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职业激励与司法独立:来自印度下级司法机构的证据

Career incentives and judicial independence: Evidence from the Indian lower judiciary
Journal of Development Economics · 2025 · [{"name": "Jun Goto", "affiliation": ["National Graduate Institute for Policy Studies"]}]

中文摘要

从历史上看,关于司法独立的争论一直集中于外部部门介入法官任命过程是否会妨碍公正司法。然而,内部司法组织如何塑造法官的裁决,受到的关注较少。本文聚焦印度下级司法机构,探讨晋升至上级法院的前景是否会导致法官迎合在司法组织内部对人事事务拥有自由裁量权的司法领导者。为此,本文利用自然实验:女性司法领导者的任命取代男性在任者,使地方法官人事评价中的性别偏好发生不可预测的转变。随后,本文采用三重差分策略,利用高等法院层面是否至少有一名女性司法领导者的差异、法官个体层面是否具备担任高等法院法官资格的差异,以及女性司法领导者任命前后的时间差异进行识别。估计结果显示,具备资格的法官会迎合女性领导者,对女性当事人从轻判决。证据表明,通过不透明的“法官选法官”制度对法官进行自由裁量式任命,可能损害司法的独立实施。因此,需要审慎的制度设计,以平衡司法问责与司法独立。

Abstract

Historically, the debate on judicial independence has been centered on whether the participation of external branches in the appointment process of judges hampers the impartial administration of justice. However, less attention has been given to how the internal judicial organization shapes the judge’s decision. This paper, which focuses on the Indian lower judiciary, explores whether the prospects of promotion to higher courts result in currying favor with judicial leaders who possess discretionary power over personnel matters within the judicial organization. For this purpose, I exploit natural experiments: female judicial leader’s appointments replacing male incumbents, causing the unpredictable shift of gender preferences in personnel evaluation of local judges. Then, I use the triple difference strategy exploiting the high-court level variation on whether it has at least one female judicial leader, the individual judge level variation on the eligibility as the high court judge, and the temporal variation pre- and post-female judicial leader’s appointment. Estimation results show that eligible judges pander to female leaders and hand down lenient sentences on female parties. Evidence suggests that discretionary appointments of judges through the non-transparent “judges-selecting-judges” system can be detrimental to the independent administration of justice. Therefore, careful institutional design is necessary to balance judicial accountability and independence.
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