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Whose Constitution Is It? Why Federalism and Constitutional Positivism Don't Mix 这是谁的宪法?为什么联邦制和宪法实证主义不能混为一谈
Pub Date : 2004-06-21 DOI: 10.2139/SSRN.559426
James A. Gardner
It is frequently argued that state constitutions ought to be interpreted using a methodology of constitutional positivism, a familiar and commonplace theory of interpretational legitimacy that requires courts to treat a constitution as an authoritative expression of the will of the people who made it. I argue, contrary to this view, that orthodox constitutional positivism is not a viable interpretational methodology for subnational constitutions in a federal system. Although constitutional positivism makes sense for national constitutions, which furnish the paradigm case, subnational constitutions pose important problems for the political theory upon which constitutional positivism relies. According to that theory, the polity that creates a constitution must be unique, determinate, and self-constructed. These are exactly the conditions that American state polities fail to satisfy, and which cannot be satisfied by any subnational unit in a system of true federalism. In such a system, subnational units are autonomous sovereigns for some purposes but not for others, and thus are simultaneously both independent, autonomously self-governing entities and hierarchically subordinate dependencies of the national government. As a result, national norms are part of the constituting matrix of the state polity, and consequently of its constitution. This in turn means that interpretation of state constitutions inevitably will require at least some resort to national norms and sources of national constitutional meaning. Yet constitutional positivism prohibits such a move, for it forbids the interpretation of one constitution by reference to sources of meaning established by some other polity and appearing in some other constitution. It is telling that one of the most common phenomena in state constitutional law today is so-called "lockstep" interpretation, in which state courts construe provisions of state constitutions to have precisely the same meaning as similar provisions of the U.S. Constitution. For this they have been routinely criticized. My argument here suggests that this criticism is not necessarily well founded.
人们经常争辩说,州宪法应该使用宪法实证主义的方法来解释,这是一种熟悉而普通的解释合法性理论,要求法院将宪法视为制定宪法的人意志的权威表达。我认为,与这种观点相反,正统的宪法实证主义并不是联邦制度下地方宪法的一种可行的解释方法。虽然宪法实证主义对国家宪法有意义,提供了范式案例,但地方宪法对宪法实证主义所依赖的政治理论提出了重要问题。根据这一理论,制定宪法的政体必须是独特的、确定的和自我建构的。这些正是美国各州政策无法满足的条件,而在一个真正的联邦制体系中,任何地方单位都无法满足这些条件。在这样一个体系中,次国家单位在某些目的上是自治的主权,但在其他目的上不是,因此同时是独立的、自治的实体,也是国家政府在等级上的从属依赖。因此,国家规范是国家政体的构成矩阵的一部分,因此也是其宪法的组成部分。这反过来意味着,对州宪法的解释将不可避免地需要至少在某种程度上诉诸国家规范和国家宪法含义的来源。然而,宪法实证主义禁止这样的举动,因为它禁止参照由其他政体建立并出现在其他宪法中的意义来源来解释一部宪法。很能说明问题的是,今天州宪法中最常见的现象之一是所谓的“步调一致”解释,即州法院对州宪法条款的解释与美国宪法类似条款的含义完全相同。为此,他们经常受到批评。我在这里的论点是,这种批评不一定是有充分根据的。
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引用次数: 1
Gaps, inexperience, inconsistencies, and overlaps: crisis in the regulation of genetically modified plants and animals. 差距、缺乏经验、不一致和重叠:转基因动植物监管的危机。
Pub Date : 2004-04-01
Gregory N Mandal

The regulation of genetically modified products pursuant to statutes enacted decades prior to the advent of biotechnology has created a regulatory system that is passive rather than proactive about risks, has difficulty adapting to biotechnology advances, and is highly fractured and inefficient--transgenic plants and animals are governed by at least twelve different statutes and five different agencies or services. The deficiencies resulting from this piecemeal approach to regulation unnecessarily expose society and the environment to adverse risks of biotechnology and introduce numerous inefficiencies into the regulatory system. These risks and inefficiencies include gaps in regulation, duplicative and inconsistent regulation, unnecessary increases in the cost of and delay in the development and commercialization of new biotechnology products. These deficiencies also increase the risk of further unnecessary biotechnology scares, which may cause public overreaction against biotechnology products, preventing the maximization of social welfare. With science and society poised to soar from first-generation biotechnology (focused on crops modified for agricultural benefit), to next-generation developments (including transgenic fish, insects, and livestock, and pharmaceutical-producing and industrial compound-producing plants and animals), it is necessary to establish a comprehensive, efficient, and scientifically rigorous regulatory system. This Article details how to achieve such a result through fixing the deficiencies in, and risks created by, the current regulatory structure. Ignoring many details, the solutions can be summarized in two categories. First, statutory and regulatory gaps that are identified must be closed with new legislation and regulation. Second, regulation of genetically modified products must be shifted from a haphazard model based on statutes not intended to cover biotechnology to a system based upon agency expertise in handling particular types of risks.

