法律翻译 | 《法与经济学杂志》第62卷第4期

译者 | 鲁安妮 复旦大学

一审 | 左亦惟 中南财经政法大学

二审 | 王槐语 上海交通大学

编辑 | 仲飞宇 西安外国语大学

         于   杰 上海对外经贸大学

责编 | 李   薇 浙江工商大学

The Journal of Law and Economics Volume 62, Number 4 | 2019

《法与经济学杂志》第62卷第4期

The Role of Ideology in Judicial Evaluations of Experts

意识形态在专家证人司法评估中的作用

Eric Helland

I provide a test of the legal realist theory of judicial behavior, which posits that judges’ ideology impacts their legal decisions but that the law constrains the judges’ ability to exercise those preferences. Two competing theories, legal skepticism and formalism, posit that the law either provides a minimal constraint on judges’ preferences or allows only minimal discretion by judges. The difficulty in testing these theories is a lack of data on the legal constraints judges face. I examine Daubert/Rule 702 rulings to exclude scientific testimony by plaintiffs’ experts in a series of lawsuits. Because I have multiple observations across experts, I can give each expert a fixed effect, which removes any constant features of the expert’s testimony. Even after controlling for law, I find robust evidence that ideology plays an important role in the decision to grant a motion to exclude a witness.

本文作者对司法行为的法律现实主义理论进行了检验，该理论认为法官的意识形态会影响其法律判决，而法律会限制法官基于偏好作出判决的能力。法律怀疑主义和法律形式主义两种理论针锋相对，前者认为法律只能对法官的偏好加以最低限度的约束，后者认为法律只允许法官行使最低限度的自由裁量权。由于缺乏法官所面临的法律约束的数据，检验这些理论仍存在困难。本文作者研究了一系列诉讼中适用道伯特规则/《联邦证据规则》第702条排除原告方专家科学证言的判决。本文作者对多位专家进行了多次观察，因此可以为每位专家设定一个固定效应（译者注：计量经济学术语，用于控制与因变量相关的不可观测的潜在变量。目的是消除专家个体之间可能存在的某些固有差异，以更精确地研究其他变量对研究结果的影响。），从而消除专家证言的任何固有特征。即使在控制了法律因素后，本文作者仍发现有力证据，表明意识形态在批准排除证人的请求中发挥重要作用。

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The Impacts of Telematics on 

Competition and Consumer Behavior 

in Insurance

远程信息处理技术对保险业竞争

和消费者行为的影响

Imke Reimers and Benjamin R. Shiller

Recent technological innovations allow insurance providers to closely monitor and collect detailed data on their customers’ behaviors. Such innovations offer potential benefits by mitigating moral-hazard problems but may provide the incumbent with a lasting first-mover advantage, which may harm consumers. We investigate these outcomes in the context of pay-how-you-drive (PHYD) auto insurance, which offers tailored discounts to drivers monitored by telematics devices. We exploit the staggered entry of PHYD insurance across states and insurers in a difference-in-differences framework. While innovating firms experience initial profit increases, the profits are eroded by entry, which suggests that this innovation does not raise novel antitrust concerns. Furthermore, we find a meaningful impact of PHYD programs on fatal car accidents. Our findings are consistent with impacts implied by canonical theoretical models.

最近的技术创新使保险服务提供商能够密切监测和收集有关客户行为的详细数据。这种创新能够缓解道德风险问题，从而带来了潜在的效益，但也可能为老牌企业提供持久的先发优势，从而损害消费者的利益。本文作者基于按驾驶方式付费的汽车保险（pay-how-you-drive, PHYD）之背景，对上述技术创新带来的结果进行了研究，该保险为远程信息处理设备监控下的驾驶者提供量身定制的折扣。本文作者利用各州和各保险公司分批加入PHYD保险市场的时间差异，采用双重差分模型（difference-in-differences）进行研究。虽然创新企业最初会获得利润增长，但利润会被后进入市场者侵占，这表明此种创新不会引发新的反垄断问题。此外，本文作者还发现 PHYD项目对减少致命车祸事故有着积极意义。本文的研究结论与诸多经典理论模型所暗示的影响相一致。

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The Impact of Court-Ordered 

District Elections on City Finances

司法裁定的选区选举对城市财政的影响

Richard T. Boylan

In 1972, the representation of blacks on city councils was only half of their share of the US population. Starting in 1975, courts sought to increase minority representation by ruling at-large city council elections unconstitutional in jurisdictions with a history of voter discrimination. Economic theory suggests that this court-induced shift toward district elections could lead to a common-pool problem and thus to greater government noninfrastructure spending. This paper provides empirical evidence that cities that adopt district elections increase noninfrastructure spending, thus providing empirical support for the common-pool problem. Since political institutions seldom change, the shift of US cities to district elections may be long-lasting, which suggests that the goals of equal representation and effective governance may be at odds.

