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Executive Action: Its History, its Dilemmas, and its Potential Remedies 行政行动:它的历史,它的困境,和它的潜在补救措施
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2016-06-01 DOI: 10.1093/JLA/LAW008
E. Rubin
Concerns about the rule of law in the modern administrative state are not only the result of our current legal system, but of our historical experience. Our legal tradition provides us with no precedents for imposing rules on executive power or authority. English kings created two institutions, the common law courts and the legislature (Parliament), in part to extend his control over the nobles. These institutions gradually acquired independent power and reduced the authority of the monarchy. They did not do so, however, by imposing controls, or standards of behavior, on the king's executive authority. Rather, they reduced the scope his authority, taking command of one field after another. In the process of defining and justifying their newly developed roles, the courts and the legislature established procedures and decision-making standards for their own actions that embodied the rule of law.Thus we, as heirs to English legal and constitutional thought, know how to impose the rule of law on judicial and administrative action. But we have not inherited any standards for executive action; our historical experience teaches us how to limit its scope but not how to control its content. The Administrative Procedure Act (APA) reflects this historical and cultural lacuna. It contains elaborate standards for adjudication, modeled on judicial procedure, and at least rudimentary standards for rulemaking, modeled on legislative procedure. But it provides no standards for executive action, and in fact, does not even recognize such action as a category. We know that category as informal adjudication, an obvious misnomer that does not appear in the language of the Act, but has been concocted by observers based on the Act's implicit structure. The unsolved problem in administrative law is to impose rules on action that falls within that category, that is, executive action, without impairing government’s ability to act. Methods for doing so could include substantive standards such as rationality, imposed by a revised APA and enforced by courts, or new supervisory institutions such as an the ombudsperson, or new procedural requirements, such as a revision of the APA notice and comment provisions that would be based on the concept of policy making rather than legislation by elected representatives.
对现代行政国家法治的关注不仅是我国现行法律制度的结果,也是历史经验的结果。我们的法律传统为我们提供了对行政权力或权威强加规则的先例。英国国王建立了两个机构,普通法法庭和立法机构(议会),部分是为了扩大他对贵族的控制。这些机构逐渐获得了独立的权力,削弱了君主的权威。然而,他们并没有通过对国王的行政权力施加控制或行为标准来做到这一点。相反,他们缩小了他的权力范围,指挥一个又一个领域。法院和立法机关在界定和论证其新角色的过程中,为自己的行为确立了体现法治的程序和决策标准。因此,作为英国法律和宪法思想的继承者,我们知道如何将法治强加于司法和行政行为。但我们没有继承任何行政行为的标准;我们的历史经验告诉我们如何限制它的范围,而不是如何控制它的内容。行政程序法(APA)反映了这一历史文化空白。它以司法程序为蓝本,包含了详尽的裁决标准,以及以立法程序为蓝本的最起码的规则制定标准。但它没有为行政行为提供标准,事实上,甚至没有将此类行为视为一个类别。我们知道这一类别是非正式裁决,这是一个明显的用词不当,没有出现在该法案的语言中,而是由观察员根据该法案的隐含结构编造出来的。行政法中尚未解决的问题是在不损害政府行动能力的情况下,对属于这一类的行动即行政行为施加规则。这样做的方法可以包括实质性标准,如合理性,由修订后的《行政程序法》规定并由法院执行,或新的监督机构,如监察员,或新的程序要求,如修订《行政程序法》的通知和评论条款,这些条款将基于政策制定的概念,而不是民选代表的立法。
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引用次数: 5
Executive Opportunism, Presidential Signing Statements, and the Separation of Powers 行政机会主义,总统签署声明和三权分立
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2016-06-01 DOI: 10.1093/JLA/LAV013
Daniel B. Rodriguez, Edward H. Stiglitz, Barry R. Weingast
Executive discretion over policy outcomes is an inevitable feature of our political system. However, in recent years, the President has sought to expand his discretion through a variety of controversial and legally questionable tactics. Through a series of simple separation of powers models, we study one such tactic, employed by both Democratic and Republican presidents: the use of signing statements, which purport to have status in the interpretation of statutory meaning. Our models also show that signing statements upset the constitutional vision of lawmaking and, in a wide range of cases, exacerbate legislative gridlock. We argue that courts should not legally credit signing statements; we conclude by discussing executive opportunism broadly.