根据在生物技术出现之前几十年颁布的法规对转基因产品进行监管,创造了一个对风险被动而非主动的监管体系,难以适应生物技术的进步,而且高度断裂和低效——转基因植物和动物由至少12个不同的法规和5个不同的机构或服务部门管理。这种零敲碎打的管理方法所造成的缺陷,不必要地使社会和环境暴露于生物技术的不利风险之中,并给管理系统带来许多效率低下的问题。这些风险和低效率包括监管方面的空白、重复和不一致的监管、新生物技术产品的开发和商业化成本的不必要增加和延迟。这些缺陷也增加了进一步不必要的生物技术恐慌的风险,这可能导致公众对生物技术产品的过度反应,从而阻碍了社会福利的最大化。随着科学和社会从第一代生物技术(专注于为农业利益而改造的作物)到下一代发展(包括转基因鱼、昆虫和牲畜,以及制药和工业化合物生产植物和动物)的迅猛发展,有必要建立一个全面、高效、科学严谨的监管体系。本文详细介绍了如何通过解决当前监管结构中的缺陷和风险来实现这一目标。忽略许多细节,解决方案可以概括为两类。首先,必须通过新的立法和监管来填补已发现的法律和监管空白。其次,对转基因产品的监管必须从一种基于不打算涵盖生物技术的法规的随意模式转变为一种基于机构在处理特定类型风险方面的专业知识的系统。
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引用次数: 0
Patent first, ask questions later: morality and biotechnology in patent law. 先申请专利,后发问:专利法中的道德与生物技术。
Pub Date : 2003-12-01
Margo A Bagley

This Article explores the U.S. "patent first, ask questions later" approach to determining what subject matter should receive patent protection. Under this approach, the U.S. Patent and Trademark Office (USPTO or the Agency) issues patents on "anything under the sun made by man," and to the extent a patent's subject matter is sufficiently controversial, Congress acts retrospectively in assessing whether patents should issue on such interventions. This practice has important ramifications for morally controversial biotechnology patents specifically, and for American society generally. For many years a judicially created "moral utility" doctrine served as a type of gatekeeper of patent subject matter eligibility. The doctrine allowed both the USTPO and courts to deny patents on morally controversial subject matter under the fiction that such inventions were not "useful." The gate, however, is currently untended. A combination of the demise of the moral utility doctrine, along with expansive judicial interpretations of the scope of patent-eligible subject matter, has resulted in virtually no basis on which the USTPO or courts can deny patent protection to morally controversial, but otherwise patentable, subject matter. This is so despite position statements by the Agency to the contrary. Biotechnology is an area in which many morally controversial inventions are generated. Congress has been in react-mode following the issuance of a stream of morally controversial biotech patents, including patents on transgenic animals, surgical methods, and methods of cloning humans. With no statutory limits on patent eligibility, and with myriad concerns complicating congressional action following a patent's issuance, it is not Congress, the representative of the people, determining patent eligibility. Instead, it is patent applicants, scientific inventors, who are deciding matters of high public policy through the contents of the applications they file with the USTPO. This Article explores how the United States has come to be in this position, exposes latent problems with the "patent first" approach, and considers the benefits and disadvantages of the "ask questions first, patents later" approaches employed by some other countries. The Article concludes that granting patents on morally controversial biotech subject matter and then asking whether such inventions should be patentable is bad policy for the United States and its patent system, and posits workable, proactive ways for Congress to successfully guard the patent-eligibility gate.

