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This is Lawrence Solum's legal theory weblog. Legal Theory Blog comments and reports on recent scholarship in jurisprudence, law and philosophy, law and economic theory, and theoretical work in substantive areas, such as constitutional law, cyberlaw, procedure, criminal law, intellectual property, torts, contracts, etc.

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Monday, January 31, 2005
 
Monday Calendar
    Loyola Marymount University, Loyola Law School: Jeffrey J. Rachlinski, Professor of Law, Cornell Law School, "Can Judges Ignore Inadmissible Information: The Difficulty of Deliberately Disregarding".
    NYU Law School: Rachel Barkow, Federalism and the Politics of Sentencing.
    UCLA School of Law: Leti Volpp, UCLA School of Law, "Engendering Culture".


 
New from Law & Politics Book Review
    LICENSE TO HARASS: LAW, HIERARCHY, AND OFFENSIVE PUBLIC SPEECH, by Laura Beth Nielsen. Princeton: Princeton University Press, 2004. 224pp. Cloth $35.00 / £22.95. ISBN: 0691-11985-6. Reviewed by Steven B. Lichtman.
    AMERICA'S COLONY: THE POLITICAL AND CULTURAL CONFLICT BETWEEN THE UNITED STATES AND PUERTO RICO, by Pedro A. Malavet. New York: New York University Press, 2004. 352pp. Cloth. $40.00. ISBN: 0814756808. Reviewed by Javier A. Couso.
    THE INTERNATIONAL CRIMINAL TRIBUNAL FOR THE FORMER YUGOSLAVIA: AN EXERCISE IN LAW, POLITICS, AND DIPLOMACY, by Rachel Kerr. Oxford: Oxford University Press, 2004. 248pp. Hardback. £53.00 / $98.00. ISBN: 0-19-926305-1. Reviewed by Karol Soltan.
    NORDIC EQUALITY AT A CROSSROADS. FEMINIST LEGAL STUDIES COPING WITH DIFFERENCE, by Eva-Maria Svensson, Anu Pylkkänen, Johanna Niemi-Kiesiläinen (eds). Burlington: Ashgate, 2004. 262pp. Hardback. $99.95 /£55.00. ISBN: 0754624080. Reviwed by Adelaide H. Villmoare.
    CONSTITUTIONAL FAILURE: CARL SCHMITT IN WEIMAR, by Ellen Kennedy. Durham, NC: Duke University Press, 2004. 272pp. Paper. $22.95. ISBN: 0-8223-3243-4. Cloth. $79.95. ISBN: 0-8223-3230-2. Reviewed by John E. Finn.
    GAY MALE PORNOGRAPHY: AN ISSUE OF SEX DISCRIMINATION, by Christopher N. Kendall. Vancouver: UBC Press, 2004. 296pp. Hardcover. $85.00. ISBN: 0-7748-1076-9. Paperback. $29.95. ISBN: 0-7748-1077-7. Reviewed by Claire Rasmussen.
    SALT OF THE EARTH, CONSCIENCE OF THE COURT: THE STORY OF JUSTICE WILEY B. RUTLEDGE, by John M. Ferren. Chapel Hill, NC: The University of North Carolina Press. 2004. 592pp. Cloth. $39.95. ISBN: 0-8078-2866-1. Reviewed by Artemus Ward.
    THE PURSUIT OF FAIRNESS: A HISTORY OF AFFIRMATIVE ACTION, by Terry H. Anderson. Oxford and New York: Oxford University Press, 2004. 336pp. Cloth. $35.00 / £21.50. ISBN: 0-19-515764-8. Reviewed by Timothy J. O'Neill.


Sunday, January 30, 2005
 
Legal Theory Calendar
    Monday, January 31
      Loyola Marymount University, Loyola Law School: Jeffrey J. Rachlinski, Professor of Law, Cornell Law School, "Can Judges Ignore Inadmissible Information: The Difficulty of Deliberately Disregarding".
      NYU Law School: Rachel Barkow, Federalism and the Politics of Sentencing.
      UCLA School of Law: Leti Volpp, UCLA School of Law, "Engendering Culture".
    Tuesday, February 1 Wednesday, February 2
      Oxford Centre for Socio-Legal Studies: Kriti Kapila, Legal Culture: Bringing the Theoretical and Empirical Closer Together: The Measure of a Tribe: The Cultural Politics of Constitutional (Re)Classification in North India
      Oxford Human Rights Discussion Group: Jens Scherpe, Recent Developments in European Family Law: Cohabitation and Gay Marriage.
      Trinity College, Oxford: Laurence Oatesm, Life, Death, and the Law
      Cardozo Law School, Jacob Burns Legal Theory Workshop: Robert Post, Yale Law School, The Structure of Academic Freedom.
      NYU Legal History: Samuel Issacharoff, Visiting Professor, NYU School of Law.
      Vanderbilt Law & Economics Workshop: Margaret Blair.
    Thursday, February 3 Friday, February 4
      Case Western Reserve University School of Law: Symposium, Eminent Domain, Urban Renewal and the Constitution - Legal & Policy Perspectives.
      UCLA School of Law: Adam Winkler, UCLA School of Law, "Fatal in Theory and Strict in Fact: Debunking the Myth of Strict Scrutiny".
      Oxford Globalisation & Sustainable Development Law Group in conjunction with Centre for International Sustainable Development Law:
        Dr. Kamal Hossain, & H.E. Judge C. G. Weeramantry, Globalisation & Sustainable Development Law: Book Launch Reception for ‘Sustainable Development Law: Principles, Practices and Prospects’.
        Prof. Irene Dankleman (The Netherlands), Globalisation & Sustainable Development Law Lectures, 2005 Hilary Term : The Challenge of Gender: Towards a Common Future.
      Texas Law Review Symposium on Water Law, "Of Water Banks, Piggybanks, and Bankruptcy: Changing Directions in Water Law, a Symposium on New Approaches to Institutional Management and Design"
      Vanderbilty University School of Law, Charney Distinguished Lecture Series: Anne-Marie Slaughter, Woodrow Wilson School, Princeton University, "Rethinking the War on Terror".


