Assesing Legislation e

ASSESSING
LEGISLATION
- a manual for legislators
Ann Seidman
Robert Seidman
Nalin Abeysekere
with drawings and layout by Judy Seidman
ASSESSING LEGISLATION - A MANUAL FOR LEGISLATORS
Assessing Legislation - A manual for legislators written by Ann Seidman, Robert
Seidman, and Nalin Abeysekere with drawings and layout by Judy Seidman
February, 2003
Boston, Massachusetts
Copyright 2003 by Ann Seidman, Robert B. Seideman and Nalin Abeysekere
CONTENTS
INTRODUCTION: The Plan of this Manual §
PART I: Your task in facilitating social, political economic transformation
3
CHAPTER I: THE IMPORTANCE OF LAW-MAKING

5
A. STATE, LAW AND THE FATAL RACE

5
B. A SOCIETY'S RELATIVE WEALTH AND POVERTY AND ITS

QUALITY OF GOVERNANCE REFLECT ITS INSTITUTIONS 6
C. THE FATAL RACE 11
CHAPTER II: YOUR ROLE AS A LEGISLATOR 17
A. WHY YOU MUST ENACT SERIOUSLY INTENDED, PUBLICLY-

AVOWED POLICIES AS RULES OF LAW
18
CAN LAW INDUCE DELIBERATE SOCIAL CHANGE?

ARGUMENTS PRO AND CON 20
B. YOUR THREE TASKS, AND WHY THEY REQUIRE

YOU TO ASSESS BILLS 22
C. ASSESSING A BILL: POWER VS. FACTS AND REASON 23
D. WHY DO PEOPLE BEHAVE AS THEY DO IN THE

FACE OF A RULE OF LAW? 26
SUMMARY 28
CHAPTER 3: PRIORITIZING PROPOSED BILLS 29

A. HAPHAZARD PRIORITIZATION 30
B. CRITERIA FOR PRIORITIZATION 31
C. PRIORITIZING LEGISLATION FOR ECONOMIC

DEVELOPMENT 34
1. Third world institutions and poverty.

34
2. The economists debates 36
Market vs. Plan Debates: Some basic issues 38
3. Prioritizing legislation for economic transformation

40
SUMMRY 45
CHAPTER 4: READING A BILL 47
A. A BILL'S FORMAL ELEMENTS 48
B. THE LAW'S LANGUAGE 50
C. THE STRUCTURE OF A SECTION 54
D. DISCOVERING THE BILL'S SUBSTANCE 57
SUMMARY: FIVE STEPS TO UNDERSTANDING A BILL

59
PART II: LEGISLATIVE THEORY AND METHODOLOGY:

THE KEY TO A LEGISLATOR'S TASKS 61
CHAPTER FIVE: AN INTRODUCTION TO LEGISLATIVE

THEORY AND METHODOLOGY 63
A. A PROBLEM-SOLVING METHODOLOGY: A GUIDE

FOR ASKING QUESTIONS AND ASSESSING BILLS 64
B. LEGISLATIVE THEORY'S GUIDE TO FINDING PROBLEMATIC

BEHAVIORS' CAUSES AND SOLUTIONS 70
ROCCIPI
C. DESIGNING A DETAILED LEGISLATIVESOLUTION 76

D. OBTAINING THE FACTS: THE ADVANTAGESOF A RESEARCH
REPORT 82
F. LEARNING FROM EXPERIENCE: HISTORY AND

COMPARATIVE LAW 84
G. A `CHECKLIST' FOR ASKING QUESTIONS 85
CHAPTER 6: ENSURING A LAW'S EFFECTIVE IMPLEMENTATION 91
A. WHY DO SOME AGENCIES FAIL TO IMPLEMENT? 92
B. ASSESSING A BILL'S PROVISIONS FOR ITS OWN

IMPLEMENTATION 100
1. From `sanctions' to `conformity inducing measures'

101
Punishments versus rewards 104
2. Assessing a bill's prescriptions for an implementing agency.

105
C. TRANSITIVE VS. INTRANSITIVE BILLS

115
1. The `deadlock' of development administration — and how to

dissolve it. 116
2. When to write intransitive bills? 119
3. Assessing an intransitive bill.

123
A CHECKLIST FOR FOR ASSESSING AN INTRANSITIVE BILL 123
CHAPTER SEVEN: CAPTURING AND ASSESSING THE FACTS 127
A. FINDING THE RELEVANT FACTS 127
B. GETTING THE FACTS 129
C. SIGNIFICANT FACT-FINDING METHODS: 131
1. Quantitative and qualitative methods compared. 131

2. The kinds of facts you need to assess a bill:
134
3. The Importance of Sampling Techniques. 136
4. Learning from foreign law and experience.

136
SUMMARY 138
CHAPTER 8: ASSESSING A BILL'S FORM 139
A. CRITERIA FOR ASSESSING A BILL'S FORM

139
B. ASSESSING A BILL'S STRUCTURE (OUTLINE) 140
C. CHAINING WORDS TOGETHER TO ENSURE A LEGISLATIVE

SENTENCE'S ACCESSABILITY AND USABILITY 144
D. A BILL AS AN AMENDMENT TO EXISTING LAW 151
E. SUMMARY 153
CHAPTER NINE: ENACTING LEGISLATION TO FOSTER GOOD

GOVERNANCE 155
A. CORRUPT PRACTICES UNDERMINE GOODGOVERNANCE 156
B. EXPLANATIONS FOR CORRUPTION 156
C. LIMITING THE SCOPE OF OFFICIALS'DISCRETION 159
D. ACCOUNTABILITY AND TRANSPARENCY 163
E. COMBATING A `CULTURE OF CORRUPTION' 168
SUMMARY 180
FORWARD AND ACKNOWLEDGMENTS
This Manual aims to equip legislators to assess and, when necessary, to initiate
legislation to foster democratic social change in their own countries. It reflects what we
have learned over several decades about the use of law to facilitate the kinds of
institutional transformation that constitute both development and transition.
This Manual rests on the legislative theory and methodology set out in Legislative
Drafting for Democratic Social Change: A Manual for Drafters (London: Kluwer Law
International, 2001). It carries forward the work of Boston University School of Law's
Program on Legislative Drafting for Democratic Social Change (visit
www.bu.edu/law/lawdrafting).
In every country that we have visited in the developing and transitional worlds, the
members of their national legislatures have impressed us _ their idealism, their
intelligence, their genuine desire to advance development and transition. Despite those
excellent qualities, the way most of those deputies have used their legislative power has
ended, not in improving the quality of their peoples' lives, but a bare miserable existence
for most of the world's peoples. This book arose out of the conviction that that sad
outcome resulted, not — as much of the popular press supposes _ from the legislators'
cynicism and corruption, but from their lack of capacity to utilize the legislative power.
Developing and transitional world legislators win elections for all sorts of reasons, most
of them related to merit. They do not, however, win because they know how to assess a
law in terms of its likelihood to induce beneficent social change.
We would like to express our appreciation to all those who have and are helping us to
write and distribute this Manual, especially those who have participated in the Program
described in website cited above; the officials of the United Nations Development
Programme (UNDP) who suggested that, to ensure its widest possible availability, their
country offices would download and distribute the Manual free of charge; and all the
other donor agencies who have agreed to make it available through their web-sites. We
particularly want to acknowledge the moral support given by Associate Dean Stephen
Marks of Boston University School of Law; Professor Cynthia Barr, a rock in connection
with the entire Program; and colleagues on the BU faculty, who gave much-valued
critiques and advice about the entire Program on the several occasions that we presented
the material. This Manual elaborates a paper we gave at a World Bank seminar in 2001;
we thank Professor William J. Chambliss for inviting us to that seminar. During the
writing of this Manual, Stephanie Rosander and Wei Chen served as our research
assistants and as the administrators for the entire program, which gave us more time to
write it. Finally, we owe a great debt of gratitude to Sue Morrison, an able, devoted and
an altogether wonderful office helpmate, who makes things happen. Obviously, none of
these fine people have any responsibility for mistakes. As to that, any mistake was the
other guy's fault.
- Ann Seidman, Robert B. Seidman, Nalin Abeyesekera, and Judy Seidman
About the Authors
More than forty years ago, when they began teaching in the University of Ghana, Ann
and Bob Seidman first began to develop an interest in law and development. They taught
for twelve years in six African countries, and one in China. Increasingly, Bob centered
his attention on the use of law to facilitate development. An economist, Ann realized that,
unless developing and transitional country governments changed dysfunctional inherited
institutions, research directed to improving resource use could do little to end developing
countries' poverty. Working together, they focused more and more on drafting legislation
to foster social transformation.
After 1966, in the University of Wisconsin, Ann and Bob co-taught seminars for third
world students concerned with law and development. Then, for the next quarter of a
century, at Boston University, Bob taught a clinical legislative drafting course in which
students drafted bills for the state legislature. He developed teaching materials that, in
part, they used in teaching drafting for African and other students abroad. In 1980, in
Zimbabwe, Bob and Ann first jointly taught a seminar in legislative drafting for southern
African lawyers. Over the next two decades, in China, Lao PDR, Sri Lanka , Bhutan,
Nepal, Kazakhstan, South Africa, Indonesia, Vietnam, Cambodia, Guyana, and
elsewhere, they steadily improved the `learning-by-doing' process to help drafters, by
engaging in drafting real bills, to learn legislative drafting theory, methodology and
techniques. In Mozambique, after the civil war ended, they conducted two workshops for
that country's newly-elected national legislators. They came to understand the need for a
Manual, not only for drafters, but for legislators who must assess the drafters' work, and
for concerned citizens who must work together with the deputies to ensure enactment of
laws that foster democratic social change. That experience planted the seeds from which
this Manual grew.
Called to the English Bar from Lincoln's Inn in 1964, Nalin Abeyesekera joined the Legal
Draftsman's Department in Sri Lanka in 1971. He studied further in the Indian Law
Institute (1975), and as a Fellow of the Australian Institute of legal Drafting in 1980.
After serving briefly as the Legal Draftsman of the Seychelles, he became the Legal
Draftsman for Sri Lanka in 1984, a post that he held until he retired in 2000. He added to
his duties those of President's Counsel (1990), and member of the Law Commission of
Sri Lanka. A founder member of the Commonwealth Association of Legislative Counsel,
he served as a member of its Council (1986-96 and again from 1999 to the present).
In 1998, at Nalin's request, the UNDP asked the Seidmans to come to Sri Lanka as
consultants, in the context of efforts to devolve power to the provinces, to help formulate
and implement a program to strengthen provincial drafting capacity. Working together,
the three of them introduced a UNDP-funded learning process that enabled its Sri Lankan
participants to multiply its impact. Nalin agreed to join Ann and Bob to write "Legislative
Drafting for Democratic Social Change _ a Manual for Drafters" (Kluwer, 2000). That
Drafters' Manual, designed to serve academics as well as drafters, documented in detail
the sources from which the authors culled the ingredients for this Manual's underlying
legislative theory, methodology and techniques.
Judy Seidman, an artist who works in South Africa, provided the layout and pictures.
These make the Manual accessible to the elected legislators and concerned citizens. In the
course of doing that, she creatively edited the entire Manual, adding to it many new ideas
and formulations.
February, 2003
Boston, Massachusetts
Copyright 2003 by Ann Seidman, Robert B. Seideman and Nalin Abeysekere
http://www.iclad-law.org/Downloads/Table.html
INTRODUCTION:
As an elected legislator working with
your colleagues, this manual aims to help
you to use your constitutionally-granted
power to enact laws
in the public interest.
After you have read this manual and completed the exercises it contains you will have
increased your capacity to exercise the legislative power, that is —
• to read and understand bills presented to your legislature;
• to assess whether those bills will advance the public interest;
• to ask questions to get the facts you need to debate whether those bills’ detailed
provisions will serve the public interest;
• to oversee the administration of the laws in order to ensure that the laws as
enforced advance the public interest; and
• to communicate meaningfully with your constituents about the kinds of laws

they need to improve the quality of their lives.
The discourse about legislation rests on many considerations. Many books discuss how
legislation arises out of the competing claims of interest groups, of Party, of constituency,
speaking in the voice of power. This manual, by contrast, focuses on the claims in title of
the public interest, speaking in the voice of reason and experience.
In short, this manual aims to empower you, as one of a small handful of people,
constitutionally-entrusted with your nation’s legislative power, to carry out the law-jobs
essential for transforming the existing institutions. Appropriately exercising that power
constitutes the secret key to conquering poverty, vulnerability and poor governance.
Knowledge and skill in using state power and law to bring about beneficent institutional
change thus constitutes the key for winning the fatal race.
A MANUAL FOR LEGISLATORS •1

THE PLAN OF THIS MANUAL
THE PLAN OF THIS BOOK
Part I addresses your task in facilitating social, political and economic transformation.
Chapter 1 suggests that law constitutes a government’s instrument of choice for
implementing policy. Chapters 2 through 4 provide a general framework for assessing
a bill. Chapter 2 introduces a legislative theory as a guide for assessing whether a
proposed law has a high probability of bringing about transformatory institutional change
in the public interest. Chapter 3 briefly outlines the scope of another preliminary
question: how should you, as an elected legislator, participate in deciding the order of
priority for drafting and enacting essential transformatory legislation? Finally, Chapter
4 discusses the most basic skill of all: how to read a bill.
Part II focuses on practical issues of assessing a bill’s overall design, or ‘legislative

plan.’ It shows you how to determine whether the draft bill’s details will likely overcome
the causes of behaviors that comprise the existing social problem. Chapter 5 discusses
how a problem-solving methodology combines with legislative theory to provide a
menu of relevant questions to ask about a bill. How effective will it likely prove in
accomplishing its claimed purposes? Chapter 6 directs your attention to the kinds of
information you should request to determine whether the government agencies
assigned by the bill will effectively implement the bill’s detailed provisions. Chapter 7
reviews the kinds of issues you should consider in assessing the validity of the evidence
the bill’s drafters give in response to your questions.
Part III focuses on assessing a bill’s technical sufficiency. Chapter 8 gives you the
tools you need to assess whether the form and the techniques used in drafting the bill
likely ensure that those who will use it fully understand the bill’s prescriptions for behavior
– the first and essential step to effective implementation. Finally, Chapter 9 discusses
how to assess a bill’s potential to reduce the dangers of arbitrary governmental
decision-making, and especially corruption.
Masai women vote, for a

new government, 2003
2 • A MANUAL FOR LEGISLATORS

PART I:
Your task in facilitating
social, political and
economic transformation
Parliament of
South Africa

“Seek ye first
the political
kingdom, and all
else shall
follow.”
CHAPTER I:
THE IMPORTANCE
OF LAW-MAKING
Dr. Kwame Nkrumah
INTRODUCTION
This chapter poses some of the key issues underlying the task of elected representatives
in voting for legislation: the basic interaction of the state and the law, on the one hand, and
social and economic development most countries and people aspire to meet. The chapter
examines:
A. An introduction to the role of state and the law in the struggle for prosperity,
economic and social development;
B. How society's governance and institutions shape its relative poverty and wealth;
C. The conflict between aims and capabilities of newly independent governments, and
their inherited structures - the fatal race.
A. STATE, LAW AND THE FATAL RACE

In the heat of the anti-colonial struggle, Ghana’s first President, Kwame Nkrumah
proclaimed, "Seek ye first the political kingdom, and all else shall follow.” State power, he
implied, could transform a former colony into a modern, prosperous state. That cry swelled
to a world-wide chorus.
A half century later, as the new millennium dawned, both in the former colonial countries
and the former Soviet Union, populist forces ruled. In effect, the people had seized the
political kingdom.

All else, however, did not follow. Tyranny’s fall did accomplish important improvements in
human dignity. In South Africa, blacks could attend schools that earlier had barred them. In
Czechoslovakia a newspaper columnist could criticize the government of the day.
Prosperity and good governance, however, still eluded almost all the new nations. Some
80% of the world’s population received less than 20% of the world’s output of goods and
services. In the poor countries, a wealthy few waxed rich and powerful. The vast majority
– especially women, children, old folk, the disabled, and ethnic minorities – lived on survival’s
edge. For many, the quality of life – even life expectancy – actually declined from its level
at Independence. Diseases (especially HIV/AIDS), ethnic conflicts, and civil wars engulfed
much of the developing and transitional worlds.
Despite winning the political kingdom, most of

the world’s people remained poor, vulnerable,
and subject to execrable governance. In the
fatal race between the old institutions and the
new populist governments, by and large the old
institutions won. The people lost.
QUESTION FOR
DISCUSSION
What do you consider the most important social
problems that confront people in your country?
B. WEALTH, POVERTY, GOVERNANCE AND

INSTITUTIONS
1. Behaviors, institutions and resource use
To compare ‘rich’ and ‘poor’ countries, economists cite statistics. Those statistics reflect,
not the potential of a country’s underlying resource base, but the nature and pattern of the
country's use of resources.

Resources do not allocate themselves, however. To understand how they do get
allocated, we begin with the simplest picture of society. It consists of people acting in
repetitive patterns – that is, in institutions .
DEFINITION
THE MEANING OF ‘INSTITUTION’
Definitions of ‘institution’ differ. Some emphasize the’rules that govern the behaviors of
the people who constitute the institution, some the participants’ mental orientation towards
those rules. All include the concept of repetitive patterns of social behaviors. In this
manual’s definition of ‘institution,’ that constitutes the entire definition:"Institution” means
a set or interrelated sets of repetitive patterns of social behaviors.
Defining an ‘institution’ as its constitutive sets of repetitive patterns of social behaviors

focuses attention on the central problematic of this manual:
Why, given the existing

rules, do people behave as
they do?
Through their society’s repetitive patterns of behavior – their institutions – people shape
the uses of their country’s resources. Banks, schools, courts, family structures, prisons,
farms, social clubs, legislatures, industries, welfare systems: these and a myriad of other
institutions make up your country’s political, social and economic system.
Historically-shaped institutions define a country. Their institutions and how

they work distinguish the United States from Uruguay, Norway from Nepal,
Canada from Kazakhstan.
Your country's institutions determine the

relative wealth and income levels of your country’s
population, and of the groups and classes within it.
They also determine the quality of its governance.

INSTITUTIONS SHAPE HISTORY
INSTITUTIONS AND HISTORY: RAILROADS IN THE UNITED STATES AND AFRICA
Consider the railroad maps of the United States and Africa. The United States map shows
a spider web of lines reaching almost every part of the country. The African map shows a
number of relatively short lines starting at a place in the interior and making directly to the
nearest seaport. Few interconnections exist.
Deliberate government action shaped the institutions that built these railroads. In the United
States, they responded to 19th century demands for a link between the West’s gold mines,
forests and rich black earth and the already-settled East. Congress by law offered enormous
tracts of land to companies to build transcontinental railroads.3 The US government used
law to induce immigrant workers (mainly from China and Ireland) to build its railroads.
Those railroads played a vital function in creating an internal market for the country’s
agricultural and manufactured goods.
Colonial governments built railways primarily, not for the people’s benefit, but forthat of
their own investors. In Africa, running from Africa’s mines, forests, and commercial farm
areas to the nearest port, those railways enabled investors to export Africa’s minerals,
timber and agricultural products for processing in their home-country factories. The colonial
rulers imposed tax laws to coerce Africans to work for colonial firms and settlers – and to
build railroads — for wages roughly a quarter of those paid to workers in the more
industrialized world. They did not build internal railroad linkages. Not surprisingly, even to
this day, African countries have not developed much of an internal market.
The two railroad maps reflect not merely a system of tracks and different resource uses.
They also reflect the way governments used law to shape the institutions that built them.
A 1896 map of railroads criss-crossing New
England; note the land area covers less than
Cape Town to Port Elizabeth on the opposite map.
This map of all railway systems in Southern Africa in

the 1890s shows that routes took goods from the
interior to the main ports; and migrant labour to the
mines; shipping raw materials overseas, and
bringing in manufactured goods from Europe.

2. Institutions and governance.
A country’s institutions shape, not only its resource allocations, but the quality of that country’s
governance. The institutions of governance define a government’s capacity to manage
social and economic resources to facilitate development or transition. Poor governance
consists of ineffective, arbitrary government decision-making processes – that is, ineffective
decision-making by non-transparent, non-accountable, non-participatory (and frequently
corrupt) processes.
THE CONCEPT OF ‘GOOD GOVERNANCE’
DEFIN ITION : GOOD GOVE RENA NCE

First using it in 1989 , the World Bank later defined good governance as “the manner in
which power is exercised in the management of a country’s economic and social resources
for development.” The Bank’s General Counsel identified governance with
“. . . ‘good order’, not in the sense of maintaining the status quo by the force of
the state (law and order) but in the sense of having a system, based on abstract
rules which are actually applied and on functioning institutions which ensure
the rules’ application. Reflected in the concept of ‘the rule of law,’ this system of
rules and institutions appears in different legal systems and finds expression in
the familiar phrase, ‘government of laws and not of men.’”
These characteristics reduce to two: effective government and decisions that emerge
from a non-arbitrary decision-making process. Four elements characterize those
processes:
• Governance by rule: Decision-makers decide, not pursuant to the decision-maker’s

intuition or passing fancy, but according to agreed-upon norms grounded in reason
and experience;
• Accountability: Decision-makers justify their decisions publicly, subjecting their

decisions to review by recognized higher authority, and ultimately by the electorate;
• Transparency: Officials conduct government business openly so that the public and
particularly the press can learn about and debate its details; and
• Participation: Persons affected by a potential decision — the stakeholders7 — have

the maximum feasible opportunity to make inputs and otherwise take part in
governmental decisions.
Together, these characteristics tend towards maintaining the rule of law, and ensuring
representativeness and predictability in state action.

Corruption typically indicates poor governance. In all its forms, corruption violates the
Rule of Law, and hinders effective development. Widespread corruption does not persist
merely because of weak individuals or a ‘culture of corruption’. It persists mainly as a
result of weak institutions – that is, institutions that give officials opportunities and capacities
to behave corruptly (see Chapter 9). A country's institutions define a country’s relative
poverty and vulnerability, but also the quality of its governance.
In the fatal race to change the

Women and child in institutions that define your country’s
Asia, 2002
poverty, vulnerability and governance, you
as a law-maker play a crucial role.
EXERCISE: INSTITUTIONS
Using the definition that this manual assigns to ‘institution,’ describe your country’s legislature
as an institution. By what criteria did you choose the characteristics included in your
description?

People in Kenya
celebrate newly
elected government -
2003
C. THE FATAL RACE
1. How the existing institutions win the race.
After independence, many newly-elected populist law-makers did enact laws aimed at
development. In many countries, new laws-in-the-books purported to extend benefits to
the poor, providing education, health, transport, water, investor protection, social security.
In practice, many – perhaps most – of the new laws-in-the-books proved ineffective. For
the poor, the laws-in-action – how the laws-in-the-books worked out in practice – neither
produced services, nor fostered the reinvestment of nationally-generated surpluses to create
new, more productive jobs and higher incomes.
Populist governors and law-makers held the reins of formal power. Their countries, however,
remained basically defined by the old, colonial or command-economy institutions. That
provided the setting for a fatal race.
The new, populist governors might try to use state power to change existing institutions to
achieve national development to satisfy their peoples’ basic needs. Where they lagged,
the existing institutions held out lures that too often seduced the governors into perpetuating
the status quo – and their initiatives died in birth.
Almost everywhere, the new, populist governors lost the first lap of the fatal race. Few new
governments enacted laws to foster institutional transformation to increase productive
employment. Few new institutions augmented domestic incomes that could finance
expanded social services. They did little to restructure the public service, land tenure
systems, or the large firms, banks and financial institutions that chained their nations’
productive sectors to foreign inputs and markets. Instead, at most, they spent government’s
scarce revenues and borrowed abroad to expand consumption in the form of social services
such as schools, hospitals, roads.
A MANUAL FOR LEGISLATORS • 11

Not what it used to be: man
exchanges deflated currency
bills for newly
introduced bills - Kabul, 2002.
More: because the new populist governors did

not build institutions designed to ensure good
governance, government decision-making often
remained arbitrary. Too often, a universal
lament moaned, “We have good laws, but they
are badly implemented.”
In the late 1970s and ‘80s, most developing

and transitional countries’ terms of trade
collapsed. The populist governors found
themselves overwhelmed by foreign debt. The
IMF, the World Bank and many donor agents
promised rescue; but only while dictating neo-
liberal policies that relied on ‘the market’ as the
all-but-universal problem-solver. The value of
currencies fell. Inflation soared.
Despite worsening conditions in the broader community, the new governors often found
that they enjoyed the benefits afforded those at the top of the old institutions. In time, many
dropped their populist rhetoric. Cynicism and eventually corruption corroded their behaviors.
Almost everywhere, the old institutions seemed to win. Instead of populist governments
transforming retrograde institutions, too often the institutions seemed to have transformed
the governors. Populism seemed to lose the fatal race — not with a bang, but a whimper.
At the end of the '80s, a new lap in the race seemed about to begin. The international aid
agencies discovered that even markets need rules, and that kleptocrat governments make
poor investment climates.1 ‘Good governance’ emerged as a leading theme. That required
non-arbitrary government decisions that reflected, not whim, but the rule of law.
Law and the legal order assumed priority on the development agenda. Aid agencies sent
armies of lawyers to help third world and transitional governments strengthen the courts
and draft new legislation on the development agenda. To ensure market efficiency, foreign
donor agencies imposed their own ‘model laws’ as a condition for their aid. They urged
new ‘business legislation'. This included new contract and companies law, secured
transactions law, intellectual property law, check law and banking law. The neo-liberals
promised that as new business tides lifted everyone’s boats, the benefits would trickle
down to the poor.

Yet still development lagged. No more than the earlier spate of populist lawmaking did
new laws looking to develop neo-liberal institutions lead to development in favor of the
poor majority. Not only within ‘third’ world and transitional countries, but also between
these countries and the industrialized ‘first’ world, the ‘have’–‘have-not’ gap yawned ever
more widely. Doubts arose: Could the populist governors ever win the fatal race?
2. The road ahead
This manual argues that, to win thet fatal race, you and your colleagues must devise ways
to change the institutions that fasten poverty, vulnerability, and poor governance onto your
fellow-citizens. The kinds of laws that you and your colleagues enact can play a principal
role in ensuring good governance that facilitates transition and development.
This manual aims to help you, as a legislator, to

help enact laws that effectively change those
institutions, and thus help to win the fatal
race.
Some view ‘underdevelopment’ simply as a misallocation of resources. Farmers do not

produce enough food crops, so people go hungry. Too much money chases too few goods,
so inflation balloons. Savings accumulate at too low a rate, so few people invest. Pollutants
enter the water system, so people get cancer. Deforestation proceeds too rapidly, so soils
and forests degrade and disappear. In that view, ‘development’ simply requires allocating
resources in a more desirable manner.
As legislators, however, you cannot effectively command food crops to feed hungry people,
dollars to stop chasing goods, savings to increase themselves, pollutants to stop invading
the water supply, or forests to replant themselves.
But you can enact laws to create an enabling

institutional environment, one which facilitates the
efforts of relevant social actors to develop and use
resources in more desirable ways.

STATE INTERVENTION CAN TAKE DIFFERENT FORMS
BOX: INTERVENTION
The key to successful development consists in using law and state power to constitute an
enabling institutional environment. This does not mean that government must employ law
to "micro-manage" the economy. As a legislator, you may enact laws designed to facilitate
development or transition by different kinds and degrees of state intervention:
• direct government management of an agency – for example, the post office,

prisons, the courts;
• through indirect measures – for example, laws providing training for cooperative
officers, changes in land tenure rules, or financing research in new products and
markets;
• through the creation of a framework of rules within which individual actors supply the
moving force — for example, contract laws.
What degree of intervention the law should adopt in a particular circumstance depends not
on ideology but the specific facts of the particular social problem the law attempts to solve.
You and your colleagues can facilitate change

SA teachers union demonstrates for by enacting laws that create the appropriate
better education and against enabling institutional environment. Properly
privatisation. October 2002
designed, those laws can induce people to
behave in ways likely to foster institutional
changes that benefit the entire nation.
14 14 • A MANUAL FOR LEGISLATORS

SUMMARY
To sum up this chapter’s argument:
1. A society’s relative wealth and poverty and its quality of governance reflect its
institutions — that is, its repetitive patterns of behavior.
2. Its institutions define a country’s relative poverty and vulnerability, and also the
quality of its governance.
3. After independence, a ‘fatal race’ ensued between populist governors looking to

development, and the inherited institutions: Which would change the other first?
4. By and large, in that race the inherited institutions have – so far – come out ahead.
They did not change substantially. Many governors, on the other hand, did change.
They abandoned their earlier populism.
5. You and your colleagues can help to win the fatal race by enacting laws likely to
transform the institutions – the repetitive patterns of behavior — that keep your
country’s people relatively poor and vulnerable.
EXERCISES:
1. This chapter has identified three overriding problems in practically every developing
and transitional country: poverty, vulnerability, and poor governance. Consider your
country’s most pressing social, political or economic difficulties: Do they fall under the
general reach of one of those three overarching problems?
2. Every country, of course, has additional pressing but more specific problems; for

EXERCISES
(continued)
instance, the environment; the treatment of women; the treatment of ethnic
minorities; corruption; the treatment of children; education; health. Are these
adequately subsumed under the more general problems of poverty, vulnerability and
poor governance?
3. In connection with development and transition, how effective have your country’s
laws proven? Identify at least one law in your country of which one might say "It is a
good law, but badly implemented.”
4. What do you understand by the phrase 'the fatal race'? Has your country undergone
a 'fatal race'? How has that 'race' manifested itself?

CHAPTER II:
YOUR ROLE AS A LEGISLATOR
To transform the institutions that lock

your country’s poor majority into poverty,
vulnerability and poor governance, you must
understand your tasks as custodian of the
legislative power.
This chapter discusses those tasks in four subsections:
A. To facilitate democratic social change, you as a legislator must do more than

pronounce inspiring policies. You must enact effective legislation.
B. That task requires you to perform three law-making jobs: enacting legislation,
overseeing its implementation, and communicating with constituents. Whether you
contribute to all three tasks depends on your capacity to assess a bill in the public
interest.
C. To assess a bill in the public interest requires that you as a ‘trustee for the public
interest’ assess it on the basis of reason informed by experience.
D. To do that – and thus to exercise the legislative power effectively – you must answer
a central question: Why do people behave as they do in the face of a rule of
law?

Why must governments use
law to induce deliberate
change? Can it use the legal
order to do so?
A. WHY POLICIES BECOME LAW?

DEFINITIONS
DEFINITIONS: ‘LAW’ AND ‘THE LEGAL ORDER’
In this manual:
(1) ‘A law’ means a rule promulgated by the state and implemented by state
officials. A law may take many forms: statutes, local ordinances, subsidiary
legislation, ministerial rules, administrative regulations, a military junta’s
decrees;
(2) ‘The legal order’ means the entire normative system in which the state has a
finger. It includes, not only the laws themselves, but also the institutions that
make the laws (legislatures, independent agencies, ministries, and courts) and
that implement the laws (courts, ministries, the police) (others sometimes call
this ‘the legal system’).
1. To maintain social order and induce purposeful social change,

societies must create governments that enact and implement rules.
Without laws, government cannot govern. A handful of policy-makers – including you –

must figure out how to use state power to transform problematic institutions. To do that,
that small handful of policy-makers who comprise government must channel the behaviors
of swarms of governmental employees and the citizenry at large along desired paths. To
influence the behaviors of millions, this small handful of policy-making officials must
formulate, enact and implement rules.
Why does government invariably use law to

implement seriously intended and publicly
avowed policies?

To change behaviors, politicians' policy declarations and exhortations have their place.
However, for seriously intended, publicaly avowed policies, government must use the law,
for two reasons: Legitimacy and the ‘ultra vires’ rule (‘ultra vires’ means ‘beyond the
power’).
Legitimacy: In most countries, citizens and officials do not feel morally obliged to comply
with a mere policy statement. They do feel more obliged to comply with a law. When you
and your fellow deputies enact a rule as law, you give it legitimacy. The more legitimate a
rule, the more citizens will obey it, and officials enforce it. They do so because they feel
obligated to do so. Without a considerable degree of legitimacy, governments cannot
govern; the State fails.
LEGIT IMACY
LEGITIMACY AND GOOD GOVERNMENT
Max Weber early suggested that, to win legitimacy, government could invoke either the
charisma of a leader (a George Washington or a Lenin), traditional or sacred authority (the
British monarchy, or the Ayatollahs of Iran), or what he called legal-rational means (now-a-
days we call it ‘good governance’). A government seeking legitimacy cannot easily create
charisma or a sacred tradition. It can only act to build legal-rational legitimacy. To do
that, law-makers have but one option: to strengthen legitimacy, government must
strengthen the institutions that make and implement good governance.
Ultra vires. The ultra vires rule holds that, without authorization by a law, in an official
capacity a government official may do nothing. In effect, that rule tells officials that they
need not obey a mere policy statement; they need obey only laws.
To change institutions and thus have a hope of winning the fatal Can you use law for
race you and your colleagues must enact your policies in the democratic social
form of laws. ‘Must’ implies’‘can’, or the word has no meaning. change?
For most of the world’s history, those with power and privilege
used law in their own interests. Their own interests usually favored
preserving the institutions that underpinned their power and
privilege. Law served to prevent social change, not to encourage
it.
Law has, however, no inherent conservatism. Since the fall of

colonialism, most developing countries have frankly sought to use
law to change their societies – mostly, with less than spectacular
success. That has led 'contrarians' to argue that a government
CANNOT use law to accomplish deliberate social change. You
should weigh their arguments, and the answers.

CAN LAW INDUCE DELIBERATE SOCIAL CHANGE?
THE ARGUMENTS PRO AND CON
Contrarian’s argument #1. Society makes law; law constitutes

an artifact of society. How can society’s artifact change the society
that made it?
Answer: ‘Society’ does not make law. Law-makers – like yourself

– make law. Within the limits of law, law-makers can use law to
bolster existing institutions, or to change them.
Contrarian Argument #2. The ruling class controls both the

law-making system and the economy. The ruling class will never
introduce laws that disadvantage the ruling class.
Answer: In every country’s history, moments occur when

opponents of the class that controls the economy control the law-
making machinery. Immediately after the defeat of colonialism,
giant colonial companies often still held controlling economic
power. New, populist parties held political power. These new
parties had an opportunity to use law to change the inherited
economic institutions. (Too often they failed – but that is another
story.)
Contrarian Argument #3. Many laws do not achieve their stated

goals, not due to accident, or law-makers’ inattention, but because
using law to induce social change cannot work.
Answer: Sometimes, law works. Before an income tax law,

nobody paid income taxes. Without a national election law, people
cannot vote in national elections. Sometimes law does not work.
In no country does a law forbidding sexual intercourse between
unmarried people achieve 100% conformity to its commands.
The problem is to discover what makes some laws work and
others fail, and then to use that knowledge to write effective laws.
Contrarian argument #4. Law’s function concerns dispute

settlement. The laws declare rights and duties to instruct judges
how to decide cases. It has no function in behavioral change.

Answer: Law has many functions. Among them, it decides disputes.
To facilitate development and transition, law serves as government’s
principal instrument to change problematic social behaviors.
Contrarian argument #5. The post-modern school of literary criticism

– ‘deconstructionism’ – holds that a ’‘text’ (the words on their face) has
no inherent meaning. A reader’s own perceptions and values shape
its meaning. A law’s readers – its addressees – similarly interpret its
text to suit their convenience – and never mind what the law-maker
intended.
Answer: Words constitute more than silly putty. Society exists

because we can and do communicate with each other. We can draft
a law sufficiently precisely to convey its core meaning to its addressees.
Contrarian argument #6. Only the rule’s underlying political decision

counts, not the technical process of. stitching words together into a
law. Design good policies, and legal technicians will draft good laws.
Study policy, not law.
An answer: Of course a government must have sound policies. A

policy, however, does not enforce itself. You must ensure that a bill
sufficiently translates its generalities into the operative commands,
prohibitions and permissions of the law.
Contrarian argument #7. Behaviors reflect multiple causes. Of these,

the law constitutes only one. These causes interact in ways so complex
that nobody can say whether or how law causes behavior. Unless
one can do that, one cannot use law purposively. The law and
development project becomes a mission impossible.
Answer: Behavior never has a single, determinative cause. In addition

to a law’s words, other non-legal factors do influence behaviors (see
Section E below). In assessing a bill, you must understand not only
its words, but also the non-legal constraints and resources that will
affect the behavior of its addressees. By changing the causes of
problematic behaviors, however, law can induce more desirable ones.
The contrarians overstate the case. Law works sometimes (income tax,
election law); it does not work other times. The problem becomes to
understand the factors that produce in one case effective law, and in
another, merely symbolic law. Before doing that, we take a brief side
excursion to discuss your tasks as a law-maker.A MANUAL FOR LEGISLATORS • 21
B. YOUR THREE TASKS, AND WHY THEY
REQUIRE YOU TO ASSESS BILLS
1. Why do you need to assess a bill?
As a member of your legislature, in addition to law-making, you do many things. You

provide the grease for individual constituents’ interactions with government bureaucrats;
on behalf of your district, you lobby for government goodies (schools, clinics, roads); you
prepare for the next election; you give speeches and, in some countries, open new bridges
and new supermarkets. This manual aims only to strengthen your capacity to tackle the
three tasks essential to your exercise of legislative power:
• Initiating, assessing, amending and debating bills;
• Overseeing executive implementation of the laws; and
• Building and maintaining two-way communication channels with the members of civil
society – the ‘stakeholders’.
To accomplish any of these tasks you must know how to assess a bill.
ASSESSING BILLS
a. Debating and voting on, and (sometimes) initiating bills. The central legislative
task imposed on the holders of the legislative power – yourself and your fellow law-
makers – consists in enacting (or refusing to enact) a bill.
To legislate wisely you must assess the evidence about how earlier legislation
works. You have two channels for acquiring that information.
b. The oversight function. In exercising their oversight responsibilities, deputies

usually may summon government ministers before the full house for questioning. In
some countries, legislative committees may do so. (If legislative committees do not
exist, or lack the power to do so, you may wish to consider enacting regulations to
create them, and empower them to require ministry officials to answer more detailed
questions.)
c. Maintaining two-way communications channels with constituents. As a second

channel for learning how the laws work, you learn from your constituents. As part of
your representative function, you need to inform them about the implications of new
legislation. As part of your oversight function, you must solicit facts from them as to
how the laws affect their lives.
The elite invariably have at least informal – and usually quite

formal – access to the politically powerful. To represent all
your constituents, you should make special efforts to open
communication channels with the poor and vulnerable.
22 • MANUAL FOR
LEGISLATIVE DRAFTING
How competently you and your colleagues exercise the legislative power — that is, how
competently you perform your three law-jobs — crucially determines the outcome of the
fatal race. To perform those law-jobs competently, you must know how to assess whether
and why a particular law does or will serve the public interest.
EXERCISE: YOUR ROLES

As a member of a legislature, you play many roles: law-maker, overseer of the
administration, representative of your constituency, politician, committee member,
aid and helper for constituents in their contacts with government bureaucracy. To
play those roles, you do a variety of tasks.
Make a list of the various tasks you have done in the last week in connection
with your various roles as a member of the legislature. Which ones involve exercise
of your constitutionally-delegated legislative power in the public interest?
C. ASSESSING A BILL:
POWER VS. FACTS AND REASON
The arguments a law-maker makes for or against a bill reflects the law-maker’s
understanding of how to assess a bill. Those arguments everywhere consist of a mix of
arguments relating to power, and arguments resting on reason informed by experience (or
‘facts and logic’).
Which of these predominate depends upon what role the law-maker plays in representing
constituents. In doing their law-jobs, sometimes legislators play the role of agent for a
constituency, a party, or interest group. At other times, they play the role of trustee for the
public interest. Most deputies juggle the two roles. Each role, however, has its own mode
of argument and therefore its own mode of assessing a bill.
OF COURSE MY JOB IS
TO SPEAK FOR THE
PEOPLE.....

