Morality, social norms and the rule of law as transaction cost-saving devices: the case of ancient Athens

The importance of the institutional framework for economic development is widely accepted today and it is duly stressed in the economic literature. The protection of property rights, the enforcement of contracts and an efficient legal system are the pillars of the contemporary rule of law. However, formal institutions cannot function without being internalized by the citizens and without the strong backing of social norms. Morality and social norms are the major elements of the informal institutional structure, the social capital, which is also critical for social welfare and economic development. In this paper we will discuss both the formal and the informal institutional framework of Ancient Athens, which was a free market society with economic problems similar to contemporary market societies. Athenians developed a highly sophisticated legal framework for the protection of private property, the enforcement of contracts and the efficient resolution of disputes. Such an institutional framework functioned effectively, cultivating trust and protecting the security of transactions. This entire system however was based on social norms such as reciprocity, the value of reputation and widely accepted business ethics. Conformity to social norms as well as moral behavior was fostered by social sanction mechanisms (such as stigma) and moral education. The Athenian example is a further proof of the importance of morality and social norms as transaction cost-saving devices even in quite sophisticated legal systems. Their absence or decline leads inevitably to the need for more regulation and litigation and to a growing preference for clear-cut rules instead of discretionary standards. Athenian law was pioneering in the development of rules and institutional mechanisms suitable for the reduction of transaction costs, many of them surviving in the most complex contemporary legal systems.     

Social and legal control in China: a comparative perspective

This article exposes the reader to a different social and legal control system and a different way of thinking about crime--that of China. Chinese think positively about the nature of humans and their potential, and China's social control system weaves together a unique combination of formal and informal mechanisms with a strong emphasis on the latter. The criminal justice system constitutes a key element of the social control system, but it appears to be more of a last resort. It is hoped that through a comparative analysis, the reader can develop a deeper understanding of different social and legal systems.     

What happens when a reform works? The need to study unanticipated consequences of mandatory processing of domestic violence

One of the primary facets of the sociology of law is concerned with the relationships between formal rules and regulations having the force of governmental social control and the values, norms and practices of those who enforce them (or not). This “law in action” perspective enables research to test out the differential impact on legal decisions of both formal and informal aspects of social control (Hawkins, 1992). One of the limitations of recent work on domestic violence is that it focuses too narrowly on one or two negative sanctions, e.g., arrest or restraining orders, to the exclusion of the other options and the mix of formal and informal decisions in the criminal justice system as a whole (Reiss, 1974). This research attempts through a close analysis of the workings of the Quincy, Massachusetts criminal justice system in response to domestic violence, to identify the consequences, unanticipated and anticipated, of decisions made in several domains (public, police, prosecutors, and courts) of the criminal justice system. This study uses in-depth interviews with batterers, victims and criminal justice agency and related personnel as well as agency policies, training materials and records to examine possible unintended consequences of aggressive intervention in cases of domestic violence. This study will explore the impact of the Quincy Domestic Violence Program, considered to be a national model, on the lives of victims and offenders who are treated by the court. We have selected the District Court at Quincy, Massachusetts as our research site. It has a well deserved national reputation treating abusers systematically from the initial intake by arresting officers through close supervision in probation.     

Semiformal Organizations and Control During the COVID-19 Crisis in China

Scholars often compare China and Western societies in terms of dichotomous forms of control—formal and informal. Recent research indicates a nuanced form of social control—semiformal. Using a survey data collected during the 2020 COVID-19 pandemic in China, this study investigated the prevalence and importance of semiformal organizations, formal organizations, and informal groups participating in social control and social service and the predictors of the perceived importance of these three forms of social control mechanisms. Findings from this study revealed that formal organizations, the semiformal organizations, and informal groups all participated in community control and service. Semiformal organizations had the highest level of participation. This study found that education and age are the two major predictors of the views on the importance of formal, informal, and semiformal control and control mechanisms.

