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Market Failures and the Evolution of State Regulation of Managed Care 市场失灵与管理式医疗的国家监管演变
Q2 Social Sciences Pub Date : 2002-09-22 DOI: 10.2307/1192283
F. Sloan, M. Hall
In response to widespread dissatisfaction with managed care, states have enacted numerous statutes, known as managed care patient protection laws, that address concerns of consumers and medical care providers. These laws include (in various combinations): (1) liability and external review provisions, (2) increasing choice of and access to providers, (3) protecting providers from undue influence, and (4) setting general coverage standards and specific coverage mandates. These laws are now well understood in terms of political responses to public and interest group concerns, but what is less well understood are justifications for managed care regulation in terms of well articulated market failures. Also lacking is an examination of how well legal enactments and enforcement activities respond to market failure theory. Accordingly, this article has two distinct parts: A detailed analysis of the market failures that managed care patient protection laws attempt to correct. And, a report of a 50-state survey of state managed care protection laws and their enforcement. We conclude that, while there are some deficiencies in managed care markets as they are constituted currently, overall the patient protection laws are not well designed to address many of the most important deficiencies since few of these laws address the fundamental source of these market flaws. At most, many of these laws attempt to treat only some of the symptoms of market defects. However, these laws are not being neglected by enforcement agencies. Enforcement activities are evident in most states, and the variation in enforcement relates to legitimate differences in legal, market and agency conditions.
为了应对对管理式医疗的普遍不满,各州颁布了许多法规,即所谓的管理式医疗患者保护法,以解决消费者和医疗保健提供者的问题。这些法律包括(以各种组合形式):(1)责任和外部审查条款;(2)增加对供应商的选择和获得服务的机会;(3)保护供应商免受不当影响;(4)制定一般承保标准和具体承保任务。就公众和利益集团关注的政治反应而言,这些法律现在得到了很好的理解,但就明确的市场失灵而言,人们不太了解的是管理式医疗监管的理由。同样缺乏的是对法律制定和执法活动如何很好地响应市场失灵理论的审查。因此,本文有两个不同的部分:详细分析管理医疗患者保护法试图纠正的市场失灵。此外,还有一份对50个州的管理式医疗保护法及其执行情况的调查报告。我们的结论是,虽然目前管理式医疗市场存在一些缺陷,但总体而言,患者保护法并没有很好地设计来解决许多最重要的缺陷,因为这些法律很少解决这些市场缺陷的根本来源。这些法律中的许多至多只是试图处理市场缺陷的一些症状。然而,执法机构并没有忽视这些法律。执法活动在大多数州都很明显,执法的差异与法律、市场和机构条件的合理差异有关。
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引用次数: 30
The Quality of Managed Care: Evidence from the Medical Literature 管理式护理的质量:来自医学文献的证据
Q2 Social Sciences Pub Date : 2002-09-22 DOI: 10.2307/1192281
Joseph Gottfried, F. Sloan
I INTRODUCTION The past decade has seen a proliferation of state laws aimed at modifying the function of managed care organizations ("MCOs"). (1) Reaction to the increasing prevalence and novel practices of MCOs has prompted passage of hundreds of state statutes governing everything from direct access to medical specialists, to minimum coverage standards for maternity stays. (2) The federal government has also taken action on such matters, and the competing "patients' bills of rights" under consideration in Congress would all expand federal oversight of managed care activities. (3) Though the true impetus for these legal initiatives is debatable, the proponents of "patient protection" measures often cite concern over the quality--or safety--of managed care as the driving force behind their legislative efforts. (4) Critics contend that MCOs sacrifice high-quality health care for cost savings and provide inferior medical coverage compared to fee-for-service ("FFS") plans. (5) Horror stories about alleged abuse or neglect of p atients by MCOs have gained wide circulation. (6) There are even web sites devoted to the promulgation of such anecdotal evidence. (7) Opponents of managed care have employed these singular tales of terror to advance their legislative agendas. (8) This article examines the empirical evidence, drawn from the medical literature, pertaining to the safety of managed care practices. It seeks to ground the ongoing debate on the medical merits of MCOs in the science of clinical research. The article is divided into three major sections. Part II is a systematic review of recent literature on the overall quality of MCOs relative to FFS plans, focusing on clinically important outcome and process measures. It extends previous such analyses to the present day. Part III surveys articles comparing the performance of generalists and specialists in the latter's fields of expertise. It aims to weigh claims about the alleged risks of "gatekeeping," a traditional feature of managed care that has come under increasing criticism. Part IV analyzes the medical evidence on early postpartum discharge ("drive-through deliveries"), perhaps the most publicized example of the supposed dangers of managed care. Though originating in FFS settings, this practice is associated with MCO s due to their widespread adoption of short maternal stays. Finally, the article renders an evidence-based opinion on the quality of America's major form of private health care coverage. II QUALITY-OF-CARE PERFORMANCE: MANAGED CARE VERSUS FEE-FOR-SERVICE Considerable data on the quality of care in MCOs versus FFS does exist even though it is conspicuously absent from public debates on the safety of managed care and the need for more patient protection laws in the post-FFS era. Robert Miller and Harold Luft have reviewed much of the early research on this subject, and in 1994 published the first of two literature analyses on the topic. (9) Examining studies from 1980 through 1993