YOU AND YOUR PARTY
PARTY
YOU AND YOUR
In nearly every country (particularly in the developing and transitional worlds) newly elected
legislators exercise only limited independence. Long ago, Gilbert and Sullivan made great
sport of the English MP who “...always voted at his Party’s call, and never thought of thinking
for himself at all.”
To exercise independence does not mean that you should divorce yourself from your party.
Of course, you will listen to your party’s position on a bill, discuss it, ponder it, and debate
it within the party and if necessary elsewhere. How you vote in the end, however, should
depend, not on your party’s, but on your own understanding of the logic and facts of
each set of particular circumstances.
To behave as agent you need only appeal to your own supporters. That requires only
arguments of power. To justify your role as a trustee for the public interest, you must appeal
not only to your own supporters but to the public at large. That requires arguments based
on reason informed by experience – logic and facts.
Arguments grounded on power typically aim to mobilize supporters. They appeal to

prejudice, ethnicity, party loyalty, religious affiliation, memories of battles fought long ago.
For instance, in the debate over rules at the opening session of the new Mozambican
Assembly, Renamo objected to the procedure of open voting for the Assembly’s President,
calling instead for a secret ballot. Instead of offering reasons for this proposal, the Renamo
delegates proclaimed their own party’s democratic antecedents, and raised objections to
the Frelimo nominee’s character. This launched a slanging match over personalities.
By contrast, arguments grounded on reason informed by experience require that you

estimate a bill’s social consequences. Power arguments appeal to your own side.
Arguments based on logic and facts appeal to a rational sceptic sitting either on your own
side, or across the aisle.
The question is, which

people am I speaking for
today?

THREE LEGISLATIVE ARGUEMENTS
THREE KINDS OF LEGISLATIVE ARGUMENTS
To enact a bill that you support, you must win the votes of fellow legislators. To do that,
legislators make three kinds of arguments, based on consensus, interest contestation,
and reason informed by experience.
a. Consensus: arguments based on ‘core values'. Assuming that all the citizens of a
political unit agree on their core values, a representative should support legislation based
on that core value-consensus. Values, however, vary widely. In Nigeria, a Fulani nomad
on the Sahara’s edge lives in a completely different world from that of an Oxford-trained
civil servant in Lagos. Both may speak Hausa and worship in mosques, but their webs of
life – and with them, their ‘domain assumptions,’ their core values – fundamentally differ.
If no ‘core values’ exist, arguments appealing to them cannot reliably persuade a bill’s
opponents. Argument addressed to non-existent 'core’ values rank with the other
arguments of power. They do not appeal to the rational sceptic; they do not invoke facts
and logic.
b. Interest contestation: arguments based on power. Interest contestation theorists

agree that no core values exist. At the same time, they hold, ‘facts’ and ‘values’ occupy
different universes; we cannot measure or compare ‘values.’ As Schumpeter put it, “no
such thing (exists) as a uniquely determined common good that all people could agree on
. . . by the force of rational argument.”
Interest contestation theorists come in two varieties: pluralist and public choice. Pluralist
theorists hold that, as interest group representatives, legislators enact into laws the
bargains they make with each other. Public choice theorists assert that, bent on re-
election, like so many pirhanas snapping at money and votes, elected officials ‘auction’
off laws to the highest bidders. Especially where parties nominate ’lists’ of candidates,
legislators typically vote as agents for their parties. Both sets of theorists argue that a
law-maker has no choice but to act as an interest-group agent. For that, law-makers
make arguments resting, not on facts and logic, but power. You reach agreement not by
persuading the other side, but by compromising with them. You assess a bill only in
terms of what it will do for your preferred constituency.
c. Problem-solving: arguments based on facts and logic. Unlike pluralism, problem-

solving rejects the divide between ‘facts’ and’‘values’. Arguments about what the law
ought to be properly flow, not from prolonged contemplation of one’s ‘values’, but logic
reflecting on the available evidence, that is, reason informed by experience (see Chapter
5). In this mode, you appeal to the rational sceptic through appeal to reason, not emotion.
You assess bills on the same basis.

You and your colleagues cannot simply ignore the discourse of power, but it need not
dominate. The world around, most legislative debates have focussed on the discourse of
power. The laws that emerged from that discourse resulted in the people losing the fatal
race. Only if you and your colleagues systematically assess bills in terms of facts and logic
do you have much chance of winning that race.
To assess how a bill will likely ‘work’ in your country’s unique circumstances, you should
demand evidence relating to two sets of questions: will the bill’s details induce the behaviors
prescribed? Will those behaviors likely ameliorate the identified social problem, at not too
great socio-economic costs?
To answer those questions, you need to understand

why people behave as they do in the face of the
existing rule of law. Only if you can give a tenable
answer to that question can you confidently assert
that, government can use law to transform society.
D. WHY DO PEOPLE BEHAVE AS

THEY DO IN THE FACE OF A
RULE OF LAW?
Unless you can estimate a law’s potential real-world outcomes, you cannot use law to
induce deliberate social, political and economic change. Without more or less reliable
prediction of outcomes, purpose becomes impossible. (Because we can predict the
consequences, we plant seeds, not stones) To estimate a new law’s probable outcomes,
you must investigate the law’s potential impact on society.
‘Out there,’ in the real world, lie uncountable ‘facts.’ To assess a new law’s probable social
impact, which should you examine? Save with respect of the simplest bills, without a guide
about what facts to investigate – that is, what detailed questions to ask – you cannot
know where to begin.
Legislative theory holds that, confronted by a law, social actors behave within time – and
place-specific constraints and resources of the environment within which they live and
work. Among these, the law (and its threats of punishment and promises of rewards)
constitute only one.

Legislative theory's model of the legal system shows that, faced by a rule of law, a person
– a role occupant – behaves in response to (1) the rule’s words, (2) the relevant
implementing agency’s expected behavior, and (3) all the non-legal constraints and
resources that characterize that person’s specific environment. (This manual discusses
these factors in much greater detail in Chapters 5 and 6). By investigating those three
categories, you can make a more or less reliable prediction of a law’s social consequences.
That is the necessary predicate for using law as an instrument of social change. Learning
to use legislative theory and methodology becomes a condition for using the legislative
power wisely in the public interest – and thus for winning the fatal race.

SUMMARY
We summarize this chapter with a series of propositions:
1. The duty to exercise the legislative power imposes three tasks upon a legislator: To
debate and vote on bills, to oversee government functions, and to communicate with
constituents. To do any of these, you must know how to assess a bill.
2. How you argue for or against a bill reflects your understanding of how to assess it.
3. Arguments of power appeal to narrow interests of party or ethnicity, not facts and
reasoned judgment. Arguments in the public interest appeal to reason informed by
experience – facts and logic.
4. To win the fatal race, you and your colleagues must assess whether laws will likely
effectively help to resolve your country’s urgent social problems. You must make a
shrewd estimate — an assessment — of a bill’s social, political and economic
consequences.
5. To make that assessment, you need a guide. Our model of the legal system
suggests a first step in answering the question, Why do people behave as they do
in the face of a rule of law?
Before we examine the answer to that crucial question in further detail, we must examine,
first, issues of prioritization and, second, how to read a bill.
EXERCISES
1. Does your government invariably promulgate policies that it makes public, and
seriously intends, as rules of law (in the broad meaning of the term used throughout
the manual)?
2. Many people assert that, for a variety of reasons, no matter how well or expertly
used, law inherently does not have the capability of changing society. Do you agree
or disagree? Why? Give an example of a law that in your country has changed
some particular aspect of society. Give an example of a law that attempted a degree
of social change, but failed to accomplish its objective.
3. In connection with your constitutional duty to exercise the legislative power, you have
two additional tasks: to oversee the implementation of the laws; and to maintain two-
way communication channels with your constituents. In what way does skill in
assessing a bill become relevant to these two tasks?
CHAPTER 3:
PRIORITIZING PROPOSED BILLS
Every day, you hear demands for new laws.
Government never seems to have enough resources
for drafting, enacting and implementing them all.
To avoid wasting time and money on relatively
unimportant bills, you as law-makers, the
executive and the legislature, working together
must determine the order in which to draft, debate
and enact transformatory legislation – that is, you
must prioritize them..
MISUSE OF CAPACTY
MISUSE OF CAPACITY
A recent workshop in a developing country illustrated many law-makers’ difficulties in deciding

which bills to draft first. Most of the country’s inhabitants confront a grossly inequitable
distribution of land; widespread unemployment; obscene gaps between rich and poor that
reflect long-standing ethnic cleavages; and grossly inadequate schooling, health facilities
and housing. The new populist government had won elections by promising a dramatically
improved quality of life.
The workshop organizers had requested the participants from government ministries to
bring with them their ministries’ priority drafting projects. Senior officials from the Ministry
of Trade and Industry — presumably responsible for planning transformation — brought
three projects: to license highway tow trucks; to permit corporations to buy in their own
shares; and to repeal the usury law (which prohibited charging interest of more than 29%
per year). Surely no one could claim these as central social problems!
This chapter looks at:
A. How prioritization works in most countries, and your role as a legislator in the
process;
B. General criteria as guides to prioritization of alternative legislative proposals; and
C. Prioritizing proposed laws likely to affect the people's job opportunities and quality
of life.

A. HAPHAZARD PRIORITIZATION
Developing and transitional countries' processes for deciding priorities of proposed legislation
often seem haphazard. In reality, too often, those processes permit the beneficiaries of
the status quo to press for unimportant, incremental measures that leave intact the
institutional causes of a growing 'have-have not' gap. That seems to reflect the skewed
nature of the the prioritizing institutions.
1. The institutions for prioritizing drafting: An overview
In most countries, most bills originate in the executive branch, mainly in the ministries, as
government bills. While implementing existing laws, ministry officials frequently identify
new problems that call for new legislation. Occasionally, parliamentary committees or staff
members or a legislator prepare a bill's initial draft.
Ministries usually submit their proposed legislative projects to some body that prioritizes all
the country's drafting proposals. In some countries, ministries submit their projects to a
Cabinet Committee on Legislation, composed of senior ministers, which determines priorities.
In others, ministries simply forward them to the central drafting office, which allocates its
scarce resources to bills its staff considers important. In effect, then, the office determines
the bill's priority.
Whatever the institutional structure, in practice prioritizing frequently seems

completely haphazard. (In the United States, a leading article on prioritizing practice
bore the title, A Garbage Can Model of Organizational Choice.2) Taking advantage
of the unsystematic prioritizing process, political leaders not infrequently press
hardest for bills supported by powerful interest groups. Those with the best channels
to decision-makers – almost everywhere, those with power and privilege –
usually win priority for bills that advance their interests.
How to improve the prioritizing institutions? Law-makers must answer that question in
light of their country's special circumstances. By setting the law-making agenda, prioritization
decisions shape the direction of government’s exercise of state power. As an important
task, make sure your country's prioritization institutions give you and your colleagues an
opportunity to assess and approve the government's legislative program. Here, we suggest
a few factors that you might consider.
Prioritization requires comparing the claims of the many bills that clamor for legislative
attention. The principal legislative opportunity to do that occurs where government presents
its annual legislative program to the legislature for approval. (Not all governments do that,
but they should.) In most (if not all) Commonwealth countries, for example, the Head of
State reads out the annual legislative program at the opening of the first session of Parliament
for the year.

Whatever committee controls the legislature's agenda should require a bill's proponents
to provide sufficient information to enable the appropriate legislative committee wisely to
determine its relative priority. That could take the form of a memorandum that describes
the social problem the bill will address, a timetable for the drafting, and a guesstimate of
the order of magnitude of resources required to formulate and implement its provisions.
That memorandum should also specify the criteria, facts and logic that the proponents
believe justify granting their bill priority status; and suggest the composition of the drafting
committee, and the form for consulting stakeholders.
In ranking proposed bills, the prioritization body performs a planning function. Like all
plans, its initial prioritization decisions should remain flexible. If, in the course of a year, a
new social problem emerges that seems to require new legislation, the law-makers may
decide – in light of the available facts and reasons, and clearly pre-defined, well-publicized
criteria – to alter the priority list.
EXERCISE: PRIORITIZATION
Describe the steps by which, in your country, the relevant
authorities decide how to prioritize legislative proposals for
drafting.
B. CRITERIA FOR PRIORITIZATION
For prioritizing proposed legislation in a given country at a specific time, no one can
provide a blue print. In 1994, as its first task immediately after its first democratic elections,
South Africa's new government appropriately abolished state-enforced apartheid. In many
countries, land reform held first place. In Afghanistan after the Taliban's ouster, laws to
establish the new government, to ensure security and protect women's rights, demanded
immediate attention. No one size fits all.
Reason and experience, however, do suggest guidelines for questions you should ask
ministers as to which bills to rank for legislative action first; that is, what criteria to use in
assigning legislative priority. In prioritizing as in all law-making processes, the discourse
of power inevitably also presses for your attention. As throughout this manual we here
focus only on considerations of the public interest as determined by logic and facts.

GETTING INFORMATION FOR PRIORITIZING LEGISLATION
GETTING INFORMATION FOR
PRIORITIZING LEGISLATION
To prioritize proposed legislation, you need to ask:
Will a proposed bill:
1. Improve the quality of governance? How?

2. Increase employment opporutnities?
3. Increase the production of goods and services to meet the basic needs of the
majority of the population?
4. Increase equity? How? In the short-, medium-, or long-term, who will win,
who lose?
You should also ask:
5. Do the bill's detailed provisions seem do-able? At what cost? With what
possible unintended social consequences?
6. What constitute the bill's likely social costs and benefits?
7. In light of available drafting resources, how difficult and how long a drafting task
does the bill seem likely to present?
8. What other proposed legislation competes for priority?
As Chapter 1 emphasized, development comprises an on-going process of institutional

change to ensure the use of national resources to improve our people's quality of life. That
process resembles a chain. How law-makers act to change one link inevitably will affect
the others. In prioritizing needed legislation, you must decide which institutions require
change NOW.
Which key link should you, as

legislators, grasp to pull forward
the whole chain of development?

32 • MANUAL FOR
The third world's post-colonial experience holds valuable lessons. Immediately after
independence, in many countries, populist law-makers voted to expand social services,
especially education and health facilities. Within a few years, their countries' competitive
expansion of crude exports to earn the revenues needed to finance these services led to
falling world prices — and many fell deeply into debt. Currency devaluations, sky-rocketing
inflation, and externally imposed financial constraints forced them to curb social service
expenditures. Growing numbers – as much as 20 to 40 percent of the labor force –
found themselves without paying jobs. Deepening poverty engulfed of their populations.
Economic inequality and destabilization, rampant corruption, mounting ethnic conflicts,
and military coups fostered growing global demands for democratic social change and
good governance. As the new millenium opens, in what order of priority should you, as
law-makers, enact laws to achieve sustainable, peaceful development?
At the prioritizing stage, you likely have relatively little information. Working with whatever
information you have, give high rank to those proposals with the greatest potential net
economic and social benefits (see Ch. 5 ). Even at an early stage, ask for and weigh the
facts as to a law's probable socio-economic costs and benefits.
In weighing those facts, remember: existing national and global institutions, perpetuating
dependence on crude and labor-intensive manufactured exports, have tended to aggravate
unemployment and deepening poverty. The rest of this chapter focuses on the questions
you should ask to decide the relative priority of legislation designed to restructure those
institutions.
EXERCISE:
CRITERIA FOR PRIORITIZING
List the criteria which, in your country, seem appropriate for prioritizing the
drafting of legislative proposals.

C. PRIORITIZING LEGISLATION FOR ECONOMIC
DEVELOPMENT
Development does not concern 'merely' economic growth; social welfare and good
governance, too, must remain high on the agenda. Without an adequate economic
foundation, however, government cannot finance projects likely to enhance social welfare.
Laws looking to strengthen the economy too often fail to win priority. To help you understand
the obstacles to developing and transitional countries' economic development in today's
globalization era, this section presents, first, a model of the institutions that define the
relationship between the industrialized and the other countries; second, the economists'
debates over development strategy as they bear on prioritization choices; and, finally, more
detailed criteria for assessing the priority of legislation relating to agriculture, industry
(including the informal sector), trade, finance and foreign investment.
Laws to enhance good governance and social

welfare of course deserve high priority.
So do laws aimed at strengthening your
country's economic foundations.
1. Institutions and poverty in developing countries
To improve the quality of life of a country's population requires both increasing the total
national pie – the sum total of available goods and services (what economists call 'the
Gross National Product' or 'National Income') – and distributing it more equitably.
A simple model shows the global resource allocations

which reflect and perpetuate the underemployment
of developing and transitional country human and
physical resources.

THE CHARACTERISTICS OF POVERTY IN DEVELOPING COUNTRIES:
A MODEL OF POVERTY
A MODEL
Between nations, enormous disparities of wealth persist. The United Nations Development
Programme (UNDP) estimated in 1998 that
"a fifth of the world’s population, living in industrialized nations, consumes more
than four fifths of the world’s resources. That means that four our of five of the
world's peoples, mainly in the third world and transitional nations, must struggle
to survive on a bare fifth of the world's goods and services."
Within most developing countries, narrow ‘modern’ enclaves have emerged, dominated by
local elites who, closely associated with transnational corporate enterprise, reap half to
three fourths of the national income. Foreign- and domestically-owned enterprises employ
low-cost labor – frequently, migrants seeking to escape from neglected rural hinterlands –
to produce and export the countries' rich mineral and agricultural materials, mainly in
crude form at low prices, to first world markets. In the new millennium, a few factories
employ unskilled workers (at wages a fourth or less than those of first world factory workers).
Mainly, they assemble and process imported parts and materials to make cheap consumer
goods – shoes, TV sets, even computer parts – for sale in first world markets.

Typically, the value of most developing countries’ exports exceeds the cost of imports which
are mostly machinery and parts for enclave firms, and luxuries for those few who can afford
them. Nevertheless, most of these countries pay out, in the form of profits, interest, and
dividends to global investors and financial institutions, more than they earn. Those payments
and the flight of capital to 'safer' foreign havens leave precious little internally-generated
savings for investment to spur domestic production and job creation.
The institutional basis. No nation's raw materials produce and sell themselves to foreign
countries. Historically-shaped institutions – repetitive patterns of behaviors – perpetuate
these externally-dependent development patterns. Often rooted in the colonial era, inherited
institutions still channel local labor to work on the plantations, the mines, and, increasingly,
factories to produce crude materials and cheap consumer goods for export. Big wholesale
trading firms purchase small farmers’ crops at low prices. Large industrial corporations
employ unskilled workers for long hours at minimal wages to manufacture cheap consumer
exports. Property and contract laws make it possible for transnational corporations and
wealthy nationals to reap the profits of third world production and marketing facilities.
2. The economists' debates
Many economists teach that the quality of life of the population

of a developing or transitional country depends on its
productivity, the distribution of the fruits of its labor, and its ability
to earn foreign exchange in order to purchase what the country
cannot produce itself. The model above demonstrates that,
too often instead, inherited institutions siphon out funds,
thwarting the inhabitants' efforts to accumulate and invest capital
Economists agree to enjoy the good lives those economists promise.
about precious little.
Nevertheless, now-a-days most economists agree that to increase a nation’s productivity

requires government legislative action to:
(1) provide social and economic infrastructure to enable inhabitants to obtain jobs
and earn higher incomes in the context of more balanced integrated national
specialization and trade;
(2) systematically spur introduction of appropriate new technologies to increase
productive employment and productivity; and
(3) create institutional frameworks that empower the nation’s citizens to work together
increasingly effectively to increase their output and incomes as the essential foundation
for improving their quality of life.

Debates about the kinds of laws likely to help attain these goals tend to degenerate into
statements of dichotomies: Big bang or incremental change; Market or Plan; export-led or
internal demand-led development; private or state ownership. For a while, in the 1990s,
many economists seemed bemused by the 'Washington consensus,' a form of neo-liberalism
that seemed to assume freeing 'the market's invisible hand' would, over time, ensure
increased production benefits would trickle down to those in need.
Those debates often generate disagreements as to whether, on the one hand, to enact
legislation to encourage investment and support business, or, on the other, laws to meet
people's socio-economic needs. Too often, proponents on both sides seem to ignore the
facts of country-specific characteristics which logically should undergird a government's
development strategy.
Hawking shoes, Johannesburg, South Africa, 2002; the benefits of

the market may take some time to trickle down to all participants.

ITS NOT AN "EITHER
/ OR" DEBATE . . . .
MARKET VRS PLAN DEBATES: BASIC ISSUES
Market vs. Plan Debates: Some basic issues
a. Plan or Market? You cannot afford to think about state planning and markets as an
either/or dichotomy. Today, every country's economy exhibits some planning. Even in an
archetypical free market state like the United States, considerable planning takes place.
How else could firms – public or private – run an electrical supply system, a telephone
system, or any other ‘natural monopoly’? On the other hand, given scarcities of funds and
of skilled personnel, market-driven solutions sometimes trump plan solutions. In your own
country’s unique circumstances, you must study the facts to determine the mix of plan and
market each sector of the economy demands. Especially in small countries, where one or
two large firms often dominate entire sectors – like railroads, an iron and steel industry,
chemicals and oil production, or finance – you should study the merits of alternative
regulatory regimes for each sector. Whether a particular sector lends itself better to planning
or market solutions depends on the facts, not abstract theory. For markets, as for every
other aspect of life, no particular legal framework proves universally applicable.
b. Shaping a market’s legal framework. Most economists agree that, to function well,
a market must operate within an appropriate legal framework;3 laws to improve that
framework deserve a high priority. To determine what constitutes an appropriate legal
framework in your country's historically-shaped conditions, you may wish to ask two further
sets of questions:
(1) Ought business laws invariably to receive priority?

(2) Do those kinds of laws exhaust the category of the laws that markets require?
As to the first question, citing Max Weber, some theorists claim that in every market
economy, to ensure the predictability for investments that capitalists seek, law-makers
should prioritize business laws, which an earlier generation called ‘private law.’44 These
theorists call for legislation to privatize state-owned property; property laws generally; and
contract and corporation laws in all their elaborate variations – principally enforced by
private litigation in law courts.
Each country’s transition to a market economy does tend to resemble that transition in
other, relatively similar countries. (That explains why one country's law-makers can learn
something about that transition from other countries’ experiences.) Significant differences
also inevitably exist. To make a mature judgment as to whether a particular country should

AND EVERY COUNTRY HAS ITS OWN
ISSUES, PROBLEMS AND NEEDS.
MARKET VRS PLAN DEBATES: CONTINUED

adopt a check law or a titling law before enacting other kinds of laws requires an empirical
study of that country’s specific circumstances.
As to the second question, some authorities insist that business laws exhaust the list of
priority legislation a market economy requires. An alternative view holds that markets work
not merely because of business laws, but also because of the existence of an appropriate
legal and institutional (as well as physical) infrastructure. That includes laws to regulate
the money supply and credit; to ensure government’s fiscal responsibility for budget formation
and budget discipline; to shape the educational system to provide an educated work force;
to provide publicly-financed old age and disability pensions; to foster a mobile work force
and social stability; to establish an agricultural extension service to stimulate a progressive
agricultural sector; to establish effective environmental protection agencies to protect the
environment against the ravages of private greed – a long list.
This view suggests that, to prioritize laws in developing and transitional polities, you should
weigh the claims not only for business laws, but also for the full range of legislation required
to bolster the market’s institutional infrastructure.
Notwithstanding neo-liberal economists' advice, you should never blindly copy laws in a
rush to privatize state-owned facilities. Typically, taxpayer funds originally financed those
assets. To sell them to the wealthy few who happen to have capital, or to foreign investors,
does not ensure their future development in the public interest. To maximize short term
profits (and executive salaries), the buyers often lay off workers and strip production to the
most profitable lines, aggravating unemployment and leaving unfilled essential economic
functions, like building roads to remote rural areas; giving the poor access to water, housing,
electricity and public transport; and establishing industrial plants to produce parts, equipment
and materials to facilitate growth of small scale enterprises.
In short, nobody has a silver bullet that in one shot can vanquish the devils that plague the
world's disinherited: poverty, vulnerability, poor governance. No easy short-cuts exist. You
must assess your own country's realities to determine which laws require early drafting
and enactment, and which to defer.
In every case, you need to consider whether a proposed law seems likely to help shape
the markets’ essential institutional infrastructure, and facilitate production of the goods
needed to improve productive employment and all people's quality of life.

3. Prioritizing legislation for economic transformation
Legislative theory argues that an appropriate legal framework can lead to significantly
increased productivity, providing the basis for meeting the entire population's basic needs.
This requires transforming legislation in each of the major areas of economic activity:
agriculture; industry; wholesale trade; finance; and foreign private investment.
This section asks what information you need to decide what legislation will likely help to
strengthen the ‘key links’ to foster development in each economic sector.
AGRICULTURE
1. Agriculture. Over the past century, many countries in the developing world have seen a shift
from subsistance and small scale agriculture to cash crop production. Often this involves the
formation of large-scale agri-industry. Large mechanized farms — whether owned by foreign firms,
wealthy private farmers, state farms or cooperatives — use large areas, often the best land, and
employ more capital equipment and machinery than small farms. As they invest in more advanced
efficient technologies, they employ less labor per unit of output. At the same time, they often push
off the land small farmers who cannot compete, forcing them to take low-paid jobs as hired farm
labor or migrate to the cities.
Given access to appropriate technologies, small farmers, typically families with limited capital, can
significantly improve on-farm productivity. To enable them to acquire new skills, inputs, credit, and
markets, laws may establish agricultural extension programs, and facilitate their efforts to work
together through cooperatives.
Legislation has played a key role in structuring agricultural

transformation - both in creating large agri-industrial enterprises,
and empowering small-scale farmers to better utilise land and
labour under changing conditions. Most agricultural experts agree
that, to increase agricultural productivity, legislation should facilitate
farmers' efforts to gain access to six essentials:
(1) Sufficient arable and well-watered land;

(2) farm inputs (fertilizers, appropriate machinery, seeds, water
supplies, etc);
(3) credit to purchase those inputs;
(4) adequate technology;
(5) the necessary skills to maximize their use of these inputs;
and
(6) markets, including the transport, storage, and marketing
facilities they need to sell their increased outputs.

pic: farm workers in Tzaneen, South Africa, 2002
Law and the legal order can and do change inherited institutions to give farmers access to
these essentials. That may produce mixed results. The devil lies in the laws' details. They
determine which of which particular group of people may be affected, and how they will
behave in the face of the new legislation.
EXAMPLE
Women subsistence farmers who wish to engage in cash crop
production rarely have access to credit, to enable them to buy necessary
fertiliser or seed; financial institutions' regulations often require a (male)
head of household to provide surety for credit. UN assessments of
agricultural assistance programs in Africa point out that although women
comprise 80 per cent of the targeted farmers, three quarters of the
credit provided goes to men. That makes it far less likely that women
farmers can adjust to new economic conditions.
Over time, increased agricultural productivity tends to reduce the demand for agricultural labor
per unit of crops produced. As a legislator, you should ask for facts concerning each law's
likely impact, not only on productivity, but also on agricultural employment and equity.
INDUSTRY
2. Industry. Most economists perceive industry as a mighty engine of development. By
creating new jobs and manufacturing an expanding array of low-cost goods, it holds the
potential for improving the material conditions of life throughout the population, as well as
expanding exports.
Widespread experience in many different developing countries suggests, however, that

industrial growth may have a counterproductive social impact. Wealthy private (foreign or
domestic) investors usually prefer to invest in the least risky, most profitable sectors. Typically,
they shun investments in basic industries which might serve as poles of growth, and in
small-scale enterprise that may provide job opportunities and produce low-cost tools and
consumer goods to meet basic needs.
In recent years, transnational corporations together with locally-

based affiliates have begun to invest in last-stage assembly
and processing of imported parts and materials for export from
developing countries. While seeming to increase industrial
production, this may aggravate, not only dependence on
imported parts and materials, but also a growing foreign debt
to import machines, parts and materials. Typically, those
industries maximize profits by hiring low-cost national labor –
often women, and even children – for long hours at very low
wages. Their managers seldom transfer to national
entrepreneurs basic technologies and skills.

INDUSTRY (CONTINUED)
Unable to obtain wage employment, many working people struggle to earn whatever they can in
the growing so-called ‘informal’ sector — micro-enterprises that operate on a catch-as-catch basis
outside of the formal legislated framework. With little or no access to capital, credit, technology,
and markets, informal sector entrepreneurs use low-cost, locally-available technologies — often
only hand tools — to produce consumer goods for the nation’s poor majority. Although they pay
employees very little, they do provide jobs for the otherwise unemployed.
An alternative strategy might foster investment in more advanced industrial technologies to reduce
the cost and increase the supply of nationally-manufactured machinery, equipment and consumer
goods to raise national living standards. In countries as different as Japan, South Africa, South
Korea, the former so-called socialist countries and Brazil, law-makers have enacted laws to give
government a direct role in building basic industries, like iron and steel, petrochemicals, electricity.
telecommunications and transportation.
Appropriately drafted laws can strengthen your country's nationally (or regionally) oriented industrial
growth, creating more productive rural and urban employment opportunities, more equitable income
distribution, and expanding internal markets. To assess a particular law's impact on industrial
development, you should ask two sets of questions:
First, how will it contribute to the provision of five factors essential for sustainable industrial growth:
(1) a reliable source of supplies;

(2) an adequately educated labor force, including managerial and technical personnel;
(3) appropriate technology;
(4) credit; and
(5) access to markets.
Second, how will the resulting industry likely affect jobs and incomes in the rest of the economy,
including the informal sector? For that, you should ask for evidence relating to that industry's
potential contribution to:
(1) job-creation, especially to absorb displaced rural workers;
(2) the foreign-exchange earnings needed to import new machinery and equipment to
spur all sectors' productivity; and
(3) the forward and backward linkages between manufacturing and the rest of the
economy, including the informal sector; that is, will the resulting industry –
(a) process agricultural or mineral raw materials for domestic use as well as for export,
contributing to increased domestic, including rural, incomes;
(b) manufacture essential machinery and equipment to spur domestic productivity in
agriculture or industry; or
(c) produce low-cost consumer necessities to improve the majority’s quality of life?

In short, to prioritize laws relating to industry, do not rely on abstract theoretical models. Instead
ask for facts: will the proposed law foster sustainable industrial growth that contributes to increased
productivity and employment in all sectors of the economy, leading to steady improvement in the
majority's quality of life?
To become sustainable, increasingly integrated domestic
TRADE
industrial and agricultural growth requires new laws that
facilitate the expansion of domestic and international trade.
3. Trade. Developing countries have often inherited trading institutions that have
perpetuated dependence on the export of crude and labor-intensive manufactured
goods; import of machinery, equipment and parts for export-enclave industries,
and consumer luxuries for the few who can afford them. Post-colonial experience,
however, has demonstrated that overcrowded global markets cannot absorb
developing countries' competitively expanding exports.
Many wholesale firms enjoy long-established links with overseas buyers and sellers
with whom they share lucrative external trade profits. Investing capital to build
warehouses, godowns, and transportation capacity, big wholesalers dominate
internal trading channels. They charge high prices that squeeze, not only retailers,
but also domestic farmers’ and local industries’ profit margins. These smaller
enterprises must pay whatever prices the wholesalers charge for consumer goods,
tools and equipment.
EXAMPLE
Some transnational firms manipulate
global markets and prices with little regard
for their impact on third world peoples.
To illustrate: by the 20th Century's end, in
many developing countries, HIV/AIDS
had reached crisis proportions.
Transnational pharmaceutical firms priced
drugs that could protect against the
disease at four to five times developing-
country workers' average yearly income.
When developing countries sought to
import or manufacture generic drugs at
more affordable prices, the
pharmaceutical companies brought suit in
those countries' domestic courts, and
pressured their home governments to
block those countries' most favored nation
status.
March to end to international patent laws covering HIV drugs, Pretoria, A MANUAL FOR LEGISLATORS • 43
South Africa, 2000.
Legislation to help your country's retailers and manufacturers
overcome these kinds of obstacles deserves a high priority. You should ask
the relevant ministries to provide the factual information you need to
propose and prioritize laws likely to help restructure your country's trading
institutions. These restructured institutions should foster more balanced,
integrated national, and where possible, regional trade directed to boosting
national productivity and incomes and fulfilling people's needs.
FINANCE
4. In finance. Everywhere in the developing and transitional world people experience great
difficulty in accumulating and reinvesting capital to finance production and trade geared to their
needs. Existing financial institutions — banks, insurance companies, and stock exchanges —
tend to finance patterns of production and trade that perpetuate externally dependent development.
Both foreign and domestically-owned banks collect and hold whatever savings the poor, as well
as the wealthy few, may accumulate. These savings could become a major source to spur
economic growth. For the most part, however, large financial organisations limit their loans to
large-scale farmers, formal sector manufacturers, and to wholesale trading firms, primarily those
engaged in foreign trade. Banks and financial institutions seldom lend money to small farmers to
grow food crops. They rarely lend funds to domestic basic industries focused on increasing
developing countries' national productivity and employment; even less often do they make loans
to informal sector micro-enterprises and traders from the low income majority. Taking advantage
of relaxed foreign currency rules, they often ship significant amounts of locally-generated surpluses
for investment in more secure markets in industrialised countries.
Over the years, insurance companies and pension funds (both foreign and domestically-owned,
often associated with banks), have accumulated a significant share of many developing countries'
savings. Seeking protection against risks of accidents and old age, increasing numbers of
individuals pay premiums that swell these institutions’ funds. Insurance company managers
may reinvest these in government bonds, and sometimes through the stock market, in large-
scale business enterprises. Some governments permit insurance firms to ship the accumulated
funds overseas for ‘safe’ investment in foreign industrialized economies — a further drain of
national investable surpluses.
To prioritize legislation that can improve national financial institutions’ stability and safety, request
evidence as to the likelihood that proposed laws will facilitate the accumulation and reinvestment
of national savings to:
• increase productive employment opportunities;

• contribute to a balanced, integrated domestic (and where possible regional) economy
characterized by expanding production and trade; and
• improve the population's quality of life.

FOREIGN INVESTMENT
5. Foreign private investment. Some development theorists argue that foreign capital inflows
should constitute the be-all and end-all of proposed legislative programs. These theorists claim that
foreign private investments will lead to expanded foreign exchange, employment, appropriate technology,
marketing links, and skilled manpower — all in one package. These analysts would instantly award
priority to any legislation likely to attract foreign investors; and reject legislation that might "scare" them
away.
If one assumes that the existing institutional structure will remain fixed, immutable, and unchanging,
that advice might make some sense. In contrast, this manual holds that through the wise use of the
legislative power you can change institutions. That opens up a wide range of options, of which attracting
foreign capital constitutes only one possibility.
One counter approach would be to ensure that legislation specifies criteria to make it likely that foreign
investments will in fact bring their heralded benefits. Legislation can make tax relief and other benefits
to foreign investors dependent upon their contribution to building basic industries, and tie them to the
number of jobs and the amount of foreign exchange they generate. It can condition new foreign
investments upon the introduction of new technologies and training local personnel, not merely to
service or assemble an imported ‘black box’, but to design new versions to improve national productivity.
Say 'no' to prioritization of legislation that simply conforms to theoretically-determined Market or Plan
priorities. Ask for the facts you need to assess how a proposed law to stimulate foreign investment in
agricultural, industrial, trade, and financial sectors will affect your country's inhabitants.
SUMMARY
1. A country's law-making institutions shape the prioritization process. You and your
colleagues should critically review and, if necessary, restructure your country's law-making
processes to ensure prioritization of legislation in the public interest.
2. In general, give precedence to legislation likely to strengthen the institutions required to
ensure good governance, as well as the socio-economic institutions that shape the
population's employment opportunities and quality of life. Be sure that the available

SUMMARY (continues)
facts demonstrate that the expected benefits of proposed institutional changes will
likely outweigh their probable costs.
3. When assessing the relative priority of legislation likely to affect your country's economic
institutions in the fields of agriculture, industry, the informal sector, trade and finance,
• Base your decisions, not on abstract models or theories, but on the facts of your
own country's specific circumstances; and
• Think carefully about the questions you should ask to assess their likely social
impact, not only on the growth in the 'national pie', but on the people's productive
employment opportunities and quality of life.
EXERCISES
1. In practice, how does your country prioritize bills for drafting? In practice, what
proposition best explains what bills get drafted first? What suggestions might you
make to improve the prioritization process?
2. The text recommends prioritizing legislation that seems likely to strengthen the
institutions of governance and to expand balanced, integrated domestic output to
increase job opportunities and a better quality of life. What alternative criteria might a
contrarian suggest? How might a contrarian justify those alternative criteria?
3. Pretend that you sit as a member of a committee of the Parliament charged with the
duty to report on the government’s annual plan for legislation. The Secretary to Cabinet
sits before you, ready to answer questions. State at least three different categories of
questions that you might ask the Secretary about how the proposed annual legislation
plan relates to issues of economic development.

