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Custom, Normative Practice, and the Law 习俗、规范实践和法律
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2012-11-01 DOI: 10.2139/SSRN.2294081
G. Postema
Legally binding custom is conventionally analyzed in terms of two independent elements: regularities of behavior (usus) and convictions of actors engaging in the behavior that it is legally required (opinio juris). This additive conception of custom is deeply flawed. This essay argues that we must abandon the additive conception and replace it with an account of custom that understands legally relevant customs as norms that arise from discursive normative practices embedded in rich contexts of social interaction characterized by intermeshing anticipations and interconnected conduct. The hallmark of legally binding customs, it is argued, is not the addition of belief or conviction to behavioral regularities, but rather the integration of meaningful conduct into a web of legally recognized reasons and arguments.
具有法律约束力的习惯通常从两个独立的要素来分析:行为的规律性(usus)和从事法律要求的行为的行为人的信念(opinio juris)。这种附加的风俗观念是有严重缺陷的。本文认为,我们必须放弃加性概念,代之以一种对习俗的解释,这种解释将法律上相关的习俗理解为规范,这些规范来自于嵌入在以相互交织的预期和相互关联的行为为特征的丰富社会互动背景中的话语规范实践。有人认为,具有法律约束力的习俗的标志不是对行为规则的信念或信念,而是将有意义的行为整合到法律认可的理由和论点的网络中。
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引用次数: 26
Out of Practice: The Twenty-First Century Legal Profession 脱离实践:21世纪的法律职业
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2012-10-01 DOI: 10.2139/SSRN.2344888
Dana A. Remus
Lawyering has changed dramatically in the past century, but scholarly and regulatory models have failed to keep pace. Because these models focus exclusively on the “practice of law” as defined by the profession, they ignore many types of work that today’s lawyers perform and many sources of ethical tension they encounter. To address these shortcomings, I examine significant twentieth and twenty-first century social dynamics that are fundamentally altering contemporary lawyers’ work by broadening and blurring the boundary between law and business. Within the resulting boundary zone, a growing number of lawyers occupy roles for which legal training is valuable but licensure is not required. I argue that the ambiguity surrounding these roles — regarding what constitutes legal practice, what roles lawyers play, and what professional obligations attach — creates opportunities for abuse by individual lawyers and for ethical arbitrage by sophisticated corporate clients. The proliferation of these roles gives rise to key ethical tensions, ignored by existing models of the profession, that threaten to extinguish the profession’s public-facing orientation in favor of its private interests. I conclude that we cannot effectively understand and regulate the twenty-first century legal profession until we move beyond the rigid constraints of existing models and begin to study the full range of roles and work settings — both in and out of practice — that today’s lawyers occupy.
在过去的一个世纪里,律师行业发生了巨大的变化,但学术和监管模式却未能跟上。由于这些模型只关注由专业定义的“法律实践”,它们忽略了当今律师从事的许多类型的工作以及他们遇到的许多道德紧张的来源。为了解决这些缺点,我研究了20世纪和21世纪的社会动态,这些动态通过扩大和模糊法律与商业之间的界限,从根本上改变了当代律师的工作。在由此产生的边界区内,越来越多的律师担任法律培训有价值但不需要执照的角色。我认为,围绕这些角色的模糊性——关于什么构成了法律实践,律师扮演什么角色,以及附加了什么专业义务——为律师个人滥用职权和老练的企业客户进行道德套利创造了机会。这些角色的激增引起了关键的道德紧张,而这些紧张被现有的职业模式所忽视,这可能会使该职业面向公众的方向消失,而有利于其私人利益。我的结论是,我们不能有效地理解和规范21世纪的法律职业,除非我们超越现有模式的严格限制,开始研究今天的律师所扮演的角色和工作环境的全部范围——无论是在实践中还是在实践中。
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引用次数: 5
When Money Grew on Trees: Lucy v. Zehmer and Contracting in a Boom Market 当钱长在树上:露西诉泽默和繁荣市场中的承包
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2012-04-01 DOI: 10.2139/SSRN.1754780
Barak D Richman, Dennis Schmelzer