在过去的十年中,已经看到了旨在修改管理式医疗组织(“MCOs”)功能的州法律的扩散。(1)对mco日益流行和新做法的反应促使通过了数百项州法规,从直接获得医疗专家到产妇住院的最低保险标准。(2)联邦政府也在这些问题上采取了行动,国会正在考虑的相互竞争的“患者权利法案”都将扩大联邦对管理式医疗活动的监督。(3)尽管这些法律举措的真正动机值得商榷,但“患者保护”措施的支持者经常将对管理式医疗质量或安全的担忧作为其立法努力背后的推动力。(4)批评人士认为,与按服务收费(FFS)计划相比,mco公司牺牲了高质量的医疗服务以节省成本,并提供了较差的医疗覆盖范围。(5) mco虐待或忽视病人的恐怖故事广为流传。(6)甚至有专门的网站公布这些轶事证据。(7)管理式医疗的反对者利用这些奇异的恐怖故事来推进他们的立法议程。(8)本文考察了从医学文献中提取的关于管理式护理实践安全性的经验证据。它试图为正在进行的关于MCOs在临床研究科学中的医学价值的辩论奠定基础。这篇文章分为三个主要部分。第二部分系统回顾了最近关于MCOs相对于FFS计划的整体质量的文献,重点是临床重要的结果和过程测量。它将以前的这种分析延伸到今天。第三部分调查了比较通才和专才在其专业领域的表现的文章。它的目的是权衡所谓的“把关”风险的说法,“把关”是管理式医疗的传统特征,受到越来越多的批评。第四部分分析了产后早期出院(“免下车分娩”)的医学证据,这可能是管理式护理所谓危险的最广为人知的例子。虽然这种做法起源于农村学校环境,但由于产妇短期停留的广泛采用,这种做法与妇幼保健有关。最后,本文对美国主要形式的私人医疗保险的质量提出了基于证据的意见。关于管理式医疗与按服务收费的医疗质量的大量数据确实存在,尽管在关于管理式医疗的安全性和后FFS时代需要更多患者保护法律的公开辩论中明显缺乏这些数据。罗伯特·米勒(Robert Miller)和哈罗德·勒夫特(Harold Luft)回顾了许多关于这一主题的早期研究,并于1994年发表了两篇关于这一主题的文献分析中的第一篇。(9)通过审查1980年至1993年的研究,调查人员发现,家庭服务组织成员比FFS计划参保人更有可能接受建议的预防性保健服务。(10)他们还报告说,在两种类型的保险范围内,各种医疗条件的治疗过程和结果大致相当。1997年,作者完成了对这一主题的第二次述评。(11)考虑到自上次分析以来发表的研究报告,他们得出结论,现有证据表明,mco和FFS计划之间的护理质量基本相当。(12)然而,他们警告说,他们审查的文件中几乎没有一份包括1992年以后的原始数据,1992年是mco认真开始削减成本的时候。(13)在最近对米勒和勒夫特方法的研究中,基普·沙利文批评他们的分析未能控制不同保险计划之间覆盖水平的差异。...
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引用次数: 1
The Theory and Practice of Disclosing HMO Physician Incentives HMO医师激励信息披露的理论与实践
Q2 Social Sciences Pub Date : 2002-09-01 DOI: 10.2139/SSRN.329484
M. Hall
In a recent commentary, health economist Jaime Robinson observed that "the fundamental flaw of managed care, in retrospect, was that it sought to navigate the tensions between limited resources and unlimited expectations without explaining exactly how it was so doing". One such failure is the absence, prior to the late 1990s, of any disclosure by HMOs that they use financial incentives to encourage physicians to contain costs, and of any explanation of how and why this is done. Other features of managed care are visible to all members, such as a limited network of providers, primary care gatekeeping, or prior authorization requirements. Physician incentives, however, are entirely behind the scenes. Disclosure of financial incentives to subscribers has occurred only in the past three years, in response to several legal pressures. These developments call for an assessment of the theory and practice of disclosing physician incentives. To what extent does HMOs' earlier silence about physician incentives account for the public's backlash against managed care and the failure to appreciate the need for making cost/benefit trade-offs in medicine? Now that disclosure is becoming more commonplace, will this help put managed care back on a better track? Or, is disclosure being done in an excessively legalistic environment that defeats its fundamental purposes? To gain better understanding of these issues, this article begins by summarizing the theoretical case for mandating disclosure of incentives, in terms of various types of information market failures. The article then analyzes the components of liability and regulatory law that require disclosure, observing how well each source of law responds to different aspects of the justification for disclosure. Following this, empirical literature is explored on the content, source, and timing of disclosures now being made, and on the impact of incentive disclosures. The article concludes by sketching a model approach to disclosure, one that provides information in layers, at different points and in varying levels of detail, as best suits people's desire and need for this information.
在最近的一篇评论中,卫生经济学家杰米•罗宾逊(Jaime Robinson)指出,“回想起来,管理式医疗的根本缺陷在于,它试图在有限的资源和无限的期望之间寻找平衡,却没有确切解释它是如何做到的”。其中一个失败是,在20世纪90年代末之前,hmo没有披露他们使用财务激励来鼓励医生控制成本,也没有解释如何以及为什么这样做。管理式医疗的其他特性对所有成员都是可见的,例如有限的提供者网络、初级保健把关或事先授权要求。然而,医生的动机完全在幕后。为了应对几项法律压力,仅在过去三年才向订户披露了财务激励措施。这些发展要求对披露医生激励的理论和实践进行评估。hmo早先对医生激励的沉默在多大程度上解释了公众对管理式医疗的强烈反对,以及未能认识到在医学中进行成本/收益权衡的必要性?既然信息披露变得越来越普遍,这是否有助于让管理式医疗回到更好的轨道上呢?或者,信息披露是在一个过于拘泥于法律的环境中进行的,违背了其根本目的?为了更好地理解这些问题,本文首先从各种类型的信息市场失灵的角度,总结了强制披露激励措施的理论案例。然后,本文分析了要求披露的责任和监管法律的组成部分,观察每个法律来源如何很好地回应披露理由的不同方面。在此之后,实证文献探讨了目前正在进行的披露的内容、来源和时间,以及激励披露的影响。文章最后概述了一种披露的模型方法,这种方法以最适合人们对这种信息的渴望和需要的方式,在不同的点和不同的细节层次上分层提供信息。
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引用次数: 4
The Supply and Demand Sides of Judicial Policy-making (Or, Why Be So Positive about the Judicialization of Politics?) 司法决策的供给与需求面(或者,为什么对政治司法化如此积极?)