 
Legal Theory Lexicon: Rules, Standards, and Principles
    Introduction Early on in law school, law students begin to realize that legal norms are not all cut from the same cloth. Some rules provide "bright lines," others "fuzzy lines," and yet others, no lines at all. The "reasonable person" test in tort law constrains in a very different way than does the rule against perpetuities in property. That is, legal norms differ in extent to which they constrain those who are charged with applying them.
    We can slice and dice legal norms in various ways. In this post, we will investigate the idea that legal norms can be sorted into three general classes: rules, standards, and principles. Let's stipulate to the following definitions to get the discussion off the ground:
    • Rules are the most constraining and rigid. Once a rule has been interpreted and the facts have been found, then the application of the rule to the facts decides the issue to which it is relevant.
    • Standards provide an intermediate level of constraint. Standards guide decisions but provide a greater range of choice or discretion; for example, a standard may provide a framework for balancing several factors.
    • Principles are less constraining still. Principles provide mandatory considerations judges. Whereas, standards identify an exhaustive set of considerations for adjudication or policy making, a principle identifies a nonexhaustive set, leaving open the possibility that other considerations may be relevant to the decision.
    This post provides an introduction to rules, standards, and principles for law students (especially first-year law students) with an interest in legal theory.
    Rules Although the phrase "legal rule" can be used in a broad sense, to refer to all legal norms, whether they be case in the form of a bright-line rule, a standard that in the form of a balancing test, or even an abstract principle, there is also a narrower sense of "rule" that distinguishes rules from standards and principles.
    Rules themselves vary--let's use hard and soft to refer to the poles of a continuum. A rule is harder if both the conditions for its application and the consequences that follow are defined by bright-line distinctions that admit of easy application. The rule that disqualifies persons who are not 35 years of age is quite hard or rigid. Rules become softer as they criterion for the application and/or the consequences to which they lead become fuzzier. If the constitution had limited the presidency to "adults," then there could have been cases in which the question whether a particular candidate was unclear. Twelve year olds are clearly not adults but twenty-five year olds clearly are. In between, the necessity of drawing a somewhat arbitrary line makes the "adult" rule relatively softer than the "35-year old" rule.
    Standards Standards are less constraining than even "soft" rules. Whereas a rule defines a triggering condition and a consequence, a standard may define a set of relevant considerations and options. One familiar example of a standard is provided by the fairness component of the International Shoe test for personal jurisdiction. That test requires a court to find that a state's assertion of personal jurisdiction violates the Due Process Clause on the basis of a give factor balancing test, which refers to the defendant's interest, the plaintiff's interest, the interest of the forum, judicial efficiency and economy, and substantive policy concerns.
    Like rules, standards themselves vary in their capacity to guide and constrain the decision-making process. Some standards give the decision maker substantial guidance, by specifying relatively specific and concrete factors the decision maker should consider and the relative weight or importance of those factors. Other standards are much more open ended, requiring consideration of factors that are general and abstract. Standards that refer to "all the circumstances," "the interests of justice," or "equitable considerations" are particularly soft. Standards that require the evaluation of "cost to the defendant" or "serious invasions of privacy" are relatively harder, providing greater constraint and guidance.
    By way of illustration, consider eligibility for the presidency once again. A rule based approach might limit eligibility to persons of a certain age or to "adults." A standard might specify that the only persons who are "sufficiently mature" may occupy the office of President. This standard is relatively open-ended, and it might disqualify some sixty-year olds from the presidency but allow some 20 year olds to serve.
    Principles Principles are quite different from both rules and standards--at least on the basis of the definitions that we are using. Both rules and standards provide a framework that is, in theory, sufficient for resolving a particular issue in a legal dispute. But as we are using the term, a "principle" only provides guidance for the interpretation or application of a rule or standard. Principles by themselves do not resolve legal issues.
    This sense of principle is illustrated by Ronald Dworkin's example of the principle that no one should be allowed to profit from their own wrong, drawn from the case of Riggs v. Palmer, 22 N.E. 188 (N.Y. 1889). In that case, the statute of wills would have allowed a murderer to inherit from his victim, but the New York Court of Appeals concluded that the statute should be given an equitable interpretation in light of the common law principle against wrong doers profiting from their wrongs. This principle is not a rule: the law does permit wrong doers to profit from their wrongs in a variety of circumstances. Rather, this general and abstract principle provided guidance in the interpretation and construction of a rule--in Riggs, the rule provided by the statute of wills. (This example is drawn from Ronald Dworkin's famous essay Hard Cases.)
    The Pros and Cons of Rules, Standards, and Principles What are the pros and cons of rules, standards, and principles? When you have identified a candidate legal norm, when should you argue that the norm should be formulated as a rule, a standard, or a principle? In his famous 1985 article, Pierre Schlag provided this example:
      In one torts casebook, for instance, Oliver Wendell Holmes and Benjamin Cardozo find themselves on opposite sides of a railroad crossing dispute. They disagree about what standard of conduct should define the obligations of a driver who comes to an unguarded railroad crossing. Holmes offers a rule: The driver must stop and look. Cardozo rejects the rule and instead offers a standard: The driver must act with reasonable caution. Which is the preferable approach? Holmes suggests that the requirements of due care at railroad crossings are clear and, therefore, it is appropriate to crystallize these obligations into a simple rule of law. Cardozo counters with scenarios in which it would be neither wise nor prudent for a driver to stop and look. Holmes might well have answered that Cardozo's scenarios are exceptions and that exceptions prove the rule. Indeed, Holmes might have parried by suggesting that the definition of a standard of conduct by means of a legal rule is predictable and certain, whereas standards and juries are not. This dispute could go on for quite some time.
    Here are some basic ideas about the appropriateness of rules, standards, and principles:
    • Predictability and certainty. If your goal is ex ante predictability and certainty, then rules are usually the way to go. Predictability and certainty are particularly important when the law seeks to guide future conduct. For example, if we want to deter particular forms of conduct, we may do better to define the conduct in a rule (or in a set of rules) that would enable those who engage in the conduct to clearly see that the proscribed conduct is forbidden. Standards provide less guidance, and principles, almost no guidance at all.
      Fairness and sensitivity. On the other hand, if our goal is to insure ex post fairness, then standards may be the way to go. Standards permit flexibility and the consideration of mitigating circumstances. Rigid rules are likely to lead to unfairness in particular cases, because it may be difficult to define in advance all of the circumstances which should count as exceptions to the rule.
      The job of principles. Principles seem best suited for another sort of legal task. Principles cut across doctrinal fields. The same principle--one may not benefit from one's own wrong, for example--may apply in torts, contracts, and the law of wills. Thus, principles are particularly well suited to give legal form to concerns which operate in a wide variety of particular contexts.
    Conclusion Legal theorists need to be able to identify rules, standards, and principles, and more importantly, to be able to argue the pros and cons of formulating legal norms in these standard forms. The main goal of this post has been to enable you to distinguish a rule from a standard and to see that principles operate in a different way than either rules or principles. I also hope that the post has provided you with some tools that will enable you to make arguments like: “this rule would better be reformulated as a standard, because . . ." And arguments, like, “that legal norm really isn't a standard at all, it is better described as a principle.” I've provided some additional references, for those who want to pursue these ideas further.
    References
      Baird & Weisberg, Rules, Standards, and the Battle of the Forms: A Reassessment of § 2-207, 68 Virginia Law Review 1217 (1982).
      Ronald Dworkin, Hard Cases in Taking Rights Seriously (1977).
      Henry Hart & Albert Sacks, The Legal Process (unpublished manuscript tent. ed. 1958).
      Duncan Kennedy, Form and Substance in Private Law Adjudication, 89 Harvard Law Review 1685 (1976).
    • Pierre J. Schlag, Rules and Standards, 33 UCLA L. Rev. 379 (1985).


Saturday, January 29, 2005
 
Download of the Week The Download of the Week is Can We Be Legal Positivists Without Being Constitutional Positivists? by Abner Greene. Here is the abstract:
    Larry Sager's book "Justice in Plainclothes" explains that our constitutional practice has a "durable moral shortfall." Judges do not fully enforce the Constitution, and the Constitution does not fully replicate political justice. This review essay critiques the latter gap, and argues that our constitutional practice need not be read as falling short of what political justice demands. Although most of us are legal positivists at least to the extent that we believe law does not fully overlap with morality, we need not similarly be constitutional positivists, that is, we need not similarly believe that our constitutional practice does not fully overlap with political justice. The review essay contrasts a skeptical view of law's reach with a more aspirational view of constitutionalism; evaluates Sager's arguments for the first gap, i.e., "judicial underenforcement"; and then critiques the case for the gap between the Constitution and political justice. In part the case for the gaps turns on a theory of democracy that requires a robust role for the citizenry in fleshing out the contours of what political justice demands; the review essay argues that such a role can be maintained even if we view our Constitution as coextensive with political justice.
Download it while its hot!


 
Legal Theory Bookworm The Legal Theory Bookworm recommends Natural Law and Practical Rationality by Mark Murphy. Here is a description:
    According to the natural law account of practical rationality, the basic reasons for actions are basic goods that are grounded in the nature of human beings. Practical rationality aims to identify and characterize reasons for action and to explain how choice between actions worth performing can be appropriately governed by rational standards. Natural Law and Practical Rationality is a defense of a contemporary natural law theory of practical rationality, demonstrating its inherent plausibility and engaging systematically with rival egoist, consequentialist, Kantian and virtue accounts.


Friday, January 28, 2005
 
Lipkin on Federalism Robert Justin Lipkin has posted Federalism as Balance on SSRN. Here is the abstract:
    Federalism as balance between the federal government and the states is a deeply entrenched principle of American constitutional law. Without the idea of balance or some replacement concept, judges and constitutional scholars seem incapable of conceptualizing federalism and resolving federalist conflicts. The thesis of the Article is that federalism as balance must be reexamined to assess whether it is jurisprudentially sound. For this purpose, the Article introduces a framework for understanding balancing discourse generally. Upon examination, federalism as balance does not satisfy the requirements articulated by this framework. The result is that this conception has no discernible content and therefore can play no identifiable analytic role in either conceptualizing or resolving federalist conflicts. The failure of federalism as balance to be an analytically sound element in understanding federalism is an additional reason for reexamining the political safeguards argument for enforcing federalism. Without sufficient analytic content, federalism as balance is merely a rhetorical device which legislators can use just as well or as poorly as judges.


 
Friday Calendar
    Royal Institute of Philosophy (London): G A Cohen, Terrorism.
    Oxford, Said Business School (in conjunction with EU Research and Training Network and the Oxford Review of Economic Policy): Corporate Governance Conference.
    Oxford Globalisation & Sustainable Development Law Group: Speaker: H.E. Judge C. G. Weeramantry (Sri Lanka), Globalisation & Sustainable Development Law Lectures, 2005 Hilary Term : Sustainable Justice: The Role of International Law.
    UCLA Law: Rethinking Redistribution: Tax Policy in an Era of Rising Inequality.
      Faculty Moderator: Kirk J. Stark, UCLA School of Law Charlotte Crane, Northwestern University School of Law, Designing Taxes with Wealth in Mind: Some Original Understandings Ajay Mehrotra, Indiana University School of Law, Creating the Modern American Fiscal State: Progressive-Era Economists and the Intellectual Foundations of the U.S. Income Tax Commentator: Steve Bank, UCLA School of Law Marjorie Kornhauser, Tulane Law School, Choosing a Tax Rate Structure in the Face of Disagreement. Commentator: Eric Rakowski, UC Berkeley School of Law (Boalt Hall) Lawrence Zelenak, Duke Law School, Tax or Welfare? The Administration of the Earned Income Tax Credit Commentator: Lily Batchelder, NYU School of Law Jonathan Baron & Edward McCaffery, University of Pennsylvania and USC Law School The Political Psychology of Redistribution Commentator: William Blatt, University of Miami Law School Richard Bird & Eric Zolt, Rotman School of Management, University of Toronto and UCLA School of Law, Redistribution via Taxation: A New Perspective for Developing Countries Commentator: Arnold Harberger, UCLA Economics Department


 
Zeiler on Tort Reform Kathryn Zeiler (Georgetown University Law Center) has posted Turning from Damage Caps to Information Disclosure: A New Approach to Tort Reform (Yale Journal of Health Policy, Law, and Ethics, Vol. 1, 2005) on SSRN. Here is the abstract:
    Medical malpractice damage caps are among the most popular instruments of tort reform at the state level. Recently the Bush administration proposed a federal damage cap on non-economic damages to quell the rise of medical malpractice insurance premiums despite the paucity of empirical evidence demonstrating that damage caps actually decrease premiums. This Case Study argues that imposing statutory caps on medical malpractice damages is not an effective method of remedying the medical malpractice insurance crisis: therefore, policymakers should consider alternatives to damage caps. In particular, evidence suggests that implementing mandatory disclosure of the contract terms between managed care organizations and physicians for the provision of services to enrollees reduces medical malpractice insurance premiums. Policymakers interested in reducing premiums should consider implementing MCO-physician contract disclosure requirements as a means to their desired end.