This article revisits Lucy v. Zehmer, a 1950s Virginia Supreme Court ruling that has become a staple in most American law school contracts courses. The colorful facts are well-known to nearly all law students: Lucy and Zehmer met one evening in December 1952 at a restaurant in Dinwiddie, VA, and, following several drinks and much verbal banter, Zehmer wrote a contract on a restaurant bill in which he agreed to sell his farm to Lucy for $50,000. Zehmer later insisted that he had been intoxicated and thought the entire matter was a joke – he testified that he was “high as a Georgia pine” and was merely bluffing to try to get Lucy to admit that he did not actually have $50,000. The Court upheld the contract, ruling that, regardless of Zehmer’s intent, his outward behavior was reasonably construed to suggest that he was serious. The court thus invoked what is known as the “objective theory of contract formation.”Our findings suggest that the court misinterpreted the contractual setting surrounding that December evening in 1952. Our research uncovers the following discoveries: (1) Lucy, acting as a middleman for southern Virginia’s burgeoning pulp and paper industry, sought the Ferguson Farm for its rich timber reserves; (2) Lucy was one of scores of aggressive timber middlemen eager to purchase timberland across the region, in what amounted to a chaotic land grab that left a wake of shady transactions and colorful litigation; and (3) Within the eight years of winning injunctive relief from the Virginia Supreme Court and purchasing the Ferguson Farm from Zehmer for $50,000, Lucy earned approximately $142,000 from the land and its natural resources. These findings bring into question the opinion’s assertion that $50,000 was a fair price, its conclusion that Zehmer’s actions indicated contractual intent, and its confidence that the objective method captured the relevant background in which Lucy’s and Zehmer’s exchange took place. More generally, they suggest that conclusions reached by the objective method are highly dependent on the facts that are retold and the context in which they occur, and that historical analysis can meaningfully illustrate the limits of legal doctrines.
这篇文章回顾了露西诉泽默案,这是20世纪50年代弗吉尼亚州最高法院的一项裁决,已成为大多数美国法学院合同课程的主要内容。几乎所有的法律系学生都知道这些丰富的事实:1952年12月的一个晚上,露西和泽默在弗吉尼亚州丁威迪的一家餐馆见面,在几杯酒和许多言语的玩笑之后,泽默在餐馆的账单上写了一份合同,他同意以5万美元的价格把他的农场卖给露西。泽默后来坚持说他当时喝醉了,并认为整件事只是个笑话——他作证说他“嗨得像乔治亚州的松树”,只是在虚张声势,试图让露西承认他实际上并没有5万美元。法院维持了合同,裁定,无论泽默的意图如何,他的外在行为都可以合理地解释为他是认真的。法院因此援引了所谓的“合同形成的客观理论”。我们的研究结果表明,法院误解了1952年12月那个晚上的合同背景。我们的研究揭示了以下发现:(1)露西,作为弗吉尼亚州南部蓬勃发展的纸浆和造纸工业的中间人,寻找弗格森农场,因为那里有丰富的木材储备;露西是几十个积极进取的木材中间商之一,他们急于在整个地区购买林地,这是一场混乱的土地争夺,留下了阴暗的交易和丰富多彩的诉讼;(3)在从弗吉尼亚州最高法院获得禁令救济并以50,000美元从泽默手中购买弗格森农场的八年内,露西从土地及其自然资源中获得了大约142,000美元的收入。这些调查结果使人对意见中关于5万美元是公平价格的断言、Zehmer的行为表明合同意图的结论以及客观方法捕捉到Lucy和Zehmer交换的相关背景的信心产生疑问。更一般地说,它们表明,通过客观方法得出的结论高度依赖于被复述的事实及其发生的背景,历史分析可以有意义地说明法律理论的局限性。
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引用次数: 0
Forum Choice for Terrorism Suspects 恐怖主义嫌疑人论坛选择
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2012-03-28 DOI: 10.2139/SSRN.2030303
Aziz Z Huq
What forum should be used to adjudicate the status of persons suspected of involvement in terrorism? Recent clashes between Congress and the president as to whether the status of terrorism suspects should be determined via Article III courts or military commissions have revived debate about this venue question. The problem is typically framed as a matter of legal doctrine, with statutory and doctrinal rules invoked as dispositive guides for sorting suspects into either civilian or military venues. This Article takes issue with the utility of that framing of the problem. It argues that the forum question can more profitably