行政部门对政策结果的自由裁量权是我们政治制度的一个不可避免的特征。然而,近年来,总统试图通过各种有争议和法律上有问题的策略来扩大他的自由裁量权。通过一系列简单的三权分立模型,我们研究了民主党和共和党总统都采用的一种策略:使用签署声明,声称在解释法定意义时具有地位。我们的模型还显示,签署声明扰乱了立法的宪法愿景,在很多情况下,加剧了立法僵局。我们认为法院在法律上不应该相信签字声明;最后,我们从广义上讨论高管机会主义。
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引用次数: 5
The Appearance and the Reality of Quid Pro Quo Corruption: An Empirical Investigation 交换条件腐败的表象与现实:一项实证调查
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2016-05-01 DOI: 10.1093/JLA/LAW006
C. Robertson, D. Winkelman, Kelly Bergstrand, Darren Modzelewski
The Edmond J. Safra Center for Ethics at Harvard University provided funding for this research.
哈佛大学的Edmond J. Safra伦理中心为这项研究提供了资金。
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引用次数: 3
Prosecuting Beyond the Rule of Law: Corporate Mandates Imposed through Deferred Prosecution Agreements 超越法治的起诉:通过延期起诉协议施加的公司委托
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2016-04-19 DOI: 10.1093/JLA/LAW007
Jennifer H. Arlen
U.S. corporate criminal enforcement policy encourages prosecutors to enter into deferred and non-prosecution agreements (D/NPAs) that impose corporate reform mandates on firms with detected misconduct. This article concludes that the process governing prosecutors’ use of D/NPA mandates is inconsistent with the rule of law. The rule of law requires that individual executive branch actors not be given sufficient authority to restrict the rights of others to achieve personal aims, including idiosyncratic conceptions of the public interest. To satisfy the rule of law, modern governments granting discretion to executive branch actors constrain this authority by both limiting the scope of authority granted and requiring external oversight of decisions. Formal enforcement through pleas and formal agency rule-making employ both mechanisms. By contrast, prosecutors who use D/NPAs to create and impose new duties face few limitations on either the scope of their ex ante authority to intervene. They also face little oversight through judicial review. This broad grant of discretion to individual prosecutors’ offices is inconsistent with the rule of law.
美国公司刑事执法政策鼓励检察官签订延期和不起诉协议(D/NPAs),对发现有不当行为的公司实施公司改革。本文的结论是,管理检察官使用D/NPA授权的程序与法治不一致。法治要求行政部门的个人行为者不能被赋予足够的权力来限制他人的权利,以实现个人目标,包括对公共利益的特殊概念。为了满足法治,现代政府授予行政部门行为者自由裁量权,通过限制授予的权力范围和要求对决策进行外部监督来约束这种权力。通过申诉的正式执行和正式的机构规则制定采用这两种机制。相比之下,使用D/ npa创建和施加新职责的检察官在其事前干预权力的范围上几乎没有受到限制。它们也很少受到司法审查的监督。将自由裁量权广泛授予个别检察官办公室是不符合法治的。
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引用次数: 30
Starting with the Text — On Sequencing Effects in Statutory Interpretation and Beyond 从文本开始——论法律解释中的顺序效应及其以后
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2016-02-01 DOI: 10.1093/JLA/LAW004
Adam M. Samaha
What difference do starting points make? The question is important for decision making in general and for law in particular, including the interpretation of statutes. Judges must begin the interpretive process somewhere. Today, Supreme Court opinions sometimes promote the idea of starting with the text of the statute at issue. But what does this mean, in practice, and does it matter to decisions? “Start with the text” could be a signal of allegiance to an interpretive school and an indication that some interpretive tools are more important than or even lexically superior to others. At present, however, the statement delivers neither of those messages well. Instead, we might think about the statement as a rule for sequencing sources. Although the mere sequence in which information is considered does not have any clear logical significance for case results, the idea of starting with statutory text can become almost unnervingly significant — and without adding lexical priority.Decades of studies show that the order in which information is presented can influence decisions, apart from what formal logic dictates. But the direction of order effects can be counterintuitive and sensitive to the decision environment, which suggests complications for a “start with the text” sequencing rule. Depending on several factors, the first item of information will matter most, the last item will matter most, or there will be no order effect. Furthermore, even if order effects are predicted accurately, some psychological mechanisms that produce order effects are normatively problematic for judicial use. Finally, an effective sequencing rule requires an implementation strategy with a foundation far away from standard theorizing about interpretive method. Foregrounding implementation issues and the real world of interpretive architecture suggests that, if judges want to harness order effects, they probably should turn to the most important sources last, not first.
