetheless can in principle be limited or overridden by certain non-constitutional rights premised on conflicting public policy objectives.It is not surprising, then, that a significant literature about balancing has developed at both domestic and comparative levels. What is surprising is that so little of this literature has attempted to present the normative case for constitutional balancing or the general structure of rights analysis of which it is an inherent part. Rather, the existing scholarship has mostly focused on five other tasks: (1) describing and comparing first-order practices of balancing; (2) providing second-order conceptual analyses; (3) explaining balancing's rise to dominance; (4) advancing critiques of balancing; and (5) rebutting these critiques.In this article, I attempt to present one particular normative justification of constitutional balancing; namely a democratic justification. I argue that balancing appropriately bolsters the role of majoritarian decision-making about rights within a system of constitutional democracy. It thereby renders entrenched rights enforced by the power of constitutional or judicial review more consistent with certain enduring democratic concerns. I also explain the implications of this justification for how courts should exercise their powers of review.
我们都生活在宪法平衡的时代。抽象出细微差别和教义细节的差异,平衡是当代宪法体系中权利分析结构的共同特征。事实上,只要进一步抽象一点,平衡是宪法权利这一近乎普遍的一般概念的固有组成部分,作为一种重要的初步主张,尽管如此,原则上可以被某些以相互冲突的公共政策目标为前提的非宪法权利所限制或推翻。因此,在国内和比较层面上都出现了大量关于平衡的文献,这并不奇怪。令人惊讶的是,这些文献中很少有人试图提出宪法平衡或权利分析的一般结构的规范性案例,而权利分析是宪法平衡的一个固有部分。相反,现有的学术研究主要集中在五个其他任务上:(1)描述和比较一阶平衡实践;(2)提供二阶概念分析;(3)解释平衡向优势的转变;(4)提出对平衡的批评;(5)反驳这些批评。在本文中,我试图提出宪法平衡的一个特殊的规范性理由;也就是民主辩护。我认为,在宪政民主制度下,适当的平衡可以加强多数主义者在权利决策方面的作用。因此,它使宪法或司法审查权力所执行的根深蒂固的权利更符合某些持久的民主关切。我还解释了这一理由对法院应如何行使其审查权力的影响。
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引用次数: 20
Genealogies of Balancing as Discourse 作为话语的平衡谱系
Q2 Social Sciences Pub Date : 2010-04-30 DOI: 10.2202/1938-2545.1046
J. Bomhoff
The language of balancing and proportionality figures increasingly, often in judicial and academic constitutional legal reasoning in Western democracies. The spread of this particular form of discourse raises important methodological and substantive issues for scholars of comparative law. While the dominant narrative in the relevant lines of scholarship has long been one of similarity and convergence, this article argues that not enough attention has been paid to the possibility of difference—the idea that references to balancing might mean very different things in different settings. In Parts I and II, the article suggests that a methodological shift—from a focus on balancing as doctrine to a focus on balancing as legal argument—will be necessary to bring out these different meanings. Based on a case study of early and mid-twentieth century practices in Germany and the United States, it is argued that one crucial difference in the local meanings of balancing in these settings relates to the extent to which choices of legal form are locally expected to have inherent substantive implications (Parts III and IV).
在西方民主国家,平衡和相称的语言越来越多地出现在司法和学术宪法法律推理中。这种特殊话语形式的传播为比较法学者提出了重要的方法论和实质性问题。虽然相关学术领域的主流叙事一直是相似和趋同,但本文认为,对差异的可能性没有给予足够的关注——即在不同的背景下,提到平衡可能意味着非常不同的东西。在第一部分和第二部分中,文章建议方法论上的转变——从关注作为理论的平衡到关注作为法律论证的平衡——将是必要的,以揭示这些不同的含义。根据对二十世纪早期和中期德国和美国实践的案例研究,本文认为,在这些环境中,平衡的地方含义的一个关键区别在于,当地期望法律形式的选择在多大程度上具有固有的实质性影响(第三和第四部分)。
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引用次数: 8
Investor-State Arbitration: Proportionality's New Frontier 投资者-国家仲裁:比例性的新前沿
Q2 Social Sciences Pub Date : 2010-04-02 DOI: 10.2202/1938-2545.1044
Alec Stone Sweet
The arbitral world is at a crucial point in its historical development, poised between two conflicting conceptions of its nature, purpose, and political legitimacy. Formally, the arbitrator is an agent of the contracting parties in dispute, a creature of a discrete contract gone wrong. Yet, increasingly, arbitrators are treated as agents of a larger global community, and arbitration houses concern themselves with the general and prospective impact of important awards. In this paper, I address these questions, first, from the standpoint of delegation theory. In Part I, I introduce the basic “Principal-Agent" framework [P-A] used by social scientists to explain why actors create new institutions, and then briefly discuss how P-A has been applied to the study of courts. Part II uses delegation theory to frame discussion of arbitration as a mode of governance for transnational business and investment. In Part III, I argue that the International Center for the Settlement of Investment Disputes (ICSID) is presently in the throes of judicialization, indicators of which include the enhanced use of precedent-based argumentation and justification, the acceptance of third-party briefs, and a flirtation with proportionality balancing. Part IV focuses on the first wave of awards rendered by ICSID tribunals pursuant to Argentina's response to the crushing economic crisis of 2000-02, wherein proportionality emerged, adapted from the jurisprudence of the Appellate Body of the World Trade Organization.