 
Ku and Yoo on Functionalism and the Alien Tort Statute Julian Ku and John C. Yoo (Hofstra University - School of Law and University of California at Berkeley School of Law) have posted Beyond Formalism in Foreign Affairs: A Functional Approach to the Alien Tort Statute (Supreme Court Review, Forthcoming) on SSRN. Here is the abstract:
    This paper discusses the functional ability of federal courts to incorporate customary international law (CIL) through the vehicle of the Alien Tort Statute. In last Term's Sosa v. Alvarez Machain, the Supreme Court concluded that the Alien Tort Statute (ATS) is merely a jurisdictional statute, but also refused to stop the lower courts from allowing aliens to seek damages in federal court for certain international law violations. We use the Court's under-theorized conclusion as an opportunity to move beyond largely inconclusive formalist debates about the ATS's text, structure, and history. Instead, we conduct a comparative institutional analysis of the role of the courts and the executive in foreign affairs. This functional approach suggests that the executive branch can more effectively achieve the purpose behind the ATS. Critics of this approach have argued that a jurisdictional approach to the ATS would disrupt American foreign relations by allowing the states, rather than a single federal judiciary, to make and enforce CIL. The Court's recent decisions, however, address this concern by permitting presidential declarations of international policy to preempt state law. Thus, CIL could continue as part of the common law of the states enforceable in state court or through diversity jurisdiction in federal court subject to federal preemption by the President.


 
Bernstein on the Enterprise of Liability Anita Bernstein (Emory University School of Law) has posted The Enterprise of Liability (Valparaiso University Law Review, Vol. 69, p. 27, 2004) on SSRN. Here is the abstract:
    This article, an expanded version of the Monsanto Lecture given at Valparaiso University School of Law in early 2004, coins a phrase to complement enterprise liability. Traditional enterprise liability theory conceived of accident victims as passive, the mere recipients of what business does to them. Their advocates were also viewed as passive. In a new century, however, the enterprise of liability - the plaintiffs' bar - has emerged as a robust, aggressive source of what both injured individuals and the American public demand. Commentary attacking the plaintiffs' bar as entrepreneurial (a term almost always used pejoratively) notwithstanding, the enterprise of liability deserves credit for the two social goods associated with entrepreneurial endeavor - wealth and choice - and should be lauded by anyone who lauds free enterprise.


 
Kaczorowski on Supreme Court Enforcement of Constitutional Rights Robert J Kaczorowski (Fordham University - School of Law) has posted A Synopsis of The Supreme Court and Congress's Power to Enforce Constitutional Rights: An Overlooked Moral Anomaly (Fordham Law Review, Vol. 73, No. 154, 2004) on SSRN. Here is the abstract:
    This article identifies a moral anomaly the Supreme Court has created in recent cases interpreting Congress’s remedial powers under the Fourteenth Amendment. It shows that the Court has unwittingly decided that the Constitution today does not authorize as much federal protection for constitutional rights and equality as it provided in the nineteenth century to protect the property rights of slave owners in their slaves. Before the Civil War, Congress enacted two statutes that enforced slave owners' constitutionally secured property rights with civil remedies, including a civil fine and tort damages, and criminal penalties applicable to anyone who interfered with the slave owner's constitutional right to recover fugitive slaves. Congress also created an elaborate federal enforcement structure. The United States Supreme Court upheld these statutes and Congress's plenary power to enact them before slavery was abolished by the Thirteenth Amendment. This article shows that the framers of the Civil Rights Act of 1866 and Fourteenth Amendment used these legislative and judicial precedents to insist that Congress had to possess plenary power to enforce the fundamental rights and equality of all Americans. It also shows that the framers acted on this presumption and exercised this plenary power by enacting the Civil Rights Act of 1866, by which they enforced the civil rights of United States citizens with the civil and criminal remedies and enforcement provisions of the Fugitive Slave Acts. To ensure the constitutionality of the Civil Rights Act, the framers expressly incorporated it into the Fourteenth Amendment. However, the Supreme Court's recent decisions hold that Congress does not possess the power to enforce the substantive rights secured by the Fourteenth Amendment that earlier Congresses exercised, with the Supreme Court's approval, to enforce the constitutionally secured property rights of slaveholders. The Supreme Court has thereby placed itself in the morally untenable position of affirming greater constitutional protection for the property rights of slave owners before the Civil War than it is willing to affirm for the protection of the fundamental rights and equality of all Americans today.


Thursday, January 27, 2005
 
Thursday Calendar
    Yale Legal Theory Workshop: John Witt, Columbia (Law), Crystal Eastman and the Internationalist Beginnings of American Civil Liberties.
    U.C. Berkeley, Workshop in Law, Philosophy, & Political Theory: Jeff McMahan, Philosophy, Rutgers University, THE BASIS OF MORAL LIABILITY TO DEFENSIVE KILLING. Here's a taste:
      There may be circumstances in which it is morally justifiable intentionally to kill a person who is morally innocent, threatens no one, rationally wishes not to die, and would otherwise not die soon. The justification in such a case presumably must appeal to the dire consequences that would ensue if the person were not killed. It is the necessity of averting consequences much worse than a single death that would justify the wrong done to the person killed. In other instances of permissible killing, however, the justification appeals to more than considerations of consequences. It may appeal in addition to the claim that the person to be killed has acted in such a way that to kill him would neither be unjust nor wrong him or violate his rights (assuming that killing him would be necessary for and proportionate to a just or legitimate aim, such as self-defense). In these cases, I will say that the person is liable to be killed. Although I borrow the notion of liability from legal theory, and although much of what I say will be informed by the literature on liability both in criminal law and in the law of torts, my concern in this article is with moral rather than legal liability. Liability, as I understand it, encompasses but is not limited to desert. If a person can deserve to be killed, it follows that he is liable to be killed, but he can be liable to be killed without deserving to be killed. My focus here will be on forms of liability that do not involve desert; I will not consider cases of punitive or retributive killing. My focus will instead be primarily on liability to defensive killing, though I will also consider whether there can be liability to killing that preserves life or prevents harm but is not strictly defensive because the person to be killed is not the cause of the threat to be averted. Liability, of course, also extends to forms of harmful treatment other than killing, but for simplicity of exposition I will focus on moral liability to be killed. Much of what I will say, however, can be generalized, mutatis mutandis, to other forms of harming.
    Florida State University, College of Law: Seanna Shiffrin, UCLA "What's Wrong with Compelled Associations?".
    Stanford Law & Economics: Christine Jolls (Harvard Law School), "Debiasing Through Law (with Special Reference to Employment Discrimination Law)"
    Fordham University College of Law: Joel Reidenberg, Professor of Law, Fordham, "Internet Jurisdiction".
    Boston University, School of Law: Hillary Sale (Iowa), "Banks, The Forgotten (?) Partners in Fraud".
    George Washington University IP Series: F. Scott Kieff, Washington University - St. Louis School of Law, "Introducing a Case Against Copyright: A Comparative Institutional Analysis of Intellectual Property Regimes"
    Northwestern Tax Series: Howard Abrams, Professor of Law, Emory University, "The Section 734(b) Basis Adjustment Needs Repair".
    Oxford Financial Law Discussion Group: Andrew Whittaker, Current Issues in Financial Regulation.
    Oxford Public International Law Discussion Group: Penelope Simons, Corporate Voluntarism and Human Rights: The Adequacy and Effectiveness of Voluntary Self-Regulation Regimes.
    University of Michigan, Cyberlaw & Economics: Peter Swire, Ohio State, A Model for When Disclosure Helps Security: What is Different About Computer and Network Security?


