Legislative Drafting for Democratic Social Change A Manual for Drafters

Transcription

1 A Legislative Drafting for Democratic Social Change A Manual for Drafters by Ann Spidman, Robert Seidman and Nalin Abeyesekere INTERNATIONAL LONDON THE HAGUE BOSTON

2 TABLE OF CONTENTS Preface xxi PART I LEGISLATIVE DRAFTING, GOOD GOVERNANCE AND THE DEVELOPMENT PROCESS Introductory Note 3 1. Law and Social Change 5 1. Introduction 5 II. The Larger Problem: The Obstacles that Plague Social Transformation and Good Governance 6 A. The Absence of Good Government and Development 7 The Symbiosis between Good Governance and Development 8 III. The Legal Order as a Cause of Poor Governance and Weak Development 10 A. Development, Institutions, Behaviors 10 The Legal Order's Function in Development 12 IV. The Central Question: Why Do People Behave as They Do in the Face of a Rule Of Law? 15 V. An Outline of this Manual's Contents The Legislative Drafters' Role in Drafting Transformatory Laws I. Introduction 21 II. The Bill-Drafting Process 21 A. A Bill's Origins 22 The Concept Paper 23 C. Prioritization 23 D. Drafting the Bill 23 E. Research 24 F. Who Has Access? 24

3 vi Contents III. The Drafter As Policy Translator 25 A. The Unity of Form and Content 26 The Practical Demands of the Drafter's Tasks 28 IV. Why Drafters Too Often Draft Laws that Fail to Induce Good Governance and Development 29 A. The Drafter's Myth and its Consequences 30 The Structure and Process of Drafting Institutions 34 C. The Drafters' Innocence of Legislative Theory and Methodology 41 V. The Drafters' Ethical Responsibilities 42 A. The Scope of the Drafter's Duties 42 The Duty of Loyalty 43 C. Competence 45 D. Confidentiality 45 E. Terminating or Declining Instructions 45 VI. This Manual's Pedagogical Principles: 'Learning-by-Doing' 46 VII. Summary Prioritizing Drafting Proposals 51 I. Introduction 51 II. Explanations For Haphazard Prioritization 52 A. Whose and What Behaviors Lead to Haphazard Prioritization? 52 Why Not-So-Haphazard Prioritization? 53 III. Institutions for Prioritizing Drafting Projects: Who Prioritizes? 55 IV. Criteria for Prioritization 57 A. The Gravity of the Social Problem Addressed 57 The Legislation's Anticipated Social Impact 68 C. 'Do-ability' 76 D. The Drafting Programme 76 V. Summary 78 Part II JUSTIFYING A DRAFT BILL: THE RESEARCH REPORT Introductory Note Writing a Research Report: Operationalizing Legislative Theory and Methodology 85 I. Introduction 85 II. Why a Research Report? 86 A. The Research Report as a Basis for Assessing a Bill 87 Ensuring that Drafters Examine Relevant Evidence 88 C. Ensuring the Research Report's Logic 88

4 Contents vii III. A Problem-Solving Methodology as a Guide To Research 88 A. Problem-Solving's Four Steps 90 IV. Legislative Theory's Categories as Guides to Research 93 A. Subjective Factors 95 Objective Factors 96 C. Summary 99 V. Designing a Legislative Solution: The Bill's Details 99 A. The Criteria of an Adequate Solution 100 Preliminary Choices C. Developing a Menu of Alternative Potential Solutions 103 D. Conformity-Inducing Measures 103 E. Describing the Proposed Solution 107 F. Demonstrating that the Bill will Prove Effective 107 G. Weighing a Bill's Probable Cost and Benefits Ill H. Monitoring and Feedback Systems 114 VI. A 'Checklist' (Outline) for A Research Report 115 A. The Functions and Uses of Checklists 115 A Caveat: When Not to Use this Checklist 117 VII. Summary Writing a Research Report: Ensuring Effective, Non-Arbitrary Implementation 125 I. Introduction 125 II. Implementation Functions 126 A. The Difficulty: Ineffective and Arbitrary Implementation Explanations for Ineffectual Implementation and Poor Governance 129 C. Solutions: Justifying a Bill's Implementation Provisions 141 D. Summary 154 III. Implementing Agencies as Rule-Makers 155 A. When to Write Intransitive Bills? 155 Preparing a Research Report to Justify Empowering an Agency to Promulgate Rules (an Intransitive Law) 159 IV. Summary Capturing the Evidence 167 I. Introduction 167 II. Getting the Facts 170 A. Gathering Presently-known Evidence...'. 170 The Advantages of Stakeholder Participation in the Research Process 171 III. Assessing Methods Used to Gather Available Facts 173 A. Quantitative vs. Qualitative Methodologies 174 IV. The Kinds and Weight of Evidence Needed 176 A. The Kinds of Evidence Drafters Need 176 Constraints on Capturing Quantitative Evidence 179 C. The Importance of Sampling Techniques 182 D. Learning from Foreign Law and Experience 184 V. Conclusions 185

