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What Is Law? A Coordination Model of the Characteristics of Legal Order 什么是法律?法律秩序特征的协调模型
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2012-09-01 DOI: 10.1093/JLA/LAS008
Gillian K. Hadfield, Barry R. Weingast
Legal philosophers have long debated the question, what is law? But few in social science have attempted to explain the phenomenon of legal order. In this article, we build a rational choice model of legal order in an environment that relies exclusively on decentralized enforcement, such as we find in human societies prior to the emergence of the nation state and in many modern settings. We demonstrate that we can support an equilibrium in which wrongful behavior is effectively deterred by exclusively decentralized enforcement, specifically collective punishment. Equilibrium is achieved by an institution that supplies a common logic for classifying behavior as wrongful or not. We argue that several features ordinarily associated with legal order—such as generality, impersonality, open process, and stability—can be explained by the incentive and coordination problems facing collective punishment.
法律哲学家长期以来一直在争论这个问题,什么是法律?但在社会科学中,很少有人试图解释法律秩序这一现象。在本文中,我们在完全依赖于分散执法的环境中建立了一个法律秩序的理性选择模型,例如我们在民族国家出现之前的人类社会和许多现代环境中发现的。我们证明,我们可以支持一种均衡,在这种均衡中,通过完全分散的执法,特别是集体惩罚,可以有效地阻止不法行为。均衡是由一种制度实现的,这种制度提供了一种共同的逻辑来将行为分类为错误或正确。我们认为,通常与法律秩序相关的几个特征——如一般性、客观、公开程序和稳定性——可以用集体惩罚面临的激励和协调问题来解释。
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引用次数: 108
Constitution-Making and Violence 制宪与暴力
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2012-06-01 DOI: 10.1093/JLA/LAS009
J. Elster
Contrary to a traditional view, constitutions are rarely written in calm and reflective moments. Rather, because they tend to bewritten in period of social unrest, constituent moments induce strong emotions and, frequently, violence. The paper examines two such cases: the Federal Convention of 1787 and the French Assemblee Constituante of 1789–1791. These involved state violence as well as popular violence. In the USA, the unequal political representation of the backcountry explains both the violent events leading to the Convention and its outcome. In France, the dismissal of the King’sMinister Necker explains the subsequent urban and rural violence, and ultimately the abolition of feudalism and the fall of the monarchy. L’anarchie est un passage effrayant, mais necessaire, et c’est le seul moment ou l’on peut arriver a un nouvel ordre des choses. Ce n’est pas dans des temps de calme qu’on prendrait des mesures uniformes. (“Anarchy is a frightening but necessary passage, and the only moment when one can establish a new order of things. It is not in calm times that one can adopt uniform measures”.) (Comte de Clermont-Tonnerre, AR 9, 461)
与传统观点相反,宪法很少是在平静和反思的时刻起草的。相反,因为它们往往是在社会动荡时期写成的,构成的时刻会引发强烈的情绪,而且经常会引发暴力。本文考察了两个这样的案例:1787年的联邦会议和1789-1791年的法国制宪议会。这些包括国家暴力和民众暴力。在美国,边远地区的不平等政治代表解释了导致公约及其结果的暴力事件。在法国,国王大臣内克尔的解职解释了随后的城市和农村暴力,并最终废除了封建主义和君主制的垮台。无政府主义是一种很容易的、很有必要的方式,但当你到达一个全新的秩序和选择时,你会发现这是一种很好的方式。这是一项关于“制服措施草案”的法律草案。无政府状态是一个可怕但必要的阶段,也是人们能够建立新秩序的唯一时刻。在平静时期,人们不能采取统一的措施”(克莱蒙-坦纳雷伯爵,1861年)
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引用次数: 26
Lessons from the Automobile Reorganizations 汽车业重组的教训
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2012-06-01 DOI: 10.1093/JLA/LAS001
D. Baird
In both Chrysler and General Motors, the government was, among other things, a large creditor exercising control over its debtor and pushing for a speedy sale of the assets. Together the two cases capture the issues central to large Chapter 11 cases today. The debate over speedy sales of businesses in Chapter 11 is over. Sales are now the norm in large reorganizations. Instead of asking whether there should be sales in bankruptcy, we need to ask how to police various forms of abuse. Three years after the fact, we can begin to draw some conclusions about the reorganizations of Chrysler and General Motors. The government’s use of the bankruptcy laws to inject tens of billions into two of the country’s largest automobile companies had its intended effect. At the start of 2009, General Motors and Chrysler were bleeding to death. 2 Maintaining either business as a going concern required a massive infusion of capital no one in the private market was willing to provide. As a result of the government’s intervention, the basic structure of the American automobile industry was preserved.