 
Greene on Sager Abner Greene (Fordham University - School of Law) has posted Can We Be Legal Positivists Without Being Constitutional Positivists? (Fordham Law Review, Vol. 73, 2005) on SSRN. Here is the abstract:
    Larry Sager's book "Justice in Plainclothes" explains that our constitutional practice has a "durable moral shortfall." Judges do not fully enforce the Constitution, and the Constitution does not fully replicate political justice. This review essay critiques the latter gap, and argues that our constitutional practice need not be read as falling short of what political justice demands. Although most of us are legal positivists at least to the extent that we believe law does not fully overlap with morality, we need not similarly be constitutional positivists, that is, we need not similarly believe that our constitutional practice does not fully overlap with political justice. The review essay contrasts a skeptical view of law's reach with a more aspirational view of constitutionalism; evaluates Sager's arguments for the first gap, i.e., "judicial underenforcement"; and then critiques the case for the gap between the Constitution and political justice. In part the case for the gaps turns on a theory of democracy that requires a robust role for the citizenry in fleshing out the contours of what political justice demands; the review essay argues that such a role can be maintained even if we view our Constitution as coextensive with political justice.
And here is a bit more from the paper itself:
    Our Constitution’s preamble is ambitious: “We the people of the United States, in order to form a more perfect union,4 establish justice, insure domestic tranquility, provide for the commondefense, promote the general welfare, and secure the blessings of liberty to ourselves and our posterity, do ordain and establish this Constitution for the United States of America.” These are aspirations of a liberty-loving, justice-seeking people. To achieve these aspirations, and to preserve both citizen sovereignty and a republican form of government, our constitutional text and our constitutional law both enables and disables our governmental agents. But although we should acknowledge the inevitable agency costs of the lawmaking process, and thus adopt a posture of legal positivism, with its gaps, regarding ordinary law, we should construe our Constitution as aspiring to reduce such costs to zero. Reading our Constitution as aspiring to the ends of political justice is another way of saying that the power we delegate to our agents should match the original scope of our liberty as principals. One implication of this argument is that constitutional interpretation must be ultimately about justification, and not fit.
Greene must mean "implication" in a very loose sense. Why? Because the fact that the preamble embodies lofty aspirations does not entail the conclusion that the Constitutional text does not constrain legitimate constitutional interpretation. Some further argument is obviously required. Here is a bit more from Greene:
    [C]onstitutional interpretation (by courts or otherwise) must ultimately be about justification, and not about fit. Even an “account” of our constitutional practice, which Sager claims to be offering, cannot in the end rest on connecting the dots of text, precedent, etc. An account of our constitutional practice is an interpretive enterprise, and like any interpretive enterprise (including constitutional interpretation in any given case or instance), justification and fit are not equally important. Although fit points – such as text, precedent, etc. – are relevant to understanding the normative questions, they cannot resolve the ultimate question of any interpretive enterprise, which is reaching the most justifiable understanding of the matter under interpretation. In other words, interpretation is, in the end, irreducibly current – the interpreter has to make a final judgment call about how best to read the text or practice in question, and deferring to other sources of authority, past or present, is always a mask for sub rosa normative determinations by the interpreter.
I must confess that I don't see how Greene's argument is intended to work. Let's concede his premise: "the ultimate question of any interpretive enterprise . . . is reaching the most justifiable understanding of the matter under interpretation." You, gentle reader, undoubtedly have already seen the two points I am about to make:
    First, even Greene's formulation places "justification" in a subordinate role: "the most justifiable understanding of the matter under interpretation" assumes the hermeneutic priority of the matter under interpreation--in the case of the Constitution, that is the constitutional text (and perhaps some constitutional practices as well). What we are interpreting is is the text, and hence for something to count as an interpretation, it must be an interpretation of the text and hence must fit the text. Second, "the most justifiable understanding" is not necessarily the interpretatoin that is morally most attractive. What is or isn't most justifiable is a meta-level question. It may be that the best theory of constitutional interpreation will conclude that the interpretation most closely anchored to formal considerations (text, original meaning, precedent, etc.) is the most justifiable. Or to put it more directly, the most justificiable constitutional interpretations may well be interpretations that prioritize the Dworkinian dimension of fit and demphasize the dimension of justification. One needs a normative constitutional theory to settle the issue.
There is much more that is interesting and rewarding in Greene's fine paper. Highly recommended!


 
Call for Papers: Development
    SOCIETY FOR SOCIALIST STUDIES ENVIRONMENTAL STUDIES ASSOCIATION OF CANADA and CANADIAN ASSOCIATION FOR THE STUDY OF INTERNATIONAL DEVELOPMENT invite paper proposals for a joint session at Congress 2005 June 2-4 2005 University of Western Ontario, London Rethinking "Development": The Challenge of Global Democracy "Development" promised that everyone could be rich, without anyone ever having to get poorer. The rich could keep getting richer while the poor, if only in some indefinite future, "caught up". This promise assumed that neither the ecosystem nor the social system imposed any hard limits on the business of enrichment - an assumption that has proven false. Thus, the challenge of global democracy: rethinking "development" when some must become poorer if all are to achieve comparable prosperity, and where total production must decline if any are to survive. Papers are invited which present ways to conceptualize, measure, promote, organize and fight for globally democratic "development". Paper proposals must include author's name, e-mail and mailing address, institutional affiliation (where applicable), voice and fax phone numbers. A title and abstract of not more than 100 words must be included with all proposals, but longer proposals and full papers are welcome. Proposals should be sent to the session coordinator, Chris Borst, at: Email (preferred): [email protected] (.pdf, .rtf, .doc, .html, .txt) Mailing Address: Site 110 Box 45 RR#1, Dryden, ON, P8N 2Y4 Fax: (807) 938-6903 EXTENDED DEADLINE: February 11, 2005


Wednesday, January 26, 2005
 
Welcome to the Blogosphere . . . . . . to The Conservative Philosopher, a group blog that includes Keith Burgess-Jackson, Michael C. Sudduth, Jim Ryan, Max Goss, William F. Vallicella, Stephan L. Burton, Robert C. Koons, John Kekes, and Edward C. Feser.


 
Wednesday Calendar
    Oxford Centre for Socio-Legal Studies: Denis Galligan, Legal Culture: Bringing the Theoretical and Empirical Closer Together: Legal Culture, or How to Take Law Seriously.
    Oxford Centre for Criminology: Mike Hough, Public Attitudes to Punishment and Penal Populism.
    University College, London, Colloquium in Legal and Social Philosophy: Professor Niki Lacey (LSE), Analytical jurisprudence versus descriptive sociology revisited. Here is a taste:
      In this essay, I want to revisit the protracted, inconclusive and sometimes unedifying debate prompted by Hart’s famous claim in the Preface to The Concept of Law that the book might be regarded as a contribution not only to analytical jurisprudence but also to descriptive sociology. Drawing on my work on Hart’s biography, I shall review his own reflections on the claim, the arguments in legal theory to which his claim gave rise, and the reasons for thinking that the structure of his own theory prevented him from following through on the insights from which his claim proceeded. My motivation is not, however, primarily that of the biographer or intellectual historian. Rather, this general interpretive question about Hart connects with some long-standing interests which have informed my own work in jurisprudence and criminal law theory. So, while bearing in mind Freud’s view of the biographer’s relationship with his or her subject as ‘a heady brew of Oedipal triumph and sibling rivalry’(!), I shall use my engagement with Hart’s biography and intellectual legacy as the jumping off point for a further examination of the relationship between what have come to be called ‘internal’ and ‘external’ approaches to legal theory, and about the relative contributions of philosophy, history and the social sciences to our systematic understanding of the nature of law. Are legal philosophers justified in regarding sociological legal theorists as playing an entirely different game or, to put the question in Kornhauser’s terms, does it make sense to seek a theory of the ‘legal order’ independent of a theory of the ‘legal regime’?
    NYU Legal History: James Jacobs, NYU School of Law.
    UCLA Legal History: Mark Graber, Maryland, Dred Scott as a Centrist Decision.


Tuesday, January 25, 2005
 
Blume & Voigt on the Economic Effects of Human Rights Lorenz Blume and Stefan Voigt (University of Kassel - Economics and University of Kassel - Department of Economics) have posted The Economic Effects of Human Rights on SSRN. Here is the abstract:
    Economists are often skeptical concerning the economic effects of various forms of human rights: it has been argued that basic human rights can make the legal system less efficient but also that extensive social rights are incompatible with market economies. It is argued here that basic human rights are a precondition for other kinds of rights such as property and civil rights and that they are thus efficiency-enhancing. Four different groups of rights are identified. It is asked what effects they have on welfare and growth. The transmission channels through which the different rights affect welfare and growth are identified by estimating their effects on investment in both physical and human capital and overall productivity. Basic human rights have indeed a positive effect on investment, but do not seem to contribute to productivity. Social or emancipatory rights, in turn, are not conducive to investment in physical capital but do contribute to productivity improvements. None of the four groups of rights ever has a significant negative effect on any of the economic variables here included.


 
Goldman on Warez Trading Eric Goldman (Marquette University - Law School) has posted The Challenges of Regulating Warez Trading (Social Science Computer Review, Vol. 23, No. 24, 2005) on SSRN. Here is the abstract:
    This short essay analyzes the policy challenges of legally conforming the behavior of warez traders. The essay discusses the motivations for warez trading, how criminalizing the behavior may counterproductively encourage it, and why legislators and prosecutors continue to target warez trading despite the counterproductive effects.


 
Hyman & Silver on Malpractice Liability & Health Care Quality David A. Hyman and Charles Silver (University of Illinois College of Law and University of Texas Law School) have posted The Poor State of Health Care Quality in the U.S.: Is Malpractice Liability Part of the Problem or Part of the Solution? on SSRN. Here is the abstract:
    The belief that malpractice lawsuits impede efforts to improve health care quality by encouraging providers to hide mistakes is the conventional wisdom among patient safety advocates and scholars. It also provides the normative basis for efforts currently proceeding at the state and federal levels to curtail medical malpractice exposure. Groups pressing for tort reform, including the American Medical Association, contend that when doctors and other providers are insulated from liability, patients will be better protected from harm. This article canvasses the evidence bearing on the connection between malpractice exposure and health care quality. Some of this evidence, such as the Harvard Medical Practice Study, shows that the quality of health care improves as the risk of being sued rises; none of it shows that malpractice lawsuits cause the quality of health care to decline. The widely held belief that fear of malpractice liability impedes efforts to improve the reliability of health care delivery systems is unfounded. The central causes of the high error rates that persist in the health care sector appear to be providers' defective incentives and professional norms. Providers lose money when quality improves, and their norms discourage the creation of non-punitive working environments in which efforts to improve quality can flourish. The business case for quality is missing, and providers' attitudes are antithetical to quality improvement. The tort system's major deficiency is its failure to subject providers to sufficient economic pressure to overcome these impediments. The cause of this shortcoming is the rarity with which injured patients assert legal claims.


