Within the transnational legal sphere, internal and external private legal systems regulate alongside a pluralism of national and international legal systems. This thesis explores the elements of transnational private legal systems that are external to a single organization or company and whether they can elevate the higher-order principle of sustainability within the mining sector. A private legal system would broadly incorporate legal rules and obligations for corporate governance, and specifically for integrating sustainable development into the mining industry. Using the lens of reflexive law, this thesis explores five observable trends of a private legal system: interorganizational network; regulatory hybridization; private juridification; civic constitutionalism; and international judicialisation. A variety of methodological tools are used to determine if the first three trends, which are linked to the emergence of private legal obligations, exist. Through qualitative content analysis this thesis adds to the empirical literature supporting reflexive law and provides insights into the ability of private legal systems to govern resource issues. The evidence of any private juridification and civic constitutionalism occurring within the mining sector is detailed, and the consequences for the regulation and development of a sustainable mining industry that result from that juridification is discussed. / Graduate / 0616 / 0366 / 0551 / adamnott@shaw.ca

This research explores how provincial governments in Canada can foster environmental leadership in business firms, and develops a framework to guide provincial policy and regulatory decisions with respect to environmental leadership. The research question is: How can provincial governments in Canada support environmental leadership in businesses? Environmental leadership is defined as voluntary beyond compliance behaviour. In order to answer the research question, what motivates and challenges environmental leadership must also be explored. Three case studies are used in this research: the electronics extended producer responsibility (EPR), marine and agriculture sectors. Data was collected through surveys and interviews with businesses, officials and organizations in each of the case studies. The focus is on British Columbia, although data was also collected from other Canadian provinces. Results demonstrate that the electronics EPR sector is characterized by compliance and coordination issues: businesses focus on meeting rather than exceeding regulations, and they identified a strong need for improved harmonization and coordination between jurisdictions on EPR regulations. The marine sector is characterized by businesses taking matters into their own hands, due to weak regulations accompanied by strong community pressures. The agriculture sector is characterized as one of contestation and capacity: contestation over what is environmental leadership (whether or not it requires beyond compliance steps such as organic certification), and capacity concerns, due to the high need identified for support, education and training for farmers. Five themes cut across the three case studies. First, environmental leadership is an ongoing process rather than a relatively fixed category in which businesses can be placed. Second, although social licence is important in all three cases, the licence comes from different sectors of society: consumers, community or citizens. In the electronics EPR sector, the social licence pressures come primarily from customers; in the marine sector, from communities; and in the agriculture sector, from citizens as a whole, comprised of both customers of agricultural products and communities that live near farms. Third, corporate culture or visionary leadership is important in driving environmental leadership. Fourth, a need exists for greater leadership by government, by strategic planning, taking advantage of new markets, resolving conflicts, greater harmonization and coordination of regulations. Fifth, continuous learning within a firm is important in environmental leadership, be it through formal training, sharing of expertise and knowledge, or through ongoing reflection on business practices. Key policy implications are that provincial governments use a broader mix of regulatory tools: accompanying stringent standards with training and education; support for transition to greener technologies or processes; and public education on the purpose of regulations, how they work, and the role of all sectors of society in achieving social goals. Cross government cooperation and harmonization of regulations could be improved, especially in the electronics EPR sector. The results of this research should assist in identifying ways for government to foster environmental leadership in businesses, through new approaches to governance and selection of policy instruments. / Graduate

The subject matter of this licentiate thesis concerns the two EU directives on European Works Councils. The analysis is confined to the Swedish implementation of these directives into Swedish law. The thesis defines the term "EWC regulation" to encompass both the Swedish levels of EWC legislation and the regulation of EWCs by EWC agreements themselves. The overall objective is to gain an increased understanding of the function of EWC regulation. This requires a normative analysis of both EU and national law as well as an empirical study of the application. The thesis includes a number of agreements on EWCs based on the Swedish legislation and their application in corporations based in Sweden. Three multinational corporations in the health care sector, financial sector and metal industry have been selected. The focus lies on the regulation's practical significance for worker influence and corporate governance. A distinction is made between rules on worker participation (in law) and worker influence (in practice). As a point of departure the author combines the theory of reflexive law with concepts borrowed from the fields of management studies and economic history. The methods used consist of doctrinal legal interpretation and semi-structured interviews. The key findings run as follows. The EWC regulation generates worker influence by enhancing the knowledge and unity of worker representatives. The regulation facilitate corporate governance by strengthening the legitimacy of management, improving the decision basis and channels of communication. The worker influence is, under proper circumstances, strong in issues such as reorganizations, reassignments, health and safety. The influence is weaker in situations of relocation, outsourcing across national borders and other forms of regime shopping.