在克莱斯勒和通用汽车这两家公司中,除其他外,政府都是大债权人,对债务人行使控制,并推动迅速出售资产。这两个案例共同抓住了当今大型破产法第11章案件的核心问题。关于根据破产法第11章迅速出售企业的争论已经结束。销售现在是大型重组的常态。我们不应该问是否应该在破产中进行出售,而应该问如何监管各种形式的滥用。三年后,我们可以开始对克莱斯勒和通用汽车的重组得出一些结论。政府利用破产法向该国两家最大的汽车公司注入数百亿美元资金的做法达到了预期效果。2009年初,通用汽车(General Motors)和克莱斯勒(Chrysler)奄奄一息。维持这两家公司的持续经营都需要大量的资金注入,而私人市场上没有人愿意提供。由于政府的干预,美国汽车工业的基本结构得以保留。
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引用次数: 3
Precautionary Principles in Constitutional Law 宪法中的预防原则
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2012-06-01 DOI: 10.1093/JLA/LAS003
Adrian Vermeule
This article examines precautionary strategies of constitutional design and interpretation. In many contexts, constitutional actors and theorists justify rules of constitutional law as precautionary measures against various political risks, including the abuse of power by incumbent officials, dictatorship, majoritarian oppression, and biased adjudication. After providing an analytic taxonomy of such arguments, I examine criticisms of constitutional precautions offered by early proponents of national power such as Hamilton, Marshall and Story, and by New Dealers such as Frankfurter and Jackson. These critics argued that precautionary constitutionalism might be futile, might jeopardize other values, and might even prove perversely self-defeating, if and because the precautions create or exacerbate the very risks they were intended to prevent. Accordingly, these critics argued for a “mature position” that requires constitutional rulemakers to consider all relevant risks of action and of inaction. I identify a strictly negative but nonetheless valuable function of that approach: by laundering out one-sided arguments and placing all relevant risks before constitutional rulemakers, the mature position improves the process of constitutional design and interpretation.
本文探讨了宪法设计和解释的预防性策略。在许多情况下,宪法行为者和理论家将宪法规则辩护为预防各种政治风险的措施,包括现任官员滥用权力、独裁统治、多数压迫和有偏见的裁决。在对这些论点进行了分析分类之后,我研究了汉密尔顿、马歇尔和斯托里等国家权力的早期支持者以及法兰克福和杰克逊等新政派人士对宪法预防措施的批评。这些批评人士认为,预防性宪政可能是徒劳的,可能危及其他价值观,甚至可能适得其反,如果并且因为预防措施造成或加剧了它们本来想要预防的风险。因此,这些批评者主张采取一种“成熟的立场”,要求宪法规则制定者考虑采取行动和不采取行动的所有相关风险。我认为这种方法有一个严格消极但却有价值的功能:通过洗清片面的论点,并将所有相关风险置于宪法规则制定者面前,成熟的立场改善了宪法设计和解释的过程。
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引用次数: 14
The Evolution of Contractual Terms in Sovereign Bonds 主权债券契约条款的演变
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2012-06-01 DOI: 10.1093/JLA/LAS004
Stephen Choi, Mitu G. Gulati, E. Posner
In reaction to defaults on sovereign debt contracts, issuers and creditors have strengthened the terms in sovereign debt contracts that enable creditors to enforce their debts judicially and that enable sovereigns to restructure their debts. These apparently contradictory approaches reflect attempts to solve an incomplete contracting problem in which debtors need to be forced to repay debts in good states of the world; debtors need to be granted partial relief from debt payments in bad states; debtors may attempt to exploit divisions among creditors in order to opportunistically reduce their debt burden; debtors may engage in excessively risky activities using creditors’ money; and debtors and creditors may attempt to externalize costs on the taxpayers of other countries. We support this argument with a statistical study of the development of sovereign bond terms from 1960 to the present.