     

DIRECTLY INTERVENE OR CALL THE AUTHORITIES? A STUDY OF FORMS OF NEIGHBORHOOD SOCIAL CONTROL WITHIN A SOCIAL DISORGANIZATION FRAMEWORK*

Informal social control is a central concept in the contemporary social disorganization literature, and much attention has been directed at examining community characteristics related to variation in the quantity of informal social control across communities. However, considerably less attention has been paid to variation in forms of informal social control. This study examines the extent to which neighborhood characteristics are related to residents’likelihood of using two different forms of informal social control: direct informal social control (i.e., through direct intervention) and indirect informal social control (i.e., through mobilizing formal authorities). Data for this study are based on surveys of residents in 66 neighborhoods. The analysis uses hierarchical modeling to examine whether neighborhood characteristics central to contemporary social disorganization theory have similar effects on these two forms of neighborhood social control. Findings indicate that social ties increase the likelihood of direct informal social control but not indirect informal social control, whereas social cohesion and trust decreases indirect informal social control but does not have a significant effect on direct informal social control. Faith in the police is not found to affect either form of informal social control. These findings are discussed in terms of current issues in contemporary social disorganization theory.     

Ruling by Favors: Prison Guards' Informal Exercise of Institutional Control

This ethnographic research addresses the control strategies employed by Norwegian guards in everyday interactions with inmates under institutional conditions in which the use of official negative sanctions is restricted. The article explains how a complicated informal system of favors develops that forms a new basis for punishment through the withdrawal of rewards. By distributing favors liberally, giving an inmate only what he is entitled to serves as a substitute for negative sanctions. Inmates are not opposing the informal system, and its effect on ensuring institutional control does not challenge the intentions of formal prison rules. Still, the informal system must be monitored and protected against overuse by inmates and must also be kept hidden from the officials making up the prison administration who oppose all departures from the official rules.     

行政立法非正式听证研究

行政立法正式听证与非正式听证的实质性区别在于行政立法主体受听证笔录拘束的程度。基于行政立法自身的特点,行政立法应当更多地采用非正式听证。任何行政程序都需要有具体程序制度的支持,因此,应当建立支持行政立法非正式听证的各项具体制度,包括公告制度、评议制度、相对案卷排他制度和效力制度等等。     

Correlates of Formal and Informal Social Control on Crime Prevention: An Exploratory Study among University Students, Andhra Pradesh, India

Societies control crime through a variety of both formal and informal methods, and the balance between these methods varies widely by culture. This exploratory study surveyed a convenience sample of 434 students attending a university in Andhra Pradesh, India, in order to examine their social control views. Although there was strong support for both forms of social control, informal control mechanisms (family, neighbors/neighborhood, and peers) were more likely to be ranked higher in importance than formal control mechanisms (courts, police, and correctional facilities). Ordinary ordinal regression and ordinary least squares regression results indicated that views on shaming and group punishment were related to the views of formal and informal control. Further research is needed to examine the forces that shape the formal and informal crime control views of Indian citizens.     

DENSITY, DELINQUENCY, AND DESIGN Formal and Informal Control and the Built Environment

This study reviews the literature concerning the general impact of the physical environment on social disorganization, crime, and juvenile delinquency, with a specific focus on the relationship between household density, building density-design, and juvenile delinquency. Two perspectives on control are shown to have developed in an environmental context. One emphasizes the capacity of the built environment to impair informal social control, and the other focuses on the attraction of the same environments for agents of formal social control (the police). A path model is presented. showing that building density-design is an independent predictor of marijuana use and supporting the view that the physical environment can affect informal control. The model also shows that building density-design is a significant predictor of police presence. thus giving empirical support to the notion that the physical environment can affect formal control.     

Formal and informal pharmaceutical economies in Third World countries: Synergetic, symbiotic or parasitical?