Q2 Social Sciences Pub Date : 2002-06-22 DOI: 10.2307/1192403
Cornell W. Clayton
The actual art of governing under our Constitution does not and cannot conform to judicial definitions of the power of any of its branches based on isolated clauses or even single Articles torn from context. While the Constitution diffuses power the better to secure liberty, it also contemplates that practice will integrate the dispersed powers into a workable government. It enjoins upon its branches separateness but interdependence, autonomy but reciprocity.... We may begin [any constitutional analysis] by distinguishing roughly the legal consequences of this factor of relativity. Justice Robert H. Jackson (1) Theoretically, Article I of the Constitution places the legislative power in Congress or, more accurately, jointly in Congress and in the Presidency, acting in accordance with the formalities of bicamerality and presentment. When this body--which we shall call the constitutional legislature--is capable of action, it will retain control of legislative authority.... Courts and agencies are capable of independent or autonomous action where the constitutional legislature is too fragmented to react. In such circumstances, lawmaking will tend to migrate to those bodies that are capable of decisive action. In these conditions we see the development of such familiar entities as the "runaway" bureaucracy and the activist courts. Professor John Ferejohn (2) I INTRODUCTION Explanations of judicial behavior that draw upon positive institutional theory have gained growing prominence within both the political science and the legal academies. (3) Within the latter, Professor John Ferejohn has been a leader in developing the neo-institutional approach to the study of the law and the courts. (4) His work has been particularly important in developing so-called "separation-of-powers" models of judicial behavior. (5) These "separation-of-powers models seek to explain judicial decisions by reference to exogenous constraints, such as the powers of Congress and the President to control federal courts, rather than by reference to endogenous constraints, such as the collegial nature of decision-making on certain appellate courts and the need to maintain a majority and avoid dissension. (6) Ferejohn's contribution to this symposium further develops this line of inquiry by outlining the possibility of a positive model of the judicialization of politics, and by suggesting institutional reforms that would reduce the level of the judicialization of politics in the United States. Although Professor Ferejohn's argument is still in its preliminary form, and some key features remain undeveloped, his argument nevertheless suggests important ways to think about both the relationship between law and politics in the United States and what should be done about the growing political role of the federal courts in U.S. democracy. This article begins by examining the central elements of Professor Ferejohn's argument. Part III specifically focuses on the relationship between the mod
根据我们的宪法进行实际管理的艺术不符合也不能符合其任何分支机构的权力的司法定义,这些定义是基于孤立的条款,甚至是脱离上下文的单个条款。虽然《宪法》为了更好地保障自由而分散权力,但它也考虑到,实践将把分散的权力整合到一个可行的政府中。它要求其分支分离但相互依存,自治但互惠....我们可以通过大致区分这种相对性因素的法律后果来开始[任何宪法分析]。从理论上讲,宪法第一条将立法权交给国会,或者更准确地说,将立法权交给国会和总统,并按照两院制和议会制的形式行使立法权。当这个机构——我们称之为宪法立法机构——有能力采取行动时,它将保留对立法权的控制....在宪法立法机构过于分散而无法作出反应的情况下,法院和机构能够独立或自主地采取行动。在这种情况下,立法将倾向于转向那些有能力采取果断行动的机构。在这种情况下,我们看到了诸如“失控的”官僚机构和激进的法院等熟悉实体的发展。借鉴积极制度理论对司法行为的解释在政治科学和法律学院中都得到了日益突出的地位。(3)在后者中,John Ferejohn教授是发展研究法律和法院的新制度方法的领导者。(4)他的工作在发展所谓的司法行为“三权分立”模式方面尤为重要。(5)这些“三权分立”模式试图通过参考外生约束(如国会和总统控制联邦法院的权力)来解释司法裁决,而不是参考内生约束(如某些上诉法院的合议制决策性质以及维持多数和避免纠纷的必要性)。(6) Ferejohn对本次研讨会的贡献通过概述政治司法化的积极模式的可能性,并通过提出将降低美国政治司法化水平的制度改革,进一步发展了这一研究路线。尽管Ferejohn教授的论点仍处于初步阶段,一些关键特征尚未发展,但他的论点仍然为思考美国法律与政治之间的关系以及联邦法院在美国民主中日益增长的政治作用应该做些什么提供了重要途径。本文首先考察费约翰教授论点的核心要素。第三部分着重分析了政治司法化模式与费约翰的规范性论证和改革建议之间的关系。第四部分最后提出了一些关于司法行为实证主义模型的一般性问题。FEREJOHN教授的文章将几条复杂而微妙的分析线结合在一起。因此,我首先概述了他提出的四个关键论点。首先,Ferejohn教授从制度的角度对法律与政治关系的争论进行了重述。在此过程中,Ferejohn将法律与政治的关系呈现为一场关于立法职能——制定约束性、前瞻性规范和规则的权力——的适当制度定位的辩论。(7)这种方法来自约翰·洛克(John Locke)的宪法理论,他认为,在政府的两种分析上截然不同的职能中,立法是“主权”的政治权力,而执行(包括部长和司法职能)是次要的、从属的权力:“只有一种最高权力,即立法权,其他所有权力都是、也必须是从属于它的。”…
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引用次数: 26
Judicializing Politics, Politicizing Law 政治司法化,法律政治化
Q2 Social Sciences Pub Date : 2002-06-22 DOI: 10.2307/1192402
J. Ferejohn