 
Bainbridge on Executive Compensation Stephen M. Bainbridge (University of California, Los Angeles - School of Law) has posted Executive Compensation: Who Decides? (Texas Law Review, 2005) on SSRN. Here is the abstract:
    Pay Without Performance: The Unfulfilled Promise of Executive Compensation by Harvard law professor Lucian Bebchuk and UC Berkeley law professor Jesse Fried is an important contribution to the literature on executive compensation. Bebchuk and Fried's positive account of executive compensation is entirely managerialist; i.e., they argue that top management of public corporations so thoroughly control the board of directors that the former are able to extract compensation packages from the latter far in excess of that which would obtain under arms'-length bargaining. In this review essay, I argue that Bebchuk and Fried overstate the extent to which management controls the compensation process. I also argue that they have not made a convincing case for the reforms to corporate governance they propose.


 
Tuesday Calendar
    Oxford Jurisprudence Discussion Group: Dany Priel, Rights, Autonomy, and Practical Reasoning.
    University of Chicago Olin Series: Max Schanzenbach, Northwestern University School of Law, Strategic Judging under the United States Sentencing Guidelines: Instrument Choice Theory and Evidence.
    Hofstra University School of Law: Eugene Volokh, UCLA School of Law, "Parent-Child Speech and Child Custody Speech Restrictions"
    Loyola Marymount University, School of Law: Georgene M. Vairo, Professor of Law and William M. Rains Fellow, Loyola Law School, "The Role of Private Individuals in Complex Claims Resolution” Can Judges Ignore Inadmissible Information: The Difficulty of Deliberately Disregarding".
    Lewis & Clark Law School: Dan Rohlf, The Scientific Limits of Democracy.
    Oxford Intellectual Property Research Centre, Intellectual Property in the New Millennium: Dr David Brennan, What is Equitable Remuneration for Intellectual Property Use?


Monday, January 24, 2005
 
Monday Calendar


 
Conference Announcement: Meeting the Challenge of Grutter
    "Meeting the Challenge of Grutter: Affirmative Action in Twenty-Five Years" Thursday, February 24, 2005
      8:30 am Registration and coffee. 9:30 am Welcome: john a. powell, Professor of Law and Director, Kirwan Institute for the Study of Race and Ethnicity Introduction: Nancy Rogers, Dean, Mortiz College of Law 10:00 am Panel 1: The Practicality and Legitimacy of the Challenge 12:00 pm Lunch 2:00 pm Panel 2: The Current State of Affirmative Action
    Friday, February 25, 2005
      8:30 am Coffee 9:00 am Panel 3: New and Emerging Education Reform Trends 11:00 am Panel 4: Implementing Change to Meet Our Goals 12:30 am Lunch 2:00 pm Keynote Presentation: Charles Ogletree, Professor of Law, Harvard University; Director, Charles Hamilton Houston Institute for Race and Justice 3:00 pm Adjournment and Reception


Sunday, January 23, 2005
 
Legal Theory Calendar
    Monday, January 24 Tuesday, January 25
      Oxford Jurisprudence Discussion Group: Dany Priel, Rights, Autonomy, and Practical Reasoning.
      University of Chicago Olin Series: Max Schanzenbach, Northwestern University School of Law, Strategic Judging under the United States Sentencing Guidelines: Instrument Choice Theory and Evidence.
      Hofstra University School of Law: Eugene Volokh, UCLA School of Law, "Parent-Child Speech and Child Custody Speech Restrictions"
      Loyola Marymount University, School of Law: Georgene M. Vairo, Professor of Law and William M. Rains Fellow, Loyola Law School, "The Role of Private Individuals in Complex Claims Resolution” Can Judges Ignore Inadmissible Information: The Difficulty of Deliberately Disregarding".
      Lewis & Clark Law School: Dan Rohlf, The Scientific Limits of Democracy.
      Oxford Intellectual Property Research Centre, Intellectual Property in the New Millennium: Dr David Brennan, What is Equitable Remuneration for Intellectual Property Use?
    Wednesday, January 26
      Oxford Centre for Socio-Legal Studies: Denis Galligan, Legal Culture: Bringing the Theoretical and Empirical Closer Together: Legal Culture, or How to Take Law Seriously.
      Oxford Centre for Criminology: Mike Hough, Public Attitudes to Punishment and Penal Populism.
      University College, London, Colloquium in Legal and Social Philosophy: Professor Niki Lacey (LSE), Analytical jurisprudence versus descriptive sociology revisited.
      NYU Legal History: James Jacobs, NYU School of Law.
      UCLA Legal History: Mark Graber, Maryland, Dred Scott as a Centrist Decision.
    Thursday, January 27
      Yale Legal Theory Workshop: John Witt, Columbia (Law), Crystal Eastman and the Internationalist Beginnings of American Civil Liberties.
      U.C. Berkeley, Workshop in Law, Philosophy, & Political Theory: Jeff McMahan, Philosophy, Rutgers University, THE BASIS OF MORAL LIABILITY TO DEFENSIVE KILLING. Here's a taste:
        There may be circumstances in which it is morally justifiable intentionally to kill a person who is morally innocent, threatens no one, rationally wishes not to die, and would otherwise not die soon. The justification in such a case presumably must appeal to the dire consequences that would ensue if the person were not killed. It is the necessity of averting consequences much worse than a single death that would justify the wrong done to the person killed. In other instances of permissible killing, however, the justification appeals to more than considerations of consequences. It may appeal in addition to the claim that the person to be killed has acted in such a way that to kill him would neither be unjust nor wrong him or violate his rights (assuming that killing him would be necessary for and proportionate to a just or legitimate aim, such as self-defense). In these cases, I will say that the person is liable to be killed. Although I borrow the notion of liability from legal theory, and although much of what I say will be informed by the literature on liability both in criminal law and in the law of torts, my concern in this article is with moral rather than legal liability. Liability, as I understand it, encompasses but is not limited to desert. If a person can deserve to be killed, it follows that he is liable to be killed, but he can be liable to be killed without deserving to be killed. My focus here will be on forms of liability that do not involve desert; I will not consider cases of punitive or retributive killing. My focus will instead be primarily on liability to defensive killing, though I will also consider whether there can be liability to killing that preserves life or prevents harm but is not strictly defensive because the person to be killed is not the cause of the threat to be averted. Liability, of course, also extends to forms of harmful treatment other than killing, but for simplicity of exposition I will focus on moral liability to be killed. Much of what I will say, however, can be generalized, mutatis mutandis, to other forms of harming.
      Florida State University, College of Law: Seanna Shiffrin, UCLA "What's Wrong with Compelled Associations?".
      Stanford Law & Economics: Christine Jolls (Harvard Law School), "Debiasing Through Law (with Special Reference to Employment Discrimination Law)"
      Fordham University College of Law: Joel Reidenberg, Professor of Law, Fordham, "Internet Jurisdiction".
      Boston University, School of Law: Hillary Sale (Iowa), "Banks, The Forgotten (?) Partners in Fraud".
      George Washington University IP Series: F. Scott Kieff, Washington University - St. Louis School of Law, "Introducing a Case Against Copyright: A Comparative Institutional Analysis of Intellectual Property Regimes"
      Northwestern Tax Series: Howard Abrams, Professor of Law, Emory University, "The Section 734(b) Basis Adjustment Needs Repair".
      Oxford Financial Law Discussion Group: Andrew Whittaker, Current Issues in Financial Regulation.
      Oxford Public International Law Discussion Group: Penelope Simons, Corporate Voluntarism and Human Rights: The Adequacy and Effectiveness of Voluntary Self-Regulation Regimes.
      University of Michigan, Cyberlaw & Economics: Peter Swire, Ohio State, A Model for When Disclosure Helps Security: What is Different About Computer and Network Security?
    Friday, January 28
      Royal Institute of Philosophy (London): G A Cohen, Terrorism.
      Oxford, Said Business School (in conjunction with EU Research and Training Network and the Oxford Review of Economic Policy): Corporate Governance Conference.
      Oxford Globalisation & Sustainable Development Law Group: Speaker: H.E. Judge C. G. Weeramantry (Sri Lanka), Globalisation & Sustainable Development Law Lectures, 2005 Hilary Term : Sustainable Justice: The Role of International Law.
      UCLA Law: Rethinking Redistribution: Tax Policy in an Era of Rising Inequality.
        Faculty Moderator: Kirk J. Stark, UCLA School of Law Charlotte Crane, Northwestern University School of Law, Designing Taxes with Wealth in Mind: Some Original Understandings Ajay Mehrotra, Indiana University School of Law, Creating the Modern American Fiscal State: Progressive-Era Economists and the Intellectual Foundations of the U.S. Income Tax Commentator: Steve Bank, UCLA School of Law Marjorie Kornhauser, Tulane Law School, Choosing a Tax Rate Structure in the Face of Disagreement. Commentator: Eric Rakowski, UC Berkeley School of Law (Boalt Hall) Lawrence Zelenak, Duke Law School, Tax or Welfare? The Administration of the Earned Income Tax Credit Commentator: Lily Batchelder, NYU School of Law Jonathan Baron & Edward McCaffery, University of Pennsylvania and USC Law School The Political Psychology of Redistribution Commentator: William Blatt, University of Miami Law School Richard Bird & Eric Zolt, Rotman School of Management, University of Toronto and UCLA School of Law, Redistribution via Taxation: A New Perspective for Developing Countries Commentator: Arnold Harberger, UCLA Economics Department