起点有什么区别?这个问题对一般决策,特别是对法律,包括对成文法的解释都很重要。法官必须在某处开始解释程序。今天,最高法院的意见有时提倡从有争议的法规文本开始的想法。但在实践中,这意味着什么?它对决策有影响吗?“从文本开始”可能是一种效忠于解释学派的信号,表明一些解释工具比其他解释工具更重要,甚至在词汇上优于其他解释工具。然而,目前这份声明并没有很好地传达这两个信息。相反,我们可以将该语句视为排序源的规则。尽管仅仅考虑信息的顺序对案件结果没有任何明确的逻辑意义,但从法定文本开始的想法可能变得几乎令人不安地重要——而且没有增加词汇优先级。几十年的研究表明,除了形式逻辑的规定外,信息呈现的顺序也会影响决策。但是顺序效应的方向可能是违反直觉的,并且对决策环境很敏感,这表明“从文本开始”的排序规则很复杂。取决于几个因素,信息的第一项最重要,最后一项最重要,或者没有顺序效应。此外,即使秩序效应被准确预测,一些产生秩序效应的心理机制在司法应用中也存在规范性问题。最后,一个有效的排序规则需要一个远离解释方法的标准理论基础的实现策略。前景实现问题和解释性架构的现实世界表明,如果法官想要利用秩序效应,他们可能应该最后转向最重要的来源,而不是首先。
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引用次数: 1
Trust, Reputation, and Law: the Evolution of Commitment in Investment Banking 信任、声誉与法律:投资银行承诺的演变
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2015-12-01 DOI: 10.1093/JLA/LAV007
A. Morrison, W. Wilhelm
We discuss the commitment mechanisms that underpin social orderings. We categorize commitments in relationships along a hierarchy that runs from the most extra-legal to the most legally intensive devices. Commitment devices are chosen in light of their social, legal and technological contexts. Changes to these contexts therefore change the social order and, in extremis, can cause significant social dislocation. We use a new new dataset of underwriting syndicates between 1933 and 2008 to argue that financial market have experienced such a dislocation. We discuss the policy implications of this dislocation with specific reference to cases in securitization and M&A markets.
我们讨论了支持社会秩序的承诺机制。我们把关系中的承诺按等级分类从最不合法的到最合法的。承诺手段是根据其社会、法律和技术背景来选择的。因此,这些环境的变化改变了社会秩序,在极端情况下,可能造成严重的社会混乱。我们使用1933年至2008年间承销辛迪加的新数据集来证明,金融市场经历了这样的混乱。我们讨论了这种错位的政策含义,具体参考了证券化和并购市场的案例。
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引用次数: 11
Social Capital and the Formal Legal System: Evidence from Prefecture-Level Data in Japan 社会资本与正式法律制度:来自日本地级数据的证据
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2015-12-01 DOI: 10.1093/JLA/LAV008
John M. Olin, M. Ramseyer
Verifiable proxies for social capital potentially provide an empirically tractable way to identify environments where social norms both constrain behavior and substitute for judicial enforcement. Using regression and factor analysis with Japanese prefecture-level data, I explore several aspects of this possibility. First, I find that people in prefectures with high levels of social capital more readily comply with a range of low-level legal mandates. Second, reflecting the fact that social norms need not point toward government-approved ends, taxpayers in high social-capital prefectures (particularly in the agricultural sector) are more -- not less -- likely to evade taxes. Third, conditional on levels of economic welfare, I find that: (a) firms in prefectures with low levels of social capital are more likely to default on their contracts; (b) residents in low social-capital prefectures are probably (the results are ambiguous) more likely to litigate; (c) creditors of distressed debtors in low social-capital prefectures are more likely to apply in court for enforcement orders, and (d) distressed debtors in low social-capital prefectures are more likely to file in court for bankruptcy protection.
可验证的社会资本代理可能提供一种经验上易于处理的方法来识别社会规范既约束行为又替代司法执法的环境。通过对日本地级市的数据进行回归和因子分析,我探讨了这种可能性的几个方面。首先,我发现社会资本水平高的县的人更容易遵守一系列低水平的法律命令。其次,社会规范不一定指向政府批准的目标,社会资本高的县(尤其是农业部门)的纳税人更有可能(而不是更少)逃税,这反映了这一事实。第三,在经济福利水平的条件下,我发现:(a)社会资本水平较低的县的企业更有可能违约;(b)低社会资本县的居民可能(结果不明确)更有可能提起诉讼;(c)低社会资本州的陷入困境债务人的债权人更有可能向法院申请执行令,(d)低社会资本州的陷入困境债务人更有可能向法院申请破产保护。
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引用次数: 9
Trade Associations, Lobbying, and Endogenous Institutions 行业协会、游说和内生制度
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2015-12-01 DOI: 10.1093/JLA/LAV009
Maria Larrain, J. Prüfer
A trade association is a millennium-old organizational form that has existed on all continents. It is a private, formal, nonprofit organization designed to promote the common interests of its members, even if these members are competitors on product (or research) markets. While it is straightforward to assume that an association creates net benefits for its members – why would they join, otherwise? – it is unclear whether, or under which circumstances, the existence of an association has positive net effects for the rest of the economy. In “Trade Associations, Lobbying, and Endogenous Institutions,” Maria Larrain and Jens Prufer study this question by means of a game-theoretic model. The answer is, of course, “it depends.” But on what does it depend? And why?