I INTRODUCTION Since World War II, there has been a profound shift in power away from legislatures and toward courts and other legal institutions around the world. This shift, which has been called "judicialization," (1) has become more or less global in its reach, as evidenced by the fact that it is as marked in Europe, and especially recently in Eastern Europe, as it is in the United States. The spectacles of Italian judges undermining Italy's postwar system of musical cabinets, or of newly energized French judges hounding prime ministers and presidents, are only the most visible aspects of these developments. One could also point to the role, and recent success, of judges in seeking to arrest and prosecute dictators and military leaders. Additionally, our own United States Supreme Court's intervention into electoral politics in Bush v. Gore (2) was yet another manifestation of this trend. One can distinguish at least three ways in which courts have taken on new and important roles relative to legislatures. First, courts have been increasingly able and willing to limit and regulate the exercise of parliamentary authority by imposing substantive limits on the power of legislative institutions. Second, courts have increasingly become places where substantive policy is made. Third, judges have been increasingly willing to regulate the conduct of political activity itself--whether practiced in or around legislatures, agencies, or the electorate--by constructing and enforcing standards of acceptable behavior for interest groups, political parties, and both elected and appointed officials. But judicialization is not simply limited to the increasingly important, pervasive, and direct roles that courts play in making policy. The fact that courts frequently intervene in policy-making processes also means that other political actors, as well as groups seeking political action, have reason to take the possibility of judicial reaction into account. Proposals need to be framed in a way to ensure that legislation will neither be struck down nor interpreted in Undersirable ways. In order to achieve such a result, part of the policy debate over new legislation must aim at anticipating the response of legal institutions. So, we see a global application of one aspect of the phenomenon that de Tocqueville noted about American politics years ago: the transformation of political questions into legal ones. (3) This means that legal/constitutional considerations and rhetoric assume new and sometimes decisive importance in ordinary legislative policy-making. One aspect of judicialization can be observed in the widespread adoption of institutions and practices of constitutional adjudication, even in places with legal institutions and traditions that had long been inhospitable to this process. True, the modes of constitutional adjudication adopted in Europe and elsewhere do not precisely follow the U.S. model. Ordinary European judges are not permitted to strike down le
自第二次世界大战以来,世界各地的权力发生了深刻的转移,从立法机构向法院和其他法律机构转移。这种被称为“司法化”的转变,其影响范围或多或少已遍及全球,这一点可以从以下事实得到证明:在欧洲,尤其是最近在东欧,与在美国一样明显。意大利法官破坏意大利战后音乐柜体系的景象,或者新近精力充沛的法国法官纠缠总理和总统的景象,只是这些发展中最明显的方面。人们还可以指出法官在寻求逮捕和起诉独裁者和军事领导人方面的作用和最近的成功。此外,我们自己的美国最高法院对布什诉戈尔(2)选举政治的干预是这种趋势的另一个表现。人们至少可以从三方面区分法院相对于立法机关发挥了新的重要作用。第一,法院越来越有能力和愿意通过对立法机构的权力施加实质性限制来限制和规范议会权力的行使。其次,法院日益成为制定实质性政策的地方。第三,法官越来越愿意规范政治活动本身的行为——无论是在立法机关、机构或选民内部或周围进行——通过为利益集团、政党以及民选和任命的官员建立和执行可接受的行为标准。但司法化并不仅仅局限于法院在制定政策方面日益重要、普遍和直接的作用。法院经常干预决策过程这一事实也意味着其他政治行为者以及寻求政治行动的团体有理由考虑到司法反应的可能性。提案的制定需要确保立法既不会被否决,也不会以不合理的方式被解释。为了达到这样的结果,关于新立法的政策辩论的一部分必须着眼于预测法律机构的反应。因此,我们看到了托克维尔多年前提到的美国政治现象的一个方面在全球的应用:将政治问题转化为法律问题。(3)这意味着法律/宪法考虑和修辞在普通立法决策中具有新的、有时是决定性的重要性。司法化的一个方面是广泛采用宪法裁决的机构和做法,甚至在法律机构和传统长期不适合这一进程的地方也是如此。诚然,欧洲和其他地方采用的宪法裁决模式并不完全遵循美国的模式。普通的欧洲法官不被允许推翻立法;这种权力仅限于司法系统之外的专门宪法法院。然而,许多新的欧洲宪法法院至少和美国最高法院一样愿意废除和修改议会立法——即使在其最激进的时期也是如此。此外,宪法法院的存在实际上迫使普通法官在其日常司法活动中考虑到宪法问题。例如,欧洲法官经常根据宪法解释立法法规和行政条例,并决定哪些问题需要提交宪法法院。(5)此外,宪法裁决的兴起迫使立法者在制定立法计划时考虑宪法因素,从而改变了议会政治的格局。…
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引用次数: 220
Bush v. Gore and the French Revolution: A Tentative List of Some Early Lessons 布什对戈尔和法国大革命:一些早期教训的初步清单
Q2 Social Sciences Pub Date : 2002-06-22 DOI: 10.2307/1192401
Sanford Levinson
I INTRODUCTION Simon Schama begins his magisterial book on the FRENCH REVOLUTION, Citizens, by relating the reply of Chinese Premier Zhou En-lai to a question about the significance of those 1789 events: "It's too soon to tell." (1) One suspects that Zhou's emphasis on the importance of a long-term perspective is especially jolting to Americans, who inhabit a culture that generally waits until no later than Monday to engage in their analysis of weekend events. I am confident, for example, that many (perhaps most) readers remember watching television newscasts on the evening of December 12, 2000, which featured, toward the close of day, images of couriers for the various networks racing down the Supreme Court steps, followed within minutes by immediate analysis of the meaning of the Court's opinion in Bush v. Gore. (2) More recently, the truly awful events of September 11, 2001, which have cast a broad shadow over all of our lives, generated hours upon hours of experts not only opining that our lives will be fundamentally