CHAPTER 4:
READING A BILL
To assess whether a bill will serve the public

interest – and at what economic and social
cost — you must read and understand the bill
on its face.
This chapter aims to assist you in taking the first step: reading and understanding a bill.
The next chapters suggest questions you should ask to determine whether a bill will likely
serve the public interest.
A bill’s printed pages look different from those of novels, magazines, or history and science
texts. Most sentences begin with a number or letter. Some sentences seem to stop in the
middle, followed by a new numbered subparagraph. They seem written in a strange
language, with many almost unrecognizable words. Some appear so tangled that you can
only try to puzzle them out.
ASK FOR CLARIFICATION
ASK FOR CLARIFICATION

As you examine a bill on its face, keep in mind three essential points:
1. For historical reasons, people used to believe that judges constituted the law’s
only important readers. Today, especially for development, transformatory law
must change behaviors. Drafters must draft so that the people whose behaviors
the law aims to change can read and understand what the bill says. If you do not
understand a bill, neither will its addressees; the drafter has drafted it badly.
2. Do not listen to the drafter who says that, for ‘legal’ reasons, a bill requires hard-
to-comprehend words or sentences. If drafters cannot explain a section in simple
terms, they themselves probably do not know its meaning. Nothing in the law
defies explanation in simple terms. If a bill’s addresses could not readily
understand it, send it back for redrafting.
3. Remember: Your constituency elected you – not the drafters. Government
drafters should provide the information you need to exercise your legislative
power wisely.

A law prescribes how a primary role occupant and designated implementing agency officials
should behave (see the Model of the Legal System, p. 27). It consists of a series of rules.
Each legislative sentence specifies what someone must, may not or may do.
You might think of a bill as an onion. To get at its core meaning, you must peel back layer
after layer. To help you peel back those layers, this chapter explains
A. Why drafters number practically every sentence, and formally organize a bill into
Sections, Chapters, and Parts:
B. Why most lawyers (including drafters) frequently use a strange dialect
(‘legalese’);
C. The meaning of a bill’s ‘technical’ sections; that the individual, numbered sections
-- each composed of a single narrow command, prohibition or permission —
constitute the bill’s basic building blocks; and
D. In the context of the existing legal system, the bill’s prescriptions of behaviors
comprise the bill’s substantive thrust: its legislative content.
A. A BILL’S FORMAL ELEMENTS
In a bill, numbers or letters denote titles, parts, divisions (or

chapters), and sections.
A bill’s numbering system identifies the separate commands

that together make up that bill. Drafters number sections
(articles) so that, in legislative debates or in court, lawmakers
and judges can refer to particular ones. Drafters group
sections that deal with a single issue into a Chapter, and
Chapters that have some common attribute into a Part.
A bill’s formal structure follows the form similar to that of any

outline:
Part I

Bills everywhere follow that outline
form, but different jurisdictions’
drafting conventions assign different
Chapter 1 names to the outline’s various levels.
Section 1 (The names of a bill’s levels should
Section 2 conform to your country’s practice.)
Subsection (1)
Subsection (2)
Section 3
Chapter 2
Section 4
Section 5
Part II
Chapter 3
Section 6
Section 7
1. "Sections" (some jurisdictions call them Articles) constitute a bill’s basic building
blocks. A section should contain no more than one ‘legislative’ concept, that is, a
single rule (see Section C below).
NAMES OF DIFFERENT LEVELS

2. “Chapter” (or “Division”). Some jurisdictions call a group of sections within each
part, ‘Chapters,’ while others use ‘Divisions’. Most jurisdictions number chapters (or
divisions) consecutively throughout a bill. Many simple bills include no level higher
than chapters, and even simpler ones, no level higher than sections.
3. “Part”. Conventionally, usually numbered consecutively by a Roman numeral (“I” or
“II”) , Parts constitute a bill’s largest divisions. If a bill contains a large number of
parts, each of which might stand alone, you should consider whether its sponsors tried
to resolve too many diverse problems in one law (called ‘stuffing a bill,’ see Chapter 5).
4. “Title”. Only a few jurisdictions use the word “Title” to mark a division in a single bill.
Historically, law-makers published statutes in the order of the dates of their
promulgation. Today, some jurisdictions codify their laws, putting them together in a
single giant compilation. ( Those who can put them in a computerized form). They
insert each new law into that compilation, and use the label “Title” to cover all the laws
concerning a particular subject, like “Education,” “Transportation,” or “Prisons.”
Understanding the bill’s numbering system should help you to peel back the bill’s first layer.
The language in which drafters expresses commands in each section may appear as a
second impenetrable layer.
B. THE LAW’S LANGUAGE

If in your country's drafters write
bills so the ordinary person can
understand them, move onto Section
In most of the world, drafters write a strange, convoluted, C below – and rejoice!
unfathomable language. Some call it ‘legalese’.
Complex legal words fall into two categories. Some reflect the
requirements of law’s specialized subject-matter. Others merely
obscure plain meanings.
1. Law’s specialized vocabulary. Like most professions,

law sometimes requires elements of a specialized
vocabulary. To illustrate: In different relationships, a
person may promise to do something: To pay a debt, to
complete a building pursuant to a contract, to deliver some
promised goods. Another person may promise to perform if
the first promisor does not. The law of guarantees uses
specialized words for elements common to all those kinds
of promises: ‘Principal’ means the debtor who promises to
pay or to perform some other duty; ‘surety’ means a person who promises to pay the
debt or perform the duty if the principal defaults. To understand some bills’ specific
subject-matter, you have to learn the relevant specialized vocabulary. If you do not
understand the words used, ask!
2. ‘Legalese’. Often, however, drafters use unnecessarily complicated words, and long,
tortuous sentences. Insist that they re-write them in plain language.
AN EXAMPLE OF LEGALESE IN THE ENGLISH DRAFTING TRADITION
Read and weep.
From the Zambian Cooperative Societies statute:

EXAMPLE
“The minority or nonage of any person duly admitted as a member of any registered society
shall not debar a person from executing any instrument or giving any acquittance necessary
to be executed or given under this Ordinance or the rules made thereunder, and shall not
be ground for invalidating or avoiding any contract entered into by any such person, whether
as principal or as surety, [and that contract] shall be enforceable at law against such person
notwithstanding his minority or nonage.”
Translation: “A cooperative may enforce a contract between the cooperative and a

cooperative member younger than the country's age of majority."
50 • A MANUALhistorical
In England, circumstances encouraged drafters to use legalese.
FOR LEGISLATORS Before England
established a central drafting office in 1869, ministers hired conveyancers to draft bills.
Conveyancers (long paid by the word to write deeds and wills for landed interests) used
the same language to draft bills. Central drafting office drafters adopted the same form
and style. They taught it to drafters in the colonies, where obscure vocabulary and
convoluted legalese gave colonial officials and judges broad discretion to rule pretty much
as they wished. Unfortunately, not a few post-colonial and transitional government drafters
still grant broad discretion by using hard-to-understand legalese.
If you recognize a bill's underlying pattern, however, you can understand it even when
written in the densest legalese. To discover a bill’s pattern, try to decode the words the
drafter used to write it.
THOMAS JEFFERSON ON LEGALESE
EXAMPLE
Thomas Jefferson, one of the authors of the United States’ Declaration of Independence
and the United States’ second President, wrote that those authors decided:
“to reform the style of the later British statutes and of our Acts of Assembly, which by
their verbosity, their endless tautologies, their involutions of case within case and
parenthesis within parenthesis, and their multiplied efforts at certainty, by saids and
aforesaids, by ors and ands, to make them more plain, do really render them more
perplexed and incomprehensible, not only to common readers, but to the lawyers
themselves.”
A quick review of present U.S. drafting reveals

that Jefferson and his colleagues failed to
persuade all future U.S. drafters.
For many legalese words, drafters could easily find common-language equivalents. If at a
meal I said, “Those strawberries look delicious. Please pass the said strawberries,” my
friends might well look at me with alarm. ‘The said strawberries’ here only means’‘those
strawberries.’ Words like‘said',‘such' ,‘heretofore',’hereinabove', ‘whereas', or ‘provided
that', serve no function useful to the law.
In many legalese phrases – ‘to have and to hold', ‘null and void', ‘give, devise, bequeath,
grant and bequest,’ ‘building or structure’, ‘lot, tract or parcel of land’ – two words mean the
same thing. The drafter could easily delete one.
If you do not understand a word in a bill, ask what it means. If, like ‘surety’ it constitutes a
technical term, insist that the bill define it in lay terms. If a word like ‘said’ or ‘hereinbefore’
seems meaningless, insist that the drafter use plain English. If a bill includes redundant
words or phrases, insist that the drafter use one or the other, not both.
3. Definitional clauses: Frequently, a statute begins with a section entitled ‘Definitions.’

In a long statute, the definition section may go on for pages.
DEFINITIONS: SOME EXAMPLES
“In this Act –
What purpose does
this section serve?
“1. ‘Television dealer’ means a person who by way of trade or
DEFINITIONS: EXAMPLES
business
(a) sells television sets by retail;
(b) lets such sets on hire or by hire purchase;
(c) arranges for such sets to be sold or let as aforesaid by another television dealer;
or
(d) holds himself out as willing to engage in any of the foregoing activities;
"2. ‘animal’ includes whales and other mammals living in the sea.
"3. ‘vehicle’ does not include a wheelchair.”
Many people either

(b) throw up their hands and retire — cursing the whole tribe of
(a) assume that, drafters.
since the list of definitions comes at the beginning, they must
slog through it – and forget half the words; or
A drafter might put a bill's definitions in one of two places in a bill:
1. List the definitions of key words alphabetically in a glossary at
the beginning or end of the bill (preferably the end) so readers
can look up the meanings of words as needed. Unfortunately, a
reader’s failure to look up important words might lead to significant

misunderstandings.
2. Stipulate an important word’s definition in the text where that word first appears.
Then, at the end of the bill, list those words alphabetically in a glossary, specifying
the page numbers where the reader can find their definitions.

Make sure that, whenever a word or concept appears more than once in a bill the drafter
always uses the same definition for it. Throughout the (fictional) bill in the previous example,
for example, the word ‘television dealer’ should always have the meaning given it in the
bill’s definition section.
USING A DEFINITIONAL SECTION
EXAMPLE
Suppose Section 2 of a bill defines ‘television dealer’ as defined in the above example.
Section 5(1) of the same bill reads as follows:
"5. Forwarding document of sale to National Tax Office.
“1. Upon request by the television dealer, the Department of Taxation shall supply to the
television dealer a form that indicates the date of a sale or contract to sell a television set
that the television dealer has entered upon, and the name and address of the purchaser.”
The reader should substitute the definition set forth in example No. 1 on p. 52
wherever“‘television dealer’ appears. In Section 5, above, that would require repeating
that lengthy definition in three places. By using the word as defined in the bill’s definition
section, the drafter avoids lengthy repetitions throughout the bill.
Bills include definitions for either of two reasons. First (as shown in the previous box) in
some statutes, drafters must use many, sometimes even a long list, of words to describe a
complex concept. Using the word(s) as defined in the bill’s definitions section throughout
the statute avoids tedious repetition and increases the bill’s readability .
Second, a definition helps to avoid the vagueness inherent in every word (proper names
excepted). Consider the word ‘vehicle’ in a municipal ordinance that states “A person may
not drive a motor vehicle in a city park.” Plainly, the ordinance prohibits a person from
driving an automobile in a city park. Yet reasonable speakers of English could disagree as
to whether the bill prohibited motor-driven wheelchairs. To avoid disagreement, a drafter
could expressly define the word ‘vehicles’ to exclude ‘wheelchairs.’
Occasionally, a drafter may intend a bill’s reader to construe a word to include in its meaning
items that, in ordinary language, that word might exclude. To avoid misunderstanding, the
drafter should define the word in the bill, for example, by defining ‘animals’ to include
whales and other sea mammals.
This section peeled back a second layer of

confusion about a bill – that of language. The next
peals back a third layer ––that a bill prescribes
specified social actors’ behaviors.
C. THE STRUCTURE OF A SECTION
As a bill’s basic building block, a section constitutes a single rule, a prescription.
Sometimes that prescription seems hidden behind a thicket of dense language. As you
analyze a section’s words, keep in mind that you need to identify the behaviors they prescribe.
With very few exceptions (usually less than 5 per cent) each section of a well-drawn
bill commands, prohibits or permits a social actor to behave as it prescribes. (Even
the remaining 5 per cent constitutes commands, although of a peculiar sort; see Section D,
below.) Always ask, does a section properly tell the reader, Who? What? When? and
Where?
Who?
To answer the question, ‘Who?’ look for the person whose behavior the section
prescribes. A language expert would tell you to identify the sentence’s subject.
(Mistakenly using a passive voice, a drafter may fail to specify the rule’s subject.
Take a legislative sentence that states, “The accounts of the Small Claims Court shall
be audited at least twice a year.” Does it state Who will audit the accounts?) If you
cannot discover the subject of a sentence, insist that the drafter redraft it.
What?
The question, ‘What?’ tells you to look at how the sentence commands the person (the
‘subject’) to behave. A language expert would tell you to look at the sentence’s verb.
Does the section’s prescription command, prohibit, or permit a subject to ‘behave’ as
the verb indicates? For that, language experts would tell you to look at the section’s
auxiliary verb: by convention in English, drafters use ‘shall’ (in some jurisdictions,‘must’)
for a command;‘may not’ (or ‘shall not'), for a prohibition; and ‘may’ for a permission. If
a bill’s section does not limit the prescription, it applies at all times and under all conditions.
Where and when?
Most sections do specify where and when the command, prohibition or permission
goes into effect. A section may limit the behavior prescribed – the When? and Where?
— by stating a case, a condition, or an exception.

1. A case modifies either
AND THE EXCEPTION

A CASE, A CONDITION,
• a subject: “An individual who has passed that individual’s eighteenth birthday
may vote in a national election.” This sentence limits the subject to an
individual who has reached 18 years of age.
• a verb: “[Under specified circumstances, a person] may vote by absentee
ballot.” This sentence limits the verb, ‘to vote,’ to voting by an absentee ballot.
• the object of the verb: “[Under specified circumstances] a person may cast a
paper ballot.” This limits the object (the kind of ballot the voter may cast).
2. A condition states what must happen before the rule comes into force: “If an
individual has passed that individual’s eighteenth birthday, that individual may vote in
a national election.” (Usually the words ‘if'’ or ‘where’ precede a condition.)
3. In the exception, the prescription states a general rule applying to the whole domain,
and then carves a portion out of it – the exception – limiting the prescription to only
that part of the whole domain not excepted. “Except when an individual’s eighteenth
birthday has not passed, an individual may vote in a national election.” (Usually, the
word ‘except’ precedes the ‘exception’.)
All three forms tell the reader the circumstances in which the permission granted (that is, to
vote in a national election) comes into effect.
EXERCISE: DISENTANGLING
A BADLY-DRAFTED SECTION
Use the four key questions — Who? What? When?

and Where? – to unpack the following statute:
“ACT OF JULY 3, 1939 40 STAT. 850 (1031) [U.S.A.]

”Be it enacted by the Senate and House of Representatives of the United States of America
in Congress assembled, That the Commissioner of Narcotics is authorized and empowered
to pay to any person, from funds now or hereafter appropriated for the enforcement of the
narcotic laws of the United States, for information concerning a violation of any narcotic
law of the United States, resulting in a seizure of contraband narcotics, such sum or sum of
money as he may deem appropriate, without reference to any moieties or rewards to which
such person may otherwise be entitled by law: Provided, That all payments under authority
of this Act to any informer in any foreign country shall be made only through an accredited ... is this
consul or vice consul of the United States stationed in such country; and every such payment English?
must be supported by a voucher with an accompanying certificate of the said consul and
vice consul that the payment of the amount stated on the voucher has been made to the
informer named, and at the place and time specified on said voucher.”

By identifying the who, what, where and when, you can explain what this horribly written
statute means. Redrafted, it might read like this:
“(1) Payment of reward.

(a) The Commissioner of Narcotics (the who) may pay a reward to a person who
provides information concerning a violation of a United States narcotics law (the
what).
(b) The Commissioner may make that payment only if the information leads to a
seizure of contraband narcotics.
[The remainder of the bill might specify the Where and the When, that is, the limits on
the powers granted to the Commissioner]
(2). Amount of reward. Without taking into consideration an award which some other
law may allow to the person providing the information, the Commissioner may pay
the reward mentioned in (1) in an amount that the Commissioner determines.
(3). Payment made in a foreign country.
(a) If paid to a person in a foreign country, the Commissioner shall pay the reward
mentioned in (1) through a United States consul or vice consul stationed in that
country.
(b) The Commissioner shall accompany the Commissioner’s report of a payment
made pursuant to 3(a) with a certificate by the consul or vice consul that the
consul or vice consul made that payment in the amount, to the person, and at
the place and time stated in the report.
(4) Source of funds. The Commissioner shall pay an award pursuant to section 1 out
of funds appropriated for the enforcement of the narcotic laws of the United States.”
Note: the bill makes no provision for accounting for rewards paid to informers in the
United States — an omission that only becomes clear when one breaks the bill down into
more manageable sections.
These four questions – the Who? the What ? and (where

relevant) the Where? and the When? – focus attention on a
section as a single prescription. Once you understand a bill’s
formal structure of sections, chapters and parts, and what the
individual words and sentences mean on their face, the answers
to these four questions will give you a grasp on the meanings of
about 95 per cent of that bill’s substantive commands.

AHA!
D. DISCOVERING THE BILL’S SUBSTANCE
After you have pealed back the layers of legalisms in which drafters couch their bill’s
commands, after you understand its various prescriptions and its ‘technical’ provisions,
you should find it easier to assess the bill as an an integrated whole. Its prescriptions may
aim either to change an existing institutional structure, or, more rarely, to create a whole
new institutional structure.
The bill’s text gives you no direct information to enable you to determine whether or how
the new law, once enacted, will function. To make an estimate of the bill’s probable social
consequences, you must understand the bill’s substantive core, the central purpose and
thrust of all its commands.
If, in the context of existing law, the relevant actors behave as the new law ‘s rules prescribe,
they will create or change eight different kinds of interrelated institutional sub-systems
– an entire legislative system – embodied in the existing legal order.
A complete legislative scheme prescribes behaviors that institute

eight subsystems. It consists of rules addressed to:
1. Primary role occupants.

2. Principal implementing agencies.
3. Sanctioning agencies.
4. Dispute-settlement agencies
Whether the new law will prove
5. Funding agencies. effectively implemented and achieve
its stated purposes depends on
6. Monitoring and evaluation agencies.
whether and how each of those sub-
7. The agency that makes regulations under the law. systems affects and becomes
8. The personnel who keep the corpus of the law in order. affected by the relevant actors’
prescribed new behaviors.
A simple bill, like one prohibiting spitting on the sidewalk, may expressly address only one
aspect of one sub-system (see example on page 58). When enacted, however, the new
law will exist in the context of other laws that provide for the on-going operation of the other
seven sub-systems. Assuming the other seven sub-systems function reasonably well,
you can assess a simple bill on its face.
A large and complex bill (for example, a bill creating a new University or a new Agricultural
Bank) may incorporate rules affecting all sub-systems.
HOW A BILL FITS INTO THE EXISTING LEGAL ORDER’S SUBSYSTEMS OF A
LEGISLATIVE SCHEME
Consider a simple bill forbidding spitting on the sidewalk in urban areas. It contains only a
few short sections.
“1. [Short title]

2. Within the boundaries of an incorporated city, a person may not spit on the
sidewalk.
3. A court shall convict a person of an offence whom after a hearing it finds violated
section 2 and fine that person not more than $50.”
This bill, on its face, only prescribes part of the behaviors of two subsystems – the primary
role occupants and the sanctioning agency (see diagram, p. 27). It assumes that elsewhere
in the body of law exist other rules addressed to the relevant actors in other subsystems.
These implicit prescriptions include rules addressed to:
1. The implementing agency. The police, whom an existing Police Act usually
commands to arrest a person they have reasonable ground to believe committeed an
offence (here, spitting on the sidewalk).
2. The sanctioning agency.The prosecutors and the judges for whom the existing Court
Act and Criminal Procedures Act prescribe procedures for bringing an accused person
to trial and deciding its outcome.
3. The dispute-settlement agency. Frequently (as here), the courts serve simultaneously
as both the sanctioning agency and the dispute-settlement agency. Existing
procedural laws prescribe how courts should hold criminal trials and settle disputes
over guilt or innocence.
4. Funding agencies which, under existing budget and finance laws, provide funds for the
police and the courts.
5. Monitoring and evaluating agencies. Existing law usually requires the elected
legislature to oversee government’s implementation of laws. The Chief of Police’s
annual report on the incidence of crime may list the number of people arrested for
spitting on the sidewalk, an indication of whether the police enforce the new law.
6. The rule-making agencies. In many laws (particularly those that aim to transform an
institution), some agency must make and promulgate detailed regulations. In complex
legislative schemes, without detailed rules, the scheme will not work. Either in the bill
proposing complex legislation, or elsewhere in the body of the law, authorization to
make detailed rules must exist together with criteria and procedures for doing so (see
Chapter 6).
7. The people who keep the corpus of the law in order. The bill’s section 1 constitutes a
command to those concerned with the law.

This manual’s next chapters show how legislative
theory provides a guide for asking the questions to
assess whether a proposed bill will likely ensure that
each of these subsystems contribute to the new law’s
effective implementation.
SUMMARY:
FIVE STEPS TO
UNDERSTANDING A BILL
In short, to understand a bill, you should take five steps:
1. Outline the bill, following its numbering system for Sections, Chapters, and
Parts. Fill in the Chapter and Part headings from the bill.
2. Read each section carefully. Make sure that you understand the words it uses.
Don’t let legalese upset you. Insist that the bill’s sponsors and drafters explain
each word with which you have difficulty.
3. Analyze each section by asking, Who does What? Under what limits or
circumstances? When?
4. Disentangle the ‘technical’ sections by interpreting them as commands,
especially to government officials about how to fit the bill into the existing body
of law.
5. Complete the outline you started in step 1 by putting each of the commands
related to one of the subsystems into a separate group. Where, as frequently
happens, the bill says nothing about a whole subsystem, ask whether another
law will work to provide for that function. (For example, in the absence of a
specific dispute settlement system, ask, will your country’s court system
adequately settle disputes arising under this bill?)
Having completed those five steps, you should understand the bill well enough to decide
whether it merits your support – that is, you are at last in position to assess the bill.
This manual’s first chapters built a theoretical basis to enable you to understand a bill and
the criteria for assessing it. This chapter has emphasized that you should ask more detailed
questions about who the bill commands, prohibits or permits to do what; and the nature
and consequences of the limits it imposes on those prescriptions. The remaining chapters
provide a methodology for assessing whether, in the public interest, the bill’s
substantive prescriptions will likely facilitate democratic social change.

EXERCISES
1. Explain why outlining a bill constitutes the first step in assessing it.
2. You ask a drafter what a phrase in the bill means. He replies, “Don’t worry about it.
That’s only technical language necessary to ensure the bill’s legality. You have to be
a lawyer to understand that phrase.” How would you reply to the drafter?
3. “In a well-drawn bill, almost every sentence commands, permits, or forbids.”

What does that proposition reveal about the nature of the law? Is it consistent with
the proposition that almost every sentence in a bill must state Who does What?
How might you use that proposition in asking questions about the meaning of a
section of a bill?
4. Whether in the bill itself, or in other, existing applicable legislation, a complete

legislative scheme’ contains some ‘technical’ provisions. Give some examples of
these ‘technical’ provisions. Why does every legislative scheme include some of
these?
5. “Whether contained in the bill before you or in other, existing legislation, a complete
legislative scheme contains prescriptions addressed to eight sets of addressees.”
Who constitute those eight sets of addressees? How might you use that information
to help you to assess a bill?

PART II:
LEGISLATIVE THEORY
AND METHODOLOGY:
THE KEY TO A LEGISLATOR’S TASKS
Henry VIII in Parliament, England, 16th century

CHAPTER FIVE:
AN INTRODUCTION TO
LEGISLATIVE THEORY
AND METHODOLOGY ASKING THE RIGHT
QUESTIONS
PREVIEW
Part I described the difficulties that, the world around, legislators like yourself encounter in
trying to carry out their constitutionally-designated law-jobs to facilitate development in
ways consonant with good governance. In developing and transitional countries, poor
governance tends to thwart development efforts. Few legislators know how to assess a bill
(rarely do they introduce legislation). Without knowing that, they cannot inform their
constituents about a law’s likely social impact; they cannot monitor and evaluate the causes
of its negative impact; they cannot even know what questions to ask the proponents of a
bill to determine whether its detailed provisions rest logically on the country’s unique
circumstances.
This chapter shows how to use institutionalist legislative theory and methodology as a
guide to discovering the facts and logic relevant to assessing, not only a bill’s general
desirability, but also the likelihood that its detailed provisions will ensure its effective
implementation. It explains:
A. The general uses of legislative theory and the four steps of its problem-solving
methodology;
B. The range of possible causes of the problematic behaviors that comprise a
dysfunctional institution;
C. The importance of weighing the social and economic costs and benefits of the
logically alternative legislative measures;
D. Why you and your colleagues should require the bill’s sponsors to accompany
an important bill with a research report that in terms of legislative theory justifies
the bill and demonstrates its likely social impact;
E. Why a bill’s sponsors should narrow its scope;
F. What you may learn from history and other countries’ experiences in using law to
help resolve similar problems; and
G. A checklist of questions to ask to obtain the information you need to assess a bill.

A. A PROBLEM-SOLVING METHODOLOGY:
A GUIDE FOR ASKING QUESTIONS AND
ASSESSING BILLS
To realize democracy’s promise, you and your colleagues must exercise the
legislative power in the public interest. What theory and methodology can best
guide you in assessing whether proposed legislation will solve a social problem
effectively and at least social cost? This section explores the use of theory in the
search for facts, and the logic of the four steps required by institutionalist legislative
theory’s problem-solving methodology.
1. In general: Using theory as a guide
As discussed in Chapter 2, your role as a trustee for the public interest requires that, in
making arguments for or against a bill, you appeal not only to your own party’s adherents,
but to the public at large. For that, you cannot rely on subjective values (whether you like
its ‘taste’), opinion polls, party commands, interest group demands, or some authority’s
Diktat. As trustee for the public interest, you need to know how to answer two questions:
(a) whether the bill will effectively solve the social problem at which it aims, and
(b) at what economic and social cost.
Your assessment must rest on facts specific to your own country’s realities. Social problems
come embedded in the complicated, intertwined facts of the real world. To predict a proposed
law’s probable social impact, you need a guide to distinguish the relevant facts from the
irrelevant. Legislative theory can guide you in asking relevant questions, and in logically
structuring the facts you capture.
Take, for example, a bill to transform an agricultural extension agency from one that services
large commercial farmers to one with the primary mission of improving small peasants’
agricultural methods and productivity. To assess that bill, what facts do you need? Faced
by problematic behaviors and limited research resources, you must decide in advance
which areas merit detailed examination – that is, what categories of facts will likely prove
relevant.
For that, you need an explicit, carefully reasoned theory — an intellectual map. That kind
of map guides your search for relevant facts by suggesting hypotheses – educated guesses.
To determine whether those hypotheses prove consistent with the available facts, you
must test them by examining the relevant facts.

Implicitly or explicitly, a law rests on educated guesses about what behaviors constitute the
social problem it aims to help resolve (descriptive hypotheses), and about the causes of
those behaviors (explanatory hypotheses). To induce behaviors more likely to solve that
problem, the law’s detailed prescriptions logically must alter or eliminate those causes. To
test these hypotheses, you must ask questions – mainly, questions about the facts that
might falsify them. If the hypotheses prove consistent with the facts, and the solution
logically addresses the causes those hypotheses reveals, the proposed law has some
probability of ameliorating the social problem at which it aims. Thus legislative theory
guides the search for relevant facts.
An hypothesis helps to limit the area of facts which researchers must try to discover.
Someone whose hypothesis reflects a personal ‘vision’ will likely limit their search to facts
that conform the hypothesis, and thus coincide with that person’s subjective values. To
overcome the universal tendency to find only confirming facts, conscientiously search for
facts to contradict your hypothesis. A law has a better chance of helping to resolve a
social problem — that is, to work — if it rests on hypotheses grounded, not on how you
would like the world to be, but on how it actually is.
a. The function of legislative theory
This manual does not offer a treasure chest, but a tool box. Its
legislative theory (including the model explaining why people behave
as they do in the face of a rule of law, and the problem-solving
methodology described in subsection 2, below) offers you a guide
for analyzing how a law will likely affect relevant social actors’
behaviors.
That theory rests on the fact that all social problems reflect repetitive patterns of behavior;
that is, by definition, institutions. Only by re-channeling dysfunctional behaviors can law
help resolve those problems. The model on p. 27 purports to explain why, given existing
laws and conditions, people behave as they do. That constitutes an essential tool for
finding and evaluating the evidence necessary to assess whether a bil will likely induce
new behaviors to resolve a specified social problem.
b. The function of Grand Theory
Social scientists offer various large-scale theories – what some call ‘Grand Theory’ – to
explain, usually in very general terms, large bodies of data covering relatively broad sectors
of human existence. Does the bill aim to help resolve a problem related to economic
development? political power? family relationships? criminal behavior? agricultural
productivity?1 For each of these subjects, Grand Theories exist. Frequently, on significant
issues, their authors disagree with each other.

The neo-liberal Grand Theory, for example, posits that, as long as markets operate ‘freely’
and ‘without constraints,’ they allocate resources optimally. That theory argues that no
obstacles, such as government regulations, should block realization of the several market
conditions essential to enable market actors to compete effectively.
In contrast, historical materialist theorists view social class formation, exploitation, and state
structures as the main causes of poverty and oppression. They explain that these cause
the unequal patterns of national and international accumulation and re-investment of capital,
rapid technology expansion along with growing unemployment, and widening wealth-poverty
gaps.
Some theorists view Grand Theory, not as a guide for discovering relevant evidence, but
as a metaphor for the real world: After identifying a real-world problem, they move to their
Grand Theory’s ideal world. They analyze how their Grand Theory would solve that problem
in that ideal world. Then they simply apply that solution to the real world — without even
trying to discover whether the real world’s conditions match those their Grand Theory
assumes.
METAPHOR
GRAND THEORY AS
GRAND THEORY USED AS METAPHOR
An American jurist proposed that, to assess existing law on the adoption of babies, one
should use the neoclassical economists’ market model. Given the right market conditions,
unrestricted competition produces the best allocation of resources. That model, the jurist
asserted, justifies removing all constraints imposed by law on private bargains between
birth-mothers and adopting parents. Would-be adoptive parents, competing for the small
number of adoptable babies, would accomplish the ‘best possible’ allocation of babies.
The jurist felt no need to investigate how that proposal would likely work in the real world, or
what consequences it might have for birth mothers, adopted children and adopting parents.
With tongue in cheek, Dr. Makgetla wrote that using Grand Theory to solve real-world
problems in that way resembled the case of the lover who compared his love to a red, red
rose – the model (or ‘metaphor’). Forgetting about the reality of his true love, the foolish
lover consulted his metaphor, and, in a romatic spot, with a background of violins, a lake,
snow-capped mountains, fed her what red, red roses like best – dew and well-rotted fertilizer.
No matter how well a metaphor conforms to someone’s Grand

Theory, without detailed research into the facts of the specific
case, grounding a law on its perceived prescriptions will likely
prove disastrous.

In contrast to making policy on the basis of Grand Theory as a metaphor, this manual
emphasizes that a Grand Theory, at best, may guide the formulation and testing of
alternative possible hypotheses for explaining existing problematic behaviors. Whatever
their Grand Theory, law-makers cannot use it as a metaphor for the real world. If they
enact laws based on metaphors, however derived, they too often enact laws which they
claim will improve people’s lives – but which, in the event, do not.
Human behaviors differ in different times and places. Without empirical investigation, no
one can assume that any model will safely predict a law’s impact. To assess a proposed
law requires empirical investigation about the country-specific social circumstances that
influence relevant social actors’ behaviors. At most, Grand Theory can suggest more detailed
explanatory hypotheses which, in turn, guide the search for facts to determine whether
those hypotheses prove consistent with the available evidence. Unless an explanatory
hypothesis derived from a Grand Theory proves consistent with available country-
specific realities, you cannot safely assume that it provides a sound basis for
designing the essential details required for effective legislation.
Effective law must build, not on dreams and visions, but on concrete,
real circumstances. To assess whether a bill’s detailed provisions
rest on real-world foundations, institutionalist legislative theory
offers a methodology that, at every step, guides the search for the
necessary time and place specific facts.
2. Using legislative theory’s problem-solving methodology
The problem-solving methodology aims to use reason informed by experience — facts

and logic — to assess whether a bill’s prescriptions will likely lead to effective implementation
and achieve that bill’s stated objectives.

OTHER METHODOLOGIES: ENDS– MEANS AND INCREMENTALISM
INCREMENTALISM
ENDS-MEANS AND
Other widely-used policy-making methodologies,what we denote as ends-means and

incrementalism, implicitly reject the possibility of using theory as a guide in policy-making
grounded on reason informed by experience.
The ends-means methodology takes as given the policy-maker’s stated goals or objectives.2
Its users then invent alternative legislative solutions for reaching those objectives, and
choose the one that, to them, seems to promise the most socially cost-effective outcome.
Implicitly, ends-means adopts the positivist separation of facts and values. It denies the
relevance of research about facts for determining a law’s substantive goals, leaving that
critical decision to the policy-maker’s ‘values’. (In ends-means, policy-makers use facts
primarily to weigh the costs and benefits of alternative means of attaining pre-determined
goals.) In effect, by assuming that no one can use facts and logic to query a decision about
goals, ends-means inevitably leaves the law’s objectives to those who hold power. Ends-
means inevitably assumes an authoritarian cast.
Incrementalism teaches that, given real life’s complexity, no one can confidently predict a
new policy’s or law’s consequences. Given the unknown dangers of wide-sweeping
change, incrementalists recommend as the wisest course that law-makers nibble at social
problems by making the smallest changes possible. At best, progress takes place only in
small incremental changes. ‘Muddling through’ becomes not the result of deliberate policy,
but bumbling. Incrementalism has its uses, especially when insufficient research makes
major changes risky. As a general strategy, however, it proves ineffective for making the
significant institutional changes development requires.
a. The problem-solving methodology
To determine whether in your country’s unique circumstances a bill’s provisions will likely
overcome the causes of a particular social problem, legislative theory’s problem-solving
methodology recommends that, at each of four logically-connected steps, you ask specific
questions :
Step I: Identifying the social problem. To understand the nature and scope of the
social problem the bill proposes to address, you must ask two questions. First, you
need country-specific information about its surface appearance: What facts can the
bill’s supporters provide to support their descriptions of its nature and scope?
Second, because laws can only address behaviors (see p. 27), ask questions to
discover who constitute the relevant social actors, including the implementing agents,
and what they do that creates or exacerbates that social problem. Unless you know
exactly whose and what behaviors constitute that social problem, you cannot
meaningfully assess the bill’s likely effect.

Step II: Proposing and warranting explanations. To help resolve the problem, the
proposed law must alter or eliminate the causes (that is, the explanations) of the
relevant social actors’ problematic behaviors. Ask the bill’s proponents to explain
those behaviors, and demonstrate that their explanations prove consistent with the
facts.
Step III: Proposing a solution. Once convinced that the facts justify the explanations
of the existing problematic behaviors, you can assess whether logically the bill’s
prescriptions — especially the implementation provisions — seem likely to alter or
eliminate those causes, and induce more desirable behaviors.4
Always ask the bill’s proponents to describe the alternative solutions they have
considered, and the costs and benefits of those alternatives as well as of the bill
before you. Especially, ask them to describe the bill’s probable impact on groups
and interests typically poorly represented in the halls of power: women, children, the
poor, minorities, human rights concerns, environmental protection matters (see
section C below).
Step IV: Monitoring and evaluating the new law’s implementation. Finally, ask
questions about the monitoring and evaluation mechanism that the bill prescribes.
No law ever works exactly as anticipated. Prior to enactment, pressures to pass
legislation quickly often preclude adequate research. Constantly changing
circumstances inevitably accompany transformation. After a law’s passage and
implementation, you and your colleagues can only carry out your oversight tasks if
you have adequate information to determine whether people and organizations
(including implementing agencies) do in fact behave as the bill prescribes, with the
expected consequences.
Once you get the facts about a law’s actual

impact, you may want to revise and improve it.
Your job as lawmaker does not end with the
enactment of a bill. Like life itself, lawmaking
involves solving one problem after another.

b. Capturing the facts
Asking ministry officials or other proponents to give you the evidence that justifies their
bills’ detailed measures does not prove as formidable a task as it may appear at first blush.
Social problems usually lead to drafting legislation only after they have persisted for a long
time. Ministry officials, academics, and activists can usually provide the relevant facts (see
Chapter 7 below.)
Problem-solving’s second step, explaining the causes of the behaviors that comprise the
problem, proves crucial. If a bill’s design does not logically alter or eliminate the causes of
problematic behaviors, it will not likely induce the new behaviors needed to help resolve
the problem. Legislative theory suggests a set of categories to help identify all the plausible
explanations for the problematic behaviors the bill addresses.
B. LEGISLATIVE THEORY’S GUIDE TO FINDING

PROBLEMATIC BEHAVIORS’ CAUSES AND
SOLUTIONS
ROCCIPI
Institutionalist legislative theory builds on the premise that no single factor causes behavior.
It suggests seven broad categories to help generate all the likely hypotheses as to the
causes of a relevant set of social actors’ behaviors: Rule, Opportunity, Capacity,
Communication, Interest, Process and Ideology. ( The first initials of these categories make
the acronym, ROCCIPI . The order of the categories has no significance. The acronym
aims to help you remember the categories.)
Together, these categories serve to focus your questions on the facts you need to
validate the likely causes of each set of problematic behaviors the proposed bill’s
details aim to alter. Unless the bill’s detailed measures logically seem likely to
overcome the existing problematic behaviors’ causes revealed by those facts, you
probably should call for alternative legislative solutions more likely to succeed.
Ask about the facts concerning

possible causes suggested by each
category in turn.