be analyzed through an institutional-design lens. A key institutional-design decision is whether or when to create jurisdictional redundancy. When, that is, should the existence of overlapping jurisdictions vest the government with a threshold choice of forums or an option to retry a suspect who has been acquitted in an initial process? Jurisdiction redundancy is pervasive. But conventional wisdom suggests it is unwise. This Article demonstrates, however, that overlap between forums has complex direct and indirect effects on the accuracy and cost of terrorism-related adjudication. It presents a comprehensive framework for analyzing redundancy by exploring how it influences error rates, system maintenance costs, externalities, information production, and incentives. Applying that framework, I contend that the conventional wisdom is flawed. Pervasive redundancy has surprising merit in contrast to two leading reform proposals that would eliminate most jurisdictional overlap.
应该使用什么论坛来裁决涉嫌参与恐怖主义的人的地位?最近,国会和总统之间就恐怖主义嫌疑人的身份是否应该通过宪法第三条规定的法庭或军事委员会来决定的冲突,重新引发了关于地点问题的辩论。这个问题通常被框定为一个法律理论问题,援引成文法和理论规则作为将嫌疑人分为民事或军事场所的决定性指导。本文对问题框架的实用性提出了质疑。它认为,通过制度设计的视角来分析论坛问题更有益。一个关键的制度设计决策是是否或何时创建管辖权冗余。也就是说,重叠司法管辖区的存在,应该在什么时候赋予政府选择诉讼场所的门槛,或者赋予在初始程序中被判无罪的嫌疑人重审的选择权?管辖权冗余是普遍存在的。但传统观点认为,这是不明智的。然而,本文表明,论坛之间的重叠对与恐怖主义有关的裁决的准确性和成本具有复杂的直接和间接影响。它通过探索冗余如何影响错误率、系统维护成本、外部性、信息生产和激励,为分析冗余提供了一个全面的框架。运用这个框架,我认为传统智慧是有缺陷的。与两项旨在消除大部分管辖权重叠的主要改革提案相比,普遍冗余具有令人惊讶的优点。
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引用次数: 20
Climate Change Meets the Law of the Horse 气候变化与马的规律相遇
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2012-02-24 DOI: 10.2139/SSRN.2010852
J. Ruhl, James E. Salzman
The climate change policy debate has only recently turned its full attention to adaptation - how to address the impacts of climate change we have already begun to experience and that will likely increase over time. Legal scholars have in turn begun to explore how the many different fields of law will and should respond. During this nascent period, one overarching question has gone unexamined: how will the legal system as a whole organize around climate change adaptation? Will a new distinct field of climate change adaptation law and policy emerge, or will legal institutions simply work away at the problem through unrelated, duly self-contained fields, as in the famous Law of the Horse? This Article is the first to examine that question comprehensively, to move beyond thinking about the law and climate change adaptation to consider the law of climate change adaptation. Part I of the Article lays out our methodological premises and approach. Using a model we call Stationarity Assessment, Part I explores how legal fields are structured and sustained based on assumptions about the variability of natural, social, and economic conditions, and how disruptions to that regime of variability can lead to the emergence of new fields of law and policy. Case studies of environmental law and environmental justice demonstrate the model’s predictive power for the formation of new distinct legal regimes. Part II applies the Stationarity Assessment model to the topic of climate change adaptation, using a case study of a hypothetical coastal region and the potential for climate change impacts to disrupt relevant legal doctrines and institutions. We find that most fields of law appear capable of adapting effectively to climate change. In other words, without some active intervention, we expect the law and policy of climate change adaptation to follow the path of the Law of the Horse - a collection of fields independently adapting to climate change - rather than organically coalescing into a new distinct field. Part III explores