这篇文章探讨了美国以“先专利后提问”的方法确定哪些客体应当获得专利保护。在这种方法下,美国专利商标局(USPTO或代理机构)对“太阳下人类制造的任何东西”颁发专利,并且在某种程度上专利的主题具有足够的争议性,国会在评估是否应该对此类干预颁发专利时采取回顾性行动。这种做法对道德上有争议的生物技术专利有重要的影响,特别是对美国社会来说。多年来,司法创造的“道德效用”原则充当了专利主体资格的一种看门人。该原则允许美国专利商标局和法院以这些发明不“有用”为借口,拒绝对道德上有争议的主题的专利。然而,大门目前无人看管。道德实用主义的消亡,以及对专利资格主题范围的广泛司法解释的结合,导致美国专利商标局或法院实际上没有任何依据可以拒绝对道德上有争议但在其他方面可获得专利的主题提供专利保护。这是如此,尽管原子能机构的立场声明与此相反。生物技术是一个产生许多道德上有争议的发明的领域。在一系列道德上有争议的生物技术专利的发布之后,国会一直处于反应模式,这些专利包括转基因动物、外科手术方法和克隆人类的方法。由于对专利资格没有法定限制,并且在专利颁发后,国会的行动变得复杂,因此决定专利资格的不是人民的代表国会。相反,是专利申请人,科学发明人,通过他们向美国专利商标局提交的申请的内容来决定重大的公共政策问题。本文探讨了美国是如何走到这一步的,揭示了“专利优先”方法的潜在问题,并分析了其他一些国家采用的“先问问题,再申请专利”方法的利弊。这篇文章的结论是,对道德上有争议的生物技术主题授予专利,然后询问这些发明是否应该获得专利,这对美国及其专利制度来说是一项糟糕的政策,并为国会成功地保护专利资格大门提出了可行的、积极的方法。
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引用次数: 0
Technological Evolution and the Devolution of Corporate Financial Reporting 技术演进与企业财务报告权力下放
Pub Date : 2003-12-01 DOI: 10.2139/SSRN.480704
Donald C. Langevoort
The role of technological evolution as a potential causal factor in the recent financial scandals has not yet been fully explored. This paper looks at technology-induced changes in the issuers' marketplace environment, in the trading behavior of investors and in the tools employed by technology-oriented firms to make the case that motive, opportunity and the potential for rationalization of less-than-candid financial reporting were intensified by these trends. In particular, these forces suggest that some sizable portion of financial misreporting was not selfish on the part of managers but a predictable feedback loop generated by competitive forces. If so, there are important lessons to be learned with respect to the appropriate forms of (and forums for) deterrence, as well as with respect to on-going debates about the philosophy of financial reporting.
在最近的金融丑闻中,技术发展作为一个潜在的因果因素所起的作用尚未得到充分探讨。本文着眼于技术引发的发行人市场环境、投资者交易行为和技术导向公司使用的工具的变化,以证明这些趋势加剧了不诚实财务报告的动机、机会和合理化潜力。特别是,这些力量表明,相当大一部分财务误报并不是管理者的自私,而是竞争力量产生的可预测的反馈循环。如果是这样的话,在适当的威慑形式(和论坛)以及正在进行的关于财务报告哲学的辩论方面,我们可以吸取重要的教训。
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引用次数: 5
Voter Knowledge and Constitutional Change: Assessing the New Deal Experience 选民知识与宪法变革:评估新政经验
Pub Date : 2003-10-15 DOI: 10.2139/SSRN.458700
I. Somin
This Article is the first to empirically test the theory that voters' knowledge of politics increases during periods of major constitutional change, enabling them to exercise greater control over policy outcomes by disciplining political leaders. Previous research has repeatedly shown that most voters have very low political knowledge levels during times of normal politics. It is therefore important to determine whether such dangerous ignorance persists even during periods when massive constitutional change is on the political agenda. Sadly, the evidence presented here shows that it does. Scholars such as Bruce Ackerman and Akhil Amar have argued that the supermajority amendment requirements of Article V of the Constitution should be set aside because in periods of constitutional change, voters pay heightened attention to politics, increase their levels of political knowledge, and force politicians to conform to the popular will. Article V is seen as inhibiting the will of the majority. These arguments are the latest in a 200-year history of criticism of Article V's supermajority requirements. Ackerman's heightened attention hypothesis is opposed by the theory of rational ignorance, which predicts that voter knowledge of politics should remain low at virtually all times because the insignificance of any one vote to electoral outcomes makes it irrational to invest large amounts of time and effort in the acquisition of political knowledge for the purpose of becoming a better-informed voter. Voter Knowledge and Constitutional Change uses evidence from the New Deal era of constitutional change to test the two theories against each other. The New Deal period was the most significant era of