R
The Rules. The model on page 27 focuses on the question, why do people behave as
they do in the face of a rule of law? In reality, people behave as they do, not in the face of
a rule, but of a whole cage of laws.
USING LAW TO EXPLAIN BEHAVIOR

HOW EXISTING LAW MAY HELP EXPLAIN BEHAVIOR: AN EXAMPLE
Suppose that, despite a law forbidding it, people pollute the rivers. On its face, the law's
provisions may suggest several explanations for that behavior. First, the existing law’s
provisions may not forbid the dumping, or may not require an agency to act to prevent it.
Second, the rule’s wording may grant the polluters or the implementing officials broad
discretion to decide how to behave, leaving them scope to respond to inappropriate
motivations. Third, the law’s provisions may permit or even authorize the implementing
officials to use non-transparent, unaccountable decision-making processes that make it
easier for them to permit polluting behaviors (think corruption). Fourth, ambiguous or
confusing language may leave polluters unclear as to the law’s requirements. Fifth, other
rules may exist that in effect make compliance impossible. For instance, a rule may require
companies to get rid of waste without providing an alternative place for waste disposal.
Ask four kinds of questions about the precise wording used in existing laws to discover
how they may help to explain problematic behaviors. Do the existing laws’ detailed
provisions -
1) prescribe or expressly permit the problematic behaviors?
2) expressly or by vague or ambiguous wording grant discretion to its addressees

to decide how they should behave?
3) specify criteria and procedures likely to ensure that implementing agency

officials make decisions using non-arbitrary — i.e., transparent, open,
accountable, and participatory — processes?
4) prescribe the required behaviors of the relevant role occupants (including

implementing agency officials) in words that leave them unsure about what they
must or may do?
The answers to these four questions may help you to decide whether the existing law itself,
on its face, helps to explain the problematic behaviors at issue.
In addition to examining the existing cage of rules, the remaining ROCCIPI categories
suggest that you should ask questions about non-legal causes embedded in your country’s
unique realities. Since the bill should alter or elminate the causes of the behaviors that
constitute the social prohlem the bill addresses, the answers may suggest possible additional
detailed provisions in the bill.

o
Opportunity: Do circumstances facilitate the problematic behaviors? First, do the
circumstances create an opportunity for the relevant actor to misbehave? If so, the new
law should try to change the environment to make that behavior more difficult. For example,
if customs officials, in an out-of-sight field post, take bribes, the law might require monitoring
by hidden cameras, or inspectors making unannounced visits. If mining inspectors come
to a mine, see only the manager in private, and then, despite dangerous conditions, give
the mine a clean bill of health, an effective legislative provision might forbid the inspector
from conversing with the mine manager without a representative of the labor union
representing the mine workers within easy earshot. Second, do the relevant actors have
an opportunity to behave as the law prescribes? For example, if a small farmer has no
access to a market for a crop, that farmer may not grow it even if the law aims to encourage
all farmers produce it.
C
Capacity: Do the relevant actors possess the necessary knowledge, skills, and
resources they need to behave differently than they do now? For example, to explain
low farm productivity, ask: Do farmers have access to necessary new technology and the
skills to operate it? To explain non-accountable decision-making: do officials have the skill
and resources to publish written explanations for their decisions?
CAPACITY? IF I CAN'T DO IT
MYSELF, IT WON'T GET
DONE.
Communication: Do the actors know and understand the existing rules? A person
C
cannot consciously obey a law without knowing that it exists, and understanding the
behaviors it prescribes. A country’s channels for communicating information about laws
often reflect, and in some cases foster a skewed social structure. In most jurisdictions,
laws only appear in a government Gazette (or its equivalent) that appears in very few
copies to which few people have access. This may seriously erode the rule of law.
Local media may publish reports on the most important laws, and ministries usually inform
their officials about new laws, espcially those responsible for enforcing them. Urban elites,
especially formal-sector businessmen, usually learn from their lawyers or business
associations about laws likely to affect their affairs. In contrast, unless the responsible
ministries make special efforts to inform them, the poor – especially the rural poor – seldom
learn about new laws, even those supposedly designed to help them better their own lives.
Ask: Do a bill’s provisions ensure that the poor and vulnerable will learn about the law,
especially if it will likely to affect their lives? Do poor peasants, for example, know about

new laws that give them access to credit, or aim to facilitate their participation in decentralized
government affairs? Does a law designed to protect women and children against domestic
violence include a provision to inform them about it?
More generally, you might consider legislative provisions for wider communication of all
laws enacted, in newspapers, radio and television programs, as well as for direct
announcements to affected communities.
I
Interest: What incentives exist to induce relevant actors to behave as they do?
The category, ‘Interest’ (or incentives) refers to the actors’ own perceptions as to how the
existing law’s costs and benefits affect them and people close to them. These may include
material benefits, like increased cash or fringe benefits. They may also include non-material
incentives, like power or their family members’, friends’ and associates’ esteem.
In considering how particular interests influence an actor’s behaviors, exercise caution.

Too often law-makers propose laws that, implying that ‘Interest’ constitutes the main cause
of problematic behaviors, merely impose heavy punishments to deter violations, or,
sometimes, grant rewards as incentives for compliance.
In reality, few actors take into account a law’s paper penalty. Drivers on major highways,
for example, may worry less about the speed limit than whether a radar-equipped police
car hides around the next bend in the road. That suggests the need, not for greater penalties,
for more police patrols.
Some theorists expand the ‘Interest’category to subsume all the other categories of
explanation. In that view, for example, farmers fail to increase production only because
they do not receive sufficient profits from the venture — never mind that no road leads from
their farms to market; or officials do not obey a law to write an explanation for their decisions
because they receive no punishment for their failure — never mind that they remain illiterate.
To expand any of the ROCCIPI categories so broadly destroys their

usefulness for specifying detailed explanatory hypotheses. Without
detailed explanations, warranted by facts, as to all the probable causes The process is simple -
of problematic behavior, you have no basis in logic or facts for assessing its all left up to me.
a bill’s detailed prescriptions.
P
Process: How do the actors decide to behave as they do? Especially
with respect of complex organizations (and that includes all implementing
agencies), focus your attention on the process, the criteria and procedures
by which the relevant actors decide whether or not to obey the law.
Usually, if the relevant actors comprise individuals, the ‘Process’ category
yields few useful explanatory hypotheses; individuals usually decide on
• 73
A MANUAL FOR LEGISLATORS
their own whether or not to obey the rules. In contrast, ‘Process’ may constitute ROCCIPI’s
most fruitful category for inspiring hypotheses to explain the problematic behaviors of
actors who work in complex organizations: corporations, non-government organizations
(NGOs), schools, trade unions, cooperatives, and especially implementing agencies —
police, courts, ministries, agencies, departments, local government, bureaus (for more
details, see Chapter 6).
I
‘Ideology’ (values and attitudes): What goes on in an actor’s head that helps explain
behavior? Many social scientists turn to ‘Ideology’ to explain problematic behaviors.
’‘Ideology’ here refers to matters of belief, encompassing values, attitudes, tastes, myths
about the world, religious beliefs, more or less well-defined political, social and economic
ideologies.
Some people try to subsume most other explanations under ‘Ideology,’ leading, as does a
similar expansion of’‘Interest,’ to the neglect of solutions aimed at other causes. For
example, in a particular country, to blame coal mine accidents solely on the managers’
culture of profits over workers’ safety may ignore the managers’ lack of technology to prevent
accidents, or even the absence of a law seeking to ensure mine safety.
EXPLANATORY HYPOTHESES
CATEGORIES AND
CATEGORIES AND EXPLANATORY HYPOTHESES
We reiterate: Given the pressure of legislative work, you do not have much time in which
to ask questions of Ministers or other officials. To make the best use of your limited time,
you need a guide to formulate hypotheses as a basis of questions about relevant facts
likely to help identify the causes of problematic behaviors. Broadly construed, legislative
theory’s seven categories, captured as "ROCCIPI", may help you to make useful ‘educated
guesses’ about each set of problematic behaviors’ causes
For example, to explain an official’s arbitrary decision-making, the category 'Rule' might
‘spark off’ an hypothesis that the law grants that official unlimited discretion; the category,
'Capacity'; might suggest another hypothesis; the category, 'Process', a third. No matter
which category inspires useful hypotheses, the ROCCIPI agenda served its function if it
inspired you to consider all the likely possible causes.’
The ROCCIPI categories help you to ensure that — given the facts available as to your
country’s circumstances – a bill’s drafters have identified all the probable causes of the
relevant actors’ problematic behaviors. (That includes the behaviors of implementing
agency officials). That lays the essential foundation for assessing whether the bill’s detailed
provisions logically seem likely to overcome the causes of the specified problematic
behaviors, and thus to induce those actors to behave more appropriately.

C. DESIGNING A DETAILED LEGISLATIVE
SOLUTION
Having incorporated the causes of problematic behavior, you must enquire about the
adequacy of the solution – the proposed bill. That calls for four sets of questions:
(1) Have the bill’s proponents canvassed the possible alternatives?

(2) Have they tested the preferred solution – the bill – against the ROCCIPI
categories?
(3) Have they identified in the bill the most socially cost-efficient solution?
(4) Does the bill provide a method for monitoring and evaluating its implementation?
Are there other

1. Canvassing alternative possible solutions
ways to solve this
problem?
The first step in assessing a bill requires that you enquire of the
bill’s proponents what alternative solutions they considered. One
can gather ideas for alternative solutions from a variety of sources:
from the professional literature on the subject; from comparative
law and experience; and from one’s own ideas. As we have
emphasized, from foreign law there is nothing to copy, but much
to learn. Mainly, you can learn what others have tried to solve
analogous social problems, and how well those solutions worked.
Unless the proponents of the bill have considered alternatives,
you cannot assure yourself that their solution constitutes the most
appropriate one.
2. ‘Reverse ROCCIPI.’
Ask the proponents to demonstrate that their preferred solution addresses the earlier-
identified causes of the problematic behaviors that constitute the social problem addressed.
Unless it does, the new solution may not succeed in changing those behaviors and thus fail
to ameliorate the social problem. When considering explanations, you used the ROCCIPI
categories to generate hypotheses to explain existing behaviors. Now use it to predict
what behaviors a bill will induce. If the bill before you proposes to create a new agricultural
finance bank to supply credit to small farmers, ask, for example: Will the new bank have
the Capacity to make the many small loans required of such a bank? will it have Opportunity
to do so? will the responsible bank officers have sufficient incentives (‘Interest’) to make
the loans? do the bank’s Processes tend to ensure accountability, transparency, and
participation by stakeholders in bank decision-making?

In particular, you should ask for facts you need to weigh the relative social and economic
benefits and costs of implementing the alternatives as compared to the drafters' bill.
3. Weighing a proposed bill’s probable costs and benefits
No matter how effective a bill, unless its anticipated social and economic benefits exceed
the anticipated costs, you should vote it down. To make that decision, ask for the facts
about its probable impact, as well as its estimated benefits and costs compared to those of
the leading potential alternatives — including the current law.
a. A bill’s likely differential impact .
(1) On various social strata. No law impacts all society’s diverse social groups
equally. Even a seemingly simple new law that requires drivers to change from
driving on the right instead of the left side of the road imposes massive costs on the
owners of existing automobiles, whose right-hand-drive cars suddenly lose much of
their value. In the United States, where an income tax law requires that the rich pay
a somewhat higher percentage of their income as tax than the poor, a recent
seemingly equitable 10 per cent across-the-board tax cut in reality gave 62 per cent
of the proposed tax saving to the wealthiest 10 per cent of taxpayers. A regulation
requiring that the police commissioner appoint as policemen only people six feet tall
or taller discriminates against women.
Those with power and privilege always have channels to communicate their
objections to political movers and shakers. As an elected representative, ask for the
necessary facts to assess how a bill’s detailed provisions will likely impact on the
poor, women, children, the elderly and disabled, and, in many
countries, minority ethnic groups – all typically under-
represented in the halls of power.
(2). “For the public interest”. You should also ask

how proposed laws may differentially affect at least
three sets of areas of common concern too often
neglected by those in power: The environment, human
rights, and good governance. (Note: In a particular
country, people may also value other special concerns).
(a). The environment. Although almost every bill

affects the environment, it too seldom has
strong protectors in government. As a
minimum, ask for the facts about a bill’s likely
environmental impact.
(b). Human rights. In some cases — as when a
76 • A MANUAL FOR LEGISLATORS 76 • MANUAL FOR

proposed bill gives officials the power to detain persons without trial, or imposes
political controls over the press — the negative consequences for human rights
may seem obvious. You should also ask questions about how other bills may
affect human rights in less obvious ways. Does a legislative proposal for new
roads raise issues of human rights if it takes private lands inhabited by poor
people who cannot afford to move elsewhere? Does a proposal to build a
hospital to serve an ethnically powerful, wealthy group — which already enjoys
access to a developed health delivery system — raise issues of discrimination
against neglected poorer communities? Does a bill to provide high-tech skills
neglect to ensure equal opportunity for well-qualified women applicants?
(c). Good governance. Increasingly, people have come to value good
governance. This requires you to ask: Does the bill provide for transparent,
accountable, participatory decision-making? Does the bill contain built-in
defenses against corrupt behavior? (See Chapter 9)
b. Estimating costs and benefits.
It frequently proves difficult (sometimes,

impossible) to obtain accurate quantitative
measures of a bill’s economic and social costs
and benefits. Request a separate analysis of
the factors included in efforts to make such
estimates.
(1). Economic costs and benefits.
i. economic costs. By ‘economic costs and benefits’ we mean the costs a hard-
nosed accountant would include. The costs include government’s out-of-pocket
direct expenditures for personnel, buildings, equipment and services required to
implement a law. Government usually pays these out of current revenues, or,
over time, in the form of the principal and interest on loans. Unanticipated
factors like inflation or shortages may make estimates of these direct economic
costs problematic.
Governments also pay harder-to-estimate indirect costs. If, for example, a
proposed product liability law relies on individual litigation as its principal
implementation measure, government revenues must cover additional
expenditures to enable courts to deal with the resulting law suits.
The private sector may also bear economic costs due to a law’s effect on
existing enterprises’ employment, wages, or present or future profits. Those

costs may appear in the form of tax increases (the impact of which depends on
whether the taxes fall more heavily on the high or low income groups). Some of
these economic costs may only appear over time.
ii. Economic benefits. The economic benefits generated by a bill’s authorization
of government spending usually only appear over time. This makes them even
harder to estimate than economic costs. For example, current government
expenditures on infrastructure to stimulate new business may generate increased
future government revenues as a result of expanded private sector employment
and profits — but who can say by how much? Government investments may
also produce more government income in the form of profits, increased fees for
services or interest on government loans — but these future returns remain
difficult to predict.
New legislation may also bestow differential economic gains on various private
sector groups. Laws initiating new government development projects may
stimulate increased profits, employment and wages, but with different impacts on
different social groups. Uncertainty concerning many interrelated factors render
these potential gains difficult to estimate.
Sometimes, politicians claim reduced taxes constitute a private sector gain.
Which social group will benefit depends on the particular taxes reduced, as well
as who will lose when reduced revenues force the elimination of services.
Reducing the education or health budget will likely most seriously impact the
poor, who have no alternatives on which to fall back. A shift from income or
profits taxes to higher taxes on value added or consumer goods sales usually
reduce the poor’s real incomes, since they pay a greater share of their income
than do the rich to buy consumer necessities.
What do you mean,

there are OTHER
costs and benefits?
(2). ‘Guesstimating’ social costs and benefits
Social costs and benefits generally prove even more difficult to compare and assess than
economic costs and benefits. They affect intangible items like the quality of life (jobs and
incomes, housing, recreational facilities), human rights, and environmental conditions.

Typically, these, too, differentially affect the quality of life of society’s historically-
disadvantaged groups. How to measure the impact on a poor family’s life of a government
decision to demolish their house in order to build a road through their property? Of building
a school or a hospital in a high-income area rather than a low-income area? Of permitting
timber companies to chop down swaths of natural forest, which, over time, will likely
contribute to increased water run off and flooding? Of increased spending on education
so that many years later the community’s poorest citizens may enjoy new employment and
income opportunities?
Good governance calls for greater participation in the development process by the poorest,
most historically disadvantaged segments of the population. How to measure the social
costs and benefits of their participation? This makes it especially important for government
to hear from the poor about the law’s impact upon them.
Frequently, the intangibles comprise a law’s most important development impacts. You
should ask the relevant ministries to provide the best estimates they can — including an
explanation of how they reached those estimates. Then do your best to evaluate the bill.
EXERCISE: ASSESSING
COSTS AND BENEFITS
1. Draw up two columns side by side, one for all the economic costs you can think of
which the proposed bill seems likely to entail; and one for all the economic benefits.
Note those items in both columns for which you can easily obtain relevant
information as the basis of estimates, and those for which it will be harder, or about
which so much uncertainty remains that you can only make an informed
‘guesstimate.’ Design a strategy for estimating those economic costs and benefits.
2. Draw up two more columns, this time for the proposed bill’s probable social costs
and benefits. Again, note those items for which you can obtain information, and
which will undoubtedly prove more difficulty. Design a strategy for arriving at some
kind of defensible estimates.

3. Mechanisms for learning about a new law’s effects
The difficulties involved in estimating a proposed law’s probable social costs and benefits
— only one of the many places where, no matter how hard the law-makers try, legislation
necessarily proceeds with less than exact information — underscores the importance of
incorporating in important bills an adequate monitoring and evaluation mechanism. This,
problem-solving’s fourth step, should provide information to determine whether the law
actually does induce the behaviors it prescribes, and their anticipated impact. (If it does
not, you may decide to amend or even repeal the law.) You should ascertain whether the
bill contains provisions making it easy for the legislature to learn how well the new law has
succeeded in reducing the original perceived social problenm, and at what actual economic
and social cost.
In the largest sense, democracy itself constitutes a gigantic, if somewhat unsystematic,

monitoring and evaluation system. Constituents whose toes a law’s implementation may
pinch can and frequently do complain to you and your colleagues as their elected
representatives. You have a constitutional responsibility to listen and respond. Many
legislative committees oversee the work of particular ministries. This system, however,
does not always ensure reliable monitoring. Important transformatory laws should include
built-in devices to ensure more direct feedback.
It may be that legislators who are

corrupt will be voted out. But. . . the
next elections are in three years' time.
Over the years, various countries’ law-makers have devised potentially useful
specific monitoring devices:
SOME MONITORING
DEVICES
* A reporting requirement, that a responsible officer (frequently the Minister) report

periodically to a legislative committee on the new law’s operation. In most countries,
Ministers already, almost ritually, comply with laws’ requirements that they report to
Parliament’– but experience shows that, too often, little comes out of this process.
This underscores that, for important bills, additional monitoring devices appear
essential.
* A sunset clause (i.e., the new law stipulates its own limited life, so that it will only
continue if people become convinced that it should continue. That may stimulate
those for or against the bill to investigate its performance in some detail).
* A requirement that, after a stated period, an official appoint an evaluation

commission; and/or
* A provision for a referendum at some fixed future time on whether to continue the
new law.
(On monitoring devices to reduce the dangers of corruption, see Chapter 9).

SUMMARY
Merely by reading the face of any but the simplest of bills, nobody can judge whether it will
resolve the social problem it purports to address. Nor can anyone assess a bill merely by
consulting personal values. To assess a bill in the public interest requires facts and logic.
Legislative theory’s problem-solving methodology and ROCCIPI agenda help to formulate
hypotheses to guide you in asking for the kinds of facts you need. In provides the logic
necessary to structure those facts to design a law’s detailed provisions and to estimate
their likely social impact. The entire law-making process would benefit if proponents of an
important bill accompanied it with research report that justified its detailed provisions on
the grounds of facts and logic.
D. OBTAINING THE FACTS: THE ADVANTAGES

OF A RESEARCH REPORT
Just as a court must justify its judicial decisions by stating the reasons that underpin
them, so you might consider a rule to require sponsors of an important bill to provide a
written justification for its detailed provisions. To ensure the adequacy of that justification,
you could require a bill’s sponsors to structure their justification by organizing the available
facts logically:
RESEARCH REPORT
CONTENTS OF THE
(1) Describe the social problem, and whose and what behaviors comprise it (including
those of the responsible implementing agency);
(2) explain the legal and non-legal causes of those behaviors;
(3) show –
(a) the alternative solutions considered;
(b) that the bill’s detailed provisions seem likely to overcome the identified causes;
and
(c) that the bill’s economic and social benefits will likely outweigh its costs; and
(4) ensure that a responsible agency will monitor and evaluate the billís implementation
and social consequences.

E. AVOID ‘STUFFED’ BILLS
Society constitutes a closely-woven web of relationships in which social problems

appear closely interlocked. Law-makers too often enact great grab-bags of bills,
stuffed with subject-matters, only tenuously held together by a common thread.
A CHINESE EXAMPLE
STUFFING A BILL: A CHINESE EXAMPLE

STUFFING A BILL:
A Chinese bill for reforming the banking structure, as originally proposed, not only provided
for the creation of central, commercial, development and agricultural banks, but also for
the establishment and operation of stock exchanges and insurance companies. The bill’s
broad scope multiplied the number of issues on which law-makers had to agree. Supporters
of one provision often objected to other provisions. Attempts to win consensus for the
entire bill proved an unending task. Debates dragged on for years, delaying action, not
only on that bill, but other priority legislation, too.
Eventually, the Chinese found it useful to conceptualize an overall legislative program relating
to banking. Within that larger program, they first enacted a separate bill for the central
bank, and then, separately, additional bills for other banks, stock exchanges and insurance
companies.
Instead of stuffing many subjects into one bill, wise law-makers design an overall legislative
program, and narrow the scope of each bill within that program. When you receive a bill
prescribing significant institutional change, first consider: does the bill focus its measures
on a defined set of behaviors? It also helps to ask how many different implementing agencies
the bill requires. As originally proposed, the Chinese banking bill required four distinct
implementing agencies, with quite different missions: a central agency (to implement the
Central Bank Law concerning money supply), a Banking Commission, a Securities and
Exchange Commission and an Insurance Commission. That alone signalled that the bill
seemed ‘stuffed.’
Conversely, to assess a bill with a seemingly narrow scope, ask about the general context
within which the bill will fit. For example, if you receive a bill addressing only the problems
of the central bank, ask how it fits into the legal regime for commercial and other banks,
stock exchanges and insurance companies – that is, the larger financial sector. The bill of
course would merit the characterization ‘stuffed’ if it tried to address all those problems.
You should, however, make sure that it dovetails neatly with the laws that govern those
other sectors.

EXERCISE: ASSESSING
A BILL’S SCOPE
(1) Consider the social problem a proposed bill aims to overcome. Does it comprise one
or several more or less discrete problems? Should you enact one bill to resolve the
entire social problem, or separate bills for each problem?
(2) In determining the appropriate scope of the proposed bill, what factors ought you
take into account?
(3) What constitutes the larger social problem within which the bill before you fits? Will
the new law fit appropriately into that larger context?
F. LEARNING FROM SO WHERE

EXPERIENCE: DO I
HISTORY AND START
COMPARATIVE LAW ASKING
QUESTIONS?
To deepen your understanding of the difficulty a bill addresses, research reports may
describe how that problem arose historically in your own country, and the consequences of
other countries’ attempts to use law to resolve similar difficulties.
1. History
By the time someone proposes a bill, the social problem it addresses usually has a long
history. Some law attempting to deal with the subject probably exists. Some agency
probably already has responsibility for implementing that law. Ask questions about that
history; it might prove useful at any one of problem-solving’s four steps: to fit the specific
problem in its larger context; to understand how its causes changed over time; or to learn
about previous efforts to use law to resolve it.

2. Comparative law and experience
No government can safely copy another country’s law. That does not mean that you
cannot learn from other countries’ experiences in using law to resolve similar problems.
Other countries’ experiences may urge a general caution against tackling too many
difficulties at once. They may reveal an aspect of the difficulty that appeared elsewhere
against which (even if it has not yet appeared in your country) your law might guard. It
may offer new insights into the nature and causes of the behaviors that comprise the
difficulty. Most frequently, other countries’ experiences offer ideas about alternative legislative
solutions and their likely consequences. A research report could provide evidence of other
countries’ laws and experiences.
G. A ‘CHECKLIST’ FOR
ASKING QUESTIONS
PROPOSED BILL (TRANSITIVE)

CHECKLIST FOR ASSESSING A
This section offers you a checklist of questions to determine whether available facts and
logic justify a bill’s prescriptions. But first, why a checklist, and how might you use it?
1. The functions and uses of checklists
This checklist aims to remind a wise legislator of the factors to consider when assessing a
bill. No matter the bill’s subject-matter — the adoption of children, labor safety in coal
mines, court procedures, or anti-competitive behaviors – it suggests the questions to ask
to assess it.
To achieve that broad purpose, this checklist remains very general. Essentially, it tracks
the four steps of legislative theory’s problem-solving methodology. Absent a research
report, it should help you decide what questions to ask to determine whether the available
facts logically demonstrate that the bill’s detailed provisions will likely to lead to the changed
behaviors necessary to resolve the specific problem.

2. When not to use this checklist.
This checklist will not prove very helpful for two kinds of bills.
(a). A few bills aim to solve problems that do not arise from problematic behaviors.
Suppose an existing law empowers the Minister of Transportation to collect a toll of
five kwacha, and details how ministry officials should collect it. Now, the Ministry of
Transportation wants to amend the law to increase the toll to seven kwacha per
vehicle. That amendment does not require any changes in the behaviors required
to collect the toll. (For help in assessing the amendment’s costs and benefits, you
might ask economists or transportation engineers for facts.)
(b). Some bills focus mainly on changing implementing agency officials’

behaviors. That raises significant issues relating to the importance of ‘Process’ as
an key category for explaining officials’ behaviors; the necessity of considering
alternative conformity-inducing measures; and the special issues involved in drafting
laws that, as their principal function, delegate to an agency’s officials the power to
make detailed rules to bring about the required behavioral changes. Chapter 6
proposes an amended checklist for dealing with the use of law to change the
behaviors of implementing agencies and their officials.
A PROPOSED BILL
CHECKLIST FOR ASSESSING
A CHECKLIST OF QUESTIONS TO ASK ABOUT A BILL
NOTE: For each question, ask a further one: On what evidence do you base your answer?
I. The bill’s content, in general
1. What social problem does the bill attempt to solve?
2. How would you summarize the bill’s proposals to overcome the social problem
addressed?
3. Where and how does the bill fit into the government's larger legislative program?
4. What might you learn from the history of efforts to deal with the problem in your own
or other countries that helps to understand the reasons for introducing this bill at this
time and in this form?

II. The social problem the bill addresses, and how it fits into the larger picture
CHECKLIST FOR ASSESSING A PROPOSED BILL
1. Describe the surface appearance of the social problem at which the bill aims.
2. Whose and what behaviors contribute to the difficulty the bill aims to help resolve (in
as much detail as possible)?
NOTE: In many ways this constitutes a preliminary, key question. Unless you know
what behaviors constitute the social problem, you do not know where to begin to
decide whether a bill’s details will likely help to resolve that problem by inducing new
behaviors
3. Does either the history of the difficulty or foreign law and experience provide insights
into the nature and scope of the difficulty, or whose and what behaviors comprise it?
4. Who benefits and who suffers from the present situation?
III. Explanations of problematic behaviors
NOTES:
1. This also constitutes a key section. Unless you can understand the causes of the
problematic behaviors that comprise a social problem, you cannot determine
whether the bill addresses the problem’s underlying causes, not merely its
symptoms..
2. In the case of almost every set of role occupants, you may not find an explanatory
hypothesis for every ROCCIPI category. For example, for government officials,
the category, ‘Communications,’ often appears as an empty box; usually, the
relevant authorities do inform officials about the rules they should follow. If you
decide nothing subsumed by that category helps explain that particular behavior,
you need ask no further questions about it.
3. Ask for explanations for each behavior of each set of role occupants (including the
implementing agency) separately. Although they together constitute the social
problem addressed, they may and probably do have different explanations.
For each set of actors whose problematic behaviors contributed to the social problem, ask:
1. Rules: Do the existing rules forbid the problematic behaviors?
a. Do the present rules expressly require or permit the problematic behaviors?

b. In what respect do those laws’ provisions seem insufficient to limit the role

occupants’ discretion in deciding how to behave?
c. Does the decision-making process defined by the rules seem likely to induce
accountable, transparent, participatory behaviors?
d. Do those provisions leave its addressee unsure of the behaviors required of
them?
2. Opportunity: Does the situation in which these role occupants find themselves
furnish opportunities for problematic behaviors?
3. Capacity: Do these actors have the capacity — the skills, knowledge, and
resources — to obey the law? Contrariwise, do they have special capacity to disobey
the law?
4. Interest: How and to what extent do these role-occupants' incentives (including the
effect of potential sanctions) seem to influence their behaviors?
5. Communication: Do these actors know and understand the provisions of the law?
6. Process: What criteria and procedures determine the process by which this set of
actors (especially those who comprise implementing agency officials) make
decisions as to how to behave? Do they appear transparent? Accountable?
Participatory?
7. Ideology: How and to what extent do these role occupans' values and attitudes
('domain assumptions') seem to affect their behaviors?
[Ask the same kinds of question in turn for each behavior of each set of role
occupants and for the relevant implementing agency.]
IV. Proposals for solution– Do the bill’s detailed provisions logically seem likely
to overcome the causes of each set of role occupants’ problematic behaviors?
1. Request a detailed description and explanation of the bill's major provisions — in

plain language.
2. Does a review of your country's history of efforts to use law, or other countries'
laws and experience, provide insights into possible solutions, other than the one
proposed in the bill?
3. What alternative solutions did the proponents of the bill consider? Can you think
of any others?

4. Do the bill’s conformity-inducing measures relating to the primary role occupants
existing problematic behaviors seem likely to:
a. Alter or eliminate the objective and subjective causes of those behaviors?

b. Induce them to behave in more appropriate ways?
5. Do the bill’s provisions with respect to the implementing agency officials’ existing
problematic behaviors seem likely to –
a. change the causes of their problematic behaviors identified by reviewing the

ROCCIPI categories (identified by reviewing the ROCCIPI categories)?
b. induce those officials to behave in ways necessary to assist the primary role
occupants to change their behaviors?
c. ensure they employ transparent, accountable, and participatory decision-making
processes?
6. Do the bill’s estimated long term social and economic benefits seem likely to
outweigh its estimated long-term social and economic costs?
a. What facts do the bill’s proponents provide about–

(1) short and long term economic costs and benefits?
(2) non-quantifiable social costs and benefits?
b. What social impact will the bill likely have for –
(1) different social groups, especially the poor, women, children and minorities?
(2) valued but typically poorly-represented community concerns, especially the
environment, human rights, and the Rule of Law (including the prevention of
corruption)?
7. Do the bill’s dispute-settlement provisions (see Chapter 6) seem appropriate and
sufficient to take care of anticipated disputes?
8. Does the bill or other relevant law provide adequate funding to ensure
implementation of its entire program (see Chapter 8)?
9. Does the bill contain appropriate instructions to judges and others who must
ensure it fits into the existing corpus of the law (see Chapter 8)?
a. Does the bill contain a General `principles (or ‘Objectives’) clause sufficiently
narrowly drawn to guide the relevant official in drafting regulations under the new
law?
b. Does it contain sufficient definitional clauses?

c. Does it contain the necessary consequential amendments to existing laws to
avoid conflicts?
d. Does it provide for coming-into-force at an appropriate time?
10. Does the bill provide an adequate mechanism for monitoring and evaluating
whether, after its enactment, the law proves effectively implemented and produces
the desired social impact (problem-solving's indispensable fourth step)?
a. Why did the bill’s proponents select the monitoring and evaluation system it
proposes? Do their reasons seem sufficient?
b. What alternative possible monitoring and evaluations devices might the bill
contain, either in addition to or in place of those it proposes?
c. What does foreign experience demonstrate as to the relative effectiveness of all

these ‘feedback’ devices?
SUMMARY
To strengthen your country’s law-making processes, you and your colleagues need to assess
whether the available facts and logic justify the detailed provisions of important
transformatory bills. Using institutionalist legislative theory, including its problem-solving
methodology, this chapter suggests the kinds of questions you should ask to make that
assessment. It recommends that your legislature should consider promulgating a rule to
require that the proponents of an important bill accompany it by a research report. Adopting
a problem-solving methodology, that report should present the kinds of evidence you need
to determine whether that bill rests on reason informed by experience. To assess the
likelihood that, given the country’s unique circumstances, the bill’s prescriptions will likely
induce the desired changed behaviors, you should insist that the proponents of an important
bill give you the evidence and rationale on which it rests.
The checklist at the end of this chapter, structured in accord with problem-solving's four
steps, summarizes the main questions for which you should insist on receiving adequate
answers. In particular, you must satisfy yourself that the bill designates an appropriate
implementing agency which, operating according to carefully designed criteria and
procedures, will likely effectively induce the kinds of behaviors required to achieve the bills’
objectives. The next chapter discusses in greater depth the critical issue of implementation.

EXERCISES
1. In the country of X, a bill provides that for each farmer within an agricultural agent’s
district whom the agent fails to visit at least twice a year, the agent shall lose one
week’s pay. When questioned about the bill, the drafter states that economic theory
holds that people behave as rational profit-maximizers; that implies that the only
factors likely to influence behavior consists of rewards and punishments, incentives
and disincentives. The bill, the drafter says, embodies that economic theory. It aims at
the failure of agents to visit farmers, and provided an incentive which, the theory held,
would change the behavior. What further questions should a legislator ask the drafter?
2. Play devil’s advocate. Summarize the arguments against the problem-solving

methodology, and in favor of either incrementalism or the ends-means methodology.
How would an advocate of the problem-solving methodology answer those claims of
the devil’s advocate?
3. Some experts say:
“A problem well stated is a problem half-solved.” Perhaps more than for any other
cause, drafting projects go a-stray because of a failure of the law-makers to
understand correctly the social problem addressed. Consider the first two sets of
questions in the ‘Checklist of Questions to Ask about a Bill,’ p. 86. Do these seem
sufficient to guide you to ask the apecific questions you should ask accurately to define
the social problem the bill addresses?
4. Does the ROCCIPI agenda provide a useful framework for asking questions about the
possible causes of the problematic behaviors at which a bill aims? What additional
categories might you consider adding to ROCCIPI’s seven categories?
5. What questions should you ask to assess whether a bill’s detailed provisions seem
likely to alter or eliminate the causes of a role occupant’s existing problematic
behaviors?
6. What categories of questions should you ask to determine whether a bill’s social and
economic benefits seem likely to outweigh the social and economic costs of
implementing its detailed provisions?
7. The problem-solving methodology places central emphasis on monitoring and

evaluation. Feedback, it argues, becomes central to decision-making on the basis of
facts and logic. Do you agree? What sorts of questions should you ask to assess a
bill’s provisions for monitoring and evaluation?

CHAPTER 6:
ENSURING A LAW’S EFFECTIVE
IMPLEMENTATION
Everywhere, people complain, "we have good laws but they don’t get implemented". That
complaint contradicts itself. How can we call a law ‘good’ when it does not work? The
‘legislative power’ that the Constitution assigns to you and your colleagues requires you to
oversee the executive branch’s implementation of the laws. To assess whether a bill will
work, you must determine whether it, or other existing law, adequately provides for its own
implementation.
Legislative theory suggests that you should not focus only on the bill’s broad ‘policy,’ or on
its prescriptions to primary role occupants. You should also give special attention to whether
either the bill or existing law provides processes likely to ensure effective implementation.
Good law requires

effective
implementation.
A law ‘works’ only when it induces the behavior it prescribes. Whatever its proponents’
good intentions, if a law fails to improve existing problematic behaviors, how can one call it
‘good’?
This chapter aims to guide you in asking questions to obtain the information you
need —
A. To describe the existing implementation agency officials and their behaviors, and to
explain their failure to perform their jobs effectively;
B. To assess whether the bill’s detailed provisions for implementation (including the
agency and its design, and conformity-inducing measures) will likely overcome
those causes; and
C. To decide whether or not a transitive or an intransitive bill will more likely resolve a
particular social problem.

A. WHY DO SOME AGENCIES FAIL TO IMPLEMENT?
Nowadays, in most countries, usually some law already addresses the same social problem
as does the bill before you. Usually, some agency already has the duty to enforce that law.
Too often, it fails to implement that law effectively.
As directed by the problem-solving methodology, we begin, not with the ‘end’ – here,
effective implementation of the laws – but with the social problem. In the case of an existing
problematic implementation agency, whose and what behaviors contribute to the weak or
non-existent implementation of existing law? To help you in asking questions about a
particular bill’s proposed implementation mechanisms, we then propose some general
explanations for laws’ too-common ineffective implementation.
Most new laws address

old problems.
Most new laws address old problems unresolved by previous laws. More often than not,
at least in part a social problem reflects the failure of officials in an existing agency effectively
to implement the law. In those cases, the solution — the new bill — must include detailed
prescriptions that change those behaviors.
1. Whose and what behaviors contribute to ineffective implementation?

AGENCY AS
Usually, a ministry, or some other agency designated by government authorities, implements

a law. Many people speak as though they consider the ‘ministry’ as a single rational actor.
Frequently, a law directs a named official to implement it – the ‘Minister’ or ‘the President.’
ACTORR
Invariably, that constitutes only shorthand for a complex decision-making organization.

ACTO
A complex organization, however, never functions as a ‘single rational actor:’ Commonly

heard phrases — “The XYZ Corporation intentionally violated the anti-monopolies law” or
“The Ministry of Agriculture seems biased in favor of large-scale commercial farmers” —
imply that the organization acts. An act requires choice. Choice requires consciousness.
Complex organizations have many characteristics, but not consciousness. An agency
consists of many sets of actors and their interacting behavior patterns. Those actors do
have consciousness. They can choose how to behave. They can act.