why, notwithstanding this conclusion, it may still be desirable to seek a different trajectory. Focusing on the likelihood of systemic adaptation decisions with perverse, harmful results, we identify the potential benefits offered by intervening to shape a new and distinct field of climate change adaptation law and policy. Part IV then identifies the contours of such a field, exploring the distinct purposes of reducing vulnerability, ensuring resiliency, and safeguarding equity. These features provide the normative policy components for a law of climate change adaptation that would be more than just a Law of the Horse. This new field would not replace or supplant any existing field, however, as environmental law did with regard to nuisance law, and it would not be dominated by substantive doctrine. Rather, like the field of environmental justice, this new legal regime would serve as a holistic overlay across other fields to ensure more efficie
气候变化政策辩论直到最近才将全部注意力转向适应——如何应对我们已经开始经历的气候变化的影响,这种影响可能会随着时间的推移而增加。反过来,法律学者也开始探索许多不同的法律领域将如何以及应该如何应对。在这个初期阶段,一个重要的问题没有得到研究:整个法律体系将如何围绕适应气候变化进行组织?是否会出现一个新的气候变化适应法律和政策领域,或者法律机构只是通过不相关的、适当的独立领域来解决问题,就像著名的“马法”一样?本文首次全面考察了这一问题,超越了对气候变化规律和气候变化适应的思考,转而考虑气候变化适应规律。文章的第一部分列出了我们的方法论前提和方法。第一部分使用我们称为平稳性评估的模型,探讨了基于自然、社会和经济条件的可变性假设,法律领域是如何构建和维持的,以及对可变性制度的破坏如何导致新的法律和政策领域的出现。环境法和环境正义的案例研究证明了该模型对形成新的独特法律制度的预测能力。第二部分将平稳性评估模型应用于气候变化适应主题,通过一个假设的沿海地区的案例研究以及气候变化影响对相关法律理论和制度的潜在破坏。我们发现,大多数法律领域似乎都能够有效地适应气候变化。换句话说,在没有积极干预的情况下,我们预计气候变化适应的法律和政策将遵循“马的法则”——一系列独立适应气候变化的领域——而不是有机地合并成一个新的、独特的领域。第三部分探讨了为什么,尽管有这个结论,寻求不同的轨迹可能仍然是可取的。关注系统性适应决策可能带来的不正常、有害的结果,我们确定了通过干预塑造一个新的、独特的气候变化适应法律和政策领域所提供的潜在利益。然后,第四部分确定了这一领域的轮廓,探讨了减少脆弱性、确保弹性和维护公平的不同目的。这些特征为气候变化适应法则提供了规范性的政策组成部分,而不仅仅是一匹马的法则。然而,这个新的领域不会取代或取代任何现有的领域,就像环境法对妨害法所做的那样,它也不会受到实质性理论的支配。相反,就像环境司法领域一样,这一新的法律制度将作为其他领域的整体覆盖,以确保更高效、有效和公正的气候变化适应解决方案。
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引用次数: 32
Custom, contract, and kidney exchange. 习俗、契约和肾脏交换。
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2012-01-01
Kieran Healy, Kimberly D Krawiec

In this Essay, we examine a case in which the organizational and logistical demands of a novel form of organ exchange (the nonsimultaneous, extended, altruistic donor (NEAD) chain) do not map cleanly onto standard cultural schemas for either market or gift exchange, resulting in sociological ambiguity and legal uncertainty. In some ways, a NEAD chain resembles a form of generalized exchange, an ancient and widespread instance of the norm of reciprocity that can be thought of simply as the obligation to “pay it forward” rather than the obligation to reciprocate directly with the original giver. At the same time, a NEAD chain resembles a string of promises and commitments to deliver something in exchange for some valuable consideration--that is, a series of contracts. Neither of these salient "social imaginaries" of exchange--gift giving or formal contract--perfectly meets the practical demands of the NEAD system. As a result, neither contract nor generalized exchange drives the practice of NEAD chains. Rather, the majority of actual exchanges still resemble a simpler form of exchange: direct, simultaneous exchange between parties with no time delay or opportunity to back out. If NEAD chains are to reach their full promise for large-scale, nonsimultaneous organ transfer, legal uncertainties and sociological ambiguities must be finessed, both in the practices of the coordinating agencies and in the minds of NEAD-chain participants. This might happen either through the further elaboration of gift-like language and practices, or through a creative use of the cultural form and motivational vocabulary, but not necessarily the legal and institutional machinery, of contract.