5 viii Contents 7. Form of a Research Report 187 I. Introduction 187 II. Accessible Language 187 III. The Executive Summary 188 IV. Signposts for the Readers 188 A. Problem-Solving: the Map of the Report's Logic 189 Connectives as Signposts 189 C. Summary 193 V. The Research Report's Language 194 A. Rule 1: Keep Sentences Short 194 Rule 2: Place the Most Important Concept at the End of the Sentence 194 C. Rule 3: Keep Together Subject and Verb, the Parts of a Compound Verb, and Verb and Object 195 D. Rule 4: Use as Few 'Glue' Words as Possible 195 E. Rule 5: Write with Nouns and Verbs, not Adjectives and Adverbs 195 F. Rule 6: Avoid 'Throat-Clearing' Expressions 196 G. Rule 7: Avoid the Passive Voice 196 H. Rule 8: Avoid the Verb 'to Be', in All its Forms 196 VI. Citing Sources of Information Used in Research Reports 198 A. Footnotes and Endnotes 198 Bibliographic References 200 VII. Conclusion 200 PART III TECHNIQUES FOR DRAFTING THE BILL Introductory Note The Architecture of a Bill 207 I. Introduction 207 II. Structuring a Bill: Theory 207 A. The Architecture of a Bill: The Problem and its Explanation 208 How Theory and Structure Interrelate 210 III. Structuring a Bill: Practice 211 A. The Parts of a Bill: Titles, Parts, Divisions (or Chapters) and Others 212 Compiling a List of Proposed Sections 213 C. Structuring the Bill: Grouping and Ordering 215 IV. The Location of Technical Sections: General Principles, Definitional Clauses, Short Titles 220 A. The General and Miscellaneous Parts 220 Schedules 220

6 Contents V. A Default System for Ordering Bills 221 A. The Law Part 222 The Implementation Part 225 C. The Sanctions Part 227 VI. Summary Writing a Legislative Sentence: The Who and the What 231 I. Introduction 231 II. The Content of a Section and the Sentences that Comprise it: the Who and the What 232 A. The Function of a Legislative Sentence 232 III. Specifying the Who and the What: General Defining the Actor: Guides to Specifying the 'Who' A. The Subject as the Actor Who Does the Act The Subject Must Have Capacity to Act C. D. Use the Active, not the Passive Voice How to Identify the Actor? E. Drafting in English: Use of the Singular rather than the Plural 240 F. G. Avoid 'Each,' 'Any,' 'All' and 'Every' Avoid Sexist Pronouns IV. Defining the Action: Guides to Specifying the 'What' 241 A. Draft in Terms of Behaviors, not Rights or Duties 242 C. Imposing an Obligation to Act Granting a Discretionary Power D. Forbidding Action (Imposing a Duty Not to Act) 246 E. Tense 247 F. Use Base Verbs, not Weak Verbs with a Nominalization of the Base Verb 248 V. Action Only Under Certain Conditions A. The Case The Condition 249 C. The Exception 249 D. The Proviso 249 E. Placement in the Sentence 249 VI. Preliminary Checks on a Bill's Sufficiency A. Walking Through :.".' The 'What-If Game VII. Summary : Writing a Legislative Sentence: Ensuring Clarity and Avoiding Ambiguity 255 I. Introduction How Much Detail? How Much Precision? 256 A. The Degree of Specificity: How Much Detail? 256 Exceptions to the Requirements of Specificity 257 III. Introduction to Words: The Meaning of Meaning 258 A. How to Understand Words? 258 The Inevitability of Vagueness 259 ix