IS THE ORGANIZATION LARGER THAT THE SUM OF ITS PARTS? THE ‘SINGLE
ACTOR FALLACY
THE SINGLE RATIONAL
RATIONAL ACTOR’ FALLACY
People often say that "an organization is larger than the sum of its parts." An organization
can do more than its members can do as individuals. Some authors, however, imply that
an organization has a mind that somehow exceeds the sum of its parts. They err. No such
thing as a ‘group mind’ exists. A group never ‘behaves’ as a ‘single rational actor.’ In
contrast, the organization’s individual members can and do think. Those individual members
do have consciousness. At most, an organization’s leaders expect its members to follow
rules that prescribe agreed-upon behaviors, and seek to induce behavioral conformity.
To answer the question – Why does the implementing agency fail to effectively implement
the law? — you must ‘unpack’ the particular agency into the sets of officials who comprise
it. Ask:
(1) What officials in the agency behave in ways that hinder or prevent effective
implementation?
(2) Why do those officials behave in those problematic ways?
An implementing agency always has rules that prescribe its officials’ behavior. To explain
those officials’ problematic behaviors, ask the same questions you would about other role
occupants:
Why do these officials behave as they do in

the face of those rules?
2. Two structural explanations for officials’ problematic behaviors
Based on weaknesses in most implementing agencies’ structure, two hypotheses frequently

prove useful in explaining officials’ behaviors: mechanisms do not exist adequately to
implement rules addressed to officials; and some officials’ prescribed duties conflict with
their personal interests, ideologies, and perceived role.
First, few laws specify either direct or roundabout measures to make it likely that officials
conform to the law’s prescriptions. The higher the officials’ rank, the more vague and
ambiguous become the monitoring and enforcement provisions that address their behaviors.
Very few systems regularly monitor senior officials. To sanction perceived unacceptable
performance, most have in place only default mechanisms.

Those default systems rarely prove very effective. In many countries, the Civil Service
Commission has limited power to punish official misbehavior. General administrative law
usually provides a method of appeal – frequently to the courts – for a citizen who feels an
administrator has behaved unfairly. In a democratic society, a system of checks and balances
may serve as a defense against arbitrary behaviors by top officials. Slow, cumbersome
and very costly, these default procedures seldom provide relief. Thus, senior officials
mostly behave without an effective agency to implement the rules that prescribe their
behaviors
Second, role conflict often helps explain problematic official behaviors. In their formal role,
officials should only behave as the law prescribes. Like everyone else, however, officials
play many roles beyond their official capacities: as wives, mothers, husbands, fathers,
children, students, teachers, consumers, home owners, renters – a long list. Occasionally,
an official will use public power to play out another, private role — one that conflicts with
the public interest. Called by sociologists ‘role conflicts,’ these may help to explain official
misbehavior.
The lack of effective supervision of the implementing officials, and those officials’ own role
conflicts, constitute two pervasive structural explanations for officials’ problematic
implementing behaviors. Where existing implementing agency misbehavior constitutes
part of that social problem a bill aims to help resolve (as usually happens), ask questions
to determine whether structural causes influence the officials’ behaviors. Then ask about
the other possible causes for officials’ problematic behaviors that the ROCCIPI categories
suggest — especially, the Process category.

3. The centrality of Process in implementation
Whatever else it does, a complex organization – and every implementing organization

constitutes a complex organization – produces decisions. Decision-making processes
invariably involve many actors and their interacting behaviors. How to unpack these
interrelated sets of actors and behaviors? A simple input-output Process Model helps to
understand how officials arrive at their decisions; at the same time, it suggests what
questions you should ask to assess the sufficiency of a bill’s implementation provisions.
The Process Model teaches that, in a complex organization, the range of decisions — the
outputs — depends on three subsystems. The input and feedback processes determine
which personnel, and whose and what issues, facts, theories, opinions, claims, and
information about the consequences of the organization’s earlier decisions, enter the
conversion processes. The conversion processes combine those inputs and feedbacks
to produce outputs — the organization’s decisions.
This model explains an organization’s ‘decisions.’ It calls attention to the rules controlling
the admission of issues into the system, and the behaviors that take place in the face of
those rules. Those rules and behaviors may also help explain non-decisions, that is, those
issues and claims which the officials exclude from the process.
Each of these processes consists of a set of officials acting in repetitive patterns in the face
of laws or regulations that prescribe their functions. To assess a bill concerning problematic
implementing agency behaviors, you must ask about each set of these officials the (by now
familiar) underlying question: Why do these role occupants behave as they do in the
face of a rule of law? In relation to each set of role occupants’ problematic behaviors,
consider the hypotheses inspired by a review of the ROCCIPI agenda (see Chapter 5).

The following checklist offers questions you may want
to ask to understand why an implementing agency
produces the decisions that it does — that is, why its
officials behave as they do in the face of existing law.
OFFICIAL'S BEHAVIOUR
CHECKLIST: EXPLAINING OFFICIALS’ PROBLEMATIC BEHAVIORS

I. What social problem concerning an implementing agency does the bill address?
A. What surface indications suggest that the performance of an existing implementing
agency constitutes a social problem?
B. Whose and what official behaviors constitute that social problem?
1. Describe in detail whose and what behaviors constitute the input and feedback
processes of the agency involved.
a. From whom do the agency officials regularly receive inputs (i.e. issues, facts,
opinions, claims) and feedbacks (i.e., information about the consequences
of previous decisions)?
b. What sorts of inputs and feedbacks do they consider?
c. What criteria and procedures do they use to decide what inputs and
feedbacks to transmit to officials in the conversion process?
d. Do inputs or feedbacks from a group of people seem systematically excluded
from, or included in, these processes?
CHECKLIST:
e. How much does red tape confine official behaviors?
2. Describe in detail whose and what behaviors constitute the conversion processes
of the agency.
a. Which officials decide what to do with the inputs and feedbacks they receive?
b. By what criteria and procedures do officials combine inputs and feedbacks
into the problematic decisions that constitute the defined social problem?
c. Who carries out decisions made by the officials in the conversion processes?
Do they do so regularly? Do agency officials regularly ensure the enforcement
of their decisions? How?
The decision of officials in the conversion process becomes the input to a new
set of decisions about carrying out the decision. If these behaviors seem
problematic, you should describe these behaviors also, and explain them in the
explanations section.

As to each set of officials and each type of problematic behavior, ask
the questions that you would ask about any role occupant (see checklist,
p. XXX). In addition, as to each official identified as contributing to
the agency’s problematic decision-making, ask the following questions
(the ROCCIPI factors appear here underlined)—
CHECKLIST:
II. Explanations for problematic official behaviors
A. Ask about relevant officials in the input and feedback processes, and each of
their problematic behaviors:
1. Rule: On the face of the rule ––
a. What inputs, from whom, do the rules require or permit relevant agency officials
to admit into the input and feedback processes? Especially, do they permit or
require inputs or feedbacks from the poor, women, ethnic minorities, children, or
from advocates for the environment, human rights, and the Rule of Law?
Since decisions reflect inputs and feedbacks, an agency’s decisions tend to favor
the interests of those who contributed the inputs and feedbacks upon which the
agency bases its decisions. The elite always have formal or informal channels of
communication to officials. Do the rules set up channels by which the
disinherited or those concerned with often-ignored issues may also participate in
input and feedback processes?
b. What do the rules prescribe that these officials do to induce conforming role-
occupant behavior?
Where a rule prescribes that an agency perform a particular task (for example, to
create and operate an agricultural extension agency, or to decide appeals from a
mining inspector’s decisions about coal mine safety) it sets an agenda for the
decisions that the agency must make. (In the cases of the two examples given,
that agenda involves making decisions about creating and operating an
agricultural extension agency, and decisions about the correctness of mining
inspectors’ decisions about coal mine safety). That rule necessarily implies an
agenda not only for officials in the conversion processes, but also for officials in
the input and feedback processes.
c. What scope for discretion do the rules (explicitly or implicitly) permit the
officials in deciding whose and what inputs and feedbacks to pass on to the
officials in the conversion processes? What criteria and procedures do the rules
provide that limit the exercise of that discretion?
d. What (if anything) do the rules prescribe for measures to induce conforming
behaviors on the part of these officials? Which agency (if any) do they directly
or by implication command to implement the measures directed at the
implementing agency officials?
e. What do the rules prescribe for monitoring and evaluating these officials’
behaviors? Whom do the rules require to undertake that task? How?

f. What do the rules prescribe concerning the transparency of behaviors under

the law (that is, how do stakeholders learn about what goes on within the
agency)?
2. Opportunity and Capacity: What Opportunity and Capacity do agency officials
have to provide inputs and feedbacks?
a. Do the officials have sufficient human and material resources (including skills) to
capture the relevant inputs and feedbacks?
Officials have different capacities and opportunities to make contact with, and to
develop inputs and feedbacks from, different segments of the population. That
may help to explain a seeming bias in the inputs and feedbacks the officials
capture and transmit to conversion process officials.
b. Who appoints these officials? How? According to what qualifications?
c. How do infractions of the laws come to the notice of the relevant input process
officials? Do those procedures make it likely that those infractions will come to
the attention of relevant officials?
A reactive agency frequently has small opportunity or capacity to ensure that it
learns about all violations of the law. Its officials usually must depend upon the
initiative of aggrieved persons – who may or may not come forward, in part
CHECKLIST:
because they may have neither the capacity nor opportunity to do so.
3. Communication: Have the authorities informed the agency officials of the rules
that prescribe their behavior?
Usually, officials do know what law applies to their positions. Especially in rural
areas, however, officials may not know the details of laws and regulations.
4. Interest: What incentives do officials have to implement the law?
a. How does merit relate to compensation?

b What constitute those officials’ private or personal incentives? Does corruption
influence official behavior?
c. Does official misbehavior in practice incur consequences? By whom
administered?
d. Any evidence of conflict of interest?

CHECKLIST:
5. Ideology: What private ‘domain assumptions’ influence the official in question?
a. What form do these domain assumptions take?

Domain assumptions come in many sizes and shapes. Does the official adhere
to a full-fledged, Grand Theory that leads to the problematic behaviors? Does
she subscribe, consciously or unconsciously, to a set of embedded norms that
induce those behaviors at issue? Does she have a set of unarticulated factual
assumptions about how the world goes around that leads to those embedded
norms? Does she hold a ‘bureaucratic’ set of norms, content to abide by the
details of regulations, or is the official inspired by zeal to achieve the agency’s
overall objectives?
b. Does an official’s domain assumptions conflict with agency doctrine?
c. Do they conflict with the domain assumptions held by long-serving senior agency
officials (i.e., agency ‘culture’)?
Ask the same kinds of questions as

those above about officials in the
conversion processes.
B. Conversion processes:
In particular, ask about conversion process officials:
1. Rule:
a. If more than one decision-maker, how many? Do the rules prescribe individual or
joint decision by the decision-makers?
b. Do the rules ensure that stakeholders will learn in good time that an official plans
to decide an issue, and when the official will make the decision? Do they have
opportunity to submit inputs, either about a proposed decision, or about agency
behaviors?
c. Do the rules require the official to respond to stakeholder inputs or stakeholder
complaints? to state reasons for a decision? in writing? to publish their
reasons?
d. Do the rules permit or require other forms of stakeholder participation in the
conversion process?

2. Opportunity and capacity
CHECKLIST
a. How much expertise do these decisions require?

b. Do these officials have that expertise? If they do not, can they get necessary
assistance?
c. If officials in the conversion process believe they need more information, can they
obtain further inputs? If so, under what conditions? From whom?
3. Process:
a. In practice, do the officials in the conversion processes give notice that they
contemplate making a decision? Before decision, do stakeholders have
opportunity to make inputs to the decision?
b. Do they make their decision in writing? Do they state the reasons for decision?
Do they make their decision public?
c. What body, if any, monitors and evaluates the officials’ decisions? By what
criteria and procedures does the appeals body in practice assess agency
decisions?
d. Must an official report to anyone that she or he has made a decision?
To say ‘we have good laws but they remain poorly implemented’ constitutes a contradiction
in terms. A law that does not provide for its own effective implementation reflects poor
drafting. Drafting effective implementation provisions constitutes a critical aspect of drafting
bills for social change. Legislative theory suggests that analysis of officials’ behavior, and
the repetitive processes ingrained within the responsible agencies, highlights major
obstacles that block effective implementation.
These questions concern the existing implementing

agency and its behaviors.You should ask a bill’s
proponents analogous questions to get the additional
information that you need to assess their bill’s
provisions for its own implementation.

B. ASSESSING A BILL’S PROVISIONS FOR ITS OWN
IMPLEMENTATION
As an important aspect of your task, you must assess a bill’s detailed prescriptions for an
implementing agency. To do that, in general you should follow the steps suggested in the
last chapter for assessing the bill as a whole, now thinking specifically about the implementing
agency. For the bill as a whole you must ascertain whether it will likely induce the behaviors
it prescribes for agency officials to implement measures likely to ensure that the primary
role occupants conform to the new law. (What role does the implementing agency play in
the social problem at which the bill 's provisions aim? What agency officials and their
behaviors contribute to that social problem? What causes those problematic behaviors?
Do the new bill’s provisions logically appear likely to overcome those causes? What
constitute the social as well as the economic costs and benefits of the bill’s provisions for
changing the implementing agency?)
In this chapter, we do not repeat these

sorts of questions (especially those
concerning costs and benefits).
We focus here on questions to ask to determine whether, in your country’s circumstances,

a bill’s detailed prescriptions will likely to induce agency officials to behave so that primary
role occupants will probably conform to the bill’s prescriptions?
This section discusses questions directed at assessing:
(1) the bill’s conformity-inducing measures;

(2) the drafters’ choice of agency; and
(3) the details of the proposed agency’s structure and procedures.
1. From ‘sanctions’ to ‘conformity-inducing measures’
In assessing an implementing agency’s design, you should consider first whether it directs
agency officials to use appropriate conformity-inducing measures.
In the older legal literature, and still in popular conception, ‘law’ implies a sanction, and
‘sanction’ means punishment. As the famous 18th Century author (and first Professor of
Law in an English university) William Blackstone, declared, ‘No sanction, no law.’ The
preferred means of inducing conforming behaviors used punishment to stop non-conforming
behavior. Punishment needed no other justification. Today, in most countries, for most
people, ‘law’ implies’‘punishment.
At least for the purposes of institutional transformation, this manual rejects that popular
misconception. Of the seven ROCCIPI categories of possible causes for problematic
behaviors, punishment directly addresses only one: Interest. Its proponents claim
punishment offsets the advantages the miscreant perceives in engaging in the forbidden
behavior. In principle, a reward for conforming behavior would serve equally well.
Logically, however, neither punishments nor rewards directly address the six other possible
causes of behavior. Legislative theory suggests that, as legislators, you and your colleagues
should ask for evidence that a bill’s proposed conformity-inducing measures actually do
address the multiple causes of problematic behaviors. To eliminate the causes other than
Interest may require roundabout measures.
ROUNDABOUT MEASURES
ROUNDABOUT MEASURES
‘Roundabout’ measures comprise all the activities an implementing agency may use to:
(1) alter or eliminate the country-specific non-legal circumstances (Interest causes excepted)
that cause social actors — either primary role occupants, or implementing agency officials
— to behave in counterproductive ways; and (2) to then induce more appropriate behavior.
Implicitly, depending upon the causes of the problematic behaviors, the ROCCIPI agenda
suggests some alternative measures likely to change an addressee’s behavior in a way
likely to help resolve the social problem. Ask questions about measures to –
• Alter or eliminate curbs that circumstances impose on Opportunity.
• Provide required resources and skills training to ensure sufficient Capacity.
• Communicate the law’s provisions to its addresses.
• Require transparent, accountable, and participatory input, feedback and conversion

Processes. Include in those measures specific criteria and procedures to prevent
arbitrary and even corrupt decision-making, especially in complex organizations
(including implementing agencies).
• Introduce educational programs to alter dysfunctional Ideologies.
If circumstances other than those subsumed

under the Interest category dictate non-
conforming behaviors, a bill that only threatens
imprisonment for those behaviors in fact
provides an incentive, not to conform to the law,
but to evade detection.
A TALE WITH A MORAL
Once upon a time a huge lorry with two trailers behind it came to a steep
hill covered with ice. It came to a halt halfway up the hill; it did not have
the power nor the traction to go further. The two large truck drivers went
to the house that stood by the road and asked a little old lady who lived
there if they could borrow her little poodle dog.
“Why do you want to borrow my poodle dog?” she asked.
“We want to hitch the poodle in front of the truck so the poodle can pull the truck up the hill,”
they answered.
“Don’t be silly,” she said. “A little poodle like that cannot pull that great big truck up that hill.”
“That’s what you think, lady,” the men said. “We have whips!”
Moral: Punishment does not

solve every behavioral problem.
Avoid over-
criminalization of
the law.
If a bill prescribes only criminal sanctions for behaviors caused by factors other than Interest,
call for provisions in the bill to address those factors.
In the same way, bills that offer rewards for desired behaviors aim to meet the actor’s
(assumed) Interest. Usually, it proves more effective to design conformity-inducing
measures to facilitate behaviors that benefit that actor. To increase farm production, do
not threaten a farmer with six months in jail if the farmer does not increase production.
Better by far to provide farm-to-market roads, inexpensive credit, instruction in improved
farming techniques, better seeds and tools.

2. Punishments vs. rewards
While conceptually both punishments and rewards address causes related to Interest, in a
particular case pragmatic reasons may suggest one rather than another. Punishments
seem useful when most of the population already has internalized the undesirability of the
behaviors prohibited. For example, in the case of murder, the costs of rewarding everyone
who does not commit murder seems prohibitive. Conversely, rewards seem more
appropriate when the law prescribes behavior that existing, internalized norms forbid. In
that case, the cost of policing to catch everyone who violates the law seems prohibitive.
Rewards also seem more appropriate when the authorities see a need to provide incentives
to achieve maximum effort. The law can tailor rewards to match effort and achievement.
The common results of tax subsidies – tax concessions for behaving in desired ways –
illustrate the dangers of rewarding anticipated behaviors.
TAX SUBSIDIES
TAX SUBSIDIES
Frequently, proponents seek to grant tax concessions as a device to reward an actor for
conforming to a new law. For example, to induce manufacturers to introduce labor-intensive
machinery as a method of increasing employment, a government might offer a flat subsidy
of $5000 per job created. Alternatively, it might offer a $5000 credit against tax. The
economic consequences of either course seem all but identical.
Because the money does not pass through government coffers, however, a $5000 credit
against tax does not appear in the annual estimates. Politicians can — and do — claim
that the tax subsidy comes costless. It does not. Income foregone is income paid out. A
$5000 credit against tax has the same consequences as collecting the $5000, and then
paying it out as a cash subsidy. Under these circumstances, it clarifies thinking to speak
EXAMPLE:
not of tax deductions, but of tax subsidies.
It usually proves difficult to ensure that the taxpayer has earned the tax subsidy. No
government pays a cash subsidy without evidence of performance. With a tax subsidy,
however, the taxpayer takes the deduction, and maybe sometime later a tax audit will
reveal whether or not the taxpayer actually earned the tax subsidy. It proves difficult to
account for tax subsidies.
All in all, avoid tax subsidies. A cash subsidy costs no more, it proves easier to keep
account of, and you have better assurance that government will receive value in exchange
for the subsidy.

3. Assessing a bill’s prescriptions for an implementing agency
When considering a bill’s provisions relating to implementation, ask three preliminary

questions:
• What kinds of decisions will the agency officials have to make?

• Which can better do the job, an old or a new agency?
• Which of the four alternative agency forms – dispute settlement, ministry or other
bureaucratic agency, state corporation, or private sector organization – can best
do the job?
You must determine the range You should ask the same
of outputs desired. Then you questions about the bill’s
must ask whether the designated implementing
designated agency’s input, agency, whether it
feedback and conversion constitutes an existing
processes will likely produce agency, with or without
those outputs. changes, or a new one.
a. Different outputs require different structures
The Process Model underscores the proposition that a decision-making structure has a
defined range of potential outputs. To ensure that its implementing agency produces
sound decisions, the bill must prescribe input, feedback, and conversion processes
appropriate to the kinds of issues it will confront. No one-size-fits-all implementing agency
structure does or can exist.
AGENCY TASKS
Agencies generally confront five sets of issues. To assess a bill’s prescribed implementing
agency’s structure and process, you must first determine the specific shape of the agency’s
tasks. These usually include some or all of the following:
• implementing the bill’s conformity-inducing measures;

• maintaining itself as an organization;
• making regulations to fill in the law’s details;;
• settling disputes; and
• monitoring agency officials’ law-implementing behaviors.

Having determined the range of issues with which the agency must deal, ask whether that
agency’s input, feedback and conversion processes will likely address those issues. Do
those procedures seem likely designed to produce decisions based on reason informed by
experience – questions which we amplify in the checklist below.
Before doing that, however, ask: Does the bill

b. New or old agency? prescribe using the existing agency, with or without
change, or restructuring an existing agency or
creating a new one?
You may have to ask questions to assess a bill’s sponsors’ choice as to whether an existing
agency with less-than-optimal capacity could cope adequately with the new law’s demands,
or the bill itself should establish a new agency. Ask about the costs of relying on an existing
organization to implement the law effectively, compared to the start-up costs of a new
institution. These may include constructing a new building, setting up new systems, hiring
and training new people. Would changing the criteria and procedures of an existing agency
enable it to use existing human and material resources to implement the new law effectively
at less cost? After weighing the relevant social and economic costs and benefits, do you
agree that the implementing agency designated in the bill will likely best serve the public
interest?
c. What kind of agency?
In general, a law may prescribe one, or a combination, of four forms of implementation

agency:
• a court or other dispute-settlement tribunal;

IMPLEMENTATIO N
• a ministry or an autonomous government agency;

FOUR KINDS OF
• a public corporation (for example, a publicly-owned electricity corporation);

• contracting a specified administration task to a private enterprise (for example,
contracting with a private corporation to manage a prison).
Some bills contain a mix of these four forms. A law establishing a public corporation, for
AGENCY
example, may assign a Ministry to set it up and monitor its performance, and, for disputes,
an intra-Ministry proceeding with an appeal to the courts.

In any particular case, which of these forms seems most useful? That depends on the
specific circumstances in which the proposed law will operate. Here, we discuss the
advantages and disadvantages of the four forms. In considering the implementation agency
specified for a particular bill, ask questions to discover where — in the particular
circumstances of the problem addressed by that bill — the balance of advantage seems to
lie.
DISPUTE-SETTLEMENT INSTITUTIONS
I. DISPUTE-SETTLEMENT INSTITUTIONS AS IMPLEMENTATION AGENCIES
To most people, dispute settlement and the implementation of the laws appear indissolubly
linked. Courts — the paradigmatic dispute-settlement agency — also seem the paradigmatic
implementing agency. For many laws, in the course of settling disputes, courts (or other
dispute settlement agencies, for example, a Workmen’s Compensation Commissioner, or
an arbitrator under a contract of sale of goods) do serve as a principal implementing agency.
That reflects both a long history, and society’s requirements for a dispute-resolution system.
First, history: Centuries before the welfare state and its gaggle of programs to round off
the sharp corners of the market economy, long before development appeared on any
country’s program, dispute-settlement agencies (usually courts) enforced the law as an
incident to settling a dispute. In England, at first they enforced the criminal law, bringing
‘the King’s peace’ to a violent and lawless countryside.
Operating mainly through the criminal law, in 17th and 18th Century England, the Justices of
the Peace – almost invariably, the local landowner — became the administrative arm of the
Crown. They depended almost entirely upon criminal sanctions. As well as minor, traditional
criminal laws (petty theft, minor assaults, etc.), they enforced laws that had functions not
different from what today we call ‘administrative regulations’: laws against ‘sturdy beggars’
or witchcraft, and the laws of markets and toll bridges. In the later 18th and 19th Centuries,
other courts enforced the property, tort and contract laws on which the economy depended.
Secondly, to avoid blood feud and private warfare, every society does need a peaceable
dispute-resolution system. With respect to a particular law, in default of another system,
courts serve that indispensable function. In popular perception, courts came to constitute
the very capital of Law’s empire.
As the default mode of dispute resolution, a court has an open door. In all government,
only a court must open its doors when a citizen has a complaint about the enforcement of
a law — even if an official becomes the defendant. (That open-door characteristic makes
courts the default dispute-settlement system).

DISPUTE -SETTLE MENT INSTITU TIONS
No matter how useful as a dispute-resolution agency, however, for many, probably most,
development programs, the choice of courts as implementing agency appears problematic.
Consider, especially, Process: Court procedures focus on dispute resolution. For many
laws the sorts of outputs – that is, decisions – required for dispute settlement differ markedly
from the kinds of decisions required for implementing a law’s detailed provisions. That implies
that the input, feedback and conversion processes for dispute settlement may not serve the
requirements of the implementation process.
To assess a bill’s proposal (often implicit) that courts serve as its main implementation
mechanism, ask questions about the following issues:
1. Will a reactive implementation system suffice?

The breach of many laws – especially ‘private’ law like property, contract or tort law –
only come to attention of authorities on complaint of a person injured. (In technical
terms, it is a reactive, not a proactive process). That works well enough where the
failure of a party to behave as the law prescribes injures primarily a single individual
(for example, contract, tort and property law). It does not work very well where a
failure to obey the law injures the public generally (for example, environmental law or
public education law), or where the breach of the law injures many people, but each
individual only slightly. In those cases, often nobody brings a lawsuit. If a court never
learns about the breach of the law, it has no opportunity to implement it.
Some argue that this constitutes an advantage. Individuals, not a nosy, intrusive
government, decide what breaches of the law warrant formal implementation. On the
other hand, in most countries, to bring and win a lawsuit requires resources,
sophistication, and connections. Despite its seeming neutrality, in practice reactive
law enforcement favors power and privilege.
2. How will the court learn the facts related to the implementation problem?
Dispute settlement requires decisions based on evidence. Unless both sides to a
dispute have had a chance to bring forward evidence and argument, the arbiter – in a
court, the judge – may decide on the basis of incomplete facts. A fair hearing lies at
the heart of rational dispute-settlement.
A decision on whether to implement a law to resolve a complex social problem,

however, often requires evidence from a broader range of stakeholders, as well as
from neutral experts.
If you complain of a violation of a law but cannot frame the complaint as a lawsuit
between two parties, however, you will have difficulty in persuading a court to hear
your case. In particular, courts have no funds to finance a remedy for a social
problem. Without the ‘power of the purse,’ a court frequently lacks the means to
induce changed behavior. (If a community needs a new school, a court faces almost
insurmountable difficulty in getting it built.)

DISPUTE-SETTLEMENT INSTITUTIONS
3. Are the court’s processes of a level of complexity appropriate to the implementation
issue?
Courts usually have slow, formal, expensive and complex procedures. These prove
useful in processing difficult claims on which a great deal depends. In other
instances, they may engender delays and unwarranted inefficiencies.
4. Do the judges have sufficient expertise to implement the law?
Necessarily generalists, a judge may not have the special expertise required to deal
with particularly complex substantive issues. Implementation frequently requires
expertise in the subject-matter.
5. Will the judges prove sufficiently zealous in implementing the law?
In courts committed to the adversarial system, judges, in principle, ought to remain
uncommitted and detached, ’above the fray.’ Development, in contrast, often requires
dedication that only commitment can ensure.
6. Does implentation require gathering ‘legislative facts’?
Court procedures work reasonably well in finding facts about what has happened in a
particular event at a particular time and place. They do not work very well in finding
‘legislative facts’ – that is, data indicating broad trends or forecasting probabilities of
future behaviors.
In sum, for a limited range of laws, a dispute-settlement agency can also serve as the
implementing agency. For many laws, however, dispute settlement calls for different input,
feedback and conversion processes, and different capacities, than does implementation. If
a bill before you expressly or implicitly specifies implementation through dispute settlement,
enquire about the sufficiency of its procedures and structures for the implementation task
required.
ADMINISTRATION
GOVERNMENT
II. IMPLEMENTATION THROUGH GOVERNMENT ADMINISTRATION (MINISTRIES,
DEPARTMENTS, ETC.)
Government administration through implementing agencies— advantages

1. A bill can structure a government agency as relatively independent of partisan
political influence –for example, in many countries, the civil service.
2. An administrative implementing institution, properly structured by law, seems an
efficient and effective form of doing government business. (Max Weber thought that,
as a great technical advance, the discovery of bureaucracy ranked with the
discovery of the wheel.) Because it has enormous flexibility, drafters can shape
bureaucracy to the purposes of their particular bills.
3. In contrast to courts, administrative agencies serve as specialized institutions. They
generally employ experts to make decisions.

ADMINIS TRATION
GOVERN MENT
4. A bill can structure a ministry to take either a reactive or a proactive stance,

whichever best suits the problem at hand.
5. Ministerial officials may bring zeal to their task — a strong plus in implementing
transformatory law. By contrast, the judges’ role demands the opposite of zeal:
impartiality, coolness, deliberateness.
6. The ministerial form provides sufficient flexibility to enable a ministry to introduce
procedures appropriate either for deciding a specific case, or for drafting subordinate
legislation.
Government administration through implementing agencies — disadvantages
1. Administrative agencies sometimes do prove ‘bureaucratic’: Bound by antique rules
(‘red tape’), slow, ponderous. Bureaucrats sometimes become equally hidebound,
incapable of behaving as entrepreneurs, or trying out new ideas. Unless the rules
expressly permit it, sometimes they seem incapable of chewing gum and walking at
the same time.
2. Ministries necessarily work intimately with the principal stakeholders in the area of
their competence. Too often, in time, the regulated take over the regulators.
3. Unless carefully-structured, the hierarchical organization of an administrative agency
may encourage officials to behave in a remote, authoritarian manner that defies
transparency, accountability, and stakeholder participation.
STATE CORPOR ATION
IMPLEME NTING THROUG H
III. IMPLEMENTATION THROUGH A STATE CORPORATION
State corporations as implementing agencies — advantages
1. A government corporation usually has considerable freedom from ministerial control.

Some people claim this enables it to respond more readily to business or quasi-
business opportunities, and to foster greater managerial creativity and
entrepreneurship.
2. In dealing with personnel, a government department invariably must follow the

general rules for the public service; a public corporation usually does not.
3. The same applies to rules for financial accountability. That may free the corporation
from a lot of red tape that binds ministries.
Disadvantages
1. Precisely because of their freedom from oversight and its accompanying rules, public

corporations have frequently become the site of serious corruption (see Chapter 9).
As do ministries unless carefully structured, that very freedom from civil service and
financial constraints (that in some circumstances counts as an advantage) may
facilitate behaviors in violation of good governance.
IMPLEMENTATION THROUGH PRIVATE AGENCY

IMPLEMENTATION THROUGH A PRIVATE AGENCY
In a variety of circumstances, governments implement programs through the private sector.

For example, a hospitals bill may empower a health ministry to contract with private
companies or individuals to manage public hospitals for a fee; a prisons bill may permit a
ministry of justice to contract with private companies to manage prison for a specified
price; in many countries, legislation permits welfare ministries to negotiate contracts with
non-government organizations to administer welfare programs.
Implementation through a private agency – advantages
1. Private enterprises may bring their own resources — personnel, financial or physical
— to the implementation task.
2. Some people claim that private enterprises, presumably as a result of some form of
competition, operate more efficiently than government enterprise.
3. Like public corporations, private enterprises may permit greater creativity and
entrepreneurship than does bureaucracy.
Implementation through a private agency – disadvantages
1. Private enterprise seeks to maximize profits. For government activities that require
redistribution of resources, or improved services for the poor, the profit motive may
conflict with the agency’s mission (for example, welfare agencies; old-age homes;
prisons; hospitals.)
2. Practices purporting to enhance efficiency may conceal behaviors that government

agency rules characterize as corrupt.
3. Unlike most government agencies, no generally applicable rules subject private

enterprises to requirements of transparency, accountability, and participation.

EXAMPLES
IMPLEMENTATION BY GOVERNMENT OR BY PRIVATE CONTRACTOR? SOME EXAMPLES
1. In South Africa, since 1990, the government has sold

to the private sector previously state-owned
enterprises. These included a number of
infrastructural systems that provided for the
population’s basic needs like public water supply,
electricity and telephones.
As a result, the charges for these services rose;

and, when the poor failed to pay, the now-
privately owned companies cut off connections
in rural areas and (previously black)
townships. In some cases, private managers
broke existing union contracts with municipal
workers and laid off employees, contributing
to mounting unemployment.
2. A few times a winter, Maine, one of 50 states in the US, experiences heavy
snowstorms. To clear snow off the roads quickly after a blizzard requires many trucks
or tractors equipped with snowplow blades. Maine communities could either (a)
purchase many trucks and tractors, most of which would stand useless save for the
few times a year when snow falls heavily; or (b) hire privately owned trucks fitted with a
snowplow to remove most of the snow, especially in the many roads away from major
highways. Maine communities have found option (b) more efficient.
Moral: No general rule about the relative advantages of government

or private sector implementation seems warranted. Do not let
ideologues for either pro-government or a pro-private sector
implementation persuade you that one size – their size – fits all.
Whether to use government employees or private contractors to
implement a program depends upon the time- and place-specific
circumstances.
Whatever its form, you must assess the bill’s designation and design of an implementing
agency, and whether its prescriptions for the behavior of its officials have a high likelihood
of inducing the prescribed behaviors. In that sense, you are responsible for the bill’s
successful implementation.

To assess a bill’s implementation provisions, you generally must ask the same
kinds of questions about officials as role occupants as those suggested in
Chapter 5. This Chapter 6 does not suggest alternative questions to ask
about implementing agency officials in place of those Chapter 5 suggests you
ask about primary role occupants. Instead, it suggests additional questions
that prove useful for assessing a bill’s provisions related to its implementing
agency.
4. A Checklist for assessing implementing agencies
STRUCTURE AND PROCESS

CHECKLIST: AN IMPLEMENTING AGENCY'S
A CHECKLIST : QUESTIONS TO ASK ABOUT AN IMPLEMENTING AGENCY’S
I. Designation of an agency to implement the law:
1. If an old agency (for example, an existing ministry), which agency?

2. If a new agency, what does the bill prescribe about its title and location in the
existing bureaucracy? Do these seem appropriate?
II. Agency actors (officials at all levels):
1. Number of officials at each level? Why?

2. Who will appoint them? How?
3. What qualifications must candidates have for appointment? Why those
qualifications?
4. How long a term will they serve? Why?
5. By what process can which official or institution remove an official from office (end of
term; resignation; removal for cause; retirement age)?
III. Duties and powers of the agency:
1. What responsibilities will the agency have? If the agency performs those duties, will
it contribute to altering or eliminating the causes of the primary role occupants’
present dysfunctional behaviors?
2. What conformity-inducing measures will the agency officials use to carry out their
responsibilities? Do these measures address the causes of the problematic
behaviors that the bill aims to help resolve?
3. Will the agency have the authority to impose punishments? What kinds of
punishments? How useful do these seem to help resolve the identified problematic
behaviors?

IV. Input functions:
1. Whom will agency officials consult about how to implement the law’s details? Do
ON AN IMPLEMENTING AGENCY'S
these include all the stakeholders? Especially, does the bill require them to consult
advocates for the poor, women, children, minorities, the environment, human rights
and the Rule of Law?
2. How and from whom will agency officials gather facts to help them decide how to
implement the law’s detailed provisions?
3. How will the agency recruit and train personnel?
V. Feedback functions:
1. How will the agency learn about whether the law’s addressees obey its
prescriptions?
2. Will the agency wait until people come forward with complaints?
3. Almost every implementation agency permits complaints; will the agency also
have an obligation to search out violations? (That is, does the bill prescribe a
reactive or proactive agency?)
4. Who has standing to make complaints?
5. By what procedures may those with standing make their complaints?
6. Will the agency obtain facts about whether the law’s addressees obey the law by
investigations by agency employees? public hearings? by soliciting responses from
those affected — especially from the vulnerable, historically disadvantaged?
Helping the people subject to the law to meet and develop their own assessment of
implementation, and to take steps to improve it? Commissioning a research agency
to investigate and report back? Hearings on charges made in writing? (especially
appropriate where an individual is charged with wrongdoing that may lead to
punishment, demotion, loss of job, etc.) Other?
CHECKLIST:
VI. Conversion processes: If the agency has a decision-making body empowered to

make implementation decisions:
1. If that body has more than one member, what proportion of its members must vote in
favor of a proposition? Must they meet and discuss the issue, or do they each write
their own opinion?
2. Must decision-makers accompany their decisions with statements of reasons?

CHECKLIST
Must they provide written reasons? Should they include findings of fact as well as
reasons?
3. Must they notify stakeholders when they have an issue under consideration, and
invite their inputs? How must the agency respond to those inputs?
VII. Appeals:
1. Will a person aggrieved by an agency decision have a forum to which to appeal?
You must ask these kinds of detailed questions to assess whether the bill’s
provisions will likely ensure its effective implementation. Sometimes,
however, under the changing circumstances of development and transition, a
bill may empower an administrative agency – a Minister, or some other official
– to formulate and promulgate rules to fill in the essential details left out by
the bill’s more general provisions. The literature calls that ‘intransitive law.’
In that case, you must ask further questions to ensure that the agency
officials use their delegated rule-making power in conformance with the
requirements of good governance.
C. TRANSITIVE VS. INTRANSITIVE BILLS
At the end of the day, to induce changed behavior and thus bring about desired social
change — and this we cannot repeat often enough — a law must prescribe the desired
behaviors in detail.
Who should draft and promulgate those detailed rules? You and your colleagues, the
elected representatives of the people, in whom the Constitution vests the legislative power
– or some administrator or executive usually appointed, not elected? Remember, policy
resides in the details. To empower an administrative official or an agency to decide on a
bill’s details delegates much of the legislative power.
Ideally, you should never delegate that supreme constitutional power. Sometimes – in
conditions of development, often –– you have small choice but to delegate a portion of that
power to executive officials. That poses the central question concerning intransitive laws:
How can you surrender to the executive the power to make detailed rules without
surrendering the legislative power itself?