國人「有土斯有財」之觀念濃厚，往往除了住的需求之外，更以購買不動產做為保存財富的重要方式。然而，不動產各別差異性很大，難以建立一個公開的市場，提供一般人所需的完整資訊，因此，在資訊不流通與不透明的情況下，極易產生資訊不對稱的問題，加上專業人士之素質良莠不齊，往往利用其掌握資訊之優勢，對於交易當事人隱藏重要資訊，甚至欺罔之行為等事件發生，致不動產交易紛爭案件層出不窮。 隨著社會經濟活動的變化，對於不動產的使用形態與權利類型也日益複雜，如果探討紛爭發生的原因及其處理方式時，僅著眼於規範的抽象內容與如何適用，往往比較不能得到想要的結果，因為就紛爭當事人而言，除了對於法律規範與事實之間的認知有所不同外，更重要的是如何妥善解決問題會比如何適用法律來得重要。 我國現今法制上之不動產仲介紛爭處理機制，除了循司法上之訴訟途徑外，尚可透過不同的訴訟外紛爭處理機制以謀求解決，惟多元的訴訟外紛爭處理機制，其本身之組織架構、處理程序及形成之法律效果並不相同，民眾對於應選擇何種之機制始可達成其訴求，以及現行法律制度下所提供之處理機制是否能夠有效妥適處理此類的紛爭，並不清楚，因此，本文嚐試從法律社會學的角度觀察我國法律對於不動產交易活動所進行的管制實際社會效果如何，並透過反思法的理論所提出之當今法律進化的特徵，提出我國在處理不動產仲介紛爭的法律制度設計上一些新的思考方向。 / Whereas the concept of " Possessing Property makes Wealth " is deeply in the heart of our people, in addition to the necessity for living, they buy real estates for preserving wealth as major practice. However, the conditions of real estate are varied, it is difficult to establish a public market to provide sufficient information, hence, under the situation of short of communication and transparency of data which is easy to cause information unsymmetrical. Moreover, the complicated backgrounds of Realtors who intend to hold their favorable materials to hide from the other parties and even commit fraud.....etc. So, real estate business causes conflicts frequently. In the wake of diversity of social economics activities, the application and rights and privileges of real estate also become more intricateness. If people explore the reason of conflict and disposal process just at the point of normative abstract content and applicable, it will always be unable to gain the ideal result. As to the dispute parties concerned, beside the different interpretation of the law and the fact, how to properly solve the problem is more important than the legal action. In our country, the present legal process for Realtor argument disposal, in addition to the judicial charges, people can seek other way to settle the dispute. Nevertheless, the multiform dispute disposal institutions which because of their corporate structures and disposal process different constitute discrepant legal result. What kind of system people should select to achieve their purpose and, whether the designated process under the present legal rules can solve the problem properly and effectively, people unclear. Therefore, this text is trying from the point of view of legal sociology, to observe that what is the substantial social effectiveness of real estate business operation under the control of our law and, through the characteristic specified by reflexive law of current law development, to introduce a new tendency to draw legal system to settle real estate Broker argument for our country.