仲裁世界正处于其历史发展的关键时刻,处于关于其性质、目的和政治合法性的两种相互冲突的概念之间。正式地说,仲裁员是有争议的缔约双方的代理人,是一份出现问题的离散合同的产物。然而,越来越多的仲裁员被视为一个更大的全球社区的代理人,仲裁机构关注重要裁决的一般和潜在影响。在本文中,我首先从授权理论的角度来解决这些问题。在第一部分中,我介绍了社会科学家用来解释行动者为何创建新制度的基本“委托-代理”框架,然后简要讨论了如何将“委托-代理”框架应用于法院的研究。第二部分运用委托理论对仲裁作为跨国商业和投资治理模式进行讨论。在第三部分中,我认为国际投资争端解决中心(ICSID)目前正处于司法化的阵痛期,其指标包括加强使用基于先例的论证和辩护,接受第三方简报,以及对比例平衡的调情。第四部分侧重于ICSID法庭根据阿根廷对2000-02年毁灭性经济危机的反应作出的第一波裁决,其中出现了比例性,改编自世界贸易组织上诉机构的判例。
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引用次数: 57
Incommensurability, Proportionality, and Rational Legal Decision-Making 不可通约性、比例性与理性法律决策
Q2 Social Sciences Pub Date : 2010-01-30 DOI: 10.2202/1938-2545.1048
Paul-Erik Veel
Courts frequently engage in the weighing of competing values; perhaps most obviously, such balancing constitutes an integral aspect of proportionality analysis in many states’ constitutional law. However, such balancing raises a difficult theoretical question: What does it mean that one value “outweighs” another in any particular case? If the values at issue are incommensurable — as they often will be — such balancing may appear to break down. As Justice Scalia has stated, balancing in the presence of incommensurable values “is more like judging whether a particular line is longer than a particular rock is heavy.” It may appear that if a judge is asked in a particular case to decide, for example, whether a state interest is sufficiently strong to justify the limitation of a constitutional right, he will be forced to a) either abandon the notion of a genuine plurality of values, or b) make an arbitrary decision.This article argues that neither of these options need be accepted and that rational choice is indeed possible in the presence of incommensurable values. Specifically, it contends that the Nash bargaining solution provides a means, at least in certain circumstances, of rationally understanding and undertaking the weighing of distinct and mutually irreducible values which adjudication frequently requires. The Nash framework can both elucidate proportionality analysis by providing a social choice-based framework for understanding the structure of proportionality analysis and also justify proportionality analysis by demonstrating that the weighing of competing values is not necessarily mere judicial hand-waving.
法院经常权衡相互竞争的价值观;也许最明显的是,这种平衡构成了许多州宪法中比例分析的一个组成部分。然而,这种平衡提出了一个困难的理论问题:在任何特定情况下,一种价值“超过”另一种价值是什么意思?如果有争议的价值是不可通约的——通常都是这样——这种平衡可能会被打破。正如斯卡利亚大法官所言,在不可比约的价值观面前保持平衡“更像是判断某条线是否长,而一块石头是否重。”如果法官被要求在特定案件中作出决定,例如,国家利益是否足以证明限制宪法权利是正当的,他将被迫a)放弃真正的价值多元的概念,或b)作出武断的决定。本文认为,这两种选择都不需要被接受,在不可通约的价值存在的情况下,理性选择确实是可能的。具体地说,它认为纳什议价解决方案提供了一种手段,至少在某些情况下,理性地理解和权衡不同的和相互不可简化的价值,这是裁决经常需要的。纳什框架既可以通过提供一个基于社会选择的框架来理解比例分析的结构,从而阐明比例分析,也可以通过证明竞争价值的权衡并不一定仅仅是司法上的挥手来证明比例分析的合理性。
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引用次数: 12
What is International Labor Law For? 国际劳动法的作用是什么?