constitutional change in the last 100 years of American history, and is cited by Ackerman and other scholars as a key test of the heightened attention theory. I look at both survey evidence of voter knowledge and qualitative evidence of the degree of constraint from public opinion experienced by political leaders. Both types of evidence strongly support the rational ignorance hypothesis and contradict the heightened attention theory. Survey data shows that voter knowledge increased very little or not at all during the 1930s. Qualitative evidence from three major New Deal policy initiatives that challenged existing constitutional constraints on federal government power show that these policies were developed by political leaders who perceived no increase in constraint by public opinion and in fact saw the voters as largely ignorant. These results cast doubt on both the empirical validity of the heightened attention hypothesis and the normative validity of the major criticisms of Article V. If most of the electorate remains severely ignorant of politics even during periods of massive constitutional upheaval, Article V's supermajority requirements may be necessary to ensure that constitutional change is not enacted through the manipulation of voter ignorance. A superma
本文首次对以下理论进行了实证检验:在重大的宪法变革时期,选民的政治知识会增加,从而使他们能够通过约束政治领导人来对政策结果施加更大的控制。以往的研究一再表明,在正常的政治活动中,大多数选民的政治知识水平非常低。因此,重要的是要确定,即使在大规模的宪法改革被提上政治议程的时期,这种危险的无知是否仍然存在。可悲的是,这里提供的证据表明确实如此。布鲁斯·阿克曼(Bruce Ackerman)和阿马尔(Akhil Amar)等学者认为,宪法第五条的绝对多数修正案要求应该被搁置,因为在修宪时期,选民对政治的关注程度提高,政治知识水平提高,迫使政治家顺应民意。第五条被视为抑制了多数人的意志。这些争论是对宪法第五条的绝对多数要求的200年来的最新批评。阿克曼的高度关注假说遭到理性无知理论的反对。理性无知理论预测,选民对政治的了解几乎在任何时候都应该保持在较低水平,因为任何一张选票对选举结果的影响都微不足道,因此,为了成为一名知情程度更高的选民而投入大量时间和精力来获取政治知识是不合理的。《选民知识与宪法变革》一书利用新政时期的宪法变革证据来检验这两种理论之间的相互矛盾。新政时期是美国过去100年历史上最重要的宪法变革时期,阿克曼和其他学者认为这是对高度关注理论的关键检验。我既考察了选民知识的调查证据,也考察了政治领导人所经历的公众舆论约束程度的定性证据。这两种证据都有力地支持理性无知假说,并与高度注意理论相矛盾。调查数据显示,在20世纪30年代,选民的知识增长很少,或者根本没有增长。三项主要新政政策举措挑战了现行宪法对联邦政府权力的限制,这些定性证据表明,这些政策是由政治领导人制定的,他们认为公众舆论的约束没有增加,事实上,他们认为选民在很大程度上是无知的。这些结果对高度关注假设的经验有效性和对第五条的主要批评的规范有效性提出了质疑。如果大多数选民即使在大规模的宪法动荡时期仍然对政治严重无知,第五条的绝对多数要求可能是必要的,以确保不会通过操纵选民的无知来实施宪法改革。绝对多数要求确保任何宪法修改都必须得到选民中知识更渊博的少数人以及相对无知的大多数人的支持。
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引用次数: 6
A Pattern-Oriented Approach to Fair Use 面向模式的合理使用方法
Pub Date : 2003-10-09 DOI: 10.2139/SSRN.442441
M. J. Madison
More than 150 years into development of the doctrine of "fair use" in American copyright law, there is no end to legislative, judicial, and academic efforts to rationalize the doctrine. Its codification in the 1976 Copyright Act appears to have contributed to its fragmentation, rather than to its coherence. This Article suggests that fair use is neither badly conceived nor badly applied, but that it is too often badly understood. As did much of copyright law, fair use originated as a judicially-unacknowledged effort via the law to validate certain favored social practices and patterns. In the main, it has continued to be applied as such, though too often courts mask their implicit validation of these patterns in the now-conventional "case-by-case" application of the statutory fair use "factors" to the defendant's use of the copyrighted work in question. A more explicit acknowledgement of the role of these patterns in fair use analysis is consistent with fair use and copyright policy and tradition. Importantly, it helps to bridge the often-difficult conceptual gap between fair use claims asserted by individual defendants and the social implications of accepting or rejecting those claims. Finally, a pattern-oriented approach is normatively appropriate, when viewed in light of recent research by cognitive psychologists and other social scientists on patterns and creativity. In immediate terms, the approach should lead to a more consistent and predictable fair use jurisprudence. In the longer term, it should enhance the ability of copyright law to promote creative expression.