本論文期望將法理學能夠以具體事務為例，不只是虛無飄渺之物，事實上也本來就不是，是絕對有其存在的價值與理由。著重在Teubner反身法理論的介紹，試圖以Teubner反身法理論對講求依法行政的行政法法學做一分析，找出其間之相關連性，並且描繪在此理論之下所呈現出來的行政法學的樣貌，以行政法法學的「公開、評論、參加」與「行政管制」制度為兩個軸線，在法規制定過程中強調市民的參與，對話機制的建立與強化，使法律回歸為人與人彼此互動下，所形成的一種規範，以求有所啟發。 但是，單純對本身作自我批評的反思，真的就夠了嗎？真的是可以達到「國家是受到法律的拘束」？國家的行政目標是照顧人民的福利國家嗎？國家不再是擁有權力來壓榨人民的怪獸？人民是受由其所制定的法律來治理國家嗎？筆者認為當然尚未達到，其癥結點即是在對「法」的不了解，認為只要是行政機關提案，國會通過就是法律，而且也只有此才為法律，國會已經充分代表人民，「法律＝行政機關+國會」如此而已，造成筆者所謂的依『法』行政的叛離。 而Nonet 和Selznick在觀察法律發展過程後，提出法律三個發展階段，分別為；壓制型法(repressive law)、自治型法(autonomous law)和回應型法(responsive law)，其分析架構最主要是認為，法律既不是經濟矛盾下的併發症，也不是實定法律一般，可以簡單化約為一系列由權力關係、組織結構和專業角色所界定的決策。相反地，其認為法律是一個自主的社會體制，其發展乃是依靠於其本身的內在動力 法律自發生理論（Recht als autopoietisches System）是由德國學者Teubner在一九八三年發表於《法律與社會期刊》(Law & Society Review)的一篇論文“Substantive and reflexive elements in modern law”中逐步所建立出來的一新理論，其理論架構是建立在韋伯的發展理論，整合美國的Nonet 和Selznick，德國的Habermas和Luhmann等人的理論，所提出的一全新理論，該理論最主要是藉由Luhmann的法律系統論與Nonet 和Selznick的「回應型法律」為核心，而提出一種新法律典範：自身法(reflexive law)，此一法律顯示一種新形式的法律自制，簡言之，法律不再輕易干預社會過程，而為其結果負責，法律的重心轉移到對自律機制的設計、推動、矯正或重建。 Gunther Teubner認為Nonet 和Selznick的理論核心乃是法律秩序的制度邏輯概念，在回應型法律(responsive law)的陳述，出現了歐洲所謂「形式法律的重新實質化」，法律形式主義面臨危機，所以，新的實質取向的法律形式出現，傳統的法學方法，轉型為「社會政策分析」分法，而且亦有平行的法律參與模式的改變，進而新的法律實質化反應出一種新的體制和組織結構：它要求「管制而非裁決」。回應型法律(responsive law)的理念不但包含實質理性的成分，亦有其他不一樣原則，最主要地是：制度設計(institutional design)的理念，在此理念下法律所關注的焦點，乃在於創造、形成、矯正、以及重新設計社會體制，使其變成具有自我管制功能的系統。 觀察行政法的整體發展中，確實走向「實質化」，法制的重心逐漸傾向制度的創設，再藉由制度的導引，去使得人際之間交往互動，發展出所其期待的法律。而行政法「法律」的成文結果，整這制度上看起來，已漸漸呼應上述富勒的精神，法律的目的在於給予人們空間，藉由交往，形成具相關期待的規範。 而環顧整個行政法制之發展，自從行政程序法立法後，訴願法與行政訴訟法大幅度翻修，政府資訊公開法等等法制立法，亦彰顯法制的重心不再只是以往，法規的解釋與運用而已，尤其是法律上「名詞」概念的爭論，當然在此並不是說法的解釋與操作不重要，而是法制的建設上更需注重「制度上之設計」，妥適地調和各界利益，社會資本的整備，等等制度的建制，須為學界更加重視。

Depuis 2006, la politique énergétique extérieure de l’Union européenne a été significativement renforcée. Cette politique très ambitieuse vise à assurer la sécurité des approvisionnements énergétiques dans l’Union et à contribuer à une utilisation plus durable de l’énergie à l’échelle universelle. Si le dialogue politique et les aides économiques sont essentiels à ces égards, l’Union fait principalement appel au droit pour libéraliser les marchés énergétiques des États tiers se trouvant à sa périphérie et pour diffuser sa vision de l’utilisation durable de l’énergie sur la scène internationale. Pour quelles raisons l’Union a-t-elle essentiellement recours au droit dans le cadre de cette politique ? S’agit-il d’un instrument efficace ? C’est à ces deux grandes questions que cette étude est consacrée / Since 2006, the European Union’s external energy policy has been strengthening significantly. This ambitious EU policy is aimed at ensuring the security of energy supply in the EU and to contribute to more sustainable use of energy around the world. If political dialogue and economic aid are essential, the EU resorts principally to the law in order to liberalise energy markets of the third States in its periphery and to spread its vision of sustainable energy on the international stage. For which reasons does the EU use primarily the law in this policy? Is this instrument efficient? It is these two majors questions that this study addresses