Q2 Social Sciences Pub Date : 2009-02-12 DOI: 10.2202/1938-2545.1030
Brian a. Langille
This Paper suggests that the answer to the question “what is domestic labor law for?”—commonly regarded as securing “justice against markets” or a justified tax on market activity—has informed the search for the answer for the question “what is international labor law for.” This is reflected in what this Paper refers to as P2, which provides that “the failure of any country to adopt humane conditions of labor is an obstacle in the way of other nations which desire to improve the conditions in their own countries.” P2 envisions a “race to the bottom” by rational states trapped in a Prisoner’s Dilemma game. The author maintains that this cannot be the objective of ILO which cannot stop “the race” given its deficient enforcement mechanisms to ensure compliance. This Paper suggests an alternative raison d’etre for the ILO, which is called P1, namely social justice: “universal peace can only be established if it is based upon social justice.” P1 reflects what states actually seek to achieve. Following Sen, this Paper suggests that there is no tradeoff between social justice and economic efficiency. Therefore the promotion of labor rights by the ILO will contribute both to social justice and to economic success. Thus the ILO should promote international labor law so as to lead member states to pursue their self-interest which is consistent with the collective goal of humanity.
本文提出了“国内劳动法是用来干什么的”这个问题的答案。——通常被认为是确保“对市场的正义”或对市场活动的合理征税——为寻找“国际劳动法的目的是什么”这个问题的答案提供了依据。这反映在本文所提到的第P2条中,该条规定“任何国家未能采用人道的劳动条件,都会成为其他国家希望改善其本国条件的障碍。”P2设想了陷入囚徒困境的理性国家之间的“逐底竞赛”。发件人认为,这不可能是劳工组织的目标,因为劳工组织无法阻止“竞争”,因为它缺乏确保遵守的执行机制。本文提出了国际劳工组织存在的另一个理由,称为P1,即社会正义:“只有建立在社会正义的基础上,才能建立普遍和平。P1反映了各国实际寻求实现的目标。根据森的观点,本文认为社会公正与经济效率之间不存在权衡。因此,国际劳工组织促进劳工权利将有助于社会正义和经济成功。因此,国际劳工组织应该促进国际劳动法,引导成员国追求符合人类集体目标的自身利益。
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引用次数: 19
Comment on Brian Langille: "What is International Labor Law For?" 评布莱恩·兰吉尔:《国际劳动法是为了什么?》
Q2 Social Sciences Pub Date : 2009-01-01 DOI: 10.2202/1938-2545.1031
E. Benvenisti
This comment on Brian Langille's article agrees with Langille's claim that inter-state competition should not be viewed as the main challenge to the global efforts to regulate labor rights. The comment suggests, however, that there is another type of competition that poses a challenge, namely a transnational competition which takes place among sub-state actors. Focusing on this "transnational conflict paradigm," the ILO has the tools to engage domestic constituencies in an effort to promote labor rights within the respective member states.
这篇对Brian Langille文章的评论同意Langille的观点,即国家间的竞争不应被视为全球努力规范劳工权利的主要挑战。然而,该评论指出,还有另一种竞争构成挑战,即发生在次国家行为体之间的跨国竞争。专注于这种“跨国冲突范式”,国际劳工组织有工具让国内选民参与进来,努力促进各自成员国的劳工权利。
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引用次数: 1
A Right to Work? A Right to Leisure? Labor Rights as Human Rights 工作权?休闲权?作为人权的劳工权利
Q2 Social Sciences Pub Date : 2009-01-01 DOI: 10.2202/1938-2545.1028
Mathias Risse
Labor rights are the first to come up for criticism when accounts of human rights are offered in response to philosophical questions about them, and notoriously so Article 24, which talks about `rest and leisure' and `period holidays with pay.' This study first tries to make it plausible why labor rights would appear on the Universal Declaration, and next articulates some philosophical objections to their presence there. The interesting question then is not so much how one could respond to the objections, but to explore what commitments one needs to make to answer our question in a satisfactory manner. To make progress, we can contrast the idea of human rights with conceptions of them. Such conceptions offer answers to a set of philosophical questions about human rights. It would be rather unlikely for any such conception to emerge as the uniquely best philosophical account of human rights since disagreements among different conceptions (each of which requires commitments to a range of issues) are complex. What is sensible to ask then is what a conception of human rights would have to be like to count labor rights as human rights, and whether there is a conception of that sort. I offer one conception that I take to be plausible overall, and that does count labor rights as human rights. Or, that is: it does count a right to work as a human right, alas not in the strong interpretation according to which states must create jobs but in the weaker sense that states need to make sure people are not systematically excluded from employment, and are treated in certain ways at their place of work, and it does count a right to leisure as a human right, alas not a right to paid vacations.