7 x Contents IV. Devices to Make Precision More Likely 262 A. Vague Words 262 Ambiguous Words 263 C. Covering the Entire Domain 263 D. Same Concept, Same Word; Different Concept, Different Word 264 E. The Use of Redundant Words 265 F. Words Used in Companion Statutes 265 G. Ambiguous Modifiers 266 H. 'And'and'or' 267 I. 'Stuffing' a Legislative Sentence (Keeping Sentences Short) 268 J. To Clarify, Use Tabulations 269 K. Draft in the Positive, Not the Negative 272 L. Avoid Using the Verb 'to be' in All its Forms 273 M. Vocabulary 274 N. Most Important Concept at End of Sentence; Locating Subordinate and Adjectival Clauses 275 O. Incorporation by Reference 275 P. Internal References 276 V. Summary Drafting Within the Constitution and Other Limits 279 I. Introduction 279 II. Drafting Within Instructions 280 III. Drafting Within the Constitution 281 A. The Drafter and the Constitution 281 Drafting with One Eye on the Constitution 282 IV. Drafting Within Cabinet Memoranda, Ministry of Justice Circulars and Establishment Codes 287 V. Drafting Within the Interpretation Act 287 A. An Interpretation Act's Provisions 287 Using an Interpretation Act 289 VI. Drafting Within the Rules for the Judicial Interpretation of Statutes 290 A. Principles of Statutory Construction 293 Some Maxims (or 'Canons') of Statutory Construction of Which Drafters Should Remain Particularly Aware 294 VII. Drafting Administrative Regulations (or 'Subsidiary Legislation') 296 A. Limits on the Rule-Making Power 297 Use a Vocabulary Consistent with the Principal Legislation 298 C. The Form of Subsidiary Legislation 299 VIII. Summary Internal Aids to Interpretation 303 I. Introduction 303 II. On Guiding the Interpretation of a Statute 304

8 Contents xi A. The Power to Assign Meaning to a Rule 304 The Grounds for Decision 306 C. Specifying the Decision-Making Procedures 306 III. The Research Report 306 IV. The Title 308 V. The Preamble 309 VI. Legislative Findings of Fact 310 VII. General Principles Sections 310 VIII. Definitional Sections 312 A. A Criterion for an Adequate Definition 312 Formal Rules for Definitional Sections 312 C. Placement of Definitional Sections 314 IX. Annotations to a Bill as a Device to Explain its Provisions 315 X. Summary % Formal Matters: Placing the Statutes in the Corpus of the Law 319 I. Introduction 319 II. The General Structure of the Corpus of the Laws 320 A. Methods of Organizing a Country's Legislative Output 320 'Tops' 321 III. Clauses Tending to Guard Against Confusion Concerning Which Laws are in Force 322 A. Enacting Formulae 322 'Coming into Force' (or 'Effective Date' or 'Commencement') Provisions 323 C. Retroactive Clauses (Clauses Giving Effect to a Bill Prior to its Date of Enactment) 324 D. 'Sunset' Clauses 325 E. Scope-of-Application Clauses 326 IV. Amendments and Repeal 327 A. The Dangers of Amendment by Implication 327 Avoiding Confusion Between Earlier and Later Statutes C. Techniques for Drafting Amendments and Repeals 329 V. Transitional and Savings (or 'Grandfather') Provisions 335 VI. Summary 336 PART IV DRAFTING FOR GOOD GOVERNANCE Introductory Note Drafting for the Rule of Law and Defensively Against Corruption 343 I. Introduction 343 II. Corrupt Practices: The Antithesis to Good Governance 344 III. Explanations for Corruption 345 A. Many Explanations, Many Solutions 345

9 xii Contents Subjective Explanations and the Insufficiency of Legislative Solutions 346 C. Objective Explanations for Corruption IV. Limiting the Scope of Officials' Discretion A. Input and Feedback Processes Limits on the Conversion Process V. Accountability and Transparency A. Institutions of Accountability C. Institutions of Transparency Summary VI. Combating a 'Culture of Corruption' 361 A. Combating Hopelessness about Corruption: A General Strategy Three General Laws to Combat Corruption C. A Checklist for Corruption Control VII. Summary Possible Formulations for Exercises 377 Index 403