保戶行動主義，也可以說是保單持有人行動主義，係指為因應保險監理國際化，兩岸監理平台的建立，及長年期保險商品的特殊性，對於積極的保單持有人，經由參與公司治理的方式，保障自身的權利。 保戶行動主義的內涵，為將相互保險公司中，保單持有人參與公司治理的模式引導至股份保險公司之中。其目的為促成保單持有人、監理官及保險公司三贏的局面。對於保單持有人而言，為積極性的權益維護，可分為三個方面：第一，因應投保後所產生的問題；第二，取代現行機制對於保單持有人保障可能的失靈或僅是消極性的事後補救措施；第三，鼓勵保單持有人與公司溝通，符合國際上的治理原則。對於監理官而言，則可降低政府對於保險業的監理成本，也就是，政府為維護保單持有人的權益及維護資金的安全性，對於保險業採用高度監理所衍生的成本。對於保險公司而言，除了經由保戶行動主義，得以降低監理強度，而增加公司的市場競爭力之外，也可藉由與保單持有人的溝通而建立正面形象，設計符合客戶需求的商品，進而創造新業績。 本研究將保戶行動主義的制度設計分為規範與架構兩方面，在制度規範形成上，採用寇恩所倡議的反思法法理；在架構設計上，則採用史特姆所建議的制度公民及觸媒組織的架構。公司治理分為內部治理與外部監理，經由反思法的自反性、同源互生性與原則性，將能加強內部治理的自律性，進而降低外部監理的強制性。然而因自發性或反思性形成規範必須經由多數人的討論，為達對話效率，則輔以電子治理網站為對話平台，並在觸媒組織中提出以「核心專家群」為網站的主導者，且為充分對話後的主要決策者，如此將可有效率的形成與廣大保單持有人的對話機制，並尋求多數人的共識，並可增加資訊揭露的透明度。 保戶行動主義中，保戶公民選任保戶董事作為代表，而對話機制則為整體制度成效的關鍵，總共分為四個層面，第一稱為保戶行動主義與法律的對話，論述保戶董事委任關係的法律性質，以及對核心專家群委任的法律性質；第二為保戶公民間的對話，著重對話品質的管理；第三為為保戶行動主義與監理的對話，藉由監理策略形成監理法規的二元規範；最後以保戶董事與股東董事間的對話機制，作為保戶行動主義與股東行動主義對話的代理行為。 為驗證保戶行動主義的有效性，本研究建構其對於治理效率與治理賽局的實證模型以用於未來的實證研究，最後並以兩岸間的弱體保險公司為個案作為說明保戶行動主義應用上的利益實效，為質性上的說明。 / Policyholder activism is to cope with the globalization of insurance supervision, the establishment of the supervision platform between Taiwan and Mainland China, and the special features of the long term insurance, in order for the active policyholders protecting their rights by participating the corporate governance. The connotation of policyholder activism refers to introduce the role of policyholders in mutual life company into the corporate governance for the stock life insurance company. It is of the all-win purpose among the policyholders, the regulator, and the insurance company. For the policyholders, it is to actively safeguard the interests of policyholders, and could be achieved by three aspects, first of all is to avoid the arguments after issuing policy; secondly is to provide an alternative to current mechanisms for the policyholders which might be failure or just a passive response afterwards; the final is to comply the global governance principle by encouraging policyholders to communicate with the corporate. For the regulator, it is to reduce the supervision costs which mainly maintain the rights of policyholders, and the security of the funds. For the insurance company, it is not only by reducing supervision power, in order to increase the market competitiveness, but also by communicating with the policyholders, in order to create the positive image, to know the needs of customers and then to increase the performance. In this study, the structure of policyholder activism is divided into the aspects of norms and framework. This study adopts the reflexive law proposed by Jean Cohen for the norms strategy, and the concepts of institutional citizenship and catalyst group proposed by Susan Sturm for the framework design. Basically, the corporate governance system can be separated into internal governance and external supervision. By three properties of the reflex law, the reflexive, the co-original and the principled, will strengthen the regulated self-regulation of internal governance into norms, thereby reducing the enforcement of external supervision. However, reflex law requires through the democracy process from people discussion to complete the norms, to improve efficacy of discussion, the platform of electronic governance (e-governance) is supposed to be applied. For this purpose, this study introduces “core expert group” in the organizational catalysts as a manager and the decision maker after fully discussion. Then it will become an efficient dialogue mechanism for the consensus with the majority of policyholders, and for the more transparency of the disclosed information. For policyholder activism, the policyholder-director(s), on behalf of the institutional citizenship of policyholders, is(are) elected, therefore the dialogue mechanism is the key of the all, it can be separated into four levels; the first level is called the “dialogue between policyholder activism and the law” which discourses the issues of the legal nature for policyholder-director who appointed by two parties, and the core expert group; the second level is called the “dialogue among policyholders” which focuses on the management of quality; the third level is called the “dialogue between policyholder activism and supervisors” to build the duality of norms by regulation strategy; and the final level is called the “dialogue between policyholder activism and shareholder activism” which represented by the dialogue mechanism between the policyholder-director and the shareholder-director. To validate the effectiveness of policyholder activism, this study constructs the models of performance and game theory for future empirical study. This study finally selects two cases of the impaired insurance companies each in Taiwan and Mainland China, and then discusses the qualitative benefits for the application of policyholder activism.

我國著作權集體管理團體發展至今，僅存五家集管團體，無論是會員數或業務總額皆與國外規模相距甚遠，難以有效達成降低授權成本、使著作充分流通利用與保障著作權的功用。追根究柢原因在於：無法從使用報酬費率的制訂過程中，取得利用人與集管團體間的共識。 隨著數位技術的演進，著作權利用方式與型態日趨多元，立法者的觀點卻趕不上時代的變化，倘若爭議處理方式仍僅限於規範的抽象內容探討與適用，往往難以得到當事人欲求的結果。Teubner認為現今複雜分歧的社會需要一個去中心化的社會整合機制，將傳統法律的管制負擔轉移至其他社會體系；法律只有在為其他社會次級體系的反思過程提供結構性前提時，才能實現其自身的反思取向，發揮反思法的社會整合功能。因此，若能開展調解、仲裁等訴訟外爭議解決機制，除了即時有效解決紛爭，避免法院訟累，並能於協調過程中充分揭露資訊，使當事人間贏得互信，不失為一種發展反思性程序的可能。 本文從Teubner反思法的角度觀察，輔以中國、日本、美國、德國的著作權集體管理制度之立法例與實踐概況，作整體歸納分析，從中擷取出具有反思理性特徵做比較評析。最後，透過反思法理論所提出當今法律演化的特徵，對於我國將來建構良善的集體管理團體制度，提供一些不同的思考觀點。 / In the diversity of social economics activities, recent developments in the evolution of neighboring rightsand reflects the change of publication displaying methods due to technology.Such development may create inner conflict and endanger the law system. If people explore the reason of conflict and disposal process just at the point of normative abstract content and applicable, it will always be unable to gain the ideal result. Collective management organizations(CMOs) is an important indicator of copyright protection. CMOs’ operation reduces the licensing costs, promotes the legal exploitation of works, achieves broad public access of copyrighted works, and protects the benefits of copyright owners. Indeed, a reasonable royalty rate is the core for the successful operation of CMOs. Thisstudy isfrom the view ofTeubner's Theory of Reflexive Law, to observe the substantial social effectiveness of copyright collective management under the control of law and providing the structural premises for reflexive processes in other social subsystems.According to the characteristic of reflexive law,this thesis aimed to introducea new tendency to settle collective management of copyright.