行业协会是一种有上千年历史的组织形式,存在于各大洲。它是一个私人的、正式的、非营利性的组织,旨在促进其成员的共同利益,即使这些成员是产品(或研究)市场上的竞争对手。虽然一个协会为其成员创造净利益是很简单的假设,但他们为什么要加入呢?——目前尚不清楚一种关联的存在是否或在何种情况下会对经济的其他部分产生积极的净影响。在《行业协会、游说和内生制度》一书中,Maria Larrain和Jens Prufer通过博弈论模型研究了这个问题。答案当然是“视情况而定”。但是它取决于什么呢?,为什么?
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引用次数: 10
Beyond Relational Contracts: Social Capital and Network Governance in Procurement Contracts 超越关系契约:采购契约中的社会资本与网络治理
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2015-12-01 DOI: 10.1093/JLA/LAW001
Lisa E. Bernstein
The master agreements that nominally govern the transactions between mid-western Original Equipment Manufacturers and their suppliers are not, for the most part, designed to create legal obligations. Rather, they create a space in which private order can flourish, much like the role played by firm boundaries in the Coase-Williamson theory of the firm. This Article explores how sophisticated transactors in this market have combined governance techniques associated with arm’s-length contracting, intrafirm hierarchy, and trust-based relational contracting to create relationships that are long-term, highly cooperative, and characterized by significant relationship-specific investment. It suggests that these transactors have been able to accomplish these outcomes with only minimal reliance on the legal system, in large part because they operate in a market of highly interconnected firms — a network that itself functions as a contract governance mechanism. It then explores the implications of these contract structures and the availability of network governance for firms’ make-or-buy decisions and the likelihood of innovation.
名义上管理中西部原始设备制造商与其供应商之间交易的主协议,在很大程度上并不是为了创造法律义务而设计的。相反,它们创造了一个私人秩序可以蓬勃发展的空间,就像科斯-威廉姆森企业理论中企业边界所扮演的角色一样。本文探讨了这个市场中成熟的交易者如何结合与公平契约、公司内部层次结构和基于信任的关系契约相关的治理技术,以创建长期、高度合作的关系,并以重要的关系特定投资为特征。它表明,这些交易者能够在对法律体系的依赖最小的情况下实现这些结果,这在很大程度上是因为他们在一个由高度相互关联的企业组成的市场中运作——这个网络本身就起到了合同治理机制的作用。然后探讨了这些契约结构的含义,以及网络治理对公司“自行决定还是购买”决策的可用性和创新的可能性。
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引用次数: 67
Trademark Functionality Reexamined 商标功能再审
IF 2.2 1区 社会学 Q1 Social Sciences Pub Date : 2015-05-28 DOI: 10.1093/JLA/LAV002
R. Bone
The functionality doctrine in trademark law bars protection for some, but not all, source-identifying product features — so-called trade dress — that contribute to a product’s functional performance. Despite the doctrine’s lengthy history, its critical role in promoting intellectual property policies, and the considerable attention devoted to it in recent decades, courts and commentators still disagree about what functionality means, the reasons why functional marks should not be protected, and how far the functionality bar should extend. This confusion is due largely to a lack of clarity and rigor at the normative level. This article seeks to remedy the deficiency. It traces the history of the functionality doctrine, critically analyzes its policy foundations, and outlines an analytical approach for designing optimal functionality rules.
商标法中的功能原则禁止对部分(但不是全部)来源识别产品特征(即所谓的商业外观)进行保护,这些特征有助于产品的功能性能。尽管这一原则有着悠久的历史,在促进知识产权政策方面发挥了关键作用,近几十年来也受到了相当多的关注,但法院和评论家们仍然对功能性的含义、功能性商标不应受到保护的原因以及功能性界限应该延伸到什么程度存在分歧。这种混淆主要是由于在规范层面缺乏明确性和严谨性。本文试图弥补这一缺陷。它追溯了功能主义的历史,批判性地分析了其政策基础,并概述了设计最佳功能规则的分析方法。
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引用次数: 3
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