在本文中,我们研究了一个案例,在这个案例中,一种新型器官交换形式(非同步的、扩展的、利他的捐赠者链)的组织和后勤需求并没有清晰地映射到市场或礼物交换的标准文化模式上,从而导致社会学的模糊和法律的不确定性。在某些方面,NEAD链类似于一种广义交换形式,这是一种古老而广泛的互惠规范实例,可以简单地认为是“把它传递出去”的义务,而不是直接与原始给予者回报的义务。同时,NEAD链类似于一系列承诺和承诺,以交付某些东西来换取一些有价值的考虑,即一系列合同。这些突出的交换“社会想象”——送礼或正式合同——都不能完全满足NEAD系统的实际需求。因此,无论是合约还是广义交换都无法推动NEAD链的实践。相反,大多数实际交换仍然类似于一种更简单的交换形式:双方之间直接、同步交换,没有时间延迟,也没有退出的机会。如果NEAD链要实现其大规模非同步器官转移的全部承诺,必须在协调机构的实践和NEAD链参与者的思想中巧妙地处理法律的不确定性和社会学的模糊性。这可以通过进一步细化礼物般的语言和实践,或者通过创造性地使用文化形式和动机词汇,但不一定是法律和制度机制的合同来实现。
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引用次数: 0
DNA as patentable subject matter and a narrow framework for addressing the perceived problems caused by gene patents. DNA作为可专利的主题和解决由基因专利引起的感知问题的狭窄框架。
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2011-12-01
Stephen H Schilling

Concerns about the alleged harmful effects of gene patents--including hindered research and innovation and impeded patient access to high-quality genetic diagnostic tests--have resulted in overreactions from the public and throughout the legal profession. These overreactions are exemplified by Association for Molecular Pathology v. U.S. Patent and Trademark Office, a 2010 case in the Southern District of New York that held that isolated DNA is unpatentable subject matter under 35 U.S.C. § 101. The problem with these responses is that they fail to adequately consider the role that gene patents and patents on similar biomolecules play in facilitating investment in the costly and risky developmental processes required to transform the underlying inventions into marketable products. Accordingly, a more precisely refined solution is advisable. This Note proposes a narrowly tailored set of solutions to address the concerns about gene patents without destroying the incentives for companies to create and commercialize inventions derived from these and similar patents.

对基因专利所谓有害影响的关切————包括阻碍研究和创新,阻碍病人获得高质量的基因诊断测试————导致公众和整个法律界反应过度。分子病理学协会诉美国专利商标局的案例就是这些过度反应的例证,2010年在纽约南区的一个案例认为,根据35 U.S.C.§101,分离的DNA是不可专利的主题。这些回应的问题在于,它们没有充分考虑到基因专利和类似生物分子的专利在促进对将基础发明转化为可销售产品所需的昂贵和有风险的开发过程的投资方面所起的作用。因此,建议采用更精确的精制溶液。本说明提出了一套量身定制的解决方案,以解决对基因专利的关切,同时又不破坏公司创造和商业化源自这些专利和类似专利的发明的动机。
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引用次数: 0
A false start in the race against doping in sport: concerns with cycling's biological passport. 反兴奋剂运动的错误开局:对自行车生物护照的担忧。
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2011-11-01
Nicholas Hailey

Professional cycling has suffered from a number of doping scandals. The sport's governing bodies have responded by implementing an aggressive new antidoping program known as the biological passport. Cycling's biological passport marks a departure from traditional antidoping efforts, which have focused on directly detecting prohibited substances in a cyclist's system. Instead, the biological passport tracks biological variables in a cyclist's blood and urine over time, monitoring for fluctuations that are thought to indirectly reveal the effects of doping. Although this method of indirect detection is promising, it also raises serious legal and scientific concerns. Since its introduction, the cycling community has debated the reliability of indirect biological-passport evidence and the clarity, consistency, and transparency of its use in proving doping violations. Such uncertainty undermines the legitimacy of finding cyclists guilty of doping based on this indirect evidence alone. Antidoping authorities should address these important concerns before continuing to pursue doping sanctions against cyclists solely on the basis of their biological passports.