在回答哲学问题时,如果对人权进行解释,首先受到批评的就是劳动权利。众所周知,关于“休息与休闲”和“带薪休假”的第24条也是如此。本研究首先试图解释为什么劳工权利会出现在《世界人权宣言》上,然后阐述了一些反对劳工权利出现在《世界人权宣言》上的哲学观点。因此,有趣的问题不在于人们如何回应这些反对意见,而在于探索人们需要做出什么样的承诺,才能以令人满意的方式回答我们的问题。为了取得进展,我们可以将人权的概念与人权的概念进行对比。这些概念为一系列关于人权的哲学问题提供了答案。任何这样的概念都不太可能成为对人权的独特的最佳哲学解释,因为不同概念之间的分歧是复杂的(每一种概念都需要对一系列问题作出承诺)。因此,明智的问题是,要把劳动权利算作人权,人权的概念必须是什么样的,以及是否存在这样的概念。我提出了一个我认为总体上合理的概念,那就是将劳工权利视为人权。或者,也就是说:它确实将工作权视为一项人权,遗憾的是,不是在国家必须创造就业的强烈解释中,而是在较弱的意义上,即国家需要确保人们不会被系统性地排除在就业之外,并在工作场所受到某些方式的对待;它确实将休闲权视为一项人权,遗憾的是,不是带薪休假的权利。
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引用次数: 28
The Blessing of Departure: Acceptable and Unacceptable State Support for Demographic Transformation: The Lieberman Plan to Exchange Populated Territories in Cisjordan 离开的祝福:可接受和不可接受的国家支持人口转型:利伯曼计划交换人口稠密的领土在约旦
Q2 Social Sciences Pub Date : 2008-01-01 DOI: 10.2202/1938-2545.1021
T. Waters
What limits ought there be on a state’s ability to create a homogeneous society, to increase or perpetuate non-diversity, or to create hierarchies within existing diversity? This article examines those questions with reference to the Lieberman Plan—which proposes to transfer populated territories from Israel to the Palestine in exchange for Jewish settlements on the West Bank— as an abstract exercise in demographic transformation by the state. First the article considers if the Lieberman plan would “work”: Would it create the alterations it proposes, and would those changes achieve a stable, peaceful, perhaps even just settlement? It finds that though there is debate about the range of effect, there is little doubt that transfer would alter the state’s demography. It then turns to the international standards that might govern the transfer of territory and the denaturalization of citizens, to see how they would characterize such a plan. It finds that comparisons to ethnic cleansing are inapposite, and that norms protecting citizenship are considerably more complex than they first appear—even allowing ethnically targeted denaturalization in some cases.The article then analyzes the loyalty provisions of the Lieberman Plan, and notes that, contrary to the usual normative assumption that citizenship is tied to the state, the foundations of citizenship are actually a habitual or formative link to a given territory, which in turn creates a right to citizenship not in any particular state, but in the one that incidentally is sovereign over that territory. This interaction of citizenship and territory, when considered together with norms requiring equal protection for all citizens, suggests that the polity has an interest in defining its own territorial scope, and thereby its membership. The legal regime is ambiguous, and therefore deliberations about this question are in the realm of politics. The article demonstrates how transfer’s assimilation to existing norms suggests a novel interpretation of selfdetermination with far-reaching consequences for both sides of the conflict.Finally, the article notes that international law, though it polices excesses, is largely silent on the principal determinant of demography: the fact of state control over territory.
一个国家创造同质社会的能力,增加或延续非多样性,或在现有多样性中创造等级制度的能力,应该受到什么样的限制?本文以“利伯曼计划”(Lieberman Plan)作为国家人口转型的抽象实践来考察这些问题。“利伯曼计划”建议将人口稠密的领土从以色列转移到巴勒斯坦,以换取西岸的犹太人定居点。首先,这篇文章考虑了利伯曼计划是否会“奏效”:它会产生它所提出的改变吗?这些改变会实现一个稳定、和平,甚至可能是公正的解决方案吗?研究发现,尽管对影响范围存在争议,但毫无疑问,转移支付将改变该州的人口结构。然后,它转向可能管理领土转让和公民变性的国际标准,看看它们如何描述这样一个计划。报告发现,将其与种族清洗相提并论是不恰当的,保护公民身份的规范比最初看起来要复杂得多——在某些情况下,甚至允许以种族为目标的变性。文章随后分析了利伯曼计划的忠诚条款,并指出,与通常的规范假设相反,即公民身份与国家挂钩,公民身份的基础实际上是与特定领土的习惯性或形成性联系,这反过来又创造了一种公民权利,而不是在任何特定国家,而是在碰巧对该领土拥有主权的国家。当考虑到公民身份和领土之间的这种相互作用以及要求平等保护所有公民的规范时,就表明政体有兴趣界定自己的领土范围,从而确定其成员资格。法律制度是模棱两可的,因此对这个问题的讨论属于政治领域。本文论证了迁移对现有规范的同化如何为自决提供了一种新的解释,对冲突双方都产生了深远的影响。最后,这篇文章指出,国际法虽然对过度行为进行监管,但对人口的主要决定因素——国家对领土的控制——基本保持沉默。
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引用次数: 3
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