 
Legal Theory Lexicon: Social Welfare Functions
    Introduction One of the key ideas in contemporary economic theory in general and law and economics in particular is the social welfare function. Law students without a background in economics might be put off by the fact that social welfare functions are expressed in mathematical notation, but there is no reason to be intimidated. The basic ideas are easily grasped and the mathematical notation can be mastered in just a few minutes. This post provided an introduction to the idea of the social welfare function for law students, especially first year law students, with an interest in legal theory. Here we go!
    Background
      Normative Economics The idea of a social welfare function is part of normative economics. There are several plausible formulations of normative economics, but almost all of normative economics begins with the fundamental idea of utility as a conception or measure of the good. Economists may disagree about the nature of utility, the relationship of utility to social welfare, and the role of welfare in public policy, but most (if not all) economists would assent to the abstract proposition that ceteris paribus more utility is a good thing. But this apparent agreement is at a very abstract and ambiguous level. There are many different ideas about what "utility" is.
      Cardinal and Ordinal Interpretations of Utility One key divide is between cardinal and ordinal interpretations of utility. An ordinal utility function for an individual consists of a rank ordering of possible states of affairs for that individual. An ordinal function tells us that individual i prefers possible world X to possible world Y, but it doesn't tell us whether X is much better than Y or only a little better.
      A cardinal utility function yields a real-number value for each possible state of affairs. If we assume that utility functions yield values expressed in units of utility or utiles, then individual's utility function might score possible world P at 80 utiles and possible world Q at 120 utiles. We might represent the utility function U of individual i for P and Q as follows:
        Ui(P) = 80 Ui(Q) = 120
      The distinction between cardinal and ordinal utilities is potentially important for utilitarianism, at least on certain interpretations. As a theory of evaluation, utilitarianism is the view that an action is the best action if and only if the action maximizes utility when compared with all possible alternative actions. For technical reasons, utilitarianism requires both cardinality and full interpersonal comparability. This point about utilitarianism is closely related to the history of welfare economics, the explicitly normative branch of economic theory.
      Measurement Problems Both cardinality and interpersonal comparability pose measurement problems for economists. Even in the case of a single individual, it is difficult to reliability measure cardinal utilities. Measurements that support interpersonal comparisons are even more difficult to justify, and cardinal interpersonal comparisons seem to require the analyst (the person making the comparison) to make a variety of controversial value judgments. Market prices won't do as a proxy for utility, for a variety of reasons including wealth effects. The challenge for welfare economics was to develop a methodology that yields robust evaluations but does not require the cardinal interpersonally comparable utilities.
      Pareto This is the point at which Pareto arrives on the scene. Suppose that all the information we have about individual utilities is ordinal and non-interpersonally comparable. In other words, each individual can rank order states of affairs, but we (the analysts) cannot compare the rank orderings across persons. The weak Pareto principle suggests that possible world (state of affairs) P is socially preferable to possible world (state of affairs) Q, if everyone's ordinal ranking of P is higher than their ranking of Q. Weak Pareto doesn't get us very far, because such unanimity of preferences among all persons is rare. The strong Pareto principle suggests that possible world (state of affairs) P is socially preferable to possible world (state of affairs) Q, if at least one person ranks P higher than Q and no one ranks Q higher than P. Unlike weak Pareto, strong Pareto does permit some relatively robust conclusions.
      The New Welfare Economics The so-called new welfare economics was based on the insight that market transactions without externalities satisfy strong Pareto. If the only difference between state P and state Q is that in P, individuals i1 and i2 engage in an exchange (money for widgets, chickens for shoes) where both prefer the result of the exchange, then the exchange is Pareto efficient. A state of affairs where no further Pareto efficient moves (or trades) are possible is called Pareto optimal. The assumption about externalities is, of course, crucial. If there are negative externalities of any sort, then the trade is not Pareto efficient.
      Weak Pareto and the Arrow Impossibility Theorem Weak Pareto plus ordinal utility information allows some social states (or possible worlds) to be ranked on the basis of everyone's preferences. A method for transforming individual utility information into such a social ranking is called a social utility function. Kenneth Arrow's famous impossibility theorem demonstrates that it is impossible to construct a social utility function that can transform individual ordinal rankings into a social ranking in cases not covered by weak Pareto, if certain plausible assumptions are made. Arrow's theorem has spurred two lines of development in welfare economics. One line of development relaxes various assumptions that Arrow made; for example, we might relax Arrow's assumption that the social ranking must be transitive (if X is preferred to Y and Y is preferred to Z, then X must be preferred to Z). The other line of development considers the possibility of allowing information other than individual, noncomparable ordinal utilities. It is this second line of development that is relevant to the use of social welfare functions in contemporary law and economics.
    Social Welfare Functions Suppose that we allow full interpersonal comparability and cardinal utility information. This is sufficient to support what are called Bergson-Samuelson utility functions, which have the form:
      W(x) = F (U1(x), U2(x), . . . UN(x))
    Where
      W(x) represents a real number social utility value for some state of affairs (or possible world) X,
      F is some increasing function that yields a real number,
      U1(x) is a cardinal, interpersonally comparable utility value yielded by some procedure for individual 1 for state of affairs X, and
      N is the total number of individuals.
    Bergson-Samuelson social welfare functions are named after Paul Samuelson and Avram Bergson.
    What Are the Plausible Social Welfare Functions? There are a variety of different possible functions that can be substituted for F. Here are some of the most important possibilities:
      Classical-utilitarian SWF--We could substitute summation for F, and simply add the individual utility values; this is sometimes called a Benthamite or classical-utilitarian social welfare function famously associated with Jeremy Bentham. The classical utility social welfare function can be represented as follows:
        W(x)={U1(x) + U2(x) + U(3(x) . . . Un(x)}
      Average-utilitarian SWF--The classical SWF adds the utilities. This raises some very interesting issues when the different states of the world (x or y) have different population sizes. When deciding whether to add additional individuals, the classical-utilitarian SWF says more is better until we reach the point where adding more actually reduces the overall level of utility. One way to avoid this implication is use the average level of utility instead of the sum, as in the following formula:
        W(s){[U1(x) + U2(x) + U(3(x) . . . Un(x)]/n}
      In other words, we divide the sum of utilities by the number of individuals!
      Bernoulli-Nash SWF--In the alternative, we could substitute the product function (¡Ç) and multiply individual utilities. This is sometimes called a Bernoulli-Nash social welfare function, which can be represented as follows:
        W(x)={U1(x) * U2(x) * U(3(x) . . . Un(x)}
      Rather than adding individual utilities, we multiply them! And yes, the "Nash" in Bernoulli-Nash is John Nash of "A Beautiful Mind" fame.
    What About the Problem of Interpersonal Comparison? Social welfare functions are much discussed in legal theory these days. One of the reasons for the contemporary debate over social welfare functions is that this approach has been championed by Louis Kaplow and Steven Shavell (both of the Harvard Law School). Their book, Welfare versus Fairness, has put the welfarist approach to normative economics "front and center."
    One of the interesting theoretical questons about SWFs concerns the problem of interpersonal comparison. How do we get the values to plug into U1(x), U2(x), and so forth. That is, how do we compare up with a way of putting my utility and your utility on the same scale. As I understand the state of play, this is not a topic on which economists agree. Some economists believe that there is no objective way of producing interpersonally comparable cardinal utility values. But some economists believe that a third-party (the legal analyst or the economist) can do the job of assigning values to individual utilities.
    Conclusion We've barely begun to scratch the surface of the many interesting theoretical issues that attend the use of social welfare functions in legal theory. Some of those issues were explored in a prior Legal Theory Lexicon entry on Balancing Tests. Even if you have absolutely no background in economics, there is no reason to shy away from the debates about social welfare functions. The notation, although at first intimidating, is actually very simple. The foundational ideas, although sometimes articulated in the jargon of economic theory, really go to fundamental questions in moral theory. I hope this post has given you the tools to begin to discuss these ideas!


Saturday, January 22, 2005
 
Legal Theory Bookworm The Legal Theory Bookworm recommends On Bullshit by Harry G. Frankfurt. Here is a description:
    One of the most salient features of our culture is that there is so much bullshit. Everyone knows this. Each of us contributes his share. But we tend to take the situation for granted. Most people are rather confident of their ability to recognize bullshit and to avoid being taken in by it. So the phenomenon has not aroused much deliberate concern. We have no clear understanding of what bullshit is, why there is so much of it, or what functions it serves. And we lack a conscientiously developed appreciation of what it means to us. In other words, as Harry Frankfurt writes, "we have no theory." Frankfurt, one of the world's most influential moral philosophers, attempts to build such a theory here. With his characteristic combination of philosophical acuity, psychological insight, and wry humor, Frankfurt proceeds by exploring how bullshit and the related concept of humbug are distinct from lying. He argues that bullshitters misrepresent themselves to their audience not as liars do, that is, by deliberately making false claims about what is true. In fact, bullshit need not be untrue at all. Rather, bullshitters seek to convey a certain impression of themselves without being concerned about whether anything at all is true. They quietly change the rules governing their end of the conversation so that claims about truth and falsity are irrelevant. Frankfurt concludes that although bullshit can take many innocent forms, excessive indulgence in it can eventually undermine the practitioner's capacity to tell the truth in a way that lying does not. Liars at least acknowledge that it matters what is true. By virtue of this, Frankfurt writes, bullshit is a greater enemy of the truth than lies are.