作为对主权债务合同违约的反应,发行人和债权人加强了主权债务合同中的条款,使债权人能够通过司法手段强制执行债务,并使主权国家能够重组债务。这些显然相互矛盾的方法反映出,它们试图解决一个不完全的契约问题,在这个问题中,债务国需要被迫偿还世界上状况良好的国家的债务;债务状况不佳的国家需要给予债务人部分债务减免;债务国可能试图利用债权国之间的分歧,借机减少债务负担;债务人利用债权人的资金从事危险性过大的活动;债务人和债权人可能会试图将成本转嫁给其他国家的纳税人。我们通过对1960年至今主权债券条款发展的统计研究来支持这一论点。
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引用次数: 48
Introduction: Political Risk and Public Law 导论:政治风险与公法
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2012-04-25 DOI: 10.1093/JLA/LAS007
Adrian Vermeule
On December 15-16, 2011, Harvard Law School convened a conference on “Political Risk and Public Law.” A special issue of the Journal of Legal Analysis will be devoted to publishing papers on this topic by Jon Elster, Edward Glaeser, Eric Posner, Fred Schauer, Mark Tushnet, and myself. The overall aim is to introduce a new set of questions about public law and a new analytical framework for thinking about those questions. The premise of the enterprise is that constitutions and other instruments of public law may fruitfully be viewed as devices for regulating political risks. Large literatures in law, economics, political science and policy studies examine first-order risks that arise from technology, the market, or nature. By contrast, constitutions and foundational statutes, such as the Administrative Procedure Act, may be understood as devices for regulating second-order risks. These are risks that arise from the design of institutions, the allocation of legal and political power among given institutions, and the selection of officials to staff those institutions. This perspective employs the framework of risk analysis elaborated by many disciplines across the social and policy sciences. The framework promises new insights for public law. Constitutional actors have often spoken the prose of risk regulation without knowing it, offering arguments about constitutional and institutional design that implicitly posit second-order risks and offer institutional prescriptions for managing those risks. By bringing the analytic structure of those arguments to the surface, political risk analysis promises to allow a more intelligent description and evaluation of the major problems of public law.
2011年12月15日至16日,哈佛大学法学院召开了“政治风险与公法”会议。《法律分析杂志》将有一期专刊专门发表由Jon Elster、Edward Glaeser、Eric Posner、Fred Schauer、Mark Tushnet和我本人撰写的关于这一主题的论文。总体目标是介绍一系列关于公法的新问题以及思考这些问题的新分析框架。这项事业的前提是,宪法和其他公法文书可以被有效地视为调节政治风险的工具。法律、经济学、政治学和政策研究方面的大量文献研究了来自技术、市场或自然的一阶风险。相比之下,宪法和基础性法规,如《行政程序法》,可被理解为调节二阶风险的手段。这些风险来自机构的设计、特定机构之间法律和政治权力的分配以及这些机构工作人员的选择。这种观点采用了社会科学和政策科学中许多学科所阐述的风险分析框架。该框架有望为公法提供新的见解。宪法行为者经常在不知情的情况下谈论风险监管的散文,提出有关宪法和制度设计的论点,这些论点隐含地假设了二阶风险,并提供了管理这些风险的制度处方。通过将这些论点的分析结构呈现出来,政治风险分析有望对公法的主要问题进行更明智的描述和评估。
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引用次数: 4
The First Amendment and Political Risk 第一修正案与政治风险
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2012-03-29 DOI: 10.1093/JLA/LAS005
M. Tushnet
Speech can directly inflict harm, and can increase the risk that harm will occur. irst Amendment doctrine is at its core about the correct response to the fact that speech can increase the risk of social harm. Like all risks, First Amendment risk varies along several dimensions. This Essay focuses on three: distribution of risk, magnitude of risk, and magnitude of social benefit.Consideration of the institutional relationship between courts and legislatures is more central to analyzing judicially developed free speech doctrine than is a direct assessment of risk, its magnitude and distribution, and the social benefits of speech. Courts cannot completely avoid such direct assessments, but after they make a rough judgment about these matters, they must consider the institutional question of whether, and more important how, they should respond when their assessments differ from the