DEFINITIONS
DEFINITIONS: TRANSITIVE AND INTRANSITIVE LAWS
Almost all laws (at least, laws concerned with institutional transformation and development)
require some administrative rule-making With respect to their generality, bills stretch in a
continuum between a wholly transitive and a wholly intransitive bill. A transitive law contains
in its text the detailed prescriptions for the role occupants and implementing agency behavior.
An intransitive law delegates to some authority — government agency, state corporation,
or private entity — the power to make and implement detailed rules (regulations, subsidiary
legislation) that prescribe the desired behaviors.
How can you assess

a bill for an
intransitive law?
That assessment requires two steps:
(1) Do the circumstances here make an intransitive law
necessary; or might its drafters successfully write a transitive
bill?
(2) Does the bill sufficiently limit the discretionary power to make
subordinate legislation?
This part first discusses these two issues, and then provides a checklist
of questions to ask to assess an intransitive bill. Preliminarily, it considers
the larger problem: the seeming conflict between democratic ideology
(which points towards transitive laws) and the need for delegated
discretionary power (which points towards intransitive laws).
1. The ‘deadlock’ of development administration — and how to dissolve it
In the industrialized world, increasingly bills have tended towards the intransitive end of the
continuum. Going back to Napoleonic times, European legislative traditions have given
the legislature power to enact laws in general terms. These laws only go into effect after a
minister or other executive officer promulgates an Implementing Decree that fills in the
details. That tradition, however, seems to contradict the notion of representative
government.
Everywhere, history and democratic theory alike argue that the legislature ought to enact
the detailed rules that law-induced social change requires. From capitalism’s early years,
private investors demanded laws free of official and administrative discretion. They
experienced enough trouble trying to out-guess fickle and changing markets. If their capital
risked not only market fluctuations, but also changing official whims, they feared to invest.
They demanded detailed, certain and ascertainable laws which they could take into account
in their business planning.

In the latter part of the 19th century, the English writer Dicey claimed that the true mark of
the English Rule of Law lay in its assurance that no person’s property or liberty depended
upon administrative discretion. That required minimizing official decision-makers’ discretion
by writing transitive laws that precisely prescribed role occupant behaviors and limited the
discretion of implementing agencies (in Dicey’s day, mainly the courts).
In democratic principle, law-makers operationalize Dicey’s dictum by the rule of ultra vires
(see Chapter 2). That rule goes to the heart of the Rule of Law (see Chapter 9). It says that
government officials, no matter how high and important, remain subject to the law. If the
law contains no details, in what sense does the law control their behavior? A statute that
proclaims that ‘a person must obey the whim of the Prince’ does not merit the title of ‘law.’
Nevertheless, the complexity of industrialized economies made it difficult always to enact,

in advance, the detailed rules required to resolve societies’ increasingly complicated, ever-
changing social problems. Increasingly, industrialized country legislators delegated to
administrative officials the discretionary power to write detailed rules. In Europe, they call
the rules enacted by the executive, ‘Implementing Decrees;’ in England,‘subordinate
legislation;’ in the United States, ‘administrative rules.’ All rest on relatively intransitive
statutes.
Developing countries face a similar paradox. At least nominally, today most adhere to a
democratic ideology. At the same time, most hold development as a principal policy objective.
For development, good governance constitutes a necessary if not sufficient foundation.
The history of government everywhere — and no more so than in the developing world —
teaches the evils of granting officials unlimited discretion. It breeds arbitrary decision-
making in the interest, not of the public, but of private greed. Both democratic theory and
the demands of development hold that, not an unelected official, but the people’s
representatives must enact the details of a law — especially of transformatory law.
In the developing countries, a variety of forces tended to make that difficult. History furnished
a powerful influence. During the years of colonial domination, the pattern of governance
remained highly authoritarian. Laws endowed executive officers with practically unlimited
power. Today in most former colonial countries traditions of unlimited executive discretion
remain deeply embedded in the drafters’ and the general political culture. Sometimes
embedded in constitutional provisions, former French, Dutch and Portuguese colonies still
labor under traditions that mandate that all legislation consist of general, highly intransitive
laws implemented by presidential or ministerial decrees that specify their details.
Developing countries look to induce rapid social change. Inevitably,

that comes clothed in uncertainty. Officials need flexibility in
governing – and for – ‘flexibility,’ read discretion. Development and
transition require not fixed, immutable plans, but flexibility,
experimentation, innovation, entrepreneurship.
How can anyone show their
love of enterprise, ingenuity,
and get-up-and-go in this
bureaucratic maze?
It seemed that developing countries might permit officials no discretion, and have the Rule
of Law – and little or no development. Or, these countries might opt for development and
transition – but that requires a high degree of official discretion, and thus defies the Rule of
Law. Some called that the ‘deadlock’ of development administration.
Three general strategies emerged. Two of them merely asserted one or the other side of
the paradox embodied in the deadlock of development administration. In the name
of’‘development’ and ‘transition,’ some called for an ‘entrepreneurial’ administration. Others,
rejecting the notion that government should facilitate transformation, called for a return to a
‘night watchman’ state that merely collected taxes and kept law and order.
As a third strategy, some law-makers rejected the entire concept of the deadlock in
development administration. Under the whip of necessity, they argued, a grant of a specified
portion of legislative power need not diminish the constitutional grant of legislative power.
In some circumstances, it made the exercise of legislative power possible.
Advocates of that third strategy transformed the ‘deadlock of development administration’

into another, more malleable question: How to grant a limited part of the legislative power
without weakening it beyond repair? How to devolve discretionary power to administrators
– but only a measured amount, as necessary to the developing world’s excruciating
circumstances? How to ensure that agencies used the delegated power for public, not for
private purposes? How can you and your colleagues claim to represent the people, who
hold you accountable, and at the same time conscientiously give away a part of the legislative
power to the executive?
Wait a minute! We were

elected to represent the
people – how can we still
do that?
The answer lies in general principles of agency law. In reality, neither ‘government’ nor ‘the
state,’ alone, powers the development effort. Neither constitutes a ‘single rational actor.’
As earlier discussed, frequently people talk about ‘the government’ or ‘the state’ acting:
“The state has taken over the oil wells", or “The state operates the schools.” That again
constitutes ‘single rational actor’ talk. In fact, some identifiable government officials do
what you as legislators enact law to command them to do. (If a state official takes over an
oil mine without the authority of the law, the act constitutes merely theft of property, not
state action.) The officials act as agents of ‘the state’, as directed by rules made by the
people’s representatives.

Sometimes, to achieve desired policy ends, you must direct specified officials to use their
discretion to solve a problem too complex, too dynamic, too multifaceted to resolve at this
time by specifying the details in a law. Perhaps, with more study and closer relationships
to the actors on the ground, officials can devise regulations (or 'subordinate legislation' or
"implementing decrees') to provide those essential details. To delegate the rule-making
power to those officials does no violence either to democratic ideals or to constitutional
allocations of power.
That strategy does not pose a whole new set of legal concepts. Agency law has always
held that, with exceptions, what one can do oneself, one can do through an agent. Where
the choice lies between development or stagnation, development must win. The problem
lies, not in a supposed ‘deadlock’ of development administration, but in drafting the law:
How to draft a law that delegates enough discretion for the administrator to write the
necessary detailed rules, while imposing sufficient limits to prevent the administrator
from using the delegated power against the public interest, or for some purpose
outside the scope delegated?
That poses a challenge. The next section sets

out four circumstances that may justify a
relatively intransitive law. The following two
sections focus on limiting the grant of
discretionary rule-making power
2. When to write intransitive bills?
Unbounded discretion wars with good governance. How to grant officials scope for initiative,
experiment, entrepreneurship, and still guard against the misuse of public power for private
reasons? How to ensure that rules made by a non-representative officials still represent
the public interest?
Only necessity justifies an intransitive bill. Before granting When is this kind
of law really
legislative power to unelected officials, ask whether any one of four
conditions exist. If none of these exists, insist that the bill’s proponents
include in the bill itself the essential details. necessary?
a. Difficult subject matter

First, ask: Does the bill aim to resolve a complex and difficult problem about
which nobody could now specify the required detailed rules? If so, it makes
sense to enact an intransitive law. Subject to specified criteria and procedures,
you may vote to grant the agency officials limited discretion to decide what
initial measures to take, and, as they gain experience to introduce new
measures. That law should grant the agency officials only enough power to
gain the experience essential to development progress.

MANUAL FOR • 119
CIRCUMSTANCES THAT DEMAND INTRANSITIVE BILLS
b. Many role occupants and many behaviors
Second, ask: Does the bill address a problem in which many role occupants engage
in a wide variety of problematic behaviors? Identifying and adequately explaining
each of these behaviors sometimes exceeds existing knowledge or capacity.
Without information about each of these behaviors, drafters cannot draft, and you
cannot assess, the bill’s detailed rules. Instead, it makes sense for you to vote for
an appropriate intransitive bill. In granting agency officials power to conduct the
research and write the detailed rules governing the many actors’ behaviors, make
sure that the bill specifies appropriate criteria and procedures to curb their
discretion.
c. Widely differing circumstances
Third, especially in a geographically large country, ask: Does the bill address
problematic behaviors by people in widely differing circumstances? Confronting
conditions as different as the bustling urban commercial centers of Guangzhou,
Shanghai, and Beijing, the desert wastes of the old silk route across Xinjiang and
the remote mountain fastnesses of Tibet, frequently Chinese law-makers justifiably
hesitated to enact detailed transitive laws. Instead, they enacted intransitive laws,
requiring specified agencies to make detailed rules appropriate for each of these
different circumstances.
d. Rapid change
Finally, ask, does the bill address a problem embedded in rapidly-changing socio
economic circumstances for which no one, in advance, could specify all the detailed
behaviors?
Necessity constitutes an intransitive bill’s primary justification. Beyond that, you
must ensure that a proposed intransitive bill provides adequate criteria and
procedures to limit the agency officials’ discretion to draft only those rules essential
for achieving the bill’s stated objectives.
e. Limits on the delegation of legislative powers: Procedures
What questions should you ask to assess a relatively intransitive bill’s rule-making
procedures? You must assess whether an intransitive bill adequately prescribes
procedures for two agency sets of tasks: First, an implementing agency requires
procedures that limit officials’ capacity to make arbitrary or ideosyncratic rules.
Suppose a bill authorizes the Ministry of Culture to make rules concerning grants to
artists. To protect against a Minister making a rule that reflects the Minister’s mere
personal taste in art (for example, directing all Ministry of Culture grants to a
particular school of art)? Second, an intransitive bill must specify procedures to
protect against the danger that administrators may use their rule-making power to
aggrandize their power or personal wealth. How to ensure that, under the bill
concerning Ministry of Culture grants, the Minister does not promulgate a rule that
facilitates grants to the Minister’s friends and relatives?
i. Getting the facts. In undertaking their assigned implementation tasks, many

agencies must continually make decisions about whether a particular state of
INTRANS ITIVE BILLS (CONT.)

affairs took place in the past — for example, whether an importer owes duty on a
shipment, whether a veteran of a war should receive a pension payment,
whether a steel company polluted the atmosphere by discharging smoke.
Frequently, they must make highly technical, specific decisions — for example,
whether an electricity company’s design for a high tension transmission cable
contains adequate safety provisions, or whether a proposed school textbook
meets the demands of the eighth grade curriculum.
By contrast, to make sound decisions about new, detailed rules, an agency
needs information about legislative facts, that is, facts required to warrant
hypotheses that purport to describe and explain a social problem, and weigh the
comparative costs and benefits of alternative possible rules.
Capturing evidence about a specific past event requires different procedures
than capturing legislative facts. In particular, getting legislative facts may require
provisions to build the agency’s research capacity. Ask: Does the bill make it
likely that the agency will have the capacity to carry out its rule-making function?
ii. Ensuring transparency, accountability, participation. To protect against
agency officials’ exercise of unjustified power, ask: Does the bill contain
provisions guaranteeing that the agency’s rule-making procedures will prove
transparent, accountable, and participatory? For example, does it provide for
public hearings? Notice-and-comment? Must the agency submit proposed
regulations to the legislature for review? Must agency decision-makers state
reasons for the substance of their rules?
f. Criteria.
Unless the law empowering an agency to make rules imposes criteria to limit
officials’ rule-making discretion, its rule-making procedures may prove
unaccountable and non-transparent. One or more of five devices can limit

officials’ rule-making discretion. Ask: Does the bill:
We do have ways
• State the law’s objectives sufficiently precisely to constrain to limit decision-
discretion? For example, does a bill giving the Motor Vehicle makers' discretion.
Commissioner the power to set maximum permissible speeds on sections
of the highway, include a statement that the bill aims to balance the safety
of motorists, passengers and others against the need for economical, swift
transport?
• Limit the agency officials’ power to prescribe remedies? For example,
does the speeding bill mentioned above limit the Commissioner’s power to
make rules specifying penalties?
• Specify the kinds of factual propositions which most experts in the
field consider relevant to explaining the behavior at issue? For
example, in setting speed limits, does the bill require the Commissioner to

take into account only the state of the highway, the weather, the amount of traffic,
and perhaps the driver’s reasons for speeding -someone bringing a wife in labor
to a hospital may have a more socially-acceptable reason to speed than a young
man showing his girlfriend how fast his car can go?
• Require that the agency establish rules that embody current practice? For
example, does it require that the Commissioner set speeds at 10 kilometers per
hour less than the average speed that vehicles actually drive over that section of
the highway?
• Require the rule-making authority to state exactly what criteria it used in
making a particular rule, and authorize a reviewing authority to review
those criteria before the rule goes into effect? For example, does the bill
permit the Commissioner to set a ‘reasonable’ speed for a section of the highway,
but require that, in such a case, the Commissioner state the reasons for that
decision in writing, and suspend the operation of the rule until a court reviews the
new speed limit and approves the criteria used.
In some countries, an Administrative Procedures Act specifies default rules for the criteria
and procedures which administrative rule-makers must employ in formulating and
promulgating rules. Unless such a Act exists, make sure that an intransitive bill incorporates
provisions which ensure openness, accountability and appropriate stakeholder
participation, and limits officials’ opportunities to make arbitrary (potentially corrupt)
rule-making decisions.
EXERCISE: TRANSITIVE OR
INTRANSITIVE?
(1). How do ‘transitive’ differ from ‘intransitive’ bills?
(2) Can drafters ever write a purely ‘transitive’ bill about a matter more complicated than
prohibiting spitting on the sidewalk?
(3) What factors should you consider in assessing an intransitive as opposed to a

transitive bill?
(4) From your country’s laws, identify an example of an intransitive law. Do you think the
law specifies sufficiently precise criteria and procedures to limit the agency’s
discretion in the formulation and implementation of rules?
(5) Does your country have an administrative procedures act? Does the act (or, if you do
not have an act, the existing procedures for drafting regulations or subsidary
legislation) adequately control implementing agencies' discretion?

3. Assessing an intransitive bill.
Chapter 5 offered a checklist of questions that you might ask to assess a transitive bill. An
intransitive bill differs from a transitive one in three significantly different ways. A properly
drafted intransitive bill’s provisions have these characteristics:
(1) On their face, they do not prescribe behaviors designed to solve the social problem
addressed. Instead, they empower an institution to make rules prescribing
behaviors likely to help solve that problem.
(2) They require the appointed authority, in making detailed rules to solve the social
problem, to use transparent, accountable, and, insofar as possible,
participatory procedures.
(3) must specify appropriate substantive criteria to constrain the agency’s discretion
in making rules.
Always ask:
First, what essential evidence and logic do the bill’s sponsors claim justifies
an intransitive rather than an intransitive bill? If some agency already exists
that should have but has not made adequate detailed rules, ask for
explanations for its problematic rule-making behaviors.
Second, what facts and logic justify the bill’s intransitive solutions? Why
did its sponsors choose this agency to make and promulgate the new rules?
Why did it prescribe these procedures? Why did it specify these criteria?
Using legislative theory’s problem-solving agenda, the

checklist below suggests questions to ask in assessing an
intransitive bill.
BILL CHECKLIST
INTRANSITIVE
A CHECKLIST FOR FOR ASSESSING AN INTRANSITIVE BILL
Note: Here we mention only questions specially relevant to an intransitive bill. You should
consider this list together with the questions earlier suggested concerning an agency to
implement a transitive bill – i.e., a bill that does include the necessary details.
I. Why does this problem require a relatively intransitive bill? Does it:
1. involve little understood issues which require on-going study together with some
power to experiment with different solutions?

CHECKLIST TO ASSESS AN INTRANSITIVE BILL
2. involve many different role occupants’ behaviors and differing explanations for
those behaviors?
3. reflect different behaviors (and the causes of behaviors) of role occupants in
different parts of the country, which may require different solutions?
4. occur in circumstances of rapid change?
II. If some agency presently has power to make detailed rules concerning this
problem:
1. Which agency? Which of its officers, and what behaviors constitute its decision-
making processes with respect to rule-making?
2. Using the ROCCIPI agenda, what explanations do the sponsors offer for existing
problematic rule-making behaviors?
III. Solutions: Why the present bill?
1. What alternative modes of generating a detailed set of rules for the substantive
problem addressed did the sponsors consider?
2. What constitute the bill’s prescribed criteria and procedures for each of the
agency’s decision-making processes relating to substantive issues – in detail?
3. If some agency already has the power to make rules of the sort required by the
bill, does the bill’s solution adequately address the causes of that agency
officials’ problematic rule-making behaviors?
4. What criteria and procedures help to limit the agency officials’ discretion in
making the relevant rules? Will those procedures and criteria lead to
transparency, accountability, participation by relevant stakeholders? Will those
procedures and criteria likely lead to reasoned, non-arbitrary rule-making?
5. At this time, does a social cost-benefit analysis demonstrate that enacting the bill
into law will produce greater social benefits than any possible alternative solution
(including doing nothing)?

SUMMARY
The world around, effective implementation of the law proves the key to the attainment of
good governance, transition and development. To serve the public interest as an elected
representative, be sure to vote only for those laws promising democratic social change
which provide for their own effective implementation.
A bill that comes before you raises three major sets of questions. To determine whether
that bill will prove effectively implemented you need answers to these questions:
First, Does an implementing agency already have responsibility for helping to resolve the
problem the bill addresses? If so —
1. What conformity-inducing measures does that agency now use to induce the
new behaviors necessary to resolve the problem, and in what ways do they
seem insufficient? Evidence?
2. Do the agency’s decision-making processes seem non-transparent, non-
accountable, or non-participatory? Evidence?
3. Why do the responsible officials behave in these problematic ways? Evidence?
Second, given the kinds of decisions the agency officials must make, you must ask questions
about the wisdom of the bill’s assignment of the implementation task either to an existing
agency, or to a new agency:
1. Given the country-specific circumstances, did the bill’s proponents make a wise
choice between implementation by dispute settlement, bureaucratic agency,
government corporation, or private sector implementation?
2. Do the bill’s implementation provisions logically seem likely to alter or eliminate
the causes of existing problematic behaviors by officials?
3. Will the new law prove socially, as well as economically, cost-effective?
Finally, you should pay careful attention to any grant of rule-making (that is, legislative)
power to an administrative agency official:
1. If an intransitive bill, do conditions require transferring to the agency this degree
of legislative power?
2. Do the bill’s procedures make arbitrary or idiosyncratic rule-making difficult? Or
do they ensure participation, accountability and transparency?
3. What criteria does this bill impose on agency rule-making discretion? Do they
seem sufficient?

Effective implementation lies at the heart of good governance and the Rule of Law. No
matter how good a law’s wording seems, how laudatory its stated principles appear, it
cannot facilitate the institutional transformation required for either development or transition
unless it ensures that some well-chosen agency effectively implements its detailed
provisions.
EXERCISES:
1. Recall the four principal kinds of implementing agencies. In general, what sorts of
questions should you ask to determine whether a bill’s drafters have assigned its
implementation to the appropriate kind of agency?
2. Explain why ‘Process’ constitutes the category that most frequently yields useful
explanations for the behavior of an implementing agency. What categories of facts
would you ask about to discover how an agency’s Process influences its decisions?
3. What kinds of questions would you ask to determine whether a bill’s detailed
provisions sufficiently limit the implementing agency officials’ discretion?
4. What questions would you ask to assess whether the circumstances in which the
social problem arises justify enactment of an intransitive law?
5. In assessing a bill for an intransitive law, why should you ask questions about the
bill’s provisions stating criteria and prescribing procedures for the agency to make
regulations (subordinate legislation, decrees, administrative rules)?

Why do people do what
they do?
CHAPTER SEVEN:
CAPTURING AND
ASSESSING THE
FACTS
This chapter focuses on how to assess whether, in the public interest, a bill’s details appear
grounded on available facts. Viewing the legal order mainly as a a set of rules to guide
judges in deciding lawsuits, most lawyers study only the laws-in-the-books. That makes
sense when a lawyer seeks to solve a problem arising within an existing legal system
Legislative theory, in contrast, requires studying the law-in-action; that is, analyzing
why people behave as they do in the face of existing laws. Studying behavior in the
face of a rule makes sense when you must decide what the law ought to be. In courts, the
discourse concerns the interpretation of the law, the application of existing rules to a set of
facts; for law-making, in contrast, the discourse centers on changing the behaviors that
comprise social problems.
This chapter
A. Reviews problem-solving as a guide to formulating hypotheses that provide

criteria for finding relevant facts;
B. Suggests shortcuts and the importance of stakeholder participation in finding
those facts; and
C. Considers the significance of different ways of gathering the facts: quantitative vs
qualitative methods; representative samples; and foreign law and experience.
A. FINDING THE RELEVANT FACTS

At each of problem-solving's four steps, legislative theory suggests examining the facts as
to existing problematic behaviors, their causes, and the the costs and benefits of the bill’s
detailed measures to change the. The drafters must show you that their hypotheses prove
consistent with your country's realities. Otherwise, the bill may merely reflect their own
assumptions. At best, they may address the symptoms of the problem, not its underlying
causes.

Ask the bill’s sponsors for the
facts you need to determine
whether the law will serve the
public interest!
A BILL MUST REST ON MORE THAN LOGIC OR
ASK FOR THE FACTS
THEORY– ASK FOR THE FACTS
Formally, the following syllogism’s logic has no flaws:
1. All cats have nine lives.

2. My cat, Tandy, is a cat.
3. Therefore Tandy has nine lives.
Despite its formal logic, the argument states nonsense. Its
major premiss (“All cats have nine lives”) does not fit the facts.
In the same way, a drafter’s justification for a bill, no matter
how logical, may make no sense because its underlying
hypotheses remain inconsistent with the facts.
If drafters base a bill’s substantive provisions on assumptions that do NOT prove consistent
with the available evidence, either:
(1) reject the bill;

(2) require the bill’s sponsors to revise their hypotheses to fit the facts, and revise
the bill’s details accordingly; or
(3) suggest that the bill’s sponsors redraft the bill to direct an appropriate agency,
pursuant to specified criteria and procedures, to undertake needed further
research (see ‘intransitive laws,’ Chapter 6).
That a bill’s detailed provisions should rest on logic and facts argues that drafters should
accompany an important bill with a research report that states its underlying hypotheses
and the essential facts, all tied together in a clearly articulated logical structure.
Without hypotheses, which facts count as relevant? You have limited research resources.
The facts stretch endlessly. Which ones should you try to capture? Your hypotheses guide
you to the information which describes relevant behavior and their causes. Without
hypotheses, you have no way of knowing where to start looking. Then ask: Do the
available facts falsify the drafters’ hypotheses?

Why falsify?
WHY FAL SIFY ?

Try this: To test the hypothesis, that “Water boils at 100 degrees Centigrade,” boil water in
an open pot at sea level 1000 times. Every time, the water will boil at 100 degrees
Centigrade. If you boil the water just once in an open pot at 5000 feet, however, it boils at
a lower temperature. By that one item of evidence that falsifies the hypothesis, you learn
more than you learned by 1000 experiments that seem to warrant it. This story underscores
two points:
1. You learn much more by trying to falsify an hypothesis than from evidence
that seems to warrant it. Make sure the drafters have considered all the
facts that might prove their hypotheses false.
2. Problem-solving’s fourth step, monitoring and evaluating the law’s social input
reflects the importance of always treating knowledge tentatively,
experimentally, always open to the possibility of new evidence that may
prove its underlying hypotheses false.
B. GETTING THE FACTS

Usually – as does a drafter – you must rely on facts other researchers gather. You should
know enough about social scientists’ fact-gathering techniques to intelligently assess the
facts other researchers provide.
In the past, ruling through secretive, authoritarian law-making and implementing processes,
political elites too often enacted laws that reflected, not the facts, but their own views. In
the two leading legal systems – that of the English Commonwealth and the Napoleonic
codes – they justified their laws by claiming that their provisions only stated as law ‘the
custom of the realm.’ Since everyone knew those customs, they argued, who needed
research?
Today’s law-makers consciously enact laws looking towards development and transition.
But for a country seeking to leap from a recently post-colonial society – perhaps retaining
elements of hoe-agriculture, kin-organized society, depending on exporting raw materials
and low - technology manufacturing – into a society with high standards of productivity,
education, health, housing, recreation and good governance, laws that do not rest on facts

and logic too often end up in the ’good law but badly implemented’ category.
In the law-making or law-implementing process, someone – usually a ministry official,

occasionally a fellow-legislator or a non-government organization’s staff member – has
evidence about an existing problem. To fulfil your duty as a law-maker, you must ask a
bill’s sponsors to demonstrate that they grounded the bill’s details, not only on logic, but
also facts. The trick lies in knowing what questions to ask these knowledgeable people.
By the late 20th Century, community activists and growing numbers of professional evaluators
recommended engaging the stakeholders – those affected by the law, especially the poor
and vulnerable – in drawing on their own experiences to make suggestions for improving
legislative programs. As an elected legislator, you can help the stakeholders among your
constituents to use the problem-solving methodology to gather and analyze the relevant
facts as the basis of new rules. In the process, they may also figure out ways to improve
their own uses of their own resources to better their lives.
EXERCISE: STAKEHOLDER
PARTICIPATION IN THE
RESEARCH
1. Compare the advantages and disadvantages of asking stakeholders

(a) only to state their claims and demands compared to
(b) engaging them in an analysis structured by problem-solving’s four steps.
2. Which stakeholders should participate in analyzing the causes and finding
legislative solutions to particular social problems in your country?

Ask your constituents and leaders of civil
society — church groups, trade unions,
small enterprise associations, farmers’
cooperatives — for help in gathering the
facts.
• Encourage your constituents to provide facts about the nature and scope of
problems that affect their lives; their own ideas as to the causes of the behaviors that
contribute to them; and their suggestions as to how specific new legislative
measures might induce new, more appropriate behaviors.
• Arrange hearings in your district to enable your constituents to talk directly with you
and your colleagues about specific problems, their causes, and possible legislative
measures.
• Encourage your constituents to survey community members’ opinions to fill gaps in

the available evidence relevant to solving social problems. To do that, urge them to
use legislative theory’s problem-solving methodology and the ROCCIPI checklist.
Can you think of other ways to involve your constituents in providing facts to help ensure
that proposed transformatory laws will meet their needs?
C. SIGNIFICANT FACT-FINDING METHODS
Social scientists have developed a variety of techniques for gathering facts. You need to
know enough about their methods to assess the implications of the facts they provide.
1. Quantitative and qualitative methods compared
Social scientists have developed quantitative and qualitative research techniques which
prove useful for different purposes. Quantitative methods facilitate measurement and
comparison of phenomena in terms of discreet units: Age in terms of years; height in terms
of meters; economic inputs and outputs in terms of monetary units; education in terms of
years of schooling. As societies became increasingly complex and monetized, gathering
quantitative statistics served both to plan and administer resource use and to measure
progress in achieving stated targets.

Social scientists also use quantitative techniques to learn about people’s ideas or opinions.
The people questioned, however, contribute only those small bits about their behaviors
about which the researcher asks – not necessarily the facts that the informants consider
important.
QUANTITATIVE DATA
THE USES OF QUANTITATIVE EVIDENCE TO JUSTIFY A BILL
The case of an (hypothetical) proposed Land Reform Bill
To help assess whether to vote for a proposed land reform bill, you should ask for detailed
quantitative evidence to answer two kinds of questions:
(1) Do the existing land-holding patterns block the poor majority of farmers from
increasing their productivity and improving their quality of life?
Quantitative data might include facts as to:

• how many farmers comprise ‘the poor majority’;
• the average size of their land holding and per capita incomes compared to the
large farmers;
• the existence of unused land on the larger farmers’ holdings;
• the limits imposed by the majority’s low incomes on the domestic market.
(2) Will the new bill’s provisions likely increase socio-economic benefits that outweigh
the probable economic costs?
Quantitative data might also include fact-based estimates of:

• the expected increased agricultural productivity per farmer;
• the resulting rise of poor farmers’ per capita incomes;

but what does
• increased domestic sales of foodstuffs and agricultural
this mean to my
exports (increasing foreign exchange reserves);
life?
• increased domestic manufacture sales resulting from a
more equitable distribution of rising incomes.
To warrent hypotheses concerning behaviors, surveys of large
numbers of cases encounter obstacles. First, problematic
behaviors reflect not one cause, but many interrelated causes. That
makes it difficult to isolate one causal factor and gather data about

it. Second, even if available techniques permitted gathering data about many causes,
gathering the data often requires more resources than available. For those reasons, law-
makers often rely primarily on research findings provided by qualitative methods.
"If you can't count it, it

does not count". . . . you
hear this often, but it
often proves wrong.
The hard-nosed quantitative researchers’ maxim, ‘if you can’t count it, it doesn’t count,’
limits the choice of research questions to those for which quantitative answers will suffice:
so many tons of output, so many dollars (rands, yen) of goods sold, so many individuals
trained. Only sometimes, and with great difficulty, can a researcher get guantitative answers,
for instance about the quality of goods produced or sold, or the kinds and effects of ‘training’
on the individuals’ behaviors.
To assess a bill, you need all the facts relevant to describing and explaining problematic
behaviors, and to devising socially-desirable programs to change them. You must often
ask questions about social actors’ behaviors that researchers can only answer in terms of
unmeasurable qualities.
THE USES OF QUALITATIVE DATA

DATA
QUALITATIVE
Qualitative techniques focus on interconnectedness, requiring researchers to view
people as subjects, with all the individualized complexities of whole human beings. Open-
ended, rather than structured interviews; stories, rather than snippets of information;
observations made by participants in group activities; focus groups: these kinds of qualitative
methods tend to provide insights, not merely into narrow slices of reality predetermined by
the researchers’ questions, but into all the interrelated circumstances of the subjects’
lives. Using problem-solving’s four steps to structure their analyses, a group enquiry or
participant- observers may generate deeper insights into causes of relevant actors’
dysfunctional behaviors. These may lay a basis in facts for more effective legislative
measures.
2. The kinds of facts you need to assess a bill A MANUAL FOR LEGISLATORS • 133
To describe a social problem, qualitative evidence often seems sufficient. Whether the
murder rate in a particular country totals 14 or 100 per 100,000 population per year, you
would undoubtedly vote for a statute prohibiting murder. A surprising number of bills originate
in a single anecdote: a person on parole for a sex crime conviction, by committing another
sex crime, sparks new and repressive sex offender registration laws. A single coal mine
collapse spurs enactment of new safety measures.
If a bill’s sponsors provided more detailed information, however, you could more easily
decide whether the relevant facts and logic demonstrate that the bill’s social benefits
exceed its social costs. For that, you need as much quantitative evidence as possible:
the number and composition of the people the problem affects; their percentage of the total
population; and the problem’s present and probable future impact on their lives’ quality.
You need facts to assess a bill’s drafters’ (often implicit) hypotheses as to whose and what
behaviors constitute the social problem. Qualitative evidence may prove sufficient. That
some industrial managers countenance the disposal of chemical wastes that pollute the
underground water system focuses attention on their behaviors’ causes and the likelihood
that the proposed legislative solutions would change them. A survey showing the numbers
of industries that discharge chemicals into the water, and the percentage of the water
supply affected (i.e. quantitative evidence), however, might more effectively persuade you
and your colleagues to vote for a proposed anti-pollution bill.
For generating information concerning the causes of problematic behaviors, ‘focus groups'
– small groups of stakeholders conversing together – quickly arranged and relatively
inexpensive, may provide useful insights backed by anecdotal evidence. For example, a
farmers’ group may point out that many farmers cannot increase their crops’ low yields
because they do not have sufficient inputs to grow high-yielding varieties. Even without
data on the precise number of farmers whose low productivity results from that cause, you
might justifiably vote for a bill to help farmers obtain the essential inputs. To demand
quantitative evidence to prove that hypothesis at a higher level of probability might
unnecessarily delay legislative action.
Sometimes, you just have to ask.

FOCUS GROUPS TO GATHER DATA
USING A FOCUS GROUP TO GET FACTS ABOUT POLLUTING BEHAVIORS
Consider a focus group in your constituency of representatives of the community, plant

workers, company managers and relevant implementing agency personnel. They could
provide facts from their own experience as to the causes of industrial polluting behaviors.
They might have useful insights on a proposed law’s likely social costs and benefits.
The group’s conclusions’ validity, of course, would remain restricted to their own experience.
Their analysis might however reveal that some plants lack the technology to dispose of
particular toxic wastes in less polluting ways. That might suggest that, in addition to prohibiting
the dumping of wastes into the underground water, the bill’s provisions should assign a
government agency to assist plant managers to acquire available non-polluting disposal
technologies. Alternatively, the group might provide information about the possibility of
prohibiting the manufacture of products using the toxic components, and requiring
substitution of another, already-available non-toxic component. If these legislative provisions
seemed likely to have no more than affordable costs, you might reasonably adopt them,
even without further research.
On the other hand, if the participants provided facts to show that prohibiting the use of the
toxic chemicals threatens large social or out-of-pocket costs (like lost jobs, lost essential
products, or high enforcement costs), you might consider a law to commission an agency
or research institute to explore the possibility of using alternative manufacturing techniques.
To obtain evidence as to the generalizability of the focus group’s analysis, the agency
might undertake a quantitative survey of industries using the toxic chemical. The group
might provide facts to help weigh the costs of making that survey — in terms of time,
human and financial resources – against the likelihood that the proposed measure would
reduce the pollution hazard. The group might suggest ways in which stakeholders might
help to monitor and evaluate the proposed law’s implementation and its social impact.
Quantifiable data proves valuable for weighing social and economic cost and benefits
(see Chapter 4). If half of all farmers, rather than only 3 per cent of them, reaped low crop
yields because of poor seed quality, you and your colleagues would more likely vote for a
law to require the agricultural extension agency to give them access to modern seed strains.
Still, many social factors which you must assess in making a cost-benefit analysis defy
quantitative measurement. Given time and resource constraints, you may have to rely on
qualitative information. Remember to reduce the dangers of bias by ensuring that
researchers who provide qualitative information use high level multi-disciplinary skills and
employ carefully designed procedures and criteria. If a proposed law appears likely to

prove expensive in terms of implementation costs or possible negative consequences, you
may wish to grant an agency power to undertake further necessary research, and, on that
basis, to promulgate new administrative regulations. (See intransitive law, Chapter 6; and
remember to limit agency rule-making power by specifying criteria and procedures.)
HOW GOOD IS
MY SAMPLE?
3. The importance of sampling techniques
No researcher can gather all the information that individual

stakeholders may have about the causes of problematic behaviors.
Researchers must choose samples that adequately represent
the larger population’s relevant stakeholders: for an agricultural
extension law, the farmers and the extension agents; for a workers’
compensation law, workers, factory managers and the existing
compensation system personnel; for a law directed at some kinds of
environmental pollution, members of the neighboring community.
The larger population of stakeholders almost never comprises an homogeneous group.

Age, gender, ethnic, religious and class differences may significantly impact the way the
causes suggested by the ROCCIPI agenda may influence the relevant actors’ behaviors.
Whether researchers select stakeholders to participate directly in designing and
implementing the research process, in focus groups, or as informants in a broader survey,
they should choose a sample that, as far as possible, represents all of the larger population’s
relevant segments.
Social scientists have designed techniques to minimize the danger of bias in selecting
samples. Researchers decide which technique to use by comparing costs in terms of
time, finances, and human effort. Always check: Did the researchers select a sample
that adequately represented the groups and strata in the relevant population?
4. Learning from foreign law and experience
Since social actors’ behaviors reflect unique country-specific realities, simply reading another
country’s legal text proves of little value. Factual studies about a foreign law’s social
impact (although not easy to find), on the other hand, may provide real insights into the
possibilities and difficulties of introducing similar legislative measures in your own country.
Keep a lookout for the four practices that might limit the usefulness of evidence about other
peoples’ experiences with laws that, on their face, seem similar to the bill at hand:

Actually, in my country we tried to
do exactly that. Of course I can tell
you what happened to us. It's a long
story and we learned a lot of things
along the way .... None of it was easy.
First, back in 1984 we tried to pass a law to
lessen the amount of corruption on welfare
grants, but the same officials continued to help
themselves,,,,
1. Different concepts. To make inter-country comparisons, researchers must
LIMIT S ON USING OTHER

PEOPL E'S EXPER IENCE S
use concepts with the same meanings. In particular, economic concepts used
for statistical purposes in different countries may have quite different meanings
— with significant social implications. For example: A government report that
defines as ‘employed’ only those who work in the so-called ‘modern’ sector
may lead to ignoring the way a new law, permitting imported goods to flood
domestic markets, has caused growing numbers of informal sector workers to
lose their jobs.
2. Different country circumstances may cause informants in different countries
to give misleadingly different answers to the same questions. Some may
untruthfully answer survey questions about their family incomes because they
fear increased taxes. To assess ability to handle tools, United States
researchers might ask the difference between a screwdriver and a wrench; in
developing countries, where many people have never used either, their
answers would indicate nothing about to their ability to use tools.
3. Interpretations of words. Differences in language translations — ranging
from different meanings for the same words to different culturally-determined
answers to the same questions — may lead to misinterpretation of cross-
cultural research findings. Ask, in different countries: Did the questionnaire’s
words mean the same things to those who answered them?
4. Sampling techniques used in different countries may produce non-
comparable conclusions. Try to discover the extent to which, in each country,
the researchers used comparable population samples.
You may learn a great deal by examining studies of specific laws’ social
impact in other countries. But to do so, you not only need an adequate
legislative theory, but also sufficient knowledge about social science
research methods to determine whether other countries’ researchers’
evidence really proves comparable to facts about your own country’s
realities. Only if it does can you justifiably rely on their findings to
assess a similar law’s likely impact in your own country.