 
Download of the Week The Download of the Week is Objectivity in ethics: two difficulties, two responses by David Wiggins. Wiggins is one of the deepest and most interesting moral philosophers. Here is a taste from the paper:
    In Ethics: Inventing Right and Wrong, John Mackie subsumed the difficulties he claimed to see in the idea of ethical objectivity under two heads. First there was the metaphysical peculiarity of such things as values or obligations, this peculiarity importing the need to postulate a faculty of moral intuition for the detection of obligations and the value-properties G.E. Moore called non-natural properties. Secondly there was the “variability of some important starting points of moral thinking and their apparent dependence on actual ways of life” (49) ? “the well known variation in moral codes from one society to another and from one period to another, and also the difference in moral beliefs between different groups and classes within a complex community” (36). These difficulties are sharply stated and still on the record. Under the names Mackie gave them of queerness and relativity, they are still at work in philosophy.
This paper will be good for you!


 
Saturday Calendar
    University of San Diego, School of Law & University of California at San Diego, Department of Political Science and Graduate School of International Relations and Pacific Studies: "Administrative Law and Process in the U.S. and Abroad: Cross-Disciplinary Perspectives" (today & yesterday):
      9:30 – 12:30, Session III: Administrative Law and Process Beyond our Borders, Part 2.
        Panel chair (& discussant): Peter Cowhey Presenters:
          Thomas Ginsburg, “Administrative Law in Northeast Asia: Causes and Consequences of Judicialization” Yoav Dotan, “Making Consistency Consistent” Matthew Palmer, “Administrative Law and Constitutional Realism in New Zealand”
        Discussants:
          David Law Michael Thies
      2:30 – 5:30 Session IV: “Big Picture” Perspectives on Administrative Law and Process, Part 2
        Panel chair (& discussant): Mathew McCubbins Presenters:
          Martin Shapiro, “Some Free Associations on Administrative Judicial Review” Orly Lobel, “Interlocking Regulatory and Industrial Relations: The Governance of Workplace Safety” Jeeyang Baum, “Locking in or Cracking Open? A Reinterpretation of the U.S. Administrative Procedure Act” Rui de Figueiredo, “The Political Economy of State Level Administrative Procedure Acts”
        Discussants:
          Elizabeth Garrett Matthew Spitzer


Friday, January 21, 2005
 
Haque on Dan-Cohen Adil Ahmad Haque (Yale University - Law School) has posted The Harmless Thoughts of Meir Dan-Cohen on SSRN. Here is the abstract:
    The publication of Meir Dan-Cohen's collected essays provides a welcome opportunity to reflect on a career of innovative and influential scholarship in criminal law and legal philosophy. By addressing his works collectively I hope to unearth creative tensions between arguments framed at different times and in response to different concerns, tensions not visible when the arguments are taken one at a time. Part I of this Review discusses the essays Harmful Thoughts and Defending Dignity; Part II centers on Decision Rules and Conduct Rules: On Acoustic Separation in Criminal Law and Responsibility and the Boundaries of the Self; Part III turns to In Defense of Defiance and Conceptions of Choice and Conceptions of Autonomy. Each pair of essays reveals a tension within Dan-Cohen's ideas surrounding the purposes and limits of the criminal law and the meaning and value of human autonomy. I will attempt through an exploration of his ideas to sketch some of my own, ideas which preserve and synthesize his many insights while avoiding many of their conflicting implications. I only hope my discussion will be helpful and not merely harmless.


 
Friday Calendar
    Oxford Institute of European and Comparative Law: Stefan Vogenauer, Inaugural Lecture: A European Legal Method: Should We, Could We, Would We?
    University of San Diego, School of Law & University of California at San Diego, Department of Political Science and Graduate School of International Relations and Pacific Studies: "Administrative Law and Process in the U.S. and Abroad: Cross-Disciplinary Perspectives" (today & tomorrow):
      9:30 – 12:30 Session I: Administrative Law Beyond our Borders, Part I
        Panel chair (& discussant): Dan Rodriguez Presenters:
          George Bermann, “The Impact of EU Administrative Law on French Administrative Law” Francesca Bignami, “Creating Rights in the Age of Global Governance: Mental Maps and Strategic Interests in Europe” Peter Strauss, “Rulemaking in the European Union”
        Discussants:
          Matthew Palmer Martin Shapiro
      2:30 – 5:30, Session II: “Big Picture” Perspectives on Modern Administrative Law and Process, Part I
        Panel chair: Michael Rappaport Presenters:
          Mariano-Florentino Cuellar, “Rethinking Regulatory Democracy” Ed Rubin, Dangerous Clients: A Phenomenological Solution to Bureaucratic Oppression” Mark Seidenfeld, “Agency Decisions to Regulate”
        Discussants:
          Gerald Mackie Roger Noll Barry Weingast


 
Hathaway Debates Posner at Legal Affairs Alice Dong emails:
    In their forthcoming book, The Limits of International Law, Eric A. Posner and Jack L. Goldsmith argue that current international law reflects the self-interest of powerful nations and lacks the capacity to influence their actions. Enforcing the rules of institutions like the International Criminal Court that promote universal moral standards is, they argue, nearly impossible. But it's also widely believed that such law is essential in an increasingly globalized world. Is international law really powerless? In this week’s Legal Affairs Debate Club Oona Hathaway challenges Eric Posner on these issues. Here’s the link: http://www.legalaffairs.org/webexclusive/debateclub_.msp


Thursday, January 20, 2005
 
Thursday Calendar


 
The Internet is P2P Read Ed Felten's My Morning Pick-Me-Up about California Senate Bill 96, which is targeted at P2P filesharing software. Here is the key language from the bill:
    Any person or entity that sells, offers for sale, advertises, distributes, disseminates, provides, or otherwise makes available peer-to-peer file sharing software that enables its user to electronically disseminate commercial recordings or audiovisual works via the Internet or any other digital network, and who fails to exercise reasonable care in preventing use of that software to commit an unlawful act with respect to a commercial recording or audiovisual work, or a violation of Section 311.1, subdivisions (b), (c), or (d) of Section 311.2, Section 311.3, 311.4, 311.10, 311.11, or 502 is punishable, in addition to any other penalty or fine imposed, by a fine not exceeding two thousand five hundred dollars ($2,500), imprisonment in a county jail for a period not to exceed one year, or by both that fine and imprisonment.(b) As used in this section, "peer-to-peer file sharing software" means software that once installed and launched, enables the user to connect his or her computer to a network of other computers on which the users of these computers have made available recording or audiovisual works for electronic dissemination to other users who are connected to the network. When a transaction is complete, the user has an identical copy of the file on his or her computer and may also then disseminate the file to other users connected to the network.
The problem, of course, is that the Internet iself is a P2P program. What we call P2P programs simply provide a convenient interface for the capacities built into the architecture of the Internet itself. As Felten puts it:
    That definition clearly includes the web, and the Internet itself, so that any software that enabled a user to connect to the Internet would be covered. And note that it's not just the author or seller of the software who is at risk, but also any advertiser or distributor. Would TechDirt be committing a crime by linking to my TinyP2P page? Would my ISP be committing a crime by hosting my site?
Sometimes we say that the P2P genie is out of the bottle, but that really isn't quite accurate. The genie never was in the bottle; once the Internet existed, so did P2P.


 
Strauss on the Story of Overton Park Peter L. Strauss (Columbia Law School) has posted Citizens to Preserve Overton Park v. Volpe on SSRN. Here is the abstract:
    This essay is one of a series destined to appear in a Foundation Press book, Administrative Law Stories, now set for publication in the fall of 2005. The decision in Citizens to Preserve Overton Park v. Volpe represents a transition from political to judicial controls over decisions broadly affecting a wide range of community interests. Unmistakable and dramatic as it is, that transition is not universally applauded. But the transition was striking and quick. The late sixties and early seventies saw an explosion of new national legislation on social and environmental issues, that often provided explicitly or implicitly for citizen remedies. In many respects, Overton Park marked the turn. It was an example, as well, of the success of highly motivated recent law school graduates in contributing to major developments in national law. If for that reason alone, it is a fitting subject for a collection of essays intended to give students a more concrete sense of their subject. Stories are uniquely the product of a narrator's vision. For a case, like this one, that has appeared to different participants in remarkably different ways, what seems appropriate is to attempt to see how the course of events leading to decision in Overton Park might have appeared through a number of eyes. Of course, the reader has only one narrator; but he has attempted to people the pages of the essay and evoke their varying perspectives as faithfully as his research and capacity for empathetic understanding permit. Much of what follows draws on an earlier essay, Revisiting Overton Park, which appeared in the pages of the UCLA Law Review in 1992 and on the sensitive story-setting "reply" contributed by Prof. Lucie White. The release of the papers of Justices Blackmun, Brennan and Marshall for public view, and the availability of transcripts of oral argument in the United States Supreme Court library and litigation files in the possession of CPOP Attorney John Vardaman, have permitted supplementing the 1992 account.


 
Confirmation Wars Department Over at law.com, T.R. Goldman has a piece entitled Handicapping Bush's Judicial Nominations. Here's a taste:
    While it might seem that the same slate of nominees will mean the same stalemates and the same tired complaints from each side of the aisle, there are fissures beneath the surface that could open the logjam for at least a few of the nominees. A relatively simple compromise could be brokered with the White House that could free up as many as four judges on the 6th U.S. Circuit Court of Appeals. And a few other judges might get a pass if Democrats get something worthwhile in return. In addition, there is the new chairman of the Senate Judiciary Committee, Arlen Specter, R-Pa., who says that he wants to bring his Democratic colleagues into the nominations process.


