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Default Rules and the Inevitability of Paternalism 默认规则与家长制的必然性
Pub Date : 2009-05-27 DOI: 10.2139/SSRN.1346497
L. Zanitelli
In a paper published some years ago, Cass R. Sunstein and Richard Thaler argue for a sort of soft paternalism referred to as “libertarian paternalism.” Relying on cognitive findings regarding the status quo bias, one of Sunstein and Thaler’s central claims is that default rules can be used for paternalistic purposes, given people’s proneness to adhere to what is established by these rules. This strategy is also called ‘libertarian’, since parties remain free to contract around the paternalistic rule if they wish. Considering the influence of default rules on parties’ behavior, Sunstein and Thaler affirm that soft paternalism is not just defensible but inevitable, inasmuch as any adopted rule will affect people’s choices. This is an audacious conclusion, which surprisingly has attracted little attention from critics of the paternalism of behavioral law and economics The aim of this paper is to assess the alleged inevitability of paternalism. After examining the distinction between hard and soft paternalism, it sustains that, in order to validate Sunstein and Thaler’s claim, paternalism has to be broadly equated to “influencing behavior”. A more restricted definition of paternalism, according to which an act or norm is paternalistic only if it tries to advance someone else’s objective wellbeing, leads to the conclusion that default rules, whose end is not necessarily to protect parties’ interests, are not paternalistic by definition. Taking into account the potential, but not inherent, paternalism of default rules, the last Section of the paper comments on three criticisms regarding the interventionist character of behavioral law and economics. The first criticism refers to the fact that public authorities are vulnerable to the same cognitive pitfalls of the individuals whose activity is regulated; the second concerns the redistributive effects of paternalism involving rational and irrational people; and the third one warns against the “slippery slope” consequences of soft paternalism, i.e., the risk that milder paternalistic measures, as those supported by Sunstein and Thaler, give rise to more intrusive forms of state intervention.
在几年前发表的一篇论文中,卡斯·r·桑斯坦(Cass R. Sunstein)和理查德·塞勒(Richard Thaler)主张一种被称为“自由意志式家长制”的软家长制。基于对现状偏见的认知发现,桑斯坦和塞勒的核心主张之一是,鉴于人们倾向于遵守这些规则所建立的东西,默认规则可以被用于家长式的目的。这种策略也被称为“自由意志主义”,因为如果各方愿意,他们仍然可以自由地围绕家长式统治达成协议。考虑到默认规则对当事人行为的影响,桑斯坦和塞勒断言,软家长制不仅是可辩护的,而且是不可避免的,因为任何采用的规则都会影响人们的选择。这是一个大胆的结论,令人惊讶的是,它几乎没有引起行为法学和经济学中家长制的批评者的注意。本文的目的是评估所谓的家长制的必然性。在研究了硬家长制和软家长制之间的区别之后,它坚持认为,为了验证桑斯坦和塞勒的说法,家长制必须大致等同于“影响行为”。家长式作风的一个更严格的定义是,只有当一项行为或规范试图促进他人的客观福祉时,它才是家长式作风。根据这种定义,默认规则的目的不一定是保护各方的利益,从定义上讲,它不是家长式作风。考虑到默认规则的潜在而非固有的家长式作风,本文的最后一节对关于行为法和经济学的干预主义特征的三种批评进行了评论。第一种批评指的是这样一个事实,即公共当局容易受到与活动受管制的个人相同的认知陷阱的影响;第二个是关于家长制的再分配效应,涉及理性和非理性的人;第三篇则对软家长制的“滑坡效应”提出了警告,即桑斯坦和塞勒支持的温和家长制措施有可能导致更具侵入性的国家干预形式。
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引用次数: 5
The Unseen Elephant: What Blocks Judicial System Improvement? 看不见的大象:是什么阻碍了司法系统的改善?