职业自行车遭受了一系列兴奋剂丑闻的困扰。作为回应,体育管理机构实施了一项名为“生物护照”的积极反兴奋剂新计划。自行车运动的生物护照标志着与传统反兴奋剂工作的不同,传统反兴奋剂工作的重点是直接检测自行车运动员体内的违禁物质。相反,“生物护照”会长期追踪自行车运动员血液和尿液中的生物变量,监测被认为可以间接揭示兴奋剂影响的波动。虽然这种间接检测方法很有前途,但它也引起了严重的法律和科学问题。自引入以来,自行车界一直在争论间接生物护照证据的可靠性,以及使用生物护照证明兴奋剂违规行为的清晰度、一致性和透明度。这种不确定性削弱了仅根据这一间接证据就认定自行车运动员服用兴奋剂的合法性。反兴奋剂机构在继续仅仅根据生物护照对自行车运动员实施兴奋剂制裁之前,应该解决这些重要问题。
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引用次数: 0
The Adversarial Myth: Appellate Court Extra-Record Factfinding 对抗性的神话:上诉法院记录外的事实认定
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2011-10-01 DOI: 10.2139/SSRN.1805703
Brianne J. Gorod
The United States’ commitment to adversarial justice is a defining feature of its legal system. Standing doctrine, for example, is supposed to ensure that courts can rely on adverse parties to present the facts courts need to resolve disputes. Although the U.S. legal system generally lives up to this adversarial ideal, it sometimes does not. Appellate courts often look outside the record the parties developed before the trial court, turning instead to their own independent research and to factual claims in amicus briefs. This deviation from the adversarial process is an important respect in which the nation’s adversarial commitment is more myth than reality. This myth is problematic for many reasons, including the fact that it obscures the extent to which some of the most significant cases the Supreme Court decides, such as Citizens United v. FEC, rely upon “facts” that have not been subjected to rigorous adversarial testing. The adversarial myth exists because the U.S. legal system’s current procedures were designed to address adjudicative facts — facts particularly within the knowledge of the parties — but many cases turn instead on legislative facts — more general facts about the state of the world. Recognizing this distinction between adjudicative and legislative facts helps identify those cases in which existing practices undermine, rather than promote, adversarial justice. This Article concludes with suggestions for reform, including liberalizing standing doctrine when legislative facts are at issue. If courts are going to turn to nonparties for help in resolving disputes of legislative fact, it is better that they be brought into the process earlier so the factual claims they offer can be rigorously tested.