Informal economy functions without any formal social control for lack of a supervisory authority. Within a regulated locality the same activities would have an illegal character, but in that deviating situation those informal activities can thrive because the authorities do not intervene. Globalization of our western mixed market economy implies that also the aspect of government control takes on a global character. The fact that formal economies settle in places where an informal market is the rule leads to a combined action which, eventually, creates new market relations. In the present contribution we study the effects of a meeting between a formal and an informal market on the basis of a concrete case. An analysis of the market of medical products in Third World countries gives an idea of the new relations that arise when an informal market of natural medicines is confronted with a formal market of western medicines. We study both the situation in which there are no regulations and the situation in which the formal market is supported by economic regulations. This text illustrates how those situations can give rise to new opportunities for one group and to exploitation for another.     

法律、民生与民间规则——兼论两岸交流制度中民间规则的作用

法律是社会交往和社会需要的产物,因之,法律也是主体交往中日常生活的公共产品。它不仅作用于人们日常的物质生活,而且也作用于人们的精神生活。更重要的是,法律作为正式制度,还缔造着人们的制度生活。但法律的规定并不是完全自足的,一方面,需要关注作为非正式制度的民间规则的作用,另一方面,当法律规定有所遗漏,或者法律规定对公民的日常生活不能调整、规范时,民间规则对救济法律的不足,就可能会派上用场。甚至即使法律对相关社会关系有所规定,在实践中也免不了法律和民间规范相互交叠地发挥作用。基于这种认识,在两岸有关民生的交流中,应当把民间规则纳入保障两岸民生、促进两岸往来的重要社会因素中。     

POLICE SUBCULTURE RECONSIDERED

Most comprehensive discussions of the police acknowledge the inability of legal and bureaucratic regulations to determine officer behavior. Attention is turned instead toward the informal norms developed within the police subculture. These discussions, however, tend to overstress the chasm between the formal and informal. They also provide inadequate tools for understanding differentiation, conflict, and change within police departments. I address these shortcomings here by mobilizing a particular conceptualization of the term "normative order"—as a set of rules and practices oriented around a central value. Six such orders are crucial to policing: law, bureaucratic control, adventure/machismo, safety, competence, and morality. I illustrate the importance of each by drawing upon ethnographic observations of the Los Angeles Police Department, and explain how my conceputalization offers a comprehensive yet flexible means to understand the social world of policing.     

For Better or Worse? Gender and Perceptions of Formal and Informal Justice Systems in Afghanistan

We draw on survey data from a national probability sample of 6,406 Afghan adults (aged 18 years and older) to explore gender differences in the perceptions of formal and informal justice systems. The study utilizes binary logistic regression to probe whether men and women differ in their attitudes and the extent to which other factors may mediate both within– and across–ethnic group differences. We find that women have more confidence in the formal system than their male counterparts, whereas the opposite is true for the informal system. The scholarly and policy implications of these results are discussed.     

Sensemaking in prison: Inmate identity as a working understanding

This study examines some of the ways in which correctional officers construct, communicate, and defend a shared account of inmate identity in a maximum-security prison. Through sensemaking activities embodied in informal conversational routines, correctional officers produce a working understanding of the prisoner that is a central element in the reproduction of social control in the prison. The data suggest that challenges to the dominant assumptions embodied in key sensemaking categories may be met by a variety of defensive strategies. These strategies are embedded in the informal conversational routines of the group. Through the selective use of official records, by reframing tolerance as a social control strategy, and through participation in acts of ritual insubordination, correctional officers maintain a working understanding of the inmate that is demeaning, derogatory, and ultimately stereotypical. This research contributes to our understanding of occupational culture in the justice system, and to a fuller appreciation of sensemaking processes in formal organizations.     

Predictors of desistance among sex offenders: The interaction of formal and informal social controls

Increasing attention is being given to the issue of desistance or cessation in adult criminal careers. We contribute to this research by considering how informal and formal social controls affect recidivism among 556 sex offenders placed on probation in 1992. We conduct an event history analysis of reoffense, based on the predictions of Sampson and Laub's and Gottfredson and Hirschi's control theories. We build on these perspectives by examining how informal social controls condition the effects of formal social controls generally and across offense types. We find less recidivism among offenders with stable job histories, particularly among those in court-ordered sex offender treatment. The results add both to theoretical formulations concerning desistance and recidivism and to policy formulations directed at growing prison populations.     