Pub Date : 2007-06-16 DOI: 10.2139/SSRN.1351082
Robert M. Sherwood
The contribution of judicial system performance to economic development has been actively probed in recent years. Yet efforts to improve judicial systems have faltered. This paper offers an explanation. It proposes that transacting within social networks has provided a seemingly workable substitute for reliance on judicial systems in Brazil and many countries. This prompts public indifference to judicial system improvement. At the same time, where social network transacting is widespread and dominant, it presents numerous obstacles to economic development. Transactions costs economics provides tools for better understanding the characteristics, costs and extent of social network transacting. Relatively low costs are found for intra-network transacting, but trans-network transacting suffers. Constraints inherent in both social network transacting and in judicial dysfunction are reviewed for their negative impacts on both domestic activity and regional integration. Selected transactions costs economics literature is reviewed for a closer look at firm size and corporate governance in the context of countries like Brazil where judicial system dysfunction is found and where social network transacting is prominent. A recently completed project inside the 400 state courthouses of the Sao Paulo regional tribunal is reported. It shows how close attention to administrative details can significantly improve judicial system performance. The paper mixes real world observation with theoretical insights. It suggests that current explanations for sluggish economic development would be better served by increased awareness of social network transacting. It suggests that research within courthouses at a deeper level of detail will advance understanding of the negative consequences of judicial system dysfunction on specific aspects of economic development.
近年来,人们积极探讨司法系统绩效对经济发展的贡献。然而,改善司法系统的努力却步履蹒跚。本文给出了一个解释。它提出,在巴西和许多国家,在社交网络内进行交易似乎为依赖司法系统提供了一个可行的替代方案。这促使公众对司法制度的改善漠不关心。与此同时,在社交网络交易广泛且占主导地位的地方,它给经济发展带来了许多障碍。交易成本经济学为更好地理解社会网络交易的特征、成本和范围提供了工具。网络内交易成本相对较低,而跨网络交易成本较低。本文回顾了社会网络交易和司法功能障碍中固有的制约因素对国内活动和区域一体化的负面影响。本文回顾了选定的交易成本经济学文献,以便在巴西等司法系统功能失调和社会网络交易突出的国家的背景下,更仔细地研究公司规模和公司治理。据报道,最近在圣保罗地区法庭的400个州法院内完成了一个项目。它显示了密切关注行政细节如何能够显著提高司法系统的绩效。这篇论文结合了对现实世界的观察和理论见解。研究表明,提高对社交网络交易的认识,可以更好地解释目前对经济发展缓慢的解释。它表明,在法院内部进行更深入细致的研究,将有助于理解司法系统功能失调对经济发展具体方面的负面影响。
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引用次数: 9
Economia Política da Disputa por Terras em Minas Gerais 米纳斯吉拉斯州土地争端的政治经济学
Pub Date : 2007-05-03 DOI: 10.1590/S0103-20032008000300009
A. Araújo, Cláudio Djissey Shikida, Patrícia Silva Alvarenga
The article analyzes the determinants of the probability of dispute over land conflicts, occupations and settlement projects) in the Brazilian state of Minas Gerais. Through the use of a logic model, we found that the main influences are political and economical ones. Apparently, the behavior of the agrarian reform’s supporters follows the political incentive, with fewer occurrences of conflicts in towns governed by political allies. By other hand, the economical determinants - degree of poverty and the economic growth - have negative impacts on it.
本文分析了土地冲突(占领和定居项目)在巴西米纳斯吉拉斯州发生争议的可能性的决定因素。通过逻辑模型的运用,我们发现主要的影响因素是政治和经济。显然,土地改革支持者的行为遵循政治动机,在政治盟友统治的城镇,冲突的发生较少。另一方面,经济决定因素-贫困程度和经济增长-对其产生负面影响。
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引用次数: 5
THE BIT GENERATION’S EMERGENCE AS A COLLECTIVE ACTION PROBLEM: Prisoner's dilemma or network effects? 比特一代作为集体行动问题的出现:囚徒困境还是网络效应?
Pub Date : 2007-04-30 DOI: 10.5040/9781472564948.ch-002
Santiago Montt
This paper presents a new theory that explains why developing countries have been entering into Bilateral Investment Treaties in the last 50 years. It disputes Andrew Guzman’s account which depicts the BIT generation as a result of a prisoner’s dilemma among developing countries. As explained here, the BIT “game” differs from a prisoner’s dilemma in two key ways. First, the BIT game has a sequential/evolutionary nature, stemming from the fact that developing countries have been joining (and rejecting) the network at various times since 1959. Second, unlike the prisoner’s dilemma, the BIT system demonstrates the positive externalities or network effects of having one system of treaties defined in closely similar terms. Taking into account those two differences leads to the emergence of a new theory: the BIT generation as a virtual network.
