Doctoral Dissertation Research: Translating Rules and the Rule of Law into Local Practices

博士论文研究：将规则和法治转化为地方实践

• 批准号: 1628301
• 负责人: Kim Lane Scheppele
• 金额: $ 2.52万
• 依托单位: Princeton University
• 依托单位国家: 美国
• 项目类别: Standard Grant
• 财政年份: 2016
• 资助国家: 美国
• 起止时间: 2016-09-01 至 2018-08-31
• 项目状态: 已结题
• 来源: https://www.nsf.gov/awardsearch/showAward?AWD_ID=1628301&HistoricalAwards=false
• 关键词: Doctoral; Dissertation; Research; Translating; Rules

This project analyzes how international organizations advance the rule of law when they lack the financial and military capacity to enforce their authority. The project asks: How do legal cultures emerge so that law, though distantly created, becomes a local resource invoked by community members and routinely vindicated in court? Translating 'paper laws' into behavior on the ground is critical for all legal systems, but it is a particular challenge for federal, decentralized polities that lacks a military, an independent tax system, and a large bureaucracy. Such polities might rely on communities of lawyers, judges, legal academics, and civic associations to sustain the local operation of the law, particularly in cities, where most courts and litigants are located. Focusing on the European Union (EU) -- one of the most successful international organizations of the modern era -- and using a comparative historical analysis of how legal professionals across a set of European cities have organized to practice EU law, the project examines the diverse motives, organizational practices, and institutional constraints faced by these actors: How does local socio-economic context shape their motivations to invoke EU law? How do they promote awareness of EU law and amass the financial resources to vindicate it in court? And how does the organization of the domestic judiciary shape their ability to effectively secure the EU rights of local citizens? The resulting findings support comparative research into the variable uptake of legal rules in federal polities, where comparisons between the EU and the United States are particularly appropriate. That is, by analyzing how legal rules come to be practiced by local communities of legal professionals, the project identifies the various ways in which individual rights and the equal application of the law can be secured in diverse and decentralized legal systems.A combination of interview, archival, and quantitative evidence, amassed via twelve months of fieldwork, will be leveraged to answer these questions. Preliminary research has already leveraged GIS technology and fieldwork in Italian cities to demonstrate that local engagement with EU varies at the city-level; additional fieldwork will assess the mechanisms underlying this variation and the generalizability of the findings to countries with diversely organized judiciaries. In this light, this project first leverages geocoded EU litigation data to select Italian cities where additional archival work can be conducted and key legal practitioners interviewed to probe how they understand EU law, what local supports exist for EU litigation, whether distinct local 'styles' of EU legal practice have crystallized, and how these practices evolve over time. Fieldwork will assess the hypothesis that local institutions -- such as universities and lawyers' associations -- entrench distinct city-level patterns of engagement with EU law depending on their ability to diffuse awareness of EU rules and to mobilize the material resources to vindicate them in court. To do so, EU litigation in northern Italian cities -- long boasting resource-rich, large-law-firm litigation support structures -- will be compared to EU litigation in southern cities, where institutions promoting EU legal practice have only recently been founded to train the many solo-practitioners there. Fieldwork will also identify how local, state, and EU actors shape the local litigation support structure necessary to participate in the EU legal system. To then determine whether Italian patterns of subnational engagement with EU law extend to different judicial systems, additional archival work and interviews in select French cities -- embedded within a more centralized judicial hierarchy than Italy's -- and German cities -- embedded within a more decentralized judiciary than Italy's -- will be conducted.

该项目分析了国际组织在缺乏财政和军事能力以加强其权威的情况下如何推进法治。该项目的问题是：法律文化是如何出现的，使法律虽然产生得很遥远，但却成为社区成员援引的一种本地资源，并经常在法庭上被证明是正确的？将“纸面法律”转化为实际行动对所有法律制度都至关重要，但对于缺乏军队、独立的税收系统和庞大官僚机构的联邦分权政治来说，这是一个特别的挑战。这种政策可能依赖于律师、法官、法律学者和公民协会的社区来维持法律的当地运作，特别是在大多数法院和诉讼当事人所在的城市。该项目聚焦于欧洲联盟(EU)--现代最成功的国际组织之一--并使用一系列欧洲城市的法律专业人员如何组织起来实践欧盟法律的比较历史分析，考察了这些行为者面临的不同动机、组织做法和制度限制：当地的社会经济背景如何塑造他们援引欧盟法律的动机？他们如何提高对欧盟法律的认识，并积累财政资源在法庭上为其辩护？国内司法机构的组织如何塑造他们有效保障欧盟当地公民权利的能力？由此得出的结果支持了对联邦政治中对法律规则的不同理解的比较研究，在联邦政治中，欧盟和美国之间的比较尤其合适。也就是说，通过分析当地法律专业人士社区如何实践法律规则，该项目确定了在多样化和分散化的法律体系中保障个人权利和平等适用法律的各种方式。通过12个月的实地调查收集的访谈、档案和定量证据的组合，将被用来回答这些问题。初步研究已经利用地理信息系统技术和在意大利城市的实地调查证明，地方与欧盟的接触在城市一级有所不同；更多的实地调查将评估这种差异背后的机制，以及调查结果对司法机构组织不同的国家的普及性。有鉴于此，该项目首先利用地理编码的欧盟诉讼数据来选择意大利城市，在这些城市可以进行额外的档案工作，并采访关键的法律从业人员，以探索他们如何理解欧盟法律，当地对欧盟诉讼的支持是什么，欧盟法律实践的不同地方“风格”是否已经具体化，以及这些做法是如何随着时间的推移而演变的。实地调查将评估这样一种假设，即地方机构--如大学和律师协会--根据其传播对欧盟规则的认识并调动物质资源在法庭上为其辩护的能力，在城市层面巩固与欧盟法律接触的独特模式。为此，欧盟在意大利北部城市的诉讼--长期以来拥有资源丰富的大型律师事务所诉讼支持结构--将与欧盟在南部城市的诉讼进行比较，在南部城市，促进欧盟法律实践的机构最近才成立，以培训那里的许多独立从业者。实地调查还将确定地方、国家和欧盟行为者如何塑造参与欧盟法律体系所需的当地诉讼支持结构。为了确定意大利地方参与欧盟法律的模式是否延伸到不同的司法系统，将在选定的法国城市和德国城市进行额外的档案工作和面谈，这些城市嵌入了比意大利更集中的司法体系，德国城市嵌入了比意大利更分散的司法体系。