tr ansformed, which I am sure is the case, but also, and more problematically, specifying the transformations that will shape our future. It is good, therefore, to be reminded of the importance of adopting a longer perspective and to realize that it is difficult to know, with any confidence, what the importance and durable consequences of any given event actually may be. One need not be a full-fledged historicist to recognize that any full description or assessment of event X ultimately depends on knowing future events, which will inevitably throw a different light on the past; because of this change in lighting, we see details of earlier events that had earlier seemed relatively unimportant, just as previously high-lit actors fade into insignificance to be replaced by what we mistakenly thought were bit players or even simply extras. And, as Chekhov taught us, an apparently unimportant gun over the mantle that we perceive only as part of the background scenery when the curtain rises may eventually turn out to generate catastrophic consequences by the conclusion of the play. Consider in this context, for example, what one might want to say, in a symposium commemorating the fortieth anniversary of Baker v. Carr, (3) the case in which the Supreme Court overruled a fifteen-year-old precedent (4) and held, contrary to the earlier case, that legislative districting did in fact present an issue capable of judicial resolution under the Fourteenth Amendment. (5) Had that symposium been scheduled for October 2000, I dare say that it would never have occurred to me or to any other participant to address the possibility that the ultimate consequence of Baker and of the "one person-one vote" doctrine adopted two years later in Reynolds v. Sims (6) and its progeny would be the empowerment of the Supreme Court to take charge of a national presidential election and, in effect, to bring the election to a halt by declaring the winner. No one toda
西蒙·沙玛在他关于法国大革命的权威著作《公民》的开头,引用了中国总理周恩来对1789年法国大革命意义的回答:“现在下结论还为时过早。”有人怀疑,周对长远观点重要性的强调对美国人来说尤其震撼,因为美国人的文化通常不迟于周一才开始分析周末事件。例如,我相信,许多(也许是大多数)读者都记得2000年12月12日晚上的电视新闻,在一天快结束的时候,电视上播放的画面是,各个电视网的新闻信使跑下最高法院的台阶,随后几分钟内就立即分析了最高法院对布什诉戈尔一案的意见的含义。(2)最近,2001年9月11日发生的真正可怕的事件给我们所有人的生活蒙上了一层阴影,专家们花了好几个小时讨论,不仅认为我们的生活将发生根本性的改变(我确信这是事实),而且更成问题的是,他们详细说明了将塑造我们未来的变化。因此,提醒人们注意采取更长远的观点的重要性,并认识到很难有把握地知道任何特定事件的重要性和持久后果究竟是什么,这是有益的。一个人不必是一个成熟的历史主义者,也会认识到,对事件X的任何全面描述或评估最终取决于对未来事件的了解,未来事件不可避免地会对过去产生不同的看法;因为这种灯光的变化,我们看到了之前看起来相对不重要的事件的细节,就像之前高亮度的演员逐渐变得无足轻重,被我们错误地认为是小演员甚至只是临时演员所取代。而且,正如契诃夫告诉我们的那样,在幕布升起时,我们认为斗篷上那支看似不重要的枪只是背景风景的一部分,但它最终可能会在戏剧结束时产生灾难性的后果。在这种背景下,例如,在纪念贝克诉卡尔案四十周年的研讨会上,人们可能会说些什么。在该案中,最高法院推翻了15年前的先例,并与先前的案件相反,认为立法区划实际上提出了一个可以根据第十四修正案进行司法解决的问题。(5)研讨会定于2000年10月,我敢说,我就不会想到或任何其他参与者解决的可能性,贝克和最终结果的“一人一票”原则采用两年后在雷诺兹诉Sims(6)及其后代的授权最高法院负责一个国家总统选举,实际上,把选举陷入停顿,宣布获胜者。然而,今天没有人不知道“总统选举路线”的学说。这意味着,要全面评估最高法院在科尔格罗夫诉格林案中被法兰克福特大法官令人印象深刻地称为立法分配的“政治丛林”的决定的意义,就必须肯定地包括它在近四十年后的布什诉戈尔案中(表面上)使该决定合法化所发挥的作用。因此,Schama似乎赞同周的谨慎也就不足为奇了,他写道,要对一个历史事件做出任何有信心的分析,“两百年可能还为时过早”。(8)更令人惊讶的是,沙玛插话说“(或)可能,太晚了”。(9)因此,我们遗憾地认识到,我们不仅永远无法确切地说出对复杂事件进行分析的真正正确时间,而且从至少一个看似合理的角度来看,任何给定的时间点都可能是“错误的”。...
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引用次数: 7
Deliberative Democracy’s Attempt to Turn Politics Into Law 协商民主化政治为法律的尝试
Q2 Social Sciences Pub Date : 2002-06-22 DOI: 10.2139/SSRN.358481
C. Schroeder
The theory of deliberative democracy sketches a model of politics based on models of law and legal decision-making. It aspires to turn political decisions into a form of legal decision-making. It is easy to see how this ambition responds to the widespread belief that partial interests dictate public outcomes. Among other things, it implies that the kind of electoral calculations sketched out above would be entirely out of bounds, and that a sound public decision would be one based on science and ethics-science to predict the consequences of possible decisions, and ethics to evaluate the relative merits of those consequences. This legalistic vision of politics leaves much out of account, portrays an unrealistic and unattractive picture of politics, and is ultimately self-defeating, or so this paper will argue. Part II elaborates on deliberative democracy's attempt to displace politics with law. Part III exposes some of the difficulties with that attempt. Part IV returns to the impetus behind the attempt - deliberative democracy's belief that comprehensive views and partial interests should play no role in politics - and questions that belief. The role of partial interests in influencing particular political outcomes is and needs to remain endogenous to political practice itself. Politics should thus bear less resemblance to law than the deliberativists claim, and partial interests should rightly play a greater role in political decisions than the deliberativists would prefer.