在美国版权法中“合理使用”原则发展了150多年后,立法、司法和学术界为使该原则合理化所做的努力一直没有结束。1976年《版权法》对其进行了编纂,这似乎导致了它的碎片化,而不是一致性。这篇文章表明,合理使用既不是糟糕的构思,也不是糟糕的应用,而是它经常被误解。就像版权法一样,合理使用起源于一种司法上未被承认的努力,通过法律来验证某些受欢迎的社会实践和模式。总的来说,它继续以这种方式适用,尽管法院经常在现在传统的“逐案”应用法定合理使用“因素”对被告使用受版权保护的作品的情况下掩盖他们对这些模式的隐含认可。更明确地承认这些模式在合理使用分析中的作用与合理使用和版权政策和传统是一致的。重要的是,它有助于弥合个别被告主张的合理使用主张与接受或拒绝这些主张的社会影响之间经常存在的困难的概念差距。最后,从认知心理学家和其他社会科学家最近对模式和创造力的研究来看,面向模式的方法在规范上是合适的。在短期内,这种方法应该导致更一致和可预测的合理使用法理。从长远来看,应增强著作权法促进创造性表达的能力。
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引用次数: 45
Lessons from the Rise and (Possible) Fall of Chinese Township-Village Enterprises 中国乡镇企业兴衰的经验教训
Pub Date : 2003-09-23 DOI: 10.2139/SSRN.439041
Brett H. Mcdonnell
The success of Chinese township-village enterprises (TVEs) poses a puzzle for a property rights approach to the theory of the firm, since no one really holds well-defined, transferable property rights to control and claim the residual profits of TVEs. TVEs also pose a second puzzle: in the last five or seven years, they have started to experience serious problems, despite reforms which have improved TVEs from a property rights perspective. This paper takes ideas from property rights and institutional approaches to economics and examines whether those ideas can help explain both of these puzzles. As to the first puzzle, reforms in the seventies and eighties created product market competition and gave local governmental officials and TVE managers enough of a stake in the success of the enterprises to encourage investment in them. TVEs were less imperfect than their leading alternatives, state-owned enterprises and private enterprises, the latter of which faced much discrimination. As to the second puzzle, although property rights reforms have improved TVE performance, reforms reducing the discrimination against private enterprises have made them more attractive. The paper also draws four general lessons from the TVE experience about the relationship between property rights and economic development. First, defining property rights properly is important to development, but other institutions (e.g. norms, financial institutions, capital markets, labor markets, political structure) are also quite important. Second, would-be reformers need to carefully consider the political constraints facing proposed changes in property rights. Third, property rights reforms are at least as much the effect of economic development as they are its cause. Fourth, the development path followed may affect the end states which can be feasibly reached.