美国对对抗性司法的承诺是其法律制度的一个决定性特征。例如,常备原则应该确保法院可以依靠对方提供法院解决纠纷所需的事实。尽管美国的法律体系总体上符合这种对抗性的理想,但有时却并非如此。上诉法院通常不会参考当事各方在初审法院之前所做的记录,而是求助于他们自己的独立研究和法庭之友简报中的事实主张。这种对对抗过程的偏离是一个重要方面,在这个方面,美国的对抗承诺与其说是现实,不如说是神话。由于许多原因,这个神话是有问题的,包括它模糊了最高法院决定的一些最重要的案件的程度,例如公民联合诉联邦选举委员会,依赖于没有经过严格对抗性测试的“事实”。对抗性神话之所以存在,是因为美国现行法律体系的程序旨在解决裁决事实——特别是当事人所知的事实——但许多案件转而针对立法事实——即有关世界状况的更普遍的事实。认识到裁决事实和立法事实之间的这种区别,有助于查明现有做法破坏而不是促进对抗性司法的那些案件。本文最后提出了改革建议,包括在立法事实存在争议的情况下放宽常设原则。如果法院要向非当事人寻求帮助来解决有关立法事实的争议,最好是让他们更早进入这一程序,这样他们提供的事实主张就能得到严格的检验。
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引用次数: 12
The Innocence Effect 纯真效应
IF 1.9 2区 社会学 Q1 LAW Pub Date : 2011-08-21 DOI: 10.2139/SSRN.1878498
Oren Gazal-Ayal, Avishalom Tor
Nearly all felony convictions — about 95% — follow guilty pleas, suggesting plea offers are very attractive to defendants compared to trials. Some scholars even argue that plea bargains are too attractive and should be curtailed because they facilitate the wrongful conviction of innocents. Others contend that plea offers only benefit innocent defendants, providing an alternative to the risk of a harsher sentence at trial they may wish to avoid. Hence, even while heatedly disputing their desirability, both camps in the debate believe plea bargains commonly lead innocents to plead guilty. This article shows, however, that the belief innocents routinely plead guilty is overstated. We provide field and laboratory evidence for the hitherto neglected “innocence effect,” revealing that innocents are significantly less likely to accept plea offers that appear attractive to similarly-situated guilty defendants in light of the expected sanction at trial. The article further explores the psychological causes of the innocence effect and examines its implications for plea bargaining: Positively, we identify the striking “cost of innocence,” wherein innocents suffer harsher average sanctions than similarly-situated guilty defendants. Yet our findings also show that the innocence effect directly causes an overrepresentation of the guilty among plea bargainers and the innocent among those choosing trial. In this way, the effect beneficially reduces the rate of wrongful convictions, even when compared to a system that does not allow plea bargaining. Normatively, our analysis finds both detractors and supporters of plea bargaining should reevaluate, if not completely reverse, their long-held positions to account for the innocence effect, its causes and consequences. The Article concludes by outlining two proposals for minimizing false convictions, better protecting the innocent, and improving the plea bargaining process altogether by accounting for the innocence effect.
几乎所有的重罪定罪——大约95%——都是在认罪后被定罪的,这表明与审判相比,认罪协议对被告来说非常有吸引力。一些学者甚至认为,辩诉交易太有吸引力了,应该加以限制,因为它们会助长对无辜者的错误定罪。另一些人则认为,认罪协议只会让无辜的被告受益,为他们提供了另一种选择,避免了他们可能希望避免的审判中受到更严厉判决的风险。因此,即使在激烈争论辩诉交易的可取性时,辩论中的两个阵营都认为辩诉交易通常会导致无辜者认罪。然而,这篇文章表明,相信无辜者通常会认罪是夸大了。我们提供了迄今为止被忽视的“无罪效应”的现场和实验室证据,揭示了无辜者明显不太可能接受对处境相似的有罪被告有吸引力的认罪提议,考虑到预期的审判制裁。这篇文章进一步探讨了无罪效应的心理原因,并研究了它对辩诉交易的影响:积极地说,我们发现了惊人的“无罪成本”,其中无辜者比同样处境的有罪被告遭受更严厉的平均制裁。然而,我们的研究结果还表明,无罪效应直接导致认罪交易中有罪的比例过高,而选择审判的人中无辜的比例过高。通过这种方式,即使与不允许辩诉交易的制度相比,这种效果也有利于降低错判率。从规范上讲,我们的分析发现,辩诉交易的批评者和支持者都应该重新评估(如果不是完全扭转的话)他们长期持有的立场,以解释无罪效应、其原因和后果。文章最后提出了两项建议,即通过考虑无罪效应,最大限度地减少错误定罪,更好地保护无辜者,以及全面改进辩诉交易程序。
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引用次数: 15
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Duke Law Journal
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