协商民主理论在法律模式和法律决策模式的基础上勾勒出一种政治模式。它渴望把政治决策变成一种法律决策。不难看出,这一雄心是如何回应“局部利益决定公共结果”这一普遍信念的。除此之外,它还暗示,上述的选举计算是完全不可能的,一个合理的公共决策应该建立在科学和伦理的基础上——科学用来预测可能的决策的后果,而伦理则用来评估这些后果的相对优点。这种法律主义的政治观点忽略了很多因素,描绘了一幅不现实、不吸引人的政治图景,最终会弄巧成拙,至少本文将如此论证。第二部分阐述了协商民主以法律取代政治的尝试。第三部分揭示了这种尝试的一些困难。第四部分回到这一尝试背后的动力——协商民主认为,全面的观点和局部利益不应在政治中发挥作用——并对这一信念提出质疑。局部利益在影响特定政治结果方面的作用是而且必须是政治实践本身的内生因素。因此,政治与法律的相似之处应该比协商主义者所主张的要少,而局部利益在政治决策中应该比协商主义者所希望的发挥更大的作用。
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引用次数: 5
Deliberation Disconnected: What it Takes to Improve Civic Competence 脱节的审议:如何提高公民能力
Q2 Social Sciences Pub Date : 2002-06-22 DOI: 10.2307/1192406
A. Lupia
I INTRODUCTION Webster's Dictionary defines a person as competent if he or she has "requisite or adequate ability or qualities." (1) Synonyms for competent include sufficient and able, where the definition for able includes "having sufficient power, skill, or resources to accomplish an object" and "marked by intelligence, knowledge, skill, or competence." (2) Such definitions are worth noting because concerns about a special kind of competence motivate many public and private activities, as well as a widely read strain of contemporary philosophy. The competence in question is civic competence, by which I mean the citizenry's ability to accomplish well-defined tasks--particularly in their roles as voters, jurors, or legislators. (3) Civic competence is a central preoccupation of people who want citizens to base political choices on a broad and accurate understanding of their consequences. (4) Such desires, however, are dashed by evidence that citizens spend little time and effort engaging in politics. The finding that many Americans cannot answer common survey questions about a wide range of political phenomena, for example, dampens many observers' confidence in civic competence. (5) If citizens are simple and politics is complex, what is the optimal response for people who want greater civic competence? Actual responses vary. Many simply decry the situation, doing nothing more than bashing the masses for not being more interested in politics. A special few do something more constructive. They advocate mechanisms designed to change the amount and content of information available to target audiences. In short, they attempt to improve democracy by enhancing civic competence. Scholars, legislators, and foundations both public and private advocate various means to enhance competence, including civic education campaigns and the development of informative web-sites. These efforts focus on important topics such as the relationship between smoking and lung cancer, the relationship between sexual activity and AIDS, the plight of distant populations, and the quality of voter and juror decisions, all in an effort to help citizens better understand the consequences of their actions. When such activities enhance civic competence, they constitute valuable resources for the public at large. However, something is wrong with many of these attempts. The problem is that they are based on flawed assumptions about how citizens seek and process information. One manifestation of the problem is that many advocates of competence-generating proposals proceed as if merely providing new information is sufficient to improve competence. However, the transmission of socially relevant information is no "Field of Dreams." It is not true that "if you build it, they will come." (6) Nor is it true that if they come, the effect will be as advocates anticipate. Indeed, many efforts to improve civic competence provide information that target audiences ignore. Others produce information
韦氏词典将一个人定义为有能力的人,如果他或她有“必要的或足够的能力或品质”。(1) competent的同义词包括enough和able,其中able的定义包括“有足够的力量、技能或资源来完成某一目标”和“以智力、知识、技能或能力为特征”。(2)这样的定义是值得注意的,因为对一种特殊能力的关注激发了许多公共和私人活动,以及广泛阅读的当代哲学流派。这里所说的能力是公民能力,我指的是公民完成明确任务的能力——尤其是作为选民、陪审员或立法者的能力。(3)公民能力是人们最关心的问题,他们希望公民在对其后果有广泛而准确的理解的基础上做出政治选择。然而,有证据表明,公民在政治上花费的时间和精力很少,这使这种愿望破灭了。例如,许多美国人不能回答有关广泛政治现象的常见调查问题,这一发现削弱了许多观察家对公民能力的信心。(5)如果公民是简单的,政治是复杂的,那么对于那些希望提高公民能力的人来说,最优的反应是什么?实际的反应各不相同。许多人只是谴责这种情况,除了抨击民众对政治不感兴趣之外,什么也不做。少数特别的人会做一些更有建设性的事情。他们提倡旨在改变目标受众可获得信息的数量和内容的机制。简而言之,他们试图通过提高公民能力来改善民主。学者、立法委员和公私营基金会都主张采取各种方式提高政府的能力,包括开展公民教育活动和发展资讯网站。这些努力集中在诸如吸烟与肺癌之间的关系、性活动与艾滋病之间的关系、偏远地区人口的困境以及选民和陪审员决定的质量等重要主题上,所有这些努力都是为了帮助公民更好地了解他们行为的后果。当这些活动提高公民能力时,它们就成为广大公众的宝贵资源。然而,许多这样的尝试都有问题。问题在于,它们是基于有缺陷的关于公民如何寻找和处理信息的假设。这个问题的一个表现是,许多能力培养建议的提倡者似乎仅仅提供新信息就足以提高能力。然而,社会相关信息的传递并不是“梦幻之地”。“如果你建了它,他们就会来”这句话是不对的。如果他们来了,效果也不会像倡导者预期的那样。事实上,许多提高公民能力的努力提供了目标受众所忽视的信息。其他的信息只会让那些想要更清晰的信息的人感到困惑。任何一种结果都会带来严重后果。除了宣传现有的公民无能所带来的社会成本外,当能够提供有价值的公共产品的实体投资于失败是可以预见的计划时,社会也要付出成本。此外,当鼓吹者诱使他人将时间和精力投入到有缺陷的能力培养机制时,他们会导致宝贵的资源被浪费。因此,重要的是要了解提高公民能力的建议何时以及如何产生倡导者声称会产生的效果。考虑到这一点,我转向审议的话题。许多人声称审议可以提高公民的能力。这些主张通常是基于著名哲学家和政治理论家的论点。...