中国乡镇企业(乡镇企业)的成功给企业理论的产权方法提出了一个难题,因为没有人真正拥有明确的、可转让的产权来控制和要求乡镇企业的剩余利润。乡镇企业还带来了第二个难题:在过去的五七年里,尽管从产权的角度来看,改革已经改善了乡镇企业,但乡镇企业已经开始出现严重的问题。本文从经济学的产权和制度方法中汲取思想,并检验这些思想是否有助于解释这两个难题。对于第一个难题,七八十年代的改革创造了产品市场竞争,使地方政府官员和企业管理者在企业的成功中获得了足够的利益,从而鼓励对企业的投资。与国有企业和民营企业相比,乡镇企业并不那么不完善,后者面临着很大的歧视。至于第二个难题,虽然产权改革提高了企业的绩效,但减少对民营企业歧视的改革使它们更具吸引力。本文还从乡镇企业的经验中得出了关于产权与经济发展关系的四点一般教训。首先,正确界定产权对发展很重要,但其他制度(如规范、金融机构、资本市场、劳动力市场、政治结构)也相当重要。其次,想要改革的人需要仔细考虑拟议中的产权改革面临的政治限制。第三,产权改革既是经济发展的原因,也是经济发展的结果。第四,所走的发展道路可能会影响可达到的最终状态。
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引用次数: 12
Solving Problems V. Claiming Rights: The Pragmatist Challenge to Legal Liberalism 解决问题V.权利主张:实用主义对法律自由主义的挑战
Pub Date : 2003-08-01 DOI: 10.2139/SSRN.459325
William H. Simon
Recent developments in both theory and practice have inspired a new understanding of public interest lawyering. The theoretical development is an intensified interest in Pragmatism. The practical development is the emergence of a style of social reform that seeks to institutionalize the Pragmatist vision of democratic governance as learning and experimentation. This style is reflected in a variety of innovative responses to social problems, including drug courts, ecosystem management, and "new accountability" educational reform. The new understanding represents a significant challenge to an influential view of law among politically liberal lawyers over the past 50 years. That view - Legal Liberalism - is less a creature of academic theory than an implicit popular jurisprudence of practicing lawyers. It consists of a cluster of ideas associated with the Warren Court, the ACLU, the NAACP Legal Defense Fund, Ralph Nader, and the legal aid and public defender movements. This essay seeks to reconsider Legal Liberalism in the light of the Pragmatist approach and to offer a tentative appraisal of the newcomer. It begins by explicating the sometimes - tacit premises of Legal Liberalism and exploring its shortcomings. It then introduces the contrasting premises of the Pragmatist approach as they appear in a variety of recent works of legal scholarship. It illustrates the Pragmatist approach with a discussion of two case studies - one of drug courts and one of "second generation" employment discrimination remedies. It concludes with some comments about ambiguities and limitations of Legal Pragmatism.
最近的理论和实践的发展激发了对公益律师的新认识。理论的发展是对实用主义兴趣的增强。实践的发展是一种社会改革风格的出现,它寻求将民主治理的实用主义愿景制度化,作为学习和实验。这种风格反映在对社会问题的各种创新回应中,包括毒品法庭、生态系统管理和“新问责制”教育改革。这种新的理解对过去50年来政治自由主义律师中颇具影响力的法律观点构成了重大挑战。这种观点——法律自由主义——与其说是学术理论的产物,不如说是执业律师隐含的流行法学。它包含了与沃伦法院、美国公民自由联盟、全国有色人种协进会法律辩护基金、拉尔夫·纳德以及法律援助和公共辩护运动有关的一系列想法。本文试图从实用主义的角度重新审视法律自由主义,并对这一新生事物进行尝试性评价。本文首先阐述了法律自由主义有时隐含的前提,并探讨了其不足之处。然后介绍了实用主义方法的对比前提,因为它们出现在各种最近的法律学术著作中。它通过对两个案例研究的讨论说明了实用主义的方法——一个是毒品法庭,一个是“第二代”就业歧视补救措施。最后对法律实用主义的模糊性和局限性进行了评述。
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引用次数: 44
A Beautiful Mend: A Game Theoretical Analysis of the Dormant Commerce Clause Doctrine 一个美丽的修补:对隐性商业条款原则的博弈论分析
Pub Date : 2003-06-16 DOI: 10.2139/SSRN.416301
Maxwell L. Stearns
While the commerce clause neither mentions federal courts nor expressly prohibits the exercise of state regulatory powers that might operate concurrently with Congressional commerce powers, the Supreme Court has long used the dormant commerce clause doctrine to limit the power of states to regulate across a diverse array of subject areas in the absence of federal legislation. Commentators have criticized the Court less for creating the doctrine than for applying it in a seemingly inconsistent, or even haphazard, way. Past commentators have recognized that a game theoretical model, the prisoners' dilemma, can be used to explain the role of the dormant commerce clause doctrine in promoting cooperation among states by inhibiting a regime of mutual defection. This model, however, provides at best a partial account of existing dormant commerce clause doctrine, and sometimes seems to run directly counter to actual case results. The difficulty is not the power of game theory to provide a positive account of the cases or to provide the dormant commerce clause doctrine with a meaningful normative foundation. Rather, the problem has been the limited choice of models drawn from game theory to explain the conditions in which states rationally elect to avoid mutually beneficial cooperative strategies with other states. Professor Stearns shows how a state might avoid cooperation in a situation not captured in the prisoners' dilemma account to disrupt a multiple Nash equilibrium game, thus producing an undesirable mixed strategy equilibrium in place of two or more available pro-commerce, Nash equilibrium outcomes. At the same time, the defecting state secures a rent that only became available as a consequence of the Nash equilibrium, pro-commerce strategies of surrounding states, and that is closely analogous to quasi rents described in the literature on relational contracting. The combined game theoretical analysis, drawing upon the prisoners' dilemma and multiple Nash equilibrium games, not only explains several of the most criticized features of the dormant commerce clause and several related doctrines, but also underscores the proper normative relationship between the dormant commerce clause doctrine and various forms of state law rent seeking.
