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The Scope of Punishment: An Economic Theory of Harm-Based vs. Act-Based Sanctions

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Author Info
Garoupa, Nuno
Obidzinski, Marie

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Abstract

The harm caused by many acts is not certain but probabilistic. Current public enforcement of the law combines harm-based sanctions (usually in criminal law) with act-based sanctions (very common in administrative law and regulation). We propose an economic theory of the choice between harm-based and act-based sanctions in public enforcement. The efficiency of act-based versus harm-based sanctions is analyzed and a typology of the determinants is drawn up. In the simple model with risk neutral offenders, both legal policies have the same deterrent level, but act-based sanctions end up punishing more people and the sanctions are lower. However when the assessment of the probability of harm diverges across individuals, the choice between harm-based or act-based sanctions depends on whether it is the enforcer or the average individual who is better informed. Legal policy implications are discussed.

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Paper provided by C.E.P.R. Discussion Papers in its series CEPR Discussion Papers with number 5899.

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Date of creation: Oct 2006
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Handle: RePEc:cpr:ceprdp:5899

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Related research
Keywords: act-based sanction; harm-based sanction; uncertain harm;

Find related papers by JEL classification:
K4 - Law and Economics - - Legal Procedure, the Legal System, and Illegal Behavior

This paper has been announced in the following NEP Reports:

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  1. Steven Shavell, 1983. "Liability for Harm Versus Regulation of Safety," NBER Working Papers 1218, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
  2. Shavell, Steven, 1990. "Deterrence and the Punishment of Attempts," Journal of Legal Studies, University of Chicago Press, vol. 19(2), pages 435-66, June.
  3. Innes, Robert, 2004. "Enforcement costs, optimal sanctions, and the choice between ex-post liability and ex-ante regulation," International Review of Law and Economics, Elsevier, vol. 24(1), pages 29-48, March. [Downloadable!] (restricted)
  4. Gary S. Becker, 1968. "Crime and Punishment: An Economic Approach," Journal of Political Economy, University of Chicago Press, vol. 76, pages 169. [Downloadable!] (restricted)
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  5. Friedman, David D, 1991. "Impossibility, Subjective Probability, and Punishment for Attempts," Journal of Legal Studies, University of Chicago Press, vol. 20(1), pages 179-86, January.
  6. Shavell, Steven, 1993. "The Optimal Structure of Law Enforcement," Journal of Law & Economics, University of Chicago Press, vol. 36(1), pages 255-87, April.
  7. A. Mitchell Polinsky & Steven Shavell, 2000. "The Economic Theory of Public Enforcement of Law," Journal of Economic Literature, American Economic Association, vol. 38(1), pages 45-76, March. [Downloadable!] (restricted)
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  8. Mookherjee, Dilip & Png, I P L, 1992. "Monitoring vis-a-vis Investigation in Enforcement of Law," American Economic Review, American Economic Association, vol. 82(3), pages 556-65, June. [Downloadable!] (restricted)
  9. Dhammika Dharmapala & Nuno Garoupa, 2004. "Penalty Enhancement for Hate Crimes: An Economic Analysis," American Law and Economics Review, Oxford University Press, vol. 6(1), pages 185-207.
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  10. Polinsky, Mitchell & Shavell, Steven, 1979. "The Optimal Tradeoff between the Probability and Magnitude of Fines," American Economic Review, American Economic Association, vol. 69(5), pages 880-91, December. [Downloadable!] (restricted)
  11. Schmitz, Patrick W., 2000. "On the joint use of liability and safety regulation," International Review of Law and Economics, Elsevier, vol. 20(3), pages 371-382, September. [Downloadable!] (restricted)
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