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引用次数: 96
Deliberative Democracy and Campaign Finance Reform 协商民主与竞选财政改革
Q2 Social Sciences Pub Date : 2002-06-22 DOI: 10.2307/1192407
Neil J. Kinkopf
Professor Schroeder's paper sets out a compelling description of some intractable problems with deliberative theory. I have found nothing to criticize in his outstanding article. In this comment, I wish to expand upon Schroeder's critique. In particular, I wish to explore a tension that occasionally arises among the fundamental elements of the theory of deliberative democracy. I first invoke the privilege of symposium comment writers to free-ride on the work of the principal paper. Professor Schroeder has presented a lucid survey of deliberative theory. (1) While I do not intend to repeat an exercise so well accomplished, a few points bear emphasizing. Deliberative theory is concerned with the problem of dissensus and justification. Given a plurality of reasonable, opposing views and assuming that all citizens are free and equal, how can one group--even a majority--justify imposing its preferences on another? Put another way, how can we justify applying the coercive power of the state against reasonable dissenters? (2) The response of deliberativists is that the exercise of state power is justified through a process of public reasoning. (3) This deliberative process is modeled expressly on the example of judicial decision-making. (4) Those who make a claim regarding the application of state power must offer reasons to justify their claims, much as a judge offers an opinion to justi fy the holding in a case. (5) This process of deliberation has three hallmarks. First, deliberation must be status-insensitive. As Schroeder explained in his article, "individuals should have no advantages in the process of public deliberation by virtue of their wealth, social status, ability to mobilize electoral assets, or capacity to provide rewards to other participants in the process." (6) Second, decisions are to be based on reasoned argument. (7) Third, arguments advanced must be sincere. "An argument ... must be one that [a deliberating citizen] endorses and one that 'would figure prominently amongst [her] reasons for the proposal,' absent other considerations." (8) The operation of deliberative democracy focuses on the public justification for a position. Focusing on the ex post justification leads to significant problems because it ignores a distinct and prior stage--the actual formation of a position. (9) Perversely, this focus can lead deliberativists to discount the importance of reason and even to undermine the ability of reason to function at this prior stage. (10) Moreover, the requirement that public justification take the form of reasoned argument can conflict with the requirement of status insensitivity. The campaign finance reform debate illustrates this problem. Given the imperative of status-insensitivity, it is not surprising that deliberativists tend ardently to support campaign finance reform. (11) Large campaign contributions and expenditures have long been understood to yield significant inequalities among citizens in terms of ability to part
施罗德教授的论文对审议理论中一些棘手的问题进行了令人信服的描述。我在他那篇出色的文章中找不到什么可批评的。在这篇评论中,我希望扩展施罗德的批评。特别是,我希望探讨在协商民主理论的基本要素之间偶尔出现的紧张关系。我首先援引专题讨论会评论作者的特权,免费利用主要论文的工作成果。施罗德教授对审议理论作了一个清晰的概述。虽然我不打算重复一项完成得如此出色的工作,但有几点需要强调。协商理论关注的是异议和正当性问题。考虑到存在多种合理的对立观点,并假设所有公民都是自由平等的,一个群体——甚至是多数群体——怎么能证明将自己的偏好强加给另一个群体是正当的呢?换句话说,我们如何证明运用国家的强制权力来对付合理的异议者是正当的?(2)协商主义者的回应是,国家权力的行使是通过公共推理的过程来证明的。(3)这一审议过程明确以司法决策为例。那些对国家权力的运用提出要求的人必须提供理由来证明他们的要求是正当的,就像法官提供意见来证明一个案件的判决是正当的一样。(5)审议过程有三个特点。首先,审议必须对地位不敏感。正如施罗德在他的文章中所解释的那样,“个人在公共审议过程中不应凭借其财富、社会地位、动员选举资产的能力或向过程中的其他参与者提供奖励的能力而享有优势。”第二,决策要基于合理的论证。第三,提出的论点必须是真诚的。“争论……必须是一个[审慎的公民]认可的,并且在不考虑其他因素的情况下,“将成为[她]提出建议的主要原因”。(8)协商民主的运作重点是公众对一个立场的正当理由。专注于事后辩护会导致严重的问题,因为它忽略了一个明显的前期阶段——立场的实际形成。(9)反常的是,这种关注可能导致商议主义者低估理性的重要性,甚至破坏理性在这一先前阶段发挥作用的能力。(10)此外,公开辩护采取理性论证形式的要求可能与地位不敏感的要求相冲突。关于竞选资金改革的辩论说明了这个问题。考虑到地位不敏感的必要性,商议主义者倾向于热烈支持竞选资金改革也就不足为奇了。(11)长期以来,人们一直认为,巨额竞选捐款和支出在公民有效参与政治进程的能力方面造成了严重的不平等。那些有能力提供大笔捐款和支出的人在政治舞台上的地位比其他公民高。纠正这种不平等一直是现代每一次竞选资金改革尝试的根本动机。(12)协商主义者面临的问题是,这种补救办法与他们对协商过程的看法相抵触。竞选资金改革提案的主要模式是通过限制金钱对选举的影响来平等公民参与机会。(13)但是,考虑到充分和有效地参与公共讨论所必需的使用媒介的费用,这种做法必然导致较少的言论。(14)如果政府认定某种言论量过多或淹没了其他人的言论,就表示一定程度上对理性支配审议的能力的不信任。...