A Hard-to- Escape Situation Informal Pacts,Kingpin Strategies,and Collective Violence in Mexico

Mexico has for an extended period been experiencing homicide rates above, or close to, epidemic levels. Instead of examining why formal institutional reform geared at strengthening democracy has not helped to foment peace and security, as most of the research on collective violence in Latin America and the Caribbean does, this paper focuses on the gap between formal and informal institutions, and continuities rather than points of rupture. I argue that in Mexico, there is a gap between formal institutions (which define how the country should be) and informal institutions (which constrain actual strategic choices). I apply a path-dependence approach to examine what factors have been reproducing collective violence over time, finding that the prevalence of protection rackets (operated by non-state actors at the subnational level) and the use of kingpin strategies (both by state and non-state actors) explain collective violence in the past but also in the present. In the past decades, informal pacts and kingpin strategies have changed in Mexico, but they have survived and adapted to the new formally democratic institutional setting. For the period 1989-2017, I identify three critical junctures that changed the rules of the game, four mechanisms of inertia, and two factors of lock-in that make it difficult to reduce collective violence.     

走出关系社会的法治

我国社会正面临着走出关系社会的过程。关系社会的社会控制方式是以各种非正式制度为主。在关系社会转变的过程中 ,一方面社会需要建立法治 ,另一方面关系社会遗留的非正式制度仍然对社会产生着影响 ,某些部分和法治原则根本冲突 ,这是推行法治遭受阻力的原因。在我国的法治建设中应对非正式制度加以区别对待 ,不能过于妥协。     

Managing Cartels: how Cartel Participants Create Stability in the Absence of law

Firms enter cartels (e.g. price-fixing; bid-rigging) in order to control market uncertainties and gain collusive profits, but face challenges in controlling the cartel itself. A challenge for business cartels is how to organise collective illegal activities without the use of formal control, such as binding legal contracts or arbitration. While one might expect that a lack of formal legal control leads to mutual conflicts and opportunistic behaviour resulting in short-lived cartels, firms often manage to continue their illegal conduct for years. This raises questions as to how firms organise their cartels in the absence of legal means. This article addresses how informal coordinating mechanisms enable cartel stability outside the scope of formal legal control. Based on an in depth study of 14 Dutch cartels, this article shows the importance of informal social mechanisms to coordinate, monitor, enforce, and compensate for the longevity of business cartels. Furthermore, the results emphasise that in order to explain cartel stability, social mechanisms that induce trust need to be considered.     

非正式规则与法治:“中国难题”的挑战

主流观点认为,中国法治建设的最大动力和最大希望都来自对经济发展的追求,但是“中国难题”对此提出了挑战,其对非正式规则在中国经济发展中的正面意义的肯定,切断了法治发展的“社会基础论”的逻辑链条.非正式规则的流行及国家层面上的附和不仅弱化了自下而上推动法治变革的意愿,也同样阻碍了法治在“顶层设计”的突破.非正式规则虽然在一定时期内能够承担推动经济发展的功能,但是却可能造成多种法治缺陷,甚至可能使正式制度长期受到压抑,无法突破僵局.     

Regulating and Combating Underground Banking

In combating and regulating underground banking, a choice can be made of roughly two models, the risk model and the assimilation model. The risk model comes down to a complete prohibition of underground banking combined with an active investigation and prosecution policy. In the assimilation model, underground banking is recognised as a form of financial services but at the same time, all rules that generally apply to financial services are declared applicable to underground bankers. An effort is made simultaneously to lower the threshold of the formal banking system. The international recommendations and legislation—in particular of the Financial Action Task Force and the European Union—take the assimilation model as their starting point, albeit that no or hardly any attention is paid to the role of the formal banking system. With that, relatively little account is taken as yet in the international community of the historic and socio-economic backgrounds of informal banking systems, their embedment in different cultures and the advantages of the services offered. Professor of Criminal Law and Criminal Procedure, VU University Amsterdam, Faculty of Law, Department of Criminal Law and Criminology.