在1972年，市议会中黑人代表的占比仅为黑人在美国人口占比的一半。自1975年开始，在有选民歧视历史的司法辖区中，法院通过裁定以大区选举的方式进行的市议会选举（译者注：大区选举是与选区选举相对应的概念。在大区选举中，候选人在整个市、县或司法辖区内竞选公职，并由该地区所有有资格的选民集体投票选举产生；而选区选举是指人为地将上述较大的辖区划分为较小的地理区域，并在每个这样的小选区中选举自己的代表。）违宪，试图增加少数族裔代表人数。根据经济学理论，这种由法院引发的向选区选举的转变可能导致“公共池”问题（译者注：公共池问题是指, 地方政府可通过公共池渠道将支出成本转嫁给中央政府或其他辖区政府, 这会刺激地方政府增加财政支出、降低税收努力以更多地转嫁支出成本、攫取公共池资源。¹），从而导致政府非基础设施支出的增加。本文提供的实证证据表明，采用选区选举的城市增加了非基础设施支出，这为转变可能导致“公共池”问题的设想提供了实证支持。由于政治体制变革鲜少发生，美国城市转向选区选举的趋势或将长期存在，这意味着平等代表权和有效治理的目标可能存在一些矛盾。

脚注：[1] 贾俊雪等：《多维晋升激励对地方政府举债行为的影响》，载《中国工业经济》2017年第7期，第7页脚注①。

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Are Foreigners Treated Equally 

under the Trade-Related Aspects of Intellectual Property Rights Agreement?

外国实体在《与贸易有关的知识产权协定》

项下是否受到平等对待？

Gaétan de Rassenfosse, Paul H. Jensen, 

T’Mir Julius, Alfons Palangkaraya, and Elizabeth Webster

The Trade-Related Aspects of Intellectual Property Rights Agreement, administered by the World Trade Organization, ensures the smooth functioning of the international patent system. It promises among other things that local and foreign firms are treated in the same, nondiscriminatory manner. We test for whether the national treatment principle has been upheld in the five largest patent offices and document the existence of a systematic bias against foreign firms in patent examination decisions. We find that filing international patent applications under the Patent Cooperation Treaty can reduce some of the bias.

《与贸易有关的知识产权协定》（TRIPS）由世界贸易组织管理，旨在确保国际专利制度的顺畅运行。该协定承诺以同等且非歧视的方式对待本国和外国企业。本文作者检验了五大专利局（译者注：世界五大专利局（IP5）一般指中国国家知识产权局(CNIPA)、欧洲专利局(EPO)、日本特许厅(JPO)、韩国特许厅(KIPO)和美国专利商标局(USPTO)）是否遵守了国民待遇原则，并记录了专利审查决定中存在的对外国企业的系统性偏见。本文作者发现，通过《专利合作条约》提交国际专利申请可以减少部分偏见。

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Promises, Expectations, and 

Social Cooperation

承诺、期望与社会合作

Dorothee Mischkowski, Rebecca Stone, and Alexander Stremitzer

Promising serves as an important commitment mechanism by operating on a potential cheater’s internal value system. We present experimental evidence on why people keep their promises, identifying three motives. First, people feel duty bound to keep their promises regardless of whether promisees expect them to do so (promising per se effect). Second, they care about not disappointing promisees’ expectations regardless of whether those expectations were induced by the promise (expectations per se effect). Third, they are even more motivated to avoid disappointing promisees’ expectations when those expectations were induced by a promise (interaction effect). Clear evidence of some of these effects has eluded the prior literature because of limitations inherent to the experimental methods employed. We sidestep those difficulties by using a novel between-subject vignette design. Our results suggest that promising may contribute to the self-reinforcing creation of trust as expectations of performance encourage promise keeping and vice versa.

承诺（promising）作为一种重要的约束机制（commitment mechanism），作用于潜在欺骗者的内在价值体系。本文作者通过实验证明了人们信守承诺的原因，并确定了三种动机。首先，承诺者觉得有责任信守承诺，无论被承诺者是否期望他们这样做（即承诺本身的效应）。其次，承诺者关心的是不要辜负被承诺者的期望，无论这些期望是否是由承诺所引起的（即期望本身的效应）。再次，如果被承诺者的期望是由承诺所引起的，承诺者更有动力避免辜负被承诺者的期望（即互动效应）。由于先前的文献所采用的实验方法具有局限性，它们并没有明确证明前述某些效应。本文作者采用了一种新颖的被试间情景设计（between-subject vignette design）规避了这些难题。研究结果表明，承诺可能会促进信任的自我强化，因为对履行的期望会鼓励人们信守承诺，反之亦然。

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Do Right-to-Work Laws Work? 

Evidence on Individuals’ Well-Being and Economic Sentiment

工作权利法起作用吗？

基于个体幸福感和经济信心的证据

Christos Andreas Makridis

This paper investigates the effects of state right-to-work (RTW) laws on individuals’ well-being and economic sentiment. Using licensed microdata from Gallup between 2008 and 2017, this paper finds that the adoption of RTW laws is associated with a .029 SD and a .041 SD increase in individuals’ life satisfaction and economic sentiment, respectively. A difference-in-differences estimator suggests that these improvements are concentrated among union workers. These results are robust to entropy balancing and border-pair approaches. Moreover, these improvements in well-being are consistent with an increase in competition among unions, which prompts them to provide higher-quality services that are valued by their members.

本文旨在研究各州工作权利法对个体幸福感和经济信心（economic sentiment）的影响。通过使用经盖洛普公司（Gallup）授权的2008年至2017年间的微观数据，本文发现工作权利法的通过有助于提高个体的生活满意度和经济信心，二项指标分别增加了0.029标准差和0.041标准差。采用双重差分模型的估计表明，这些改善主要集中在工会工人身上。这些结果经过熵平衡法（entropy balancing）和边界对法（border-pair）（译者注：比较居住在州边界两侧，即有工作权利法的州和没有工作权利法的州之间的个体的主观幸福感）的检验后仍然稳定。此外，个体幸福感的改善与工会间竞争的加剧是一致的，竞争加剧也促使工会为其成员提供他们所重视的更高质量的服务。

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