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引用次数: 0
Comment on Ferejohn's "Judicializing Politics, Politicizing Law".(response to Article by John Ferejohn in This Issue, P. 41) 评费约翰的“政治司法化,法律政治化”。(回应John Ferejohn在本期第41页的文章)
Q2 Social Sciences Pub Date : 2002-06-22 DOI: 10.2307/1192404
Michael C. Munger
I INTRODUCTION Professor John Ferejohn's article is a preliminary, yet provocative, examination of some key issues raised by the exercise of legislative power by the judicial branch. (1) Ferejohn argues for a broader perspective on this problem, and includes a comparison of European and United States judicial activity; Ferejohn, however, ultimately restricts his analysis almost exclusively to the situation in the United States. Let us begin with Ferejohn's definition of legislative power as the capacity to generate binding norms. (2) A grossly simplified outline of Ferejohn's argument might be: (1) If legislation can happen anywhere in government, and (2) If legislative power is the most dangerous to liberty and justice, then (3) The issue of how to control legislative power is the central problem of institutional design in democracies; however there is no single answer. In other words, the solution must be "institutionally unspecific." (3) The real question, given Ferejohn's real interest, is identifying the circumstances under which, and the extent to which, courts exercise legislative power. Read literally, Ferejohn's article depicts the courts' capacity to exercise legislative power as a kind of Brigadoon: (4) If conditions are right, the capacity appears. (5) If the conditions change, then the capacity of courts to legislate may disappear again, perhaps for a long period. (6) It struck me that the best way to represent Ferejohn's claims is to use a two-by-two matrix, the classic political science representation for a conditional theoretical claim. I was disappointed to see that, since Professor Ferejohn has been spending more time at law schools, he missed an obvious opportunity to use one of political science's hallmark tools. I hope, however, that I am not too late to save the day with this representation. Table 1, below, is the representation that comes to mind. TABLE 1 THE DILEMMA OF JUDICIAL LEGISLATION: TOO WEAK, OR TOO BROAD? It is Appropriate for the Court to Legislate? Does Court Have Power Yes to Legislate? Yes Court exercises power by generating binding norms in areas appropriate for such exercise: GOOD No Court is so weak that it cannot exercise legislative power even in areas where it would be appropriate: BAD It is Appropriate for the Court to Legislate? Does Court Have Power No to Legislate? Yes Court exercises too much power in areas inappropriate to such exercise: BAD No Court is unable to exercise power outside of appropriate areas: GOOD Table 1 represents the dilemma that the judiciary presents to institutional designers. (7) If, in fact, most legislative power is initially vested in the legislature, then the court may well be too weak. There are, after all (and as Ferejohn rightly points out), some settings in which the generation of binding norms by the judiciary is quite appropriate: "rules that need to be developed in light of repeated experience in use, and that should answer to concerns about equality, due process, a
John Ferejohn教授的文章对司法部门行使立法权所引发的一些关键问题进行了初步但具有挑衅性的考察。(1) Ferejohn主张从更广泛的角度看待这个问题,并对欧洲和美国的司法活动进行了比较;然而,Ferejohn最终将他的分析几乎完全局限于美国的情况。让我们从费约翰将立法权定义为产生具有约束力的规范的能力开始。(2) Ferejohn的论点可以大致简化为:(1)如果立法可以发生在政府的任何地方,(2)如果立法权是对自由和正义的最危险的,那么(3)如何控制立法权的问题是民主制度设计的中心问题;然而,没有单一的答案。换句话说,解决方案必须是“制度上不具体的”。(3)考虑到费约翰的真正利益,真正的问题是确定法院行使立法权的情况和程度。从字面上看,Ferejohn的文章将法院行使立法权的能力描述为一种旅队:(4)如果条件合适,这种能力就会出现。如果条件发生变化,那么法院的立法能力可能会再次消失,可能会持续很长一段时间。(6)我突然想到,表述费约翰主张的最佳方式是使用2乘2矩阵,这是对条件理论主张的经典政治学表示。我很失望地看到,由于费约翰教授花了更多的时间在法学院,他错过了一个明显的机会来使用政治学的标志性工具之一。不过,我希望我用这一陈述来挽救局面还不算太晚。下面的表1是我想到的表示。表1司法立法的困境:太弱,还是太宽泛?法院立法是否合适?法院有立法的权力吗?是的,法院通过在适当的领域制定具有约束力的规范来行使权力:好的,没有法院如此软弱,以至于即使在适当的领域也不能行使立法权:坏,法院立法合适吗?法院有立法权吗?是的,法院在不适合行使权力的领域行使了太多的权力:不好,不,法院无法在适当的领域之外行使权力:好,表1代表了司法机构给制度设计者带来的困境。(7)事实上,如果大多数立法权最初被赋予立法机关,那么法院很可能太弱了。毕竟(正如费约翰正确指出的那样),在某些情况下,司法部门制定具有约束力的规范是非常合适的:“需要根据反复使用的经验来制定规则,并且应该回应对平等、正当程序和正义的关注。”(8)事实上,法院在这种情况下的立法能力可能对政府的正常运作至关重要。表1所示的困境是,法院要么有权力,要么没有权力。这其中有一个重要的规范因素。事实上,我认为,尽管这可能不太明显,但这种规范性的权衡巩固了许多关于法院角色的关键辩论。…
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引用次数: 1
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Law and Contemporary Problems
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