SUMMARY
That transformatory legislation aims to facilitate important social change holds significant
implications not only for the kinds of facts you need to assess proposed bills, but also for the
process used to obtain those facts.
First, did the drafting process follow criteria and procedures that facilitated inputs and feedback
from the relevant stakeholders, especially those usually excluded from the halls of power: women,
old folk, the poor, disabled, and ethnic minorities?
Second, participatory research may produce enough qualitative information about problematic
behaviors’ causes to contribute to the design of effectively implementable bills. To weigh alternative
possible legislative measures’ socio-economic costs and benefits, however, may require more
quantitative evidence.
As legislators, you need to know enough about both qualitative and quantitative techniques to
assess the implications of the facts – however gathered – which the bill’s drafters claim as
justifying their bills’ details. Ask: Did the researchers use sufficiently representative samples to
avoid one-sided conclusions? Did they avoid culturally biased responses? How did they define
the particular indicators they used? Did language differences affect the answers’ implications?
To assess the implications of another country’s experience, ask all these questions and more.
In short, you need to understand enough about research techniques to assess the available
evidence. Sound legislation must rest on sound facts. To assess what someone reports about
the facts, assess the methodology used to capture those facts
EXERCISES:
1. Why should you ask questions designed to discover the quality of the facts (that is, the
evidence) on which a bill’s sponsors relied in justifying the bill’s detailed provisions? By
what criteria should you assess that evidence?
3. Why should you enquire about the extent to which the bill’s sponsors and drafters have
engaged the stakeholders – those affected by the bill, especially the poor and the
vulnerable – in providing evidence: about the nature of the social problem and whose and
what behaviors it involved? the explanations for those behaviors? the range of possible
solutions? and the socio-economic costs and benefits of the bill’s solution (including its
possible adverse consequences) compared with the leading alternative solution?
3. What do you understand as the differences between quantitative as compared to
qualitative evidence? For purposes of a research report justifying a bill, what constitute
the advantages and disadvantages of each?

Keep in mind: A bill's
form affects its
CHAPTER 8: substance, just as its
substance affects its
ASSESSING form.
A BILL’S FORM
Chapter 4 pointed out that, when you vote for a bill, you vote only for the words that, as
lawyers put it, appear within the bill’s ‘four corners.’ This chapter emphasizes that, once
you understand a bill’s substantive design, you can assess whether its form seems likely
to ensure effective implementation. Conversely, content and form make up two sides of
the same coin: fully to assess a bill’s substance, you must also assess its form.
This chapter will examine –
A. The three criteria legislative theory suggests for assessing a bill’s form: its
completeness, accessibility, and usability;
B. A bill’s structure (its outline);
C. The way the bill chains words together; and
D. A bill as an amendment to existing law
A. CRITERIA FOR ASSESSING A BILL’S FORM

As legislator, you must determine whether a bill's form will contribute to changing the
institutions – the problematic behaviors – that block transition and development in the
public interest. Three criteria – completeness, accessibility, and usability – suggest detailed
questions as to whether a bill’s form will likely lead to effective implementation.
Completeness asks, does the bill and associated laws include all the prescriptions
necessary to accomplish the desired institutional transformation? Accessibility asks, can
a reader readily understand how the law requires primary role occupants and implementing
agency officials to behave? Usability asks, can a reader easily use the law’s text? The
next sections help to test the bill’s form against these three criteria. We begin with a bill’s
structure, its outline.

B. ASSESSING A BILL’S STRUCTURE (OUTLINE)
Just as assessing a bill’s substance requires wrestling with issues of form, so assessing a
bill’s form, especially its structure, requires wrestling with issues of substance. This section
discusses:
• how a transformatory bill’s outline — its structure — should help readers to

understand the bill’s function in overcoming obstacles to good governance,
transition and development;
• how a bill’s outline should help to assess the bill’s substantive accessibility and
utility, as well as its formal and therefore its substantive completeness;
• how a default system for grouping and ordering the bill’s provisions may
serve as a first step in understanding the bill’s outline.
There must be a logic

in this structure...
someplace.
1. Structuring a bill
To ensure effective implementation, a transformatory bill’s outline should clarify the logic
that underpins its prescriptions. A badly structured bill may hinder effective implementation
in three ways. First, it may prevent readers from understanding how the bill’s substantive
provisions relate to each other, violating the criterion of accessibility. A bill’s outline should
communicate its underlying logic so that its users will likely behave and, as necessary,
interact with eachother as the bill prescribes.
To engage creatively in implementing a new law’s detailed provisions, both the primary role
occupants and the implementing agency officials need a deep understanding of how, by
behaving as the new law stipulates, they can help to overcome the social problem, and
improve citizens’ lives. Only then will they likely play their prescribed new roles creatively,
with ingenuity, with entrepreneurship, and with spirit.
Second, a bill’s structure should ensure its usability by positioning the prescriptions as to
the users' behaviors so they can find them with as little page-turning as possible. It should
not contain cross-references.

REFERENCES
CROSS-
AVOID CROSS REFERENCES
To avoid repeating a definition of a word already defined in another law, a drafter might
write, “In this statute, a ‘steam engine’ has the meaning it has in Statutes 1998, Chapter 17,
section 3(1).” To understand the new law, a reader must scramble to find the old one.
Instead, to make the new law more usable, you should make sure that, instead, the drafter
copies the old definition in the new text.
Finally, an appropriately-
structured bill should
prove substantively
complete.
2. Examining structure to assess completeness.
You can determine whether a bill seems complete by examining its outline.
Recall that legislative theory emphasizes that a bill’s provisions, together with the existing
legal order, comprises a legislative system comprised of eight subsystems (see Chapter 4,
pp. 58): The primary system composed of prescriptions directed to changing the
primary role occupants’ behaviors, plus seven other subsystems to ensure the
primary role occupants behave as prescribed.
That implies that either the bill itself or existing laws, decrees, and regulations prescribe the
essential behaviors of the eight sets of actors.
Seldom do all the relevant prescriptions appear in a single bill. Usually several, sometimes
most of the essential rules appear elsewhere in the country’s body of existing law. Since
a bill’s outline often lists only some of the prescribed subsystems, be sure to ask the bill’s
sponsors where the existing body of law provides for the other necessary subsystems.
Ask them, too, to provide the facts and logic necessary to demonstrate that, as established
by existing laws, those subsystems will ensure this particular bill’s effective
implementation.
If you require an important bill’s

sponsors to accompany the draft
with a research report, be sure to
insist that the solutions part briefly
provides this information.

EXAMPLE
For example: If a primary role occupant disobeys the law, will an injured person have a
cause of action – the right to sue in court – for damages (a question of sanctions)? Who
will determine disputes under the new law? By what procedures and criteria? Who will
monitor and evaluate the implementation of the law’s provisions, and their social impact?
Unless the bill’s proponents can satisfactorily explain where to find the missing subsystems,
either in the bill or other existing law, insist that they redraft the law to complete the entire
legislative scheme.
3. Assessing a bill’s structure for accessibility and usability
The grouping and ordering of a bill’s provisions help determine its accessibility and
usability. Grouping reflects the drafters’ decisions as to what prescriptions belong
together in each section, Chapter, or Part. Ordering comprises the order of prescriptions
within each group. The principles used for grouping and ordering determine the bill’s outline.
Think about the principles according to which different people might sort out piles of used
clothing. A used-clothes salesman might sort them for the different markets in which he
hopes to sell them (warm clothes to markets in cold climates, for example); the director of
a home for the homeless, according the sizes of the garments and whether for men, women,
or children; a paper manufacturer, according to the clothing’s utility for grinding into pulp to
make rag-type papers; a laundry operator, according to their colors and the likelihood of
their discoloring other clothing in the washing machine load. In the same way, drafters
should group and order their bills’ provisions to facilitate their users’ convenience.
To assess an outline’s accessibility and usability, see if you can discover by what principle
the drafter grouped and ordered the bill’s provisions. If you cannot, ask the bill’s supporters.
If they cannot articulate a meaningful principle, return the bill for redrafting.
Be sure the bill’s outline makes it easy for

you and other readers to find and
understand what the bill expects the role
occupants and implementing agency
officials to do.

PRESCRIPTIONS
THREE WAYS TO STRUCTURE
THREE DIFFERENT WAYS OF STRUCTURING A BILL’S PRESCRIPTIONS
Drafters usually group and order a bill’s Sections, Chapters and Parts in one of the three
ways. Which seems most likely ensure the bill’s effective implementation?
(a) A ‘golden thread.’ Some drafters look for a ‘golden thread’ that runs through a bill’s
various sections. For example, in hospitals, many people have contact with patients
— not only doctors and nurses, but secretaries, telephone operators, emergency
room orderlies, clerks, bill collectors, pharmacists, cleaning staff. As the ‘golden
thread’ that ties them together, one drafter might group the bill’s provisions around
‘contact with patients.’ Another might group provisions concerning the duties of
various hospital personnel working on the same hospital floor: Sections concerning
people working on the first floor would appear in Chapter I, on the second floor, in
Chapter 2, and so forth. Why one ‘golden thread’ rather than another? In reality, the
drafters’ unexplicated biases seem to shape their particular ‘golden thread’ — hardly
a decision-making process grounded on reason informed by experience.
(b) Abstract ‘logic.’ Other drafters group and order a bill’s provisions in terms of a
preconceived principle or abstract logic. In one country where we worked, a bill
empowering an Arts and Culture Council to grant funds to support the arts ‘logically’
included the definitional sections first, then the provisions for appointing people to
the Council, then provisions for the duties of persons on the Council, then provisions
for removing persons from the board, then provisions for the Council’s procedures.
Only after all that did the reader discover that the bill really concerned the Council’s
powers and duties in making grants to artists. No more than the ‘golden thread’`
does abstract logic seem likely to serve readers who must use a bill.
(c) Accessability and usability to the bill’s prospective users. Finally, this Manual
recommends that drafters consciously classify a bill’s prescriptions in a way likely to
ensure that the bill’s structure contributes to the bill’s accessability and usability.
To understand a bill’s logic, try to outline the grouping and ordering of its main elements.
The ‘usability’ criterion implies that bill should prove useful to all the relevant stakeholders.
A bill to provide loans to small producers may contain one set of provisions directed to
informal-sector urban borrowers; one to small farmers; and one to the banks which make
the loans. The usability criterion suggests grouping in separate chapters the prescriptions
for each of these three sets of role occupants.
Frequently, in grouping and ordering a bill’s provisions, you must make a judgment call.
Consider the grouping of the bill establishing an Arts and Culture Council ((see [b] Abstract
logic, above). To help the Council’s administrators understand their responsibilities for
selecting grant recipients, the bill might include a single chapter devoted exclusively to
their tasks. The artist’s responsibilities for preparing grant applications, and their duties

once they have received a grant, could appear in another chapter. That grouping and
ordering may serve the administrators’ interests. The artists, however, might find it more
convenient if the bill grouped and ordered the various steps in obtaining a grant
chronologically, mixing in one chapter both the procedures applicants should follow and the
administrators’ responsibilities in making and monitoring grants. You must judge which
grouping and ordering system seems more likely to prove useful to the bill's primary users.
In general, ‘accessibility’ and’‘usability’ criteria focus attention on the ease with which a
user can find a relevant section, and understand the relationship between the behaviors
that that section commands, prohibits or permits, and other prescribed behaviors.
The less time readers must spend

puzzling over why a section appears at a
particular point, the less time they waste
in page turning to understand the bill’s
prescriptions, the better.
C. CHAINING WORDS TOGETHER TO ENSURE A

LEGISLATIVE SENTENCE’S ACCESSIBILITY
AND USABILITY
Each legislative sentence should help to ensure the bill’s accessibility and usability. If you
cannot easily understand a bill’s legislative sentences, neither will other non-lawyers. If
drafters must use words that have technical meanings (see Chapter 4, p.50), they should
explain those words’ meanings in the bill’s definition section.

1. Always write in
plain language.
Four rules help to ensure that legislative sentences

increase a bill's accessibility:
1. Insist that drafters write bills in plain language.
Over the years, in most countries, professional drafters have developed extensive detailed
rules for writing legislative sentences. Unfortunately, some employ a strange language
(see Chapter 4). If you receive a bill masked by sentences in a form that you cannot
understand, insist that the drafter rewrite them in language that you can understand. If
you do not understand a bill’s sentences, you should vote against the bill.
A bill should use a vocabulary easily accessible to its readers. A bill to strengthen peasant
cooperatives should use words easily understood by those likely to use the bill daily:
Department of Cooperatives officials, and cooperative officers and members who do not
have lawyers at beck and call. A bill about banks, in contrast, may primarily aim to help
judges and lawyers resolve disputes about and among banks (who usually have legal
advisors).
A bill’s subject matter may touch on that of an older law which used archaic or complex
language. Rather than rewrite the old existing law to ensure consistency, the drafter may
use the old law’s language in the new bill. You must decide whether that new bill seems
sufficiently accessible and usable, or whether the drafter should rewrite both the old law
and the new bill in plain language. Remember, however: officials and others using the old
bill probably have become used to its language, however archaic it may appear to you.
Unless good reasons persuade you otherwise, adhere to the legislative vocabulary of related,
existing laws.
2. Say clearly
WHO DOES
2. Specify who does the action. WHAT.
Almost every section of a bill commands, prohibits, or

permits (see Chapter 4). As commands, prohibitions, and
permissions, almost all legislative sentences should explicitly
state Who does What. Ask, Who does the section
command, prohibit or permit to act? (To answer that, you
must discover What the section commands, prohibits or
permits the actor to do.)

THREE SUBORDINATE RULES HELP YOU TO ANSWER THE QUESTION, WHO?
SAY WHO
i. A bill should specify the person who must behave as it prescribes. A corollary:
A bill should never – repeat, never – use the passive voice; for example, do not
use “The application shall be filed with the Registrar.” Instead, use the active voice:
“The mining company shall file the application with the Registrar.”
NOTE: A bill should never contain statements of 'rights' and 'duties'. A bill’s
statement that a person has a ‘right’ leaves vague who does what to implement the
detailed measures required to realize the right. As a form of disguised passive (see
ii, below), it grants a judge discretion to decide what agency – if any – should
assume responsibility for acting – if at all – to protect or advance the stated right.
NEVER USE A
PASSIVE
ii. A bill’s sentence should never – repeat NEVER - use a passive voice.
Most languages have two ‘voices’: The active and the passive.
In the’passive voice, the sentence’s subject appears as its object: ‘A farm in an agent’s
district shall be visited not less than twice in one year.’ The passive voice (much
beloved by bureaucrats) too easily omits the actor. Even if, writing in the passive voice,
a drafter indicates the actor:(‘A farm in an agent’s district shall be visited by the agent
not less than twice in one year’), the sentence leaves unclear whom it commands to
act. ( The complex verb ‘shall be visited’ apparently aims its command at ‘the farm.’)
Much better to use the active voice in which the sentence’s

subject consists of the actor who does something: ‘An When you find a
agricultural extension agent shall visit a farm in the agent’s passive voice in a
district not less than twice in one year.’ Here, clearly,’‘An bill, tell the
agricultural agent’ constitutes the subject; ‘a farm in the
agent’s district,’ the object. The reader has no doubt about drafter to try
who’does the action. again!
iii. A legislative sentence must give a command, prohibition

or permission only to a person or body capable of acting
as prescribed. An inanimate object, an animal, or an infant
does not have the capacity to act in response to a prescription
directed to them.

DIRECT PRESCRIPTIONS
ONLY TO A PERSON OR
BODY WITH THE CAPACITY
TO ACT
1. Suppose a bill’s sentence reads: “An automobile driver’s license shall

contain the licensee’s name, address, gender, age, height, color of eyes and
color of hair.” It gives the command, (“shall”) to an automobile driver’s
license – an inanimate object, a piece of paper without the capacity to
respond to the command. Instead, the sentence should direct its command
to the person who issues the license – presumably, the Commissioner of
Motor Vehicles: the Commissioner of Motor Vehicles shall include in an
automobile driver’s license the following:....
2. Consider further a proposed municipal by-law to keep dogs out of the park.
The first draft read: "No dog may wander in a city park without a leash,
subject to a fine of $10." On consideration, the municipal councillors
realised that a dog would not have the capacity to observe the prohibition.
?
Instead, the sentence should direct the command to the person in charge of
the dog at the time..
3. How would you assess a bill’s sentence that reads: “While in an automobile
in motion, a baby shall remain seated and strapped into a car seat”? The
baby has no capacity to obey. The bill should address the command to the
person responsible for strapping the baby into the car seat (presumably, the
driver).
EXERCISE: WHO DOES

THE ACTION?
(For answers and better formulations, see the end of
this chapter, p. 154)
How would you assess the form of the following four sentences:
1. “A person more than sixty-five years of age shall receive a pension.”
2. “The subordinate legislation shall include rules regulating meetings of the

Commission.”
3. “A director shall be liable for mismanagement of corporate affairs to a person injured

by the mismanagement.”
4. “A woman has a right to equal treatment by an employer.”

3. EXACTLY
WHAT SHOULD
I DO?
3. Limiting the what?
To assess a bill’s form’s adequacy, you should ask, does the bill clearly state
what the law requires the specified actor to do? (See p. 54) That raises two
subordinate questions:
a. Does each section of the bill adequately specify its command,

prohibition or permission? Do the bill’s instructions seem detailed
enough so that not only the primary role occupants, but especially the
implementing agency officials, can understand how to behave?
b. Does the bill sufficiently limit what the relevant actors do?
Especially for purposes of transition and development, a bill must introduce carefully defined
criteria and procedures to limit the the officials’ discretion as to what to do (or not to do).
Otherwise, officials too easily use their discretion to behave in corrupt and oppressive
ways (see Chapter 6). If a bill fails to provide carefully-designed criteria and process to
curb officials’ discretion, insist that the drafters redraft it to provide them.
Sometimes, in conditions of rapid change or circumstances that vary widely from place to
place, the bill cannot include detailed instructions to all the relevant actors. Instead, an
intransitive bill may grant an agency power to supply the missing details by promulgating
subordinate legislation, an Implementing Decree or regulations (see Chapter 6,9). In that
case, ask: does the bill provide detailed criteria and procedures for both formulating
and implementing those rules? Will these ensure that the agency acts in transparent,
accountable, and participatory ways consistent with good governance?
The detailed commands, prohibitions and permissions of your bill and its associated
regulations and implementing decrees define the the bill’s policy. So far as possible, in the
exercise of the legislative power, you and your colleagues should ensure the drafters specify
those details in the bill. Only delegate rule-making power to a minister for sound reasons,
andand stipulate criteria and procedures that limit the minister’s exercise of those powers
(see Chapter 6).
4. Ensuring clarity and avoiding ambiguity.
4. Ask more questions to

determine whether a bill’s
legislative sentences contribute
to its accessibility and usability.

ENSURING CLARITY, AVOIDING AMBIGUITY
Does the bill use:
a. Long sentences? Long sentences make any writing difficult to understand. Only
occasionally must a bill express a complicated idea that requires a long sentence. To
achieve clarity in those cases, drafters should use tabulations (like the numbered
questions about bill’s sentences that we use here) or lists (like the lettered list of
possible definitions for “a United States vessel” in the next section, b).
b. Ambiguous words? An ambiguous word has a several possible different meanings.

Suppose a statute states that only “a United States vessel” may carry trade between
ports in the United States. A ‘United States vessel’ might mean (a) a vessel registered
in the United States; (b) a vessel built in the United States; (c) a vessel owned by a
citizen of the United States, (d) a vessel owned by a corporation created under laws of
the United States; (e) a vessel owned by a corporation created under a law of one of
the states of the United States; or (f) a vessel owned by a corporation a majority of
whose shareholders are citizens of the United States – and you might think of other
alternatives. Although a word may have only a limited number of alternative
meanings, its use in a sentence, unless clarified, leaves the sentence ambiguous.
Never approve a statute that contains a word that in context seems ambiguous.
Insist that the drafter clarify the word (probably by specifying a definition).
c. Vague words? A vague word, like ‘reasonable,‘appropriate',‘properly', has nearly

unlimited possible meanings. To grant an official the power to decide the meaning of a
vague word gives the official equally undefined power. Suppose a statute states, “A
person may not operate a motor vehicle on a highway at an unreasonable rate of
speed.” That empowers a police officer to arrest a person who in the officer’s opinion
operates a vehicle at a speed that seems unreasonable. Nevertheless, when a drafter
cannot stipulate more detailed criteria, a word like’reasonable’ at least means that, if
called to account, an official must explain on what grounds he considered a behavior
‘reasonable’. A bill for example, may state: "The Commissioner of Labor Safety shall
issue regulations setting reasonable standards for labor safety in the workplace.” The
use of ‘reasonable’ here makes it possible for a court or other review body to require
the Commissioner to explain the basis for a regulation. In contrast, a rule which states
in effect that the official may set whatever standard the official ‘believes’ appropriate
remains so vague that a court would have difficulty in overturning it.
d. Redundant words? In the British tradition (see p. 51), drafters sometimes use
redundant words like ‘null and void,’ or ‘building or structure.’ Whenever you discover
that you may strike out a word without changing a sentence’s meaning, ask the drafter
to justify using that word, or leave it out.
e. Same word for the same concept, different words for different concepts? In
drafting, an absolute rule holds: Same word, same meaning; different words, different
meanings. If a bill uses different words to mean the same thing, make sure the drafter
changes it.

SUMMARY
SUMMARY
Four rules and their corollaries help to ensure that a bill’s language tends towards
easy accessibility by its readers.
Ask:
(1) Does the bill come before you and your colleagues drafted in plain language?
2) Do the bill’s prescriptions clearly specify whom it commands, forbids or permits to do

what specified act?
(3) Does each of the bill’s sections (with a very few exceptions) adequately state a
command, prohibition, or permission?
(4) Does the bill place sufficiently precise limits on its commands, prohibitions and
permissions?
(5) Does the bill include any the following five ‘no-noes’ ?
(a) long sentences?

(b) ambiguous words?
(c) vague words?
(d) redundant words?
(e) different words for the same concept?
... we also need to

D. A BILL AS AN AMENDMENT TO amend exising laws.
EXISTING LAW
A bill that amends (changes the text of) an existing law introduces two
new issues: the use of ‘tops’ and the appropriate form of an amendment.
1. ’‘Tops.’ A bill that amends an existing law usually begins with a

sentence (called a ‘top’) like this: “Section so-and-so of the

This- and That Law, 1993, is hereby amended by....” A ‘top’ prescribes how
responsible officials should keep the law’s corpus in order. It instructs them
that, as from the date that the amendment comes into force, they, they should
consider the corpus of the law changed as the amendment prescribes.
2. A bill embodying an amendment may come in a variety of forms, some less
accessible or usable than others. The amending bill’s text must tell the reader
clearly how the old law read, and how that law as amended will read. The
following box details some horror stories about how not to make an amendment,
and suggests ways to meet the criteria of usability and accessibility.
FORMS OF AMENDMENTS BAD AMENDMENTS

THE FORM OF AMENDMENTS
Suppose the Central Bank Act, 1999, section 77, reads as follows:
“In determining whether to increase or to decrease the money supply, the Board
of Directors shall take into account the effect of the proposed change for the
money supply for consumers, the availability of capital for investment purposes,
and the stability of the banking system.”
Government proposes a bill to amend section 77 by adding a new consideration that when
determining whether to increase or decrease the money supply the Board of Directors
should take into account: ‘the demands of development.’ How as a matter of form might a
bill state that amendment?
Many of these forms should have the same ‘top’, something like this:’“This Act amends the
Central Bank Act, 1999, section 77, as follows:....” What form ought the substance of the
amendment take?
The amendment should NOT take the form of any of the following:
1. A Blind amendment: This specifies the words to be changed without including the
present wording of the section at issue. Example:
“1. Delete after the word ‘purposes,’ the word ‘and’.

“2. Add after the word ‘system’ the words, ‘the demands of development.’”
2. An Indirect amendment: This states in general terms the effect of the amendment.
Example:
“Amend the Central Bank Act, 1999, section 77, so that in determining money
supply, the Board of Directors consider also the demands of development.”

The amendment:could take one of the following forms:
PERMISSABLE AMENDMENTS
1. Repeal and re-enactment as amended: Repeal the old section and re-enact the
new section as amended. Example:
“This Act repeals the Central Bank Act, section 77, and in its place enacts the
following:
of Directors shall take into account the effect of the proposed change in the
money supply for consumers, for the availability of capital for investment
purposes, the stability of the banking system, and the demands of development.”
Disadvantages: Repeal and re-enactment as amended has two weaknesses:
a. It does not on the face of the bill reveal the old wording of the Act amended.
b. In some legislatures, as a matter of procedure, an amendment opens up for
debate everything mentioned in the bill. This form of amendment opens for
debate the entire section, not merely the issues raised by the amendment itself.
2. Strikeouts and additions: (Probably the best method.) Print in the bill the entire
section as existing, and with the amendments appearing as strikeouts and additions.
Example:
of Directors shall take into account the effect of the proposed change for the
money supply for consumers, the availability of capital for investment purposes,
the stability of the banking system, AND THE DEMANDS OF DEVELOPMENT.”
SUMMARY
When you vote for a bill, you vote approval of its inextricably linked substantive content
and its form. The bill’s substantive clauses must effectively alter or eliminate the causes
of the problematic behaviors that comprise a social problem; otherwise, it will only by chance
induce the new required new behaviors. The bill's form must ensure its users understand
its content; otherwise, they likely will not behave as the new law prescribes.

A bill’s form must conform with the criteria of completeness, accessibility and usability.
To assess a bill’s form, first examine its structure (or outline). Second, ensure the bill
articulates Who does What, and the nature and extent of the limits it imposes on what
those actors do. Third, check on each sentence’s clarity. If relevant, make sure that an
amendment’s form proves accessible and useable.
To effectively exercise your legislative power, you must do more than assess a bill’s
substantive content; you must ensure that its form facilitates users’ efforts to behave in
ways likely to contribute to good governance, transition and development.
EXERCISES
1. This Manual asserts that just as substance determines form, so form determines
substance; the two have inextricable linkages. Do you agree? Why or why not?
2. The Manual further asserts that the unity of form and substance implies that you
should assess a bill’s form, not only in terms of the rules relating to the use of
language, but with sensitivity to the implications of the use of language for the bill’s
substance. Again: do you agree? Why or why not?
3. In the developed world, where the law has as its principal purpose to guide a judge
in deciding lawsuits, most persons who have considered the matter use a bill’s
clarity as the principal for assessing its form. In contrast, expressly focusing
attention on the use of law as an instrument of social change, this Manual asserts
that, in assessing a bill’s form, a legislator should use the criteria of completeness,
accessability and usability. Does the difference between using the law as a
guide to deciding lawsuits, rather than using it as an instrument of social change,
justify these different criteria?
4. Why, to assess a bill’s form, should you:
a. Examine its outline (‘structure’ or ‘architecture’)?

b. Ensure that its detailed provisions specify who does what, and when and where
they should do it?
c. Check on each sentence’s clarity?
d. Ensure that an amendment proves accessible and useable?
SOME ANSWERS: BETTER FORMULATION OF

SENTENCES (exercise on page 146)
1. The bill commands the subject — 'a person more than sixty-five years of age' – to –
'receive”'a pension. To receive something does not constitute action. The action
here consists of giving of the pension. The sentence should state, for example, “The
Commissioner of the Pension Fund shall pay a pension to a person more than sixty-
five years of age.”
2. This sentence directs a command to an inanimate object – the –'regulations.’ You

should propose an amendment that directs the command to whomever the bill
grants the power to make and promulgate the regulations.
3. The sentence does not state who does the action. Presumably, the bill’s drafter
assumed that, in a properly brought lawsuit, a court would order the director to pay
damages to a person injured by the director’s mismanagement. The bill should say
so.
4. The sentence does not command, prohibit or permit. Instead, it declares that a
woman has a ‘right.’ Elementary jurisprudence teaches that a ‘right’ always has a
correlative ‘duty’. Here, the employer apparently lies under a duty to accord a
woman ’equal treatment’ – but that duty seems stated indirectly, and very vaguely.
To improve the bill, the drafter could write the sentence as a direct command to the
employer to act as necessary to accord women equal treatment with men in the
employment relationship – for example, commanding the employer to pay equal
wages for work of equal worth, to promote women by the same criteria as the
employer promotes men, etc. .

Will a bill’s details defend against
corruption? Will these details make
corrupt behaviors more difficult?)
CHAPTER NINE:
ENACTING LEGISLATION TO
FOSTER GOOD GOVERNANCE
In some countries, people complain that a veritable culture of official corruption undermines
development efforts. That poses a major challenge to legislators: How to ensure that a
bill’s provisions reduce the ever-present danger of officials’ arbitrary decision-making and
corrupt behaviors? No law can entirely eliminate corruption. The laws you enact, however,
can make it more difficult for officials to behave corruptly. This chapter gives you the tools
to assess whether a bill’s detailed provisions will likely reduce corrupt behaviors.
Merely by examining a decision – of a court, a minister, an agency official – no one can

determine whether it accords with the Rule of Law. To reduce the probability that a bill will
permit arbitrary, corrupt decision-making, it must prescribe decision-making structures in
which the decision-makers:
(a) receive the relevant inputs and feedbacks from the entire population of
stakeholders (and exclude irrelevant or prejudicial matter);
(b) take into account specific criteria that they must consider;
(c) employ a methodology that ensures they ground their decisions on facts and
logic; and
(d) reach their decisions using transparent, accountable procedures.
Following problem-solving’s four steps, this chapter examines:
A. The most common and serious sorts of corrupt officials’ behaviors;

B. Some explanations and possible legislative remedies for those corrupt behaviors,
emphasizing that their roots lie, not merely in weak individuals, but also in weak
institutions;
C. Legislative devices to structure official discretion;
D. Mechanisms to enhance transparency and accountability;
E. A general strategy and specific laws to combat a ‘culture of corruption’ by
controlling government procurement, reducing officials’ conflicts of interest, and
implementing codes of conduct for officials.

A. CORRUPT PRACTICES UNDERMINE GOOD
GOVERNANCE
CORRUPT PRACTICES
Corrupt practices always involve officials’ exercise of public power for their private
purposes. Five types of corrupt behavior seem most common:
(1) Bribery: An official receives value for exercising discretion in the payer’s favor.
(2) Embezzlement: An official takes money from entrusted funds for personal use.
(3) Speculation: An official uses knowledge from his or her work to make an unfair
profit.
(4) Patronage and nepotism: An official uses official power to provide jobs to family
members and friends, regardless of merit.
(5) Conflict of interest: Consciously or unconsciously, an official makes an official

decision motivated, not by public good, but by personal or material interests.
All constitute examples of arbitrary decision-making; they all undermine good governance.
EXERCISE:
CORRUPT PRACTICES
Have you seen any evidence of these kinds of corrupt practices in your country?
Into which category of those listed above do you think it fits?
B. EXPLANATIONS FOR CORRUPTION
This section explores

(1) the many different causes of corruption;
(2) the inadequacy of remedies directed solely to ‘subjective’ causes; and
(3) the necessity of reducing ‘objective’ causes by ensuring transparent, accountable
and participatory decision-making.

1. No one-size-fits-all explanation, no one-size-fits-all remedy.
In different times and places, different factors cause different kinds of corruption. Not only
does bribery differ from embezzlement or nepotism; the nature and causes of bribery differ
in different times and places. A number of distinct and separate role-occupants, behaviors,
and explanations lie behind different incidents of corruption that may appear similar.
Consider, for example, these different kinds of bribe-taking: by education ministry officials
to favor particular textbook publishers in Zimbabwe in the 1980s; by judges in Nepal to
decide in a party’s favor; a Nigeriann clerk-of-the-works to accept concrete containing
more sand and less cement that required; an Indonesian customs officer to classify an
importer’s goods in a lower-taxed category than the regulations stipulate. Explanations for
corruption also vary with official rank: why a highly-paid minister demands a bribe of millions
to award a warship contract to a particular firm does not explain why a poorly paid hospital
nurse demands a shilling to provide a patient with clean sheets.
2. Why do legislative solutions seldom work when they assume

subjective causes for corruption?
Too often, law-makers assume (implicitly if not explicitly) that officials behave corruptly only
for subjective reasons – that they are greedy, or they have no moral integrity, or that they
value kinship over merit. Because they see no objective mechanisms to change these
corrupt official's minds, many law-makers resort to drastic criminal sanctions – including
the death penalty. They ignore the fact that, as a general deterrent, capital punishment
never works (not to mention that it violates human rights).
Of course weak people

Some criminal sanctions may convey the message that the state does not help to explain
tolerate corruption. The nature of corruption, however, frustrates effective
corruption. So do weak
implementation of such sanctions, if authorities try vigorously to enforce them.
As in gambling, prostitution and drug crimes, the parties to corruption receive
institutions.
the benefit, but usually no specific ‘victim’ exists to report the crime to the
police. Even where whistle-blower statutes establish huge rewards, hot-line
telephone numbers, and efficient specialized enforcement units, criminal
punishment has rarely eradicated an entrenched culture of corruption.
Some experts recommend a whole slew of platitudes to deal with these

subjective evils of corruption: 'the passage of time', 'the spread of education',
“the evolution of public opinion,” “the growth of commerce and industry,” 'the
.growth of the professional class', 'the diffusion of power' from politicians to
all of society, 'democracy,' the increased prestige of accountants and auditors,
the 'rigorous enforcement' of anti-corruption laws, and 'the personal witness
of individuals who are opposed to bribery and corruption'. These bromides
do little to help people whose government officials daily sell favors and pick
their pockets.

EXERCISE:
To try to stamp out corruption, has your country’s government relied primarily on the
criminal law? If so, has it effectively reduced the incidence of corrupt behaviors?
Legislative theory argues that you can help reduce

corruption by ensuring that every bill contributes to
reducing corruption’s objective, institutional causes.
3. Objective explanations for corruption
Corruption breeds where institutions permit it. A bill’s provisions may help to alter or eliminate
the institutional causes of corruption suggested by the ROCCIPI categories.
In particular, we highlight here the importance

of Rule,Opportunity and Capacity in explaining
corruption.
Law can cause corruption. By granting officials discretionary power to dispense scarce
government goodies in high demand, poorly drafted laws help to create circumstances
that breed corruption. Official Secrets Act and the Civil Service Regulations often have
secrecy provisions that permit corruption to flourish in the dark. Lack of accountability,
especially fiscal accountability, breeds corrupt behavior.
Opportunity and Capacity can also cause corruption. More than two millennia ago,
the Greek philosopher Aristotle articulated government’s great paradox: Law cannot avoid
granting officials power (that is discretion) to make crucial decisions. How to avoid the
exercise of power for selfish reasons? In the 20th Century, the American jurisprudent,
Roscoe Pound, observed that all jurisprudence concerns discretion and its control.
Unaccountable power to allocate official favors – in procurement, in licensing, in deciding

disputes, in granting zoning and planning exceptions, in locating government facilities, in
ruling whether a farmer has brought to a marketing board office sixteen kilos of cocoa or
only fifteen kilo (enabling the official to pocket the price of the extra kilo), in deciding who
gets credit in a government loan scheme to aid small farmers and start-up industries, in
running a government electricity or steel or airlines corporation, a thousand others – all of
these present officials with opportunities to behave corruptly. Circumstances differ. A
Director of the Navigational Aids Division of the Coast Guard may have fewer opportunities
to milk the job for corrupt advantage than a Ministry of Mines official who approves oil
drilling licenses.

Neo-liberal writers claim that corruption’s basic cure lies in getting government ‘out of
business'. Where government has no favors to give away, they argue, there can be no
corruption. The market’s ‘invisible hand’ ensures the best possible allocation of resources.
Without appropriate laws and institutions, however, the market’s ‘invisible hand’ everywhere
too often enables powerful oligopolistic interests to charge excessively high prices, limit
entry, restrict market information, produce shoddy and sometimes dangerous goods, use
insider information to benefit insiders – a litany of abuses which exhibit many of the same
features as government officials’ corrupt behaviors. Over the years, industrialized country
governments have come to use law to restrict market actors’ mis-behaviors. How can
legislators both protect against market abuse and reduce the danger of officials’
corrupt behaviors? That constitutes the issue you face.
Of course, the law should punish corruption – if the police can catch the culprits. Laws to
reduce the objective causes suggested by the ROCCIPI categories of Rule, Opportunity
and Capacity will likely prove more effective. Tthe next section emphasizes the necessity
of imposing limits on officials’ discretion to make decisions.
To reduce officials’ opportunity and

capacity to reap personal advantage
through corrupt behaviors requires laws
that create decision-making processes
which limit official discretion.
C. LIMITING THE SCOPE OF OFFICIALS’

DISCRETION
Unaccountable, secret and unnecessarily broad
discretion creates opportunities for arbitrary and
corrupt decision-making. First, always ask, does
a bill contains rules that require the decision-
maker to take into account a specified range
of factors — and only those factors? Second,
make sure the bill permits decision only by
procedures authorized by the law.
This section reviews the input-output process

model of decision-making to identify the key
points and ways in which a bill’s details can limit
officials’ discretion (see chapter 6).

1. Input and feedback processes. A law may limit the scope of officials’ discretion by
specifying criteria as to whose and what kinds of facts and ideas they may consider.
a. Limit the issues agency officials may decide. If a law permits agency officials to
decide only specified issues, the ultra vires rule forbids them from deciding other
issues. If a law says, “The Mining Environment Agency may issue rules concerning
the control of the environment in coal and in hard-rock mining locations,” that Agency
cannot legally issue a rule regulating the drilling of oil wells (‘hard-rock mining
locations’ does not subsume ‘oil wells’).
b. Specify who may supply inputs and feedbacks. Bent on making an arbitrary
decision, officials may limit facts and opinions they consider to those that support
their predetermined position (on a factory safety inspection, an industrial safety
inspector may have lunch with the employer, ignoring the union leadership).
Similarly, an official bent on corruption invariably holds secret meetings with the
corruptors, and ignores other stakeholders’ inputs. To prevent officials’ arbitrary or
corrupt behaviors, a law might require the officials to hold a public hearing; solicit
facts and ideas from vulnerable groups that the law would likely affect; and refrain
from contacting one affected party without the presence of other affected parties.
Suppose a law empowers a ministry to make regulations to facilitate disabled

EXAMPLE
persons’ access to a public building, and requires that the ministry first consult
disabled groups’ representatives. A building inspector (taking a bribe from the
contractor, and without further consultation with groups representing disabled
persons) might permit the contractor not to provide wheelchair access to a public
building. If a disabled person complained, a court would likely insist that wheelchair
access be provided, on the grounds that the building inspector had no power under
the law to exempt the contractor.
A law may limit inputs by specifying who has standing (the right) to appear and
present evidence and argument. It may require that agency officials respond in
writing to a stakeholder who complains about a decision. If the officials fail to
respond to a proper complaint, a court could upset the decision.
c. Limiting substantive inputs to decision. A law may specify criteria that directly or
indirectly limit the inputs admitted into the decision-making process.
In a proceeding to determine whether an agency should identify a particular species

as endangered, a statute might state directly, “The hearing officer may not admit
evidence of the economic importance of harvesting the species"; or indirectly, “The
agency may not consider the economic importance of harvesting the species.”
In either case, the ultra vires rule forbids a hearing officer from admitting or
considering the forbidden evidence (see Subsection 2(b), below).