虽然商业条款既没有提及联邦法院,也没有明确禁止可能与国会商业权力同时运作的州监管权力的行使,但最高法院长期以来一直使用休眠的商业条款原则来限制各州在没有联邦立法的情况下对各种主题领域进行监管的权力。评论人士对最高法院的批评与其说是创造了这一原则,不如说是以一种看似不一致,甚至是随意的方式应用了这一原则。过去的评论员已经认识到,一个博弈论模型,即囚徒困境,可以用来解释休眠的商业条款原则在通过抑制相互背叛制度来促进国家间合作方面的作用。然而,这种模式最多只能部分解释现有的隐性商业条款原则,有时似乎与实际案件结果直接背道而驰。问题不在于博弈论是否有能力为案例提供积极的解释,或为休眠的商业条款理论提供有意义的规范基础。更确切地说,问题在于,从博弈论中得出的模型选择有限,无法解释国家理性选择避免与其他国家采取互利合作战略的条件。斯特恩斯教授展示了一个国家如何避免在囚犯困境中没有捕捉到的情况下进行合作,从而破坏多重纳什均衡博弈,从而产生一个不受欢迎的混合策略均衡,取代两个或更多可用的有利于商业的纳什均衡结果。与此同时,叛逃的国家获得了租金,这种租金只能作为纳什均衡的结果,即周边国家的亲商业战略,这与关系契约文献中描述的准租金非常相似。结合囚徒困境和多重纳什均衡博弈的博弈论分析,不仅解释了商业休眠条款及其相关理论最受批评的几个特点,而且强调了商业休眠条款理论与各种形式的州法寻租之间的适当规范关系。
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引用次数: 18
Sharing Sacred Secrets: Is it (Past) Time for a Dangerous Person Exception to the Clergy-Penitent Privilege? 分享神圣的秘密:危险人物对牧师忏悔特权的例外是(过去的)时候了吗?
Pub Date : 2003-05-12 DOI: 10.2139/SSRN.401220
R. M. Cassidy
In this article, the author discusses the important and previously unexplored topic of whether the law should recognize a future harms exception to the clergy-penitent privilege, similar to that recognized in the area of psychotherapist-patient and attorney-client privileges. After tracing the origins and current application of the clergy-penitent privilege in America, the author discusses how the privilege as currently applied in most states admits of no exceptions, and is unnecessarily expansive in breadth. Using the hypothetical of a homicidal spouse who reveals to his minister an intent to murder his wife, the article compares the ethical and legal duties of a minister with those of an attorney and a psychotherapist. The author concludes that the state's compelling interest in protecting public safety in such a situation outweighs the parties' interests in confidentially, and urges adoption of a limited exception to the privilege for communications pertaining to future violent crimes. In the last section of the article, the author argues that such a dangerous person exception to the clergy-penitent privilege would not contravene either the Establishment Clause or the Free Exercise Clause of the First Amendment.
在这篇文章中,作者讨论了一个重要的和以前未被探索的话题,即法律是否应该承认牧师-忏悔者特权的未来伤害例外,类似于在心理治疗师-病人和律师-委托人特权领域所承认的例外。在追溯美国神职人员-忏悔者特权的起源和目前的适用之后,作者讨论了目前在大多数州适用的特权是如何不允许例外的,并且在范围上不必要地扩大。本文以一个有杀人倾向的配偶向他的牧师透露了谋杀妻子的意图为假设,比较了牧师与律师和心理治疗师的道德和法律责任。提交人的结论是,在这种情况下,国家在保护公共安全方面的迫切利益超过了当事人在保密方面的利益,并敦促对有关未来暴力犯罪的通信特权采取有限的例外。在文章的最后一节,作者认为这种对神职人员忏悔特权的危险人物例外既不违反第一修正案的政教分离条款,也不违反第一修正案的自由行使条款。
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引用次数: 7
期刊
William and Mary law review
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