Issue Brief: Integrating Rule of Law in the Post-2015 Development Framework
Background Paper - Rule of Law and Sustainable Development Governance... · political coalitions to...
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1 Background Paper: Overview on the Rule of Law and Sustainable Development for the Global Dialogue on Rule of Law and the Post‐2015 Development Agenda Louis‐Alexandre Berg and Deval Desai 1 Draft, August 2013 Executive Summary This paper lays out a framework for discussions on the role of the rule of law in the post‐ 2015 agenda. It summarizes the evidence base for the relationship between the rule of law and development, highlights lessons from rule of law development programming and the experience of the MDGs, and points to options for how the rule of law might be incorporated into the post‐2015 development agenda. The paper emphasizes three themes. First, it recognizes the general commitment among policymakers to the importance of the rule of law to development. The deliberations to flesh out the post‐2015 agenda provide a unique opportunity to translate this commitment to the rule of law into action. Second, it highlights the importance of context and specificity. The rule of law is a concept that resonates across borders and boundaries while reflecting a diverse set of perspectives rooted in societies’ culture, history, politics, institutions and conceptions of justice. Third, it describes the multi‐ faceted, cross‐disciplinary, and sometimes contested nature of the evidence base, and emphasizes the importance of understanding the particular pathways between the rule of law and development. Efforts to define commitments, targets and indicators should clarify the particular pathways they are trying to promote while building on and strengthening the existing evidence base. The starting point for incorporating the rule of law into the post‐2015 agenda should be an understanding of the nature of the rule of law and its relationship to development. We take an inclusive view of the rule of law, which incorporates a diversity of perspectives while recognizing international norms. The rule of law is a system of rules and norms, a set of institutions, and an outcome of development, and a feature of the processes that cut across sectors to enable development to advance. At the same time, specific functions of the rule of law and its relationship to development are increasingly recognized. Drawing on a wide range of empirical literature and practical experience, the paper lays out core development functions of the rule of law, including: Enabling economic development, Citizenship and social and economic justice. Preventing, mitigating and deterring conflict, crime and violence Strengthening accountability and checks on power, and reducing corruption Enhancing the fair allocation of services 1 Georgetown and Harvard Law School respectively. Correspondence welcome at [email protected]. and [email protected]. This overview represents a more detailed version of the findings of the Policy Brief for policy makers shaping the Post‐2015 development agenda, available at http://issuu.com/undp/docs/issue_brief_‐_rule_of_law_and_the_post‐2015_develo. It is intended to complement the Policy Brief, providing a more detailed basis for discussions and consultations on the rule of law and development in the context of the development of the post‐2015 development goals. We are grateful to Shelley Inglis, Aparna Basnyat, Rosie Wagner, and the paper’s internal and external peer reviewers for their assistance, comments and guidance.
Transcript of Background Paper - Rule of Law and Sustainable Development Governance... · political coalitions to...
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Background Paper: Overview on the Rule of Law and Sustainable Development for
the Global Dialogue on Rule of Law and the Post‐2015 Development Agenda
Louis‐Alexandre Berg and Deval Desai1
Draft, August 2013
Executive Summary
Thispaperlaysoutaframeworkfordiscussionsontheroleoftheruleoflawinthepost‐2015agenda.Itsummarizestheevidencebasefortherelationshipbetweentheruleoflawanddevelopment,highlightslessonsfromruleoflawdevelopmentprogrammingandtheexperienceoftheMDGs,andpointstooptionsforhowtheruleoflawmightbeincorporatedintothepost‐2015developmentagenda.Thepaperemphasizesthreethemes.First,itrecognizesthegeneralcommitmentamongpolicymakerstotheimportanceoftheruleoflawtodevelopment.Thedeliberationstofleshoutthepost‐2015agendaprovideauniqueopportunitytotranslatethiscommitmenttotheruleoflawintoaction.Second,ithighlightstheimportanceofcontextandspecificity.Theruleoflawisaconceptthatresonatesacrossbordersandboundarieswhilereflectingadiversesetofperspectivesrootedinsocieties’culture,history,politics,institutionsandconceptionsofjustice.Third,itdescribesthemulti‐faceted,cross‐disciplinary,andsometimescontestednatureoftheevidencebase,andemphasizestheimportanceofunderstandingtheparticularpathwaysbetweentheruleoflawanddevelopment.Effortstodefinecommitments,targetsandindicatorsshouldclarifytheparticularpathwaystheyaretryingtopromotewhilebuildingonandstrengtheningtheexistingevidencebase. Thestartingpointforincorporatingtheruleoflawintothepost‐2015agendashouldbeanunderstandingofthenatureoftheruleoflawanditsrelationshiptodevelopment.Wetakeaninclusiveviewoftheruleoflaw,whichincorporatesadiversityofperspectiveswhilerecognizinginternationalnorms.Theruleoflawisasystemofrulesandnorms,asetofinstitutions,andanoutcomeofdevelopment,andafeatureoftheprocessesthatcutacrosssectorstoenabledevelopmenttoadvance.Atthesametime,specificfunctionsoftheruleoflawanditsrelationshiptodevelopmentareincreasinglyrecognized.Drawingonawiderangeofempiricalliteratureandpracticalexperience,thepaperlaysoutcoredevelopmentfunctionsoftheruleoflaw,including:
Enablingeconomicdevelopment, Citizenshipandsocialandeconomicjustice. Preventing,mitigatinganddeterringconflict,crimeandviolence Strengtheningaccountabilityandchecksonpower,andreducingcorruption Enhancingthefairallocationofservices
1GeorgetownandHarvardLawSchoolrespectively.Correspondencewelcomeatlb262@georgetown.edu.anddeval.desai@trinity.oxon.org.ThisoverviewrepresentsamoredetailedversionofthefindingsofthePolicyBriefforpolicymakersshapingthePost‐2015developmentagenda,availableathttp://issuu.com/undp/docs/issue_brief_‐_rule_of_law_and_the_post‐2015_develo.ItisintendedtocomplementthePolicyBrief,providingamoredetailedbasisfordiscussionsandconsultationsontheruleoflawanddevelopmentinthecontextofthedevelopmentofthepost‐2015developmentgoals.WearegratefultoShelleyInglis,AparnaBasnyat,RosieWagner,andthepaper’sinternalandexternalpeerreviewersfortheirassistance,commentsandguidance.