legislature’s. Vince Blasi’s classic article, The Pathological Perspective and the First Amendment, argued that First Amendment doctrine rested on the accurate view that courts could reliably identify certain pathologies in the legislative process that predictably generated systematically excessive legislative assessments of the degree to which speech increased the risk of harm. This Essay addresses a different pathology, located in the judicial branch rather than the legislative one. I motivate the argument by describing several cases in which the courts’ assessment of the risk that speech causes harm seems mistaken, either because the courts seem to be mistaken in thinking that the legislature’s estimates of the risk of harm are excessive or because the courts are insensitive to questions about the distribution of harm. In conjunction with that description I offer a diagnosis of the judicial pathology, which, following Duncan Kennedy, I call the rule-ification of doctrine, that is, the tendency over time for courts to replace doctrine articulated in the form of standards with doctrine articulated in the form of rules with exceptions. I explain why that tendency occurs and can be normatively justified, but that it can produce pathologies when the courts resist, for a variety of reasons, the proliferation of exceptions to the rules. I conclude with a discussion of the obvious treatment, given that diagnosis – the injection of standards into the rule-ified system. I observe, though, that such an injection might not occur for the reasons that lead courts to rule-ify, and that in any event the tendency to rule-ification will assert itself even after an injection of standards.
言论可以直接造成伤害,并且可以增加伤害发生的风险。第一修正案原则的核心是对言论可能增加社会危害风险这一事实的正确回应。像所有的风险一样,第一修正案的风险在几个方面有所不同。本文主要关注三个方面:风险分布、风险大小和社会效益大小。在分析司法上形成的言论自由原则时,考虑法院和立法机构之间的制度关系比直接评估风险、风险的大小和分布以及言论的社会效益更为重要。法院不可能完全避免这种直接的评估,但在对这些问题做出粗略的判断之后,它们必须考虑一个制度问题,即当它们的评估与立法机关的评估不同时,它们是否应该做出回应,更重要的是,它们应该如何回应。文斯·布拉西(Vince Blasi)的经典文章《病态视角与第一修正案》(The Pathological Perspective and The First Amendment)认为,第一修正案原则基于这样一种准确的观点,即法院可以可靠地识别立法过程中的某些病态,这些病态可预见地产生了对言论增加伤害风险程度的系统性过度立法评估。本文讨论的是一种不同的病态,它位于司法部门而不是立法部门。我通过描述几个案例来推动这一论点,在这些案例中,法院对言论造成伤害的风险的评估似乎是错误的,要么是因为法院似乎错误地认为立法机构对伤害风险的估计过高,要么是因为法院对伤害分布的问题不敏感。结合这一描述,我对司法病理学进行了诊断,我将其称为原则的规则化,也就是说,随着时间的推移,法院倾向于用带有例外的规则形式的原则取代以标准形式表达的原则。我解释了为什么这种倾向会发生,并且在规范上是合理的,但当法院出于各种原因抵制规则例外的激增时,它会产生病态。最后,我将讨论考虑到这种诊断的显而易见的治疗方法——将标准注入规则化的体系。然而,我观察到,这种注入可能不会因为导致法院规则化的原因而发生,而且在任何情况下,即使在注入标准之后,规则化的倾向也会坚持自己。
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引用次数: 1
THE POLITICAL RISKS (IF ANY) OF BREAKING THE LAW 违法的政治风险(如果有的话)
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2012-03-15 DOI: 10.1093/JLA/LAS010
F. Schauer
Is breaking the law a politically risky act for politicians and other public officials? The question is especially important in the context of legislators and high executive officials who, for reasons of immunity or otherwise, are not subject to formal legal sanctions when they break the law. In such contexts, we might think that various other repercussions would serve in the place of formal legal sanctions, such that violating the Constitution or the law would entail tangible political, reputational, and social risks. Yet a raft of examples suggests, albeit not definitively, that violating the law qua law is not ordinarily subject to non-legal sanctions. The electorate, the media, and most other potential sources of social and political sanctions reward good policy choices and sanction bad ones, but the very fact of illegality, except possibly by increasing the sanctions for bad policy choices that are also illegal, appears to play at most a small role in constraining the choices of a large group of the most influential and visible American public officials.