2. Procedural and substantive limits on the conversion process. A bill may also limit
discretion by structuring the conversion process.
a. Requiring a justification for a decision. To reduce the danger of corrupt influence, a

law might limit the conversion process by several procedural devices:
• require agency officials to state in writing the facts and logic on which a decision rests;
• require officials to follow agency precedents ;
• require that two or more officials make decisions.
EXERCISE:
Can you can think of other procedural limits on the
conversion process?
b. Limiting factors officials consider
Most frequently, bills limit discretion by specifying the factors that decision-making officials
may or may not take into account.
EXAMPLE
For example, “In issuing or denying a mining permit pursuant to this section, the Agency
may take into account only the following factors: The potential of the proposed mining
activity for injuring the physical environment, cultural or architectural monuments, and
archeological treasures; the potential of the activity for polluting air, water, sound, or the
natural aesthetic qualities of the environment; and the potential of the activity for destroying
rare species of wild plants and animals.”
Suppose the agency admits evidence that the proposed mining activity “will unduly interfere
with agricultural pursuits,” and later, declines to grant the permit in part on the grounds of
the mine’s probable interference with farming in the locale. Because the agency took into
account a matter (interference with agricultural pursuits) which the applicable law by
implication excluded from the factors the agency might consider, a court probably would
not uphold its decision. If farmers object, they should seek a change in the law.

In a variety of ways, a bill may stipulate the factors an official must or may take into account
when formulating regulations. At one end, a ‘bright-line’ rule might give officials a minimum
of discretion – for instance, a law might require aircraft pilots to retire at age 60. At the
other extreme, the law might give the agency discretion to retire a pilot ‘when the agency
deems it desirable’. Many alternatives fall in between. But the further from a bright-line
rule, the more discretion the rule permits — and the greater the possibility for corruption.
EXAMPLE:
The long road from "bright-line" to agency discretion
The law might require aircraft pilots to retire at age 60. The law might give the agency
discretion to retire a pilot ‘when the agency deems it desirable’. A whole range of alternatives
fall in between. To set a standard against which a court might later measure an official’s
exercise of discretion, the law might require the agency to retire a pilot ‘when the pilot
becomes physically unfit to fly’. Or the law might list factors for consideration, leaving the
factors’ relative weight to the officials who make the decision. (For example, the agency
may retire a pilot when no longer fit to fly, taking into account eyesight, reaction time,
hearing acuity, hand-eye coordination and cardiological health). The law might reduce
these factors into a series of bright line rules: A pilot may not retain a license to fly if the pilot
has less than 20-20 vision in each eye when corrected; blood pressure within specified
limits; ability to do thirty-five sit-ups without pause; and so forth.
The legislation may give the agency officials discretion to experiment with (and alter) criteria
by changing the factors they must take into account. At the same time it may require officials
always to keep a list of criteria in force, and to give reasons for changes made. To enhance
consistency and add relevant factors case-by-case, the law may require officials to follow
agency precedents .
Finally, the bill’s General Purposes Section in effect imposes criteria for decision. Whether
to specify criteria or to rely on a general purposes clause depends upon what seems required
to resolve the kinds of issues the official must decide, and whether sufficient reasons exist
for granting the officials discretion to decide them.
By definition, specifying criteria for highly complex decisions seems difficult if not well-nigh
impossible. The greater the number of factors likely to affect decisions, the more criteria
seem necessary; but how can a bill state all those likely to prove relevant? Even a vague
criterion, like ‘reasonable,’ may seem better than none. Yet vague criteria create two dangers:
(1) On appeal, a generalist court may substitute its relatively inexpert judgments for
those of a specialist agency (see Chapter 6);
(2) Where the law requires courts to defer to agency judgment, vague criteria may
hinder a judge from questioning a corrupt or arbitrary agency decision.

As a possible solution, a law may require the agency to accompany its decision by an
impact statement, listing along with its decision the factors its officials considered in assessing
that decision’s probable consequences. On appeal, a court or reviewing agency may then
‘second guess’ the agency about the sufficiency of the reasons given. Unless some
organization — usually an organization of civil society – can afford to bring a case to court,
an impact statement provision dies a-borning. In some countries, an ombud (see p. 169)
may hear complaints against administrative decisions.
Remember: unless, in your country, a bill effectively structures its grants of discretion, it
too easily fertilizes the field for corruption. Ensure that, as far as possible, every bill contains
adequate criteria and procedures to limit implementing agency discretion.
A bill should
require decision-
D. ACCOUNTABILITY AND TRANSPARENCY makers to follow
accountable and
transparent
1. Institutions of accountability procedures.
To reduce the ever-present danger of corruption, a bill’s details must require officials to
provide reasons for all important decisions, especially those relating to finances.
a. Accountability for decisions.
A bill may establish institutions that require :
(i) on-going accountability;
(ii) accountability in response to an aggrieved party’s complaints;
(iii) upwards accountability to an office higher in the hierarchy of authority (an

administrative superior, a judge); and
(iv) downwards accountability, for example, to a legislative committee, a

stakeholders’ general meeting, or a town meeting.
Some useful devices include requirements for:
• written, published reasons for decisions so legislators and the public can make
sure administrators have taken into account the relevant factors.
• regular evaluations of a law’s social consequences by requiring a ‘sunset
clause’ (which terminates the law on a set date unless renewed by the
legislature); annual reports laid before the legislature; a legislative oversight

committee.
• dispute-settlement systems so aggrieved parties can make internal and
external appeals from administrative decisions.
• In particular cases, review of proposed decisions by a bureaucratic superior.
• Accompanying important bills (including administrative regulations) by a research
report that demonstrates that the bill contains an adequate system of
accountability appropriate to its subject-matter.
b. Financial accountability. In the Anglophonic tradition, an Audit and Exchequer Law
usually provides the basic framework for fiscal accountability. If, in your country, no
such law exists, check every bill to ensure that it provides basic financial
accountability. Its provisions might require:
• annual audits by an independent auditor;

• identification of a senior civil servant who must certify before payment that an
expenditure meets the requirements of the laws;
• the agency to keep its funds on deposit with the Treasury and keep up-to-date
account books available for inspection. Avoid giving an agency sole power
over special funds.
Laws can require either

secrecy, or transparency.
2. Institutions of Transparency
From their former authoritarian rulers, some governments have inherited official secrecy
laws. In contrast, Sweden’s Constitution includes a public information section that, in
practically all matters, forbids government secrecy. A bill’s provisions may induce greater
transparency by requiring an agency to:
• advertise its meetings in advance, notifying the public of their right to attend;
• on demand to make available to interested persons relevant information from

its files;
• widen the rules of standing to permit interested persons to appear and speak
in agency proceedings that may affect them; and
• broaden the concept of ‘interest’ to permit, not only by those with a material but
also an ideological interest to intervene in a proceeding (for example, in a
proceeding to determine whether to sell a national park, permitting, not only

I want to find out what
the government says in my
file!
neighboring landowners but also non-government organisations concerned with

the preservation of national park lands, to intervene).
PARTICIPATION
ENSURING PARTICIPATION IN THE RULE-MAKING PROCESS
A bill can make corruption more difficult by increasing participation in the decision-making
process (and thus decreasing the likelihood that a briber can ‘buy’ a favorable decision or
rule). In addition to the points mentioned above, a bill might include these mechanisms:
Notice and comment: The agency must publish a proposed regulation in specified
media, inviting the public to submit written comments before a stated date. After receiving
the comments, the agency reconsiders and, if necessary, redrafts the regulation When it
promulgates the regulation, it must accompany it with a statement on each comment
received, and, with reasons, its disposition .
EXERCISE:
EXERCISE 1:
A draft bill concerning the allocation of water resources reads in part as follows:
“Section 17. Allocation of River Water.
(1) Where a river, stream, or irrigation channel has two or more users of its water
flow, the Minister shall by order determine what percentage of the water flow a
user may take from the river, stream or irrigation channel.
“(2) A person may not appeal from the Minister’s order.”
Critique the draft in terms of the likelihood that it will produce results in conformity
with the Rule of Law.

EXERCISE 2:
1. The following excerpts from a bill contain all of its substantive provisions for
creating a National Service Agency within the Ministry of Defense. How would you
assess whether these provisions make compliance with the Rule of Law probable?
What changes, if any, would you recommend?
After providing for appointments to the Agency, their terms of office, etc., the draft bill
states:
“Section 23. Powers and duties. The Agency shall have the following powers and duties:
(1) To create, operate and run a National Service system which will employ graduates
from the nation’s universities for one year after graduation on works of national
importance.
(2) The Agency may make regulations to carry out the power granted in subsection (1).
The bill contains no other substantive provisions.
EXERCISE 3:
2. The draft bill that follows proposes that under certain conditions, an official or
agency may base subsidiary legislation on negotiations between stakeholders. For
example, the electrical appliance industry requires a high degree of standardization in
order to function. A consumer must have confidence that when the consumer purchases
an electrical plug, the plug will fit the outlet in the consumer’s home. That will only happen
if the industry has standardized the sizes and shapes of plugs and outlets. There seems
no strong objection to letting the various elements in the electrical appliance industry bargain
out the regulations to create those standards, and having the agency then promulgate
them as subsidiary legislation to regulate the sale of electrical plugs and outlets in the
country.
Critique the following bill in terms of the likelihood that it will produce results in
conformity with the Rule of Law and good governance. Taking your critique into
account, how would you ask the drafter to rewrite the bill?

EXERCISE 3 continues:
The draft bill reads as follows:
“REGULATORY NEGOTIATION
“(1)Any official or agency who is empowered to issue proclamations or to enact

subordinate legislation in terms of this Act may choose regulatory negotiation as a pre-
adoption procedure either as a supplement to the procedure set out in section xx
(concerning notice and comment) or as a procedure on its own, if such official or
agency is of opinion that such a procedure would be appropriate in the public interest.
“(2)In making a decision to use regulatory negotiation exclusively or as a supplement to

the procedure set out in section xx, the official or agency must take into account the
following considerations, whether: —
(a) there is a need for a rule;

(b) there are a limited number of interests that will be significantly affected by the rule;
(c) there is a reasonable likelihood that a negotiating committee can be formed with a
balanced representation of persons who —
(i) can adequately represent the interests identified under paragraph (b); and
(ii) are willing to negotiate in good faith to reach consensus on the proposed rule;
d) there is a reasonable likelihood that the committee will reach a consensus on the
proposed rule within a fixed time period;
(e) the agency has adequate resources and is willing to commit such resources,
including technical assistance, to the negotiating committee; and
(f) in the event that the agency chooses to use the negotiation as a supplement to the
notice and comment procedure as contemplated in paragraph (1):
(i) the use of negotiation will not unduly delay the notice of the proposed rule
making and the issuance of the final rule; and
(ii) the agency will, to the maximum extent possible consistent with its legal
obligations, use the consensus of the committee as the basis for the rule
proposed by the agency for notice and comment.”
Critique the draft in terms of the likelihood that it will produce results in conformity
with the Rule of Law and good governance.

What can legislators do to
transform a ‘culture of
corruption’ into a ‘culture of
good governance’?
E. COMBATING A ‘CULTURE OF
CORRUPTION’
This section first proposes a general strategy and then reviews measures which
elsewhere have reduced corrupt behaviors in government procurement, conflicts
of interest, and civil service codes of conduct.
1. Combating hopelessness about corruption: a general strategy.
Transparency International emphasizes adopting a positive approach, expressing confidence

in public servants and a desire to assist them to fulfil their responsibility for acting in the
public interest. The checklist below suggests questions you might ask about every bill.
AGAINST CORRUPTION
CHECKLIST: A BILL'S DEFENSE
A CHECKLIST FOR ASSESSING A BILL’S DEFENSES AGAINST CORRUPTION
To assess whether a bill’s proposed safeguards and controls seem adequate to prevent
corrupt behaviors you might use this checklist:
A. Does the bill’s provisions for the implementing agency’s general control environment
permit corruption? Does the bill contain provisions that make it likely that –
1. the management will commit the agency to a strong system of internal control?
2. the agency’s units will have appropriate reporting relationships?
3. the agency will have a staff of people of competence and integrity?
4. the agency employees will undrstand and work well together to implement its
policies and procedures?
5. the agency will budget and report on its finances according to well-specified and
effectively implemented procedures?
6. the agency will have well-established and safeguarded financial and
management controls – including the use of comuters?
B. Does the bill properly delegate and limit the agency’s discretion?
C. To what extent will the agency’s activity carry the inherent risk of corruption?
1. Does the bill’s prescriptions for the agency program seem vague or complex?
Wil the agency likely become heavily involved with cash dealings, or in the
business of approving licenses, permits or certifications? (The more an agency
engages in these activities, the greater the risk of corruption.)
2. In light of the agency’s activities, does the amount required for funding the

CHECKLIST ON
CORRUPTION
agency seem large? (If corruption exists, the bigger the budget, the greater the
loss.)
3. Will the agency’s activities have a significant financial impact on non-government
interests? (The greater the ‘rents,’ the greater the incentive for corruption.)
4. Does the agency implement a new program? Does it work under a tight time
constraint or an imminent expiration date? (If so, corruption seems more likely.)
5. Does the agency’s level of centralization seem appropriate for its activity?
6. Does evidence indicate previous illicit agency activity?
Source: Office of Management and Budget [U.S.], Internal Control Guidelines(1982), Ch. 4, cited in Robert
Klitgaard, CONTROLLING CORRUPTION (1988).
New legislation can require seminars and other means of engaging

agency leaders and staff in constant discussions about the
necessity, as well as ways and means, of combating corruption.
Do bills provide devices to improve transparency, helping to make the criminal law
somewhat more instrumentally effective by incorporating ‘whistle blower’ statutes?
incentives for clients to report attempts to obtain bribes? better auditing and control
systems? more highly trained evaluators and evaluation systems? Has your
government established an Ombud or its equivalent, an office to which anyone can
bring complaints and which itself may proactively investigate corrupt behavior?
AN OMBUD OFFICE?
AN OMBUD OFFICE?
The effectiveness of an ombud to police the administration depends on the provisions of

the law that establishes it. Some commentators vew the ombud as a radically new approach
to ensuring administrative accountability, an institution simpler and easier for ordinary citizens
to approach than the courts. Others say that, too often, the rules establishing an ombud
limit it, like courts, to dealing with corruption, not on an institutional level, but only on a
case-by-case basis. In effect, they only reduce the high cost of court suits to end bureaucrats’
misbehavior.
Review the detailed rules for an existing or proposed ombud office to ensure that its officials-
-
• may proactively investigate alleged corrupt practices;
• that they receive inputs and feedback from all stakeholders, especially the most
vulnerable ones;
• that they publish reasons for their decisions; and
• that they make annual reports to you, as legislators, on specific issues on which
they decide, and on remaining areas of potentially corrupt behaviors, if necessary
accompanied by drafts of new rules.
2. Three general kinds of laws to combat corruption
This section reviews the causes of corruption in three areas where, as national markets
have expanded in an increasingly complex global economy, corruption has appeared
especially pronounced: government procurement and sale of assets; senior officials’
conflicting interests; and the expanding public service.
a. Government procurement and sales of assets. Everywhere, to build the socio-

economic infrastructure for expanding markets and to foster socio-economic development,
governments must purchase a seemingly endless list of goods and services: roads, railroads,
bridges, ports, schools, textbooks, hospitals, preventive care measure, military equipment
and supplies, parliament and government office buildings, covered markets, dams, electrical
systems, water systems. In recent years, as governments have begun to sell off their
assets, private companies and individuals have dangled before responsible public officials
opportunities for enrichment almost beyond belief: plush cars, fancy new housing, overseas
jaunts, outright cash payments.
Many countries’ experiences in using law to reduce corruption in government purchases

CORRUPTION IN
PROCUREMENT AND SALES
and sales of assets suggests that an adequate procurement law should incorporate six
elements:
1. Rather than permitting each ministry to do its own procurement or sales of

assets, require decisions relating to major assets(defined by specified criteria) to
pass through a single, specialized agency.
2. Require open bidding for practically all government contracts for the purchase or
sale of assets.
3. Prescribe procedures to make open bidding a reality (for example, advertising
requests for bids, and written reasons for choosing the winning bidder).
4. For unavoidable negotiated contracts, prescribe criteria and procedures ensuring
transparency, accountability and stakeholder participation in decision-making.
5. Detail provisions for ensuring contract performance.
6. Establish specialized research agencies to provide information concerning the
prices and costs of goods, services and expertise acquired internationally. To
facilitate this, and to take advantage of economies of scale, some governments
have cooperated to establish regional research and information units.
International agencies and some industrialized country governments have begun to introduce
measures to prohibit corporations from bribing other countries’ officials in return for favors.

Both the giver and the
receiver are part of corrupt
practices.
CORRUPTION
MEASURES TO BLOCK SUPPLY-SIDE
INTERNATIONAL MEASURES TO BLOCK ‘SUPPLY SIDE’ CORRUPTION*
By the last decades of the 20th Century, the rapidly growing international anti-corruption
movement mainly focused on corruption’s ‘supply side’. In 1978, the U.S. Congress enacted
a Foreign Corrupt Practices Act that made it a crime for U.S. firms to pay foreign bribes.
In 1997, representatives of 29 member governments of the Organization for Economic
Development and Cooperation (OECD) signed a Convention on Combating Bribery of
Foreign Public Officials in International Business Transactions. Until governments formally
enact national laws to enforce the provisions, the convention will remain a ‘soft’ law. By
1998, several emerging market economies, including Argentina, Brazil, Bulgaria, Chile
and Slovakia, had signed the OECD convention.
In 1998, an international NGO, Transparency International, then only five years old, had
established 70 chapters around the world. Liinked with other NGOs and international
agencies, Transparency International works to reduce corruption.
The spread of money laundering — in 1998 estimated by IMF Managing Director Camdessus
to equal in value some 2-5% of the global output of goods and services — persuaded
many governments to improve mechanisms to supervise banking institutions and detect
corrupt behaviors. The OECD Financial Action Task Force began to seek cooperation among
national authorities and financial institutions to pool intelligence, to strengthen regional
anti-money laundering agreements, and to provide greater transparency and regulation.
The World Trade Organization (WTO) initiated exploration of a possible multilateral
investment agreement, including provisions for dealing with corruption.
How does one ensure

In addition to a general government procurement law, transparency in the
legislation should specify transparent and accountable acquisition of secret
procurement and sales practices in particular sectors. A bill weapons?
dealing with road construction should incorporate provisions
to block road building companies’ attempts to influence
officials to overlook their shortcomings. The Armed Forces
bill should include provisions to prevent corruption in military
procurement.
You should never copy another country’s government

procurement law. From other countries’ efforts to use law
to combat corrupt procurement practices, however, you

can learn a lot about the nature and scope of corrupt procurement practices likely to emerge
as your national economy expands. You can also learn about the possible causes of
corrupt procurement behaviors of government officials and private sector actors, including
domestic and foreign investors; the probable social costs and benefits of measures that
logically seem likely to reduce or eliminate those causes; and possible measures for
monitoring the social consequences of the procurement practices they incorporate into
their proposed law.
b. Conflicts of interest legislation. Senior government officials typically comprise many

of a country’s most educated citizens, with extensive personal ties to civil society’s leaders,
including private entrepreneurs. Aspects of their personal concerns inevitably tend to
conflict with the public interest.
THE MANY FORMS OF CONFLICT OF INTEREST

CONFLICT OF INTEREST
THE MANY FORMS OF
1. Private employment: In some countries many officials and political figures hold part-
time jobs or operate side-line businesses. These private concerns frequently conflict
with their public responsibilities. Government regulations may affect their private
business. As officials, they must deny privileged access to official information to
persons whose favor they need in their private affairs. The potential conflicts seem
innumerable.
2. Gifts, hospitality, and other personal benefits: Persons or organizations may offer
officials gifts, invitations to social affairs, holiday travel opportunities – supposedly
innocent symbols of friendship. Too often, these become transformed into no-
nonsense cash bribes.
3. Employment after leaving a public post: On retiring from public office, officials may
take private sector jobs from firms that do business with their former offices. As
private contractors or consultants, some do business with their former offices or help
unauthorized private sector actors gain access to privileged information and
contacts.
4. Shareholdings, directorships, and commercial partnerships: Holding shares or

serving as directors or partners in private sector firms, officials may make decisions
favoring not the public’s but those firms’ private interest.
5. Travel perks: Officials may make unnecessary trips within their country or abroad in
order to claim per diem payments, or to accrue airplane mileage benefits for
themselves.
6. Preferential treatment: Officials may accept preferential treatment from private

interests in exchange for favors to an individual or organization. Over more
competent applicants, an official may employ a family member or a friend (the act of
nepotism).

CONFLICT OF INTEREST PROVISIONS
SPECIFIC CONFLICT OF INTEREST PROVISIONS
Many countries’ laws include provisions to make it difficult for officials to conceal conflicts of
interest or to participate in decisions where conflicts exist. Some or all of these might
appear in a general conflicts-of-interest law:
1. Make specific corrupt activities criminal: Giving and receiving bribes, preferential
treatment of family or friends, accepting gifts above a small minimum, accepting a job
with a former client of the official’s department within a stated period after leaving the
public service; taking kickbacks from suppliers; and others. To reduce officials’
interest in violating these provisions, many laws threaten heavy fines, and encourage
detection by giving whistle-blowers a major share of fines collected. As a cure for
corruption, however, these rules suffer the same disabilities as general criminal law.
2. Eliminate other potential causes of corrupt behavior, like low official salaries, secret
decision-making processes, and unaccountable decision-making procedures.
3. Improve transparency by requiring officials publicly to disclose their outside

commercial and property holdings and relationships and gifts larger than a specified
minimum; and, on important issues, to accompany their decisions with an adequate
published justification.
4. Provide for an implementing agency with the opportunity, capacity and incentives to
enforce these kinds of provisions (see Chapter 6).
5. Prohibit potentially compromising ties: No person running for public office may hold
dual citizenship or declare allegiance to another government; no person seeking to
become a legislator or minister may already hold another legislative or ministerial
office.
6. Specify negative consequences for exposed conflicts of interest, including provisions

to
- require an appointed official holding a government contract to
resign; What does your
- remove the official from business operations;
country do - and
does it work?
- render the contract void;
- establish monitoring mechanisms to ensure that in their private
capacities officials do not derive undue advantages from their
official positions;
- require the official to declare a personal interest to an
appropriate body. (Critics argue this reduces the negative
consequences for officials who declare their interest, and
permits elected officials to participate in commercial activities.)

c. General codes of conduct applicable to the public service. A Code of Official
Conduct either as a separate law or as part of the Civil Service Regulations may serve as
a general deterrent to conflicts of interest.
1. Substantive: Most codes focus on helping ministers, legislators. and public servants
to avoid corruption-producing circumstances. Some governments combine these into one
well-publicized code applicable to all government personnel.
The more detailed a code (including its implementing measures) the more likely its effective
enforcement.
POSSIBLE GUIDELINES FOR DRAFTING A CODE GOVERNING

e
Cod LEGISLATORS’ CONDUCT
o f uct
d
Con
GUIDELINES: DRAFTING A CODE
GOVERNING LEGISLATORS
I. A code should begin with a clear statement of its purpose. A code for legislators might
emphasize that service in the legislature constitutes a public trust. In that context, it might
state as its aims:
1. maintainance of public confidence in the legislature’s and individual legislators’

integrity;
2. guiding legislators in reconciling their private interests and public duties; and
3. fostering consensus among the legislators by providing common rules and

establishing an independent non-partisan advisor to answer questions relating to
conduct.
II. The code then might stipulate rules prohibiting legislators from —
1. using for private purposes the influence or confidential information they obtain in
the course of their legislative responsibilities;
2. accepting compensation for services that, in their legislative capacity, they

render to an individual or group;
3. participating in official actions dealing with issues in which they have a personal
(financial or otherwise) interest;
4. attempting to restrain others from performing official duties;
5. in specified circumstances, accepting gifts or honoraria for speeches, articles, or

other employment; and
6. referring to their legislative role to advance their professional or occupational

pursuits.
CODE OF CONDUCT FOR MINISTERS AND OFFICIALS
e
Cod
o f uct
d
Con
POSSIBLE ELEMENTS OF A CODE OF CONDUCT FOR MINISTERS AND SENIOR
PUBLIC OFFICIALS
I. A code for ministers and senior public officials might include any or all of the
following provisions.
1. Limit participation in business enterprises: Require ministers and senior public
officials to dispose of all interests on taking public office by transferring business
interests to a blind trust (see below); establishing an authority to decide when they
may retain business; or withdrawing from daily business operations.
2. Restrict vocational, professional and other private employment: Use devices similar
to those relating to participation in business enterprise.
3. Prohibition on holding directorships: Require withdrawal from all except perhaps
family companies (and in those cases, require withdrawal if conflict of interest seems
likely to arise).
4. Shareholdings: Require disposal of shares beyond a minimal threshold amount;
deposit of shareholdings in blind trust (see below); or declaration of shareholdings to
Registrar to detect danger of conflicts (difficult to monitor and enforce, this has
proven relativelly ineffective).
5. Gifts, hospitality, sponsored travel: Limit the value of any one of these that ministers
and senior officials may receive; require declaration of gifts above that amount, or
turn them over to state property (apply that ruling to close family members, too).
6. Prohibit use of government property or resources (including employees) for personal
purposes or for ministers’ political parties or constituencies.
7. Prohibit nepotism in government appointments: Establish standards for
appointments.
8. Decide permissible limits on family ties: Define the extent to which ministers and
senior public officials must publicly disassociate themselves from activities of family
members, associates, and non-public organizations which might conflict with
government policy.
9. Blind trusts: require a public official to place assets in a trust in which trustees make
investment decisions concerning management of trust assets with no direction from
or control by the public official concerned, and may not give information to the official
other than required by law or relating to total value of trust assets. (A cautionary
note: Blind trusts have many advantages, but also pose significant problems —
including designing devices that effectively prevent the official from learning of the
trust’s holdings and activities. If you contemplate legislation to create blind trusts,
study these problems carefully.).

Some governments' codes regulate political party officers’ behaviors. Political parties may
play a significant role in law-making and implementing processes. South Africa’s post-
apartheid government introduced a code of conduct to control political donations and set
standards for lobbyists. Canada’s 1997 Lobbyist Code, administered by an Ethics Counselor,
established general principles and a list of rules to ensure transparent decision-making.
2. Disclosure of private interests. To enable responsible authorities and the public to

assess the danger of potential conflicts, as a minimum, officials should disclose their
interests. Because of difficulties in administration and supervision, however, the code
should limit (probably to legislators, ministers, and senior public service officials) the number
of officials required to declare their interests. To prevent officials from shifting assets to
other family members, the definition of ‘potentially conflicting interest’ should include family
members’ holdings. The officials should declare their interests under oath, under penalties
of perjury.
Some governments have found it useful to engage department officials in determining the
scope of declaration of interests relevant to that department’s particular concerns. Three
categories of interests seem important:
(a) Assets: The registrar should specify the value of assets required for disclosure.
These might include real property, shareholdings, business interests and
partnerships, directorships, other investments and assets, trusts, gifts, sponsored
travel and hospitality (and perhaps others specific to a particular country’s
circumstances; the United Kingdom’s House of Commons Register requires
legislator-barristers or solicitors to declare their clients’ names).
(b) Liabilities: Since creditors may exercise undue influence over large debtors, the
legislative provisions should require officials to declare liabilities. Country
circumstances will determine the size of the debts that require listing.
(c) Income: The law should require officials to declare the amounts and sources of
their income.
3. Ethics training. Combined with other measures, ethics training may help. As a
start, a law might require officials to participate in formulating a code’s details, both to
legitimize its provisions and deepen their awareness of their own responsibilities for
good governance.
4. Assigning an agency to implement the code. For effective enforcement, every

anti-corruption law should specify relevant standards; identify the responsible
implementing agency; institutionalize appropriate sanctions; and establish an
appeals system (see Chapter 6).

EXERCISE: PUNISHING
CORRUPT BEHAVIORS
Drawing on your knowledge of the circumstances in your own country,
1. For one of the three general types of anti-corruption laws discussed in this
chapter, outline the section of a research report that identifies the nature and
scope of the corruption problem, and whose and what behaviors seem to
comprise it.
2. Outline the primary factors that seem to cause the public officials’ problematic
behaviors.
3. For one of the three areas, outline for your own country the structure of a bill
incorporating appropriate measures (including those for its implementation) that
logically might help to overcome the causes of official’s corrupt behavior. If an
anti-corruption law already exists, assess the likelihood that its provisions seem
sufficient to overcome corrupt behaviors’ causes.
5. A checklist for corruption control: Given the qualitatively different conditions prevalent
in differing government departments, enactment of laws in the three most problematic
areas — government procurement, conflicts of interest, and public service regulations —
although necessary, may not prove sufficient. To combat a ‘culture of corruption,’ the
following checklist suggests the kinds of anti-corruption measures which every law you
enact should contain.
CHECKLIST

CHECKLIST OF MEASURES TO COMBAT A
CULTURE OF CORRUPTION
A CHECKLIST FOR MEASURES FOR COMBATING ‘A CULTURE OF CORRUPTION’
A review of the ROCCIPI categories of possible causes of corrupt behaviors suggests

measures that you should consider incorporating in all of your country’s laws as part of an
effort to mount an effective campaign against corrupt behaviors. These kinds of provisions
should:
I. Reduce officials’ opportunities for behaving corruptly by restructuring their role in

decision-making processes to limit their discretion:
1. Where possible, change the agency’s mission, product, or technology to reduce

agents’ corruption opportunities;
2. More strictly define the objectives, rules, and procedures relating to input-,
conversion- and feedback-processes;
3. Require agents to work in teams and subject their decisions to review by higher
authority;
4. Where possible, divide large decisions into separate tasks.
5. Rotate agents functionally and geographically
II. Open decision-making processes to public view:
1. Eliminate secrecy provisions;

2. Require public hearings and other forms of inputs and feedback from
stakeholders;
3. Require written decisions accompanied by reasons that underpin them.
III. Organize client groups/stakeholders
1. Where appropriate, require open, competitive behaviors among private or

government clients.
2. Engage clients in reducing the likelihood that their members will attempt to
corrupt agency officials;
3. Create an anti-corruption lobby.
IV. Reduce agents’ capacity to behave corruptly:
1. Select agents for ‘honesty’ and ‘capability’;

2. Screen out dishonest candidates (past records, tests, predictors of honesty);

3. Exploit outside ‘guarantees’ of honesty (networks for finding dependable agents
CULTURE OF CORRUPTION
CHECKLIST OF MEASURES TO COMBAT A
and ensuring they stay that way).
V. Improve auditing and management information systems:
1. Publish evidence that corruption has taken place (red flags, statistical analyses,
random samples, inspections);
2. Strengthen ‘information agents’;
3. Beef up specialized staff (auditors, investigators, surveillance, internal security);
4. Create a climate where officials or stakeholders will report improper activities
(‘whistle blowers’);
5. Create new units (ombuds, special audit committees, agencies to register
officials’ non-official interests, anti-corruption agencies);
6. Use information provided by third parties (media and banks);
7. Use information provided by clients and the public;
VI Reduce agents’ potential interest in behaving corruptly: Change rewards and

penalties confronting agents and clients:
1. Raise salaries to reduce need for corrupt income;

2. Reward specific actions and agents that control corruption;
3. Vary the rewards of officials according to their achievements as defined in their
employment contract;
4. Penalize corrupt behaviors:
5. Where an agent appears to have behaved corruptly, change the burden of proof
to require the agent to demonstrate innocence.
6. Raise the general level of formal penalties;
7. Increase the principal’s authority to punish;
8. Calibrate penalties in terms of deterrence (as a function of the size of the bribe
and the size of the illicit profit).

SUMMARY
The world around, officials’ corrupt behaviors threaten to undermine effective implementation,
good governance and the Rule of Law. This last chapter offered guides for using reason
informed by experience to propose defensive measures against that ever-present danger.
It underscores two overarching commands to all law-makers: First, anti-corruption measures
must aim not merely to change individuals’ weak moral fiber, but fundamentally to alter the
institutions that foster corrupt behaviors; and, second, since no one-size-fits-all-remedy
exists, you, in your own country, must explore your own way through the morass.
These two commandments thrust on you, as member of your nation’s primary law-making
body, two critical responsibilities: you must ensure that every bill you enact specifies first
the criteria that limit officials’ discretion; and second procedures to ensure transparency,
accountability, and as much participation as possible, especially of the historically
disadvantaged and vulnerable, in the law making and implementing processes.
To reduce the ever-present danger of corrupt official behaviors, this chapter has
recommended a two-pronged strategy. First, enact three general anti-corruption laws (or
assess and revise existing ones) to limit discretion and ensure transparency and
accountability in the three areas in which corrupt officials most commonly seek to advantage
their private interests at the public’s expense: government procurement and sale of goods
and services; potential conflicts between senior officials own and the public’s interest;
and public servants’ opportunities, at all levels, to misuse government resources to advance
their personal welfare.
The second prong — briefly stated, but requiring eternal vigilance — proposes that you
always scrutinize every bill’s detailed form and substance with an eye to blocking officials’
opportunities and capacities to decide public issues for private reasons. Using the ROCCIPI
agenda, always ask yourself whether a proposed bill’s substance and the detailed articles,
indeed the specific words in each sentence, sufficiently close the door against the ever-
present corroding danger of officials’ corrupt behaviors.
The issue of corruption encapsulates this manual’s central theme: that the Rule of Law lies
at the heart of good governance and development. Good laws alone do not guarantee
development and good governance; poor laws, however, do constitute a major cause of
their defeat. At every stage in the law-making process, you and your colleagues must
explicitly assume primary ethical and professional responsibility for enacting bills that seem
likely to prove effectively implemented and facilitate good governance and development.

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ASSESSING

CHAPTER I: THE IMPORTANCE OF LAW-MAKING

A. STATE, LAW AND THE FATAL RACE

B. A SOCIETY'S RELATIVE WEALTH AND POVERTY AND ITS

C. THE FATAL RACE 11

CHAPTER II: YOUR ROLE AS A LEGISLATOR 17

A. WHY YOU MUST ENACT SERIOUSLY INTENDED, PUBLICLY-

CAN LAW INDUCE DELIBERATE SOCIAL CHANGE?

B. YOUR THREE TASKS, AND WHY THEY REQUIRE

C. ASSESSING A BILL: POWER VS. FACTS AND REASON 23

D. WHY DO PEOPLE BEHAVE AS THEY DO IN THE

CHAPTER 3: PRIORITIZING PROPOSED BILLS 29

B. CRITERIA FOR PRIORITIZATION 31

C. PRIORITIZING LEGISLATION FOR ECONOMIC

1. Third world institutions and poverty.

2. The economists debates 36

Market vs. Plan Debates: Some basic issues 38

3. Prioritizing legislation for economic transformation

CHAPTER 4: READING A BILL 47

A. A BILL'S FORMAL ELEMENTS 48

B. THE LAW'S LANGUAGE 50

C. THE STRUCTURE OF A SECTION 54

D. DISCOVERING THE BILL'S SUBSTANCE 57

SUMMARY: FIVE STEPS TO UNDERSTANDING A BILL

PART II: LEGISLATIVE THEORY AND METHODOLOGY:

CHAPTER FIVE: AN INTRODUCTION TO LEGISLATIVE

A. A PROBLEM-SOLVING METHODOLOGY: A GUIDE

B. LEGISLATIVE THEORY'S GUIDE TO FINDING PROBLEMATIC

C. DESIGNING A DETAILED LEGISLATIVESOLUTION 76

F. LEARNING FROM EXPERIENCE: HISTORY AND

G. A `CHECKLIST' FOR ASKING QUESTIONS 85

CHAPTER 6: ENSURING A LAW'S EFFECTIVE IMPLEMENTATION 91

A. WHY DO SOME AGENCIES FAIL TO IMPLEMENT? 92

B. ASSESSING A BILL'S PROVISIONS FOR ITS OWN

1. From `sanctions' to `conformity inducing measures'

2. Assessing a bill's prescriptions for an implementing agency.

C. TRANSITIVE VS. INTRANSITIVE BILLS

1. The `deadlock' of development administration — and how to

2. When to write intransitive bills? 119

3. Assessing an intransitive bill.

A CHECKLIST FOR FOR ASSESSING AN INTRANSITIVE BILL 123

CHAPTER SEVEN: CAPTURING AND ASSESSING THE FACTS 127

A. FINDING THE RELEVANT FACTS 127

B. GETTING THE FACTS 129

C. SIGNIFICANT FACT-FINDING METHODS: 131

1. Quantitative and qualitative methods compared. 131

3. The Importance of Sampling Techniques. 136

4. Learning from foreign law and experience.

CHAPTER 8: ASSESSING A BILL'S FORM 139

A. CRITERIA FOR ASSESSING A BILL'S FORM

B. ASSESSING A BILL'S STRUCTURE (OUTLINE) 140

C. CHAINING WORDS TOGETHER TO ENSURE A LEGISLATIVE

D. A BILL AS AN AMENDMENT TO EXISTING LAW 151

CHAPTER NINE: ENACTING LEGISLATION TO FOSTER GOOD

A. CORRUPT PRACTICES UNDERMINE GOODGOVERNANCE 156

B. EXPLANATIONS FOR CORRUPTION 156

C. LIMITING THE SCOPE OF OFFICIALS'DISCRETION 159

D. ACCOUNTABILITY AND TRANSPARENCY 163

E. COMBATING A `CULTURE OF CORRUPTION' 168

FORWARD AND ACKNOWLEDGMENTS