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Protectingtheenvironmentandnaturalresources
Understandingtheserelationships,thespecificpathwaysbetweentheruleoflawanddevelopmentthateachimplies,andtheevidencebaseforeach,isessentialtocraftingeffectivegoalsandtargets.Developmentpolicyshouldalsoconsiderthetrade‐offsandtensionsamongthesevariousfunctions.Thepost‐2015agendashouldalsotakeintoconsiderationthehistoryofruleoflawdevelopmenteffortsaswellastheexperienceoftheMDGs.Whiledevelopmentactorshavesoughttopromotetheruleoflawforatleastfivedecades,evidenceofimpacthasbeenmixed.Severalcritiqueshavearisentopointoutspecificlimitationsandsuggestalternativeapproaches.First,programshavetendedtopresumelineartrajectoriesofchange.Second,theyhavenotincorporatedsufficientlylongtimehorizons.Third,theyhavetendedtotransplantmodelsorgoalsfromelsewherewithoutconsideringthecontextualbasisofchange.Fourth,theyhavenotsufficientlysupportedin‐countrypoliticalcoalitionstounderpinthedevelopmentoftheruleoflaw.Inresponsetotheseconcerns,developmentactorshavemovedtowardevidence‐based“problem‐solvingapproaches”.Theseapproachesfocusontheproblemsexperiencedby“end‐users”ofruleoflawsystems,andexamineruleoflawchallengesthatcutacrossdevelopmentsectorsandoutcomes.Buildingontheseadvancesintheruleoflawfield,wesuggestthatretainingsomeflexibilityindefininggoals,targetsandindicatorstoreflecttheuniquechallengesofparticularsocietieswithinbroadlyunderstoodconceptionsoftheruleoflaw.Asabasisforgoalsandindicatorsfortheruleoflawinthepost‐2015agenda,thepaperreviewspriorandongoingeffortstomeasuretheruleoflaw.Acrucialstepinsettingtargetsisdefiningclearandmeasurableconcepts,rootedintheevidenceforparticularpathwaysbetweentheruleoflawanddevelopment.Therangeofmeasurementapproacheshaveemphasizedvaryingconceptionsandmethodologies,rangingfrommeasuresofinstitutionalperformanceandcompliancewithinternationalnorms,tosurveysofuserexperienceandperception,tobroadindicesand“baskets”ofindicatorsthataimtoaggregatevariousconcepts.Giventhemulti‐dimensionalnatureoftheruleoflaw,eachoftheseapproachescarriesparticulartrade‐offs,includingbetweenspecificityandbreadthofcontext;universalapplicationandcontextspecificity;sensitivityofmeasurementandcomprehensiveness;aswellasinregardstoconsiderationslikecost,reliability,andmeasurement.Thedesignoftargetsandindicatorsshouldalsoconsidertheparticularincentivestheycreateandtheriskofunintendedconsequencesoffocusingonaparticularconceptorindicator.Withtheselessonsinmind,thepost‐2015agendaprovidesauniqueopportunitytobuilduponglobalpoliticalcommitmentstotheruleoflaw.Thewiderangeofcommitments‐reflectedininternationalpolicydocuments,conventionsandresolutionsofmultilateralandregionalorganizationsaroundtheworld‐displaysboththebroadresonanceacrosscountriesoftheimportanceoftheruleoflawtodevelopmentandthevariedconceptionsofandapproachestomeasuringcountries’adherencetotheruleoflaw.TheexperienceoftheMDGprocessalsohighlightedtheimportanceoftheruleoflaw,asseveralcountryreportsemphasizedtheimportanceofelementsoftheruleoflawtoachievingobjectives.Duringthepost‐2015process,civilsocietyactorshaveadvocatedforruleoflawgoalsandindicators,andrecentconsultationshaveemphasizeditsimportanceonissuesrangingfrompersonalsecuritytogovernance.Threegeneralapproachestoincorporatingtheruleoflawintothepost‐2015developmentagendacouldbeconsidered.Theseapproachesarenotmutuallyexclusiveandcouldbeadoptedinconcert:
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Defineacommonruleoflawgoalwithaflexiblebasketofindicatorsthat
canbetailoredtocountrycontexts.Aruleoflawgoalwouldsignaltheimportanceoftheruleoflawasanoutcomeofdevelopmentonparwithotheroutcomessuchaspovertyreductionandhealth,thoughitwouldrequireconsensusonaparticularfunctionoftheruleoflawfordevelopment.
Adopttheruleoflawasahighlevel“enabling”goal,whichwouldcommitcountriestomakenational‐levelpolicychangesthatenableprogressonotherdevelopmentgoals.Thisapproachrecognizesthattheruleoflawisnotjustanendinitself,butthatitalsoenablesabroaderrangeofdevelopmentoutcomes.
Incorporatetheruleoflawacrossdevelopmentgoals,throughruleoflawspecifictargetsandindicatorsinsupportofothergoals.Thisapproachhighlightstheimportanceoftheruleoflawacrossdevelopment,withoutdefiningitasadesirableendinitself.
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Introduction
Thispaperlaysoutaframeworkfordiscussionsabouttheruleoflawinthepost‐