Wednesday, January 19, 2005
 
Conference Announcement: Some Modest Proposals 2.0
    Some Modest Proposals 2.0 A Conference About Pouring Academic Ideas Into Legislative Bottles Thursday-Friday, February 24-25, 2005 Benjamin N. Cardozo School of Law, 55 Fifth Avenue, NYC, NY 10003 In "Modest Proposals," we invite academics known for advocating thoughtful ways to improve intellectual property, technology, and information law to present ideas from their writing in the form of actual statutory, regulatory, or treaty language. The proposal then receives both scholarly and political commentary in a free-wheeling discussion among professors, current and former Capitol Hill staff, Administration officials, and Washington activists. This year, Modest Proposals 2.0 will have a set of copyright, patent, and privacy law proposals -- and a stellar cast of participants, including many of the founding participants from our first Modest Proposals. Agenda Thursday, February 24, 2005 12:30pm, Registration 1:00pm – 2:30pm, Repairing Copyright’s Fair Use, Michael Madison 2:45pm – 4:15pm, Gag Rules and Information Flows: Or, How to Do Secret Surveillance in an Open Society, Peter Swire 4:45pm – 6:15pm, Patent Law, Drugs, and the Health Crisis in the Developing World, William Fisher III & Talha Syed Friday, February 25, 2005 8:30am – 9:30am, Continental Breakfast 9:00am – 10:30am, A Notice Requirement for DMCA Anti-Circumvention Rules, Pam Samuelson 10:45am – 12:15pm, Patent Fair Use, Dan Burk 2:00pm – 3:30pm, Treating Online Surveillance Like a Wiretap, Susan Freiwald


 
Strauss on Statutes that are not Static Peter L. Strauss (Columbia Law School) has posted Statutes that are not Static - The Case of the APA (Journal of Contemporary Legal Issues, Vol. 14, No. 2, February 2005) on SSRN. Here is the abstract:
    Judges interpreting statutes evidence a certain ambivalence whether they are interpreting the texts before them as artifacts whose meaning was fixed as of their date of enactment, or as present-day texts whose meaning may be shaped by subsequent events – whether intervening judicial decisions, or the adoption of new statutes (as distinct from amendments, an easy case) whose instructions bear on the issues they present. Vermont Yankee Nuclear Power Corp. v. Natural Resources Defense Council stridently referred the meaning of the Administrative Procedure Act's rulemaking provision back to the political compromise struck at its enactment in 1946; the opinion insisted that judges are not free to vary its terms by common-law improvisations based on their reasoning about the procedural needs of contemporary rulemaking. Motor Vehicle Mfrs' Assn v. State Farm Mutual Auto Ins. Co. almost as impatiently dismissed the argument that judicial standards for reviewing agency rulemakings are those that prevailed when the APA was enacted (equating review of rulemaking with highly permissive review of economic legislation), rather than the "hard look" understandings that had grown up in the 1970s, primarily in the D.C. Circuit. The particular tension has long been a puzzle for administrative law scholars; yet it seems to reflect a general unease about how judges ought best interpret Congress's words as they age. This essay explores that tension, first in the context of thoughts about the judicial-legislative interface appearing in the literature, both today's and yesterday's, and then using the concrete APA example. It argues that in its very occasional forays into the construction of particular statutes, the Supreme Court should accord substantial weight to contemporary consensus the profession and lower courts have been able to develop in interpreting law. The dominant characteristic of particular statutory issues in the Court today is that they are very infrequently, and usually tardily, presented. The Court's certiorari choices, like the contemporary Congress's legislative choices, are driven by the disputes that are live and important at any given moment. If the uncontroversial does not command the Court's attention, it nonetheless becomes a part of the living law known to lawyers advising clients, to Congress choosing its legislative opportunities, to agencies deciding how to make procedural choices, and to lower courts that cannot so easily evade the responsibilities of decision. Were the Court honestly to face the implications of its reservation of authority to choose which statutory issues to consider, it might conclude that its refusal to credit intervening statutory and lower court case-law developments, more than its insistence on a static view of original meaning, profoundly mistakes its proper contemporary role.


 
Stark on Objections to Endowment Taxation Kirk J. Stark (University of California, Los Angeles - School of Law) has posted Enslaving the Beachcomber: Some Thoughts on the Liberty Objections to Endowment Taxation (Canadian Journal of Law & Jurisprudence, January 2005) on SSRN. Here is the abstract:
    Conventional wisdom among contemporary liberal egalitarians is that taxing individuals according to their "endowment" or "earnings capacity" would constitute an unacceptable intrusion on basic human liberties. In effect, the argument goes, such a scheme would result in a type of slavery - in order to pay the tax, people would be forced to accept jobs commensurate with their identified levels of endowment. For example, John Rawls argued that an endowment tax "would force the more able into those occupations in which earnings were high enough for them to pay off the tax; it would interfere with their liberty to conduct their life within the scope of the principles of justice…" This Article examines the Rawlsian objection to endowment taxes and considers whether it can be distinguished from the libertarian claim, advanced most famously by Robert Nozick, that taxation of earnings is unjust because it is "on a par with forced labor." The Article's principal claim is that unless one assigns greater moral value to non-market activities than to market activities (a position arguably in tension with the liberal principle of neutrality as between alternative visions of the good life), there is no difference in kind or in degree between the interference with liberty occasioned by the two types of taxes. It follows from this analysis that if one accepts Rawls's argument regarding endowment taxes, one must also accept Nozick's argument regarding wage taxes. This conclusion presents the liberal egalitarian with a dilemma: she must either (1) embrace endowment taxes as a moral ideal, rejecting the liberty concerns expressed by Rawls and others, or (2) join Nozick in renouncing the ordinary taxation of earnings, a move that would substantially weaken her commitment to egalitarian outcomes. The purpose of the Article is not to resolve this dilemma, but rather to expose some of the tensions inherent in the liberal egalitarian framework and to suggest that consideration of these tensions is necessary to the development of a more satisfactory liberal egalitarian position on questions of taxation and distributive justice. Toward that end, an alternative framework is suggested for assessing the liberty cost of taxation. It is contended that all taxes - whether on income, consumption, wealth, endowment or other tax bases - interfere with individuals' pursuit of the good life. For any given level of revenue to be raised through taxation, the recognition and protection of a liberty interest in one type of activity will simply increase the liberty costs associated with unprotected activities. The liberal instinct to shield non-market activity from taxation does not reduce the liberty cost of taxation, but rather merely shifts it to those whose conceptions of the good life involve the use of markets. This is not to suggest that a concern for personal autonomy should not inform our choice of tax institutions, but rather that the question may ultimately be one of distribution. That is, in fashioning a tax system, how best can we allocate the benefit of being free from taxation's inevitable interference with personal autonomy.


 
Book Announcement: Morton White's From a Philosophical Point of View
    From a Philosophical Point of View: Selected Studies Morton White To read the entire book description or a sample chapter, please visit: http://pup.princeton.edu/titles/7900.html One of the most important philosophers of recent times, Morton White has spent a career building bridges among the increasingly fragmented worlds of the humanities, social sciences, and natural sciences. From a Philosophical Point of View is a selection of White's best essays, written over a period of more than sixty years. Together these selections represent the belief that philosophers should reflect not only on mathematics and science but also on other aspects of culture, such as religion, art, history, law, education, and morality. And here is a taste from Chapter One:
      Soon after that I began thinking seriously about Quine's view that epistemology is a branch of psychology; this line of thought led me to believe that the philosopher may view moral thinking in a holistic way and therefore should not limit holism to thinking in natural science. From this I concluded that Quine was on the wrong track when he said, as Carnap had, that philosophy of science is philosophy enough. I also came to realize that James's psychologically oriented investigations of religious experience and Dewey's of artistic creation were philosophical even though they were not exclusively concerned with language, and I saw the error of Wittgenstein's view in his Tractatus that "Psychology is no nearer related to philosophy than is any other natural science."1 This position allowed me to see that philosophy of religion, philosophy of art, philosophy of law, philosophy of history, and philosophy of politics are coordinate with the philosophy of natural science, thereby buttressing a view I had already expressed. In an essay published in the early 1950s,2 I had observed that although there were many mansions in philosophy, the more splendid ones housed metaphysics, logic, epistemology, and ethics, which lived on a commanding hilltop, while somewhere downtown were the two-family dwellings for political philosophy and jurisprudence, the small apartments for esthetics, and the boardinghouses for philosophers of the special sciences. In reaction to this invidious ordering of the philosophical disciplines, I came to think that a more democratic division of housing should be devised, one that provided better quarters for the deprived disciplines. After I came to believe that metaphysics and epistemology were empirical disciplines, I had an even stronger reason for urging this reapportionment since I came to see more clearly that those privileged parts of philosophy could not defend their conclusions by a priori methods. I also came to believe that ethics may be viewed as empirical if one includes feelings of moral obligation as well as sensory experiences in the pool or flux into which the ethical believer worked a manageable structure (to use a James-like figure that Quine had once used when characterizing the purpose of science).
    Cloth | $45.00 / £29.95 | ISBN: 0-691-11959-7


Tuesday, January 18, 2005
 
Tuesday Calendar
    NYU Legal History: James Jacobs, Chief Justice Warren E. Burger Professor of Constitutional Law and the Courts, NYU School of Law.
    Vanderbilt University Law School: Burch Lecture, Professor Erik Jayme, Institute for Foreign, International, Private & Economic Law, Heidelberg.