对政治家和其他公职人员来说,违法是有政治风险的行为吗?对于立法者和高级行政官员来说,这个问题尤其重要,因为他们出于豁免或其他原因,在违法时不受正式的法律制裁。在这种情况下,我们可能会认为,各种其他后果将取代正式的法律制裁,例如违反宪法或法律将带来切实的政治、声誉和社会风险。然而,尽管不是绝对的,但大量的例子表明,以法律名义违反法律通常不会受到非法律制裁。选民、媒体和大多数其他潜在的社会和政治制裁来源奖励好的政策选择,制裁坏的政策选择,但非法性的事实本身,除了可能增加对同样是非法的坏政策选择的制裁之外,在限制一大批最有影响力和最引人注目的美国公共官员的选择方面,似乎最多只发挥了很小的作用。
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引用次数: 13
Scholars' Briefs and the Vocation of a Law Professor 学者简报与法学教授的职业
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2012-02-28 DOI: 10.1093/JLA/LAS002
R. Fallon
This article examines the increasingly common phenomenon of "scholars' briefs" in which collections of law professors appear as amici curiae in litigation before a court. Arguing that many professors compromise their integrity by joining such briefs too promiscuously, the article proposes standards that professors should insist upon before signing amicus briefs that they do not write. The article's methodology involves comparisons among various roles that law professors sometimes play and the distinctive moral and ethical standards appropriate to each. Besides a thorough discussion of scholars' briefs, the article includes broader analysis of law professors' role-based ethical obligations.
本文考察了越来越普遍的“学者简报”现象,即法学教授在法庭诉讼中以法庭之友的身份出现。文章认为,许多教授因过于随意地加入这种简报而损害了他们的诚信,并提出了教授在签署他们不写的“法庭之友”简报之前应该坚持的标准。这篇文章的方法包括比较法学教授有时扮演的各种角色,以及适合每种角色的独特道德和伦理标准。除了对学者简报的深入讨论外,本文还对法学教授基于角色的道德义务进行了更广泛的分析。
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引用次数: 5
Hybrid Judicial Career Structures: Reputation Versus Legal Tradition 混合司法职业结构:声誉与法律传统
IF 2.2 1区 社会学 Q1 LAW Pub Date : 2011-12-01 DOI: 10.1093/JLA/LAR004
Nuno Garoupa, Tom Ginsburg
Scholars have distinguished career from recognition judiciaries, largely arguing that they reflect different legal cultures and traditions. We start by noting that the career/recognition distinction does not correspond perfectly to the civil law/common law distinction, but rather that there are pockets of each institutional structure within regimes that are dominated by the other type. We discuss the causes and implications of this phenomenon, arguing that institutional structure is better explained through a theory of judicial reputation/legitimacy than through a theory of legal origin or tradition. We provide some preliminary empirical support for our account.
学者们将职业司法与承认司法区分开来,主要认为它们反映了不同的法律文化和传统。我们首先注意到,职业/认可的区别并不完全符合大陆法系/普通法的区别,而是每种制度结构中都有一些由另一种类型主导的制度结构。我们讨论了这一现象的原因和影响,认为通过司法声誉/合法性理论比通过法律起源或传统理论更好地解释制度结构。我们为我们的叙述提供了一些初步的经验支持。
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引用次数: 42
期刊
Journal of Legal Analysis
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