本文提出了一个新的理论来解释为什么发展中国家在过去的50年里一直在进入双边投资条约。它反驳了安德鲁·古兹曼(Andrew Guzman)的说法,后者将BIT一代描述为发展中国家囚徒困境的结果。正如这里所解释的,BIT“游戏”与囚徒困境在两个关键方面有所不同。首先,BIT游戏具有连续/进化的性质,这源于发展中国家自1959年以来在不同时期加入(或拒绝)该网络的事实。其次,与囚徒困境不同的是,双边投资协定体系展示了一种条约体系以非常相似的术语定义所带来的正外部性或网络效应。考虑到这两种差异导致了一种新理论的出现:BIT代作为虚拟网络。
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引用次数: 0
Robin Hood Vs. King John Redistribution: How Do Local Judges Decide Cases in Brazil? 罗宾汉与约翰国王的再分配:巴西地方法官如何判决案件?
Pub Date : 2007-03-13 DOI: 10.2139/SSRN.938174
I. Ribeiro
This article discusses two opposed hypotheses to predict the behavior of judges when they have to decide a claim between parties with asymmetrical economic and political power. The first, which has broad acceptance among policy makers in Brazil, is the jurisdictional uncertainty hypothesis (Arida et al, 2005) that suggests that Brazilian judges tend to favor the weak party in the claim as a form of social justice and redistribution of income in favor of the poor. Glaeser et al. (2003) stated the second hypothesis. They suggest that the operation of legal, political and regulatory institutions is subverted by the wealthy and politically powerful for their own benefit, a situation they call King John redistribution. An empirical test was conducted analyzing judicial decisions from 16 Brazilian states, showing that a) judges favor the strongest party, b) a local powerful party has more chance to be favored than a national or foreign big company, a effect we named parochial subversion of justice and c) in Brazilian states where we have more social inequality there is higher probability that a discussed contract clause will not be maintained.
本文讨论了两种对立的假设,以预测法官在经济和政治权力不对称的当事人之间裁决索赔时的行为。第一个是巴西政策制定者广泛接受的司法不确定性假设(Arida等人,2005年),该假设表明,巴西法官倾向于在主张中偏袒弱势一方,作为一种社会正义和有利于穷人的收入再分配形式。Glaeser et al.(2003)提出了第二个假设。他们认为,法律、政治和监管机构的运作被富人和政治权势者为了自己的利益而颠覆,他们称之为“约翰国王再分配”(King John redistribution)。我们对巴西16个州的司法判决进行了实证检验,结果表明:a)法官倾向于最强大的一方;b)当地强大的一方比国内或外国大公司更有机会受到青睐,我们将这种效应命名为“局部颠覆正义”;c)在社会不平等程度较高的巴西各州,所讨论的合同条款不被维持的可能性更高。
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引用次数: 6
Os Juízes Brasileiros Favorecem a Parte Mais Fraca 巴西法官偏爱较弱的一方
Pub Date : 2006-05-15 DOI: 10.12660/RDA.V244.2007.42428
Brisa Lopes de Mello Ferrão, I. C. Ribeiro
This article discusses the microeconomic foundations of the concept of jurisdictional uncertainty. According to Arida et al (2005), Brazilian judges tend to favor the weak part in the claim, not the just, as a form of social justice. A utility function is discussed, taking into account the advantages the judge could gain from this behavior, outweighed by the penalties such as professional criticism and the reversal by a higher court. An empirical test is conducted, analyzing 181 judicial decisions, and the results are supportive to the main ideas, showing that a contract has 45% more of chances of being maintained if it is beneficial to the richer.
本文讨论了管辖权不确定性概念的微观经济学基础。根据Arida等人(2005)的说法,巴西法官倾向于支持索赔中的弱势部分,而不是正义的部分,作为社会正义的一种形式。考虑到法官可以从这种行为中获得的好处,以及诸如专业批评和上级法院的撤销等惩罚,我们讨论了效用函数。本文对181项司法判决进行了实证检验,结果支持本文的主要观点,即如果一份合同对富人有利,那么它被维持的几率会增加45%。
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引用次数: 10
Carrots, Sticks and the Multiplication Effect 胡萝卜、大棒和倍增效应
Pub Date : 2005-04-25 DOI: 10.1093/JLEO/EWN026
G. Dari‐Mattiacci, G. Geest
Although a punishment can be applied only once, the threat to punish (also referred to as stick) can be reiterated several times, because when parties obey, the punishment is not applied and thus the threat can be repeated. The same is not possible with promises to reward (also known as carrots), since they need to be carried on every time a party complies, and hence at each round a new reward is needed. We show that the multipliability of sticks has pervasive consequences in economics and law and provides a unified explanation for seemingly unrelated phenomena such as the dynamics of riots and revolutions, the divide-and-conquer strategy, comparative negligence, the anticommons problem, the use of property rules in markets, the most-favored nation clause, legal restrictions on penalties in employment contracts, and legal aid.
虽然惩罚只能实施一次,但惩罚的威胁(也称为棍棒)可以重复几次,因为当各方服从时,惩罚就不会实施,因此威胁可以重复。而奖励承诺(游戏邦注:也被称为“胡萝卜”)则不可能出现这种情况,因为玩家每次遵守承诺时都需要执行奖励承诺,因此每一轮都需要新的奖励。我们表明,棍法的可重复性在经济学和法律中具有普遍的影响,并为看似不相关的现象提供了统一的解释,如骚乱和革命的动态、分而治之的策略、比较疏忽、反公地问题、市场中财产规则的使用、最惠国条款、雇佣合同中惩罚的法律限制和法律援助。
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引用次数: 42
What Works in Securities Law 《证券法》里什么管用
Pub Date : 2005-04-25 DOI: 10.3386/w9882
Florencio López‐de‐Silanes
We examine the effect of securities laws on stock market development in 49 countries. We find little evidence that public enforcement benefits stock markets, but strong evidence that laws mandating disclosure and facilitating private enforcement through liability rules benefit stock markets.
我们研究了49个国家的证券法对股票市场发展的影响。我们发现很少有证据表明公共执法有利于股票市场,但强有力的证据表明,通过责任规则强制披露和促进私人执法的法律有利于股票市场。
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引用次数: 76
El Sistema Privado de Salud Desde La Perspectiva del Analisis Economico 经济分析视角下的私人医疗体系
Pub Date : 2005-04-22 DOI: 10.5354/0719-7462.2004.41892
R. Barcia
This article analyzes the legal regulation of ISAPREs from the vantage point of law and economics and makes a case for passing some amendments to this private health system based on market failures. The private health system of ISAPREs has not been able to satisfy the expectations of third age people who are discriminated against by an adverse selection. This article explains how this adverse selection works and accounts for the inability of ISAPREs to efectively compete in that market segment. In addition, it puts forward a solution to this problem consisting in a new market of indefinite health contracts which creates a new value and gives confidence to risk adverse individuals. This new market shall also create incentives for ISAPREs to compete in the segment of third age people and obtain important scale economies in their costs, besides giving them leverage to negotiate under equal conditions on behalf of their affiliates in the market of catastrophic diseases, in which there is a truly monopoly at the hand of the medical profession.
本文从法学和经济学的角度分析了ISAPREs的法律规制,并提出了基于市场失灵对这一私营医疗体系进行修改的理由。ISAPREs的私人保健系统未能满足因逆向选择而受到歧视的第三年龄人群的期望。本文解释了这种逆向选择是如何工作的,并解释了ISAPREs无法在该细分市场中有效竞争的原因。此外,本文还提出了一种解决这一问题的方法,即建立一个新的无限期健康合同市场,创造新的价值,使风险规避者有信心。这个新市场还将激励ISAPREs在第三年龄人群的细分市场中竞争,并在成本上获得重要的规模经济,此外,还将使ISAPREs具有在同等条件下代表其附属机构在灾难性疾病市场进行谈判的杠杆作用,在这个市场中,医疗行业真正处于垄断地位。
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引用次数: 0
Corrupción política y responsabilidad de los servidores públicos 政治腐败和公务员问责制
Pub Date : 1900-01-01 DOI: 10.14198/DOXA2007.30.30
Rodolfo Vázquez
This essay answers the question about the nature and the concept of corruption and tries to justify the ethical and juridical framework from which it is possible to conceive the different institutional barriers necessary to restrain it: the democratic State, the Rule of Law and, specifically, the accountability of the public officers. Regarding the latter, this essay analyses some principles such as public access to information and official publicity or transparency.
这篇文章回答了关于腐败的性质和概念的问题,并试图证明道德和法律框架的合理性,由此可以设想限制腐败所必需的不同体制障碍:民主国家、法治,特别是公职人员的问责制。对于后者,本文分析了信息公开和官方公开或透明等原则。
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引用次数: 5
期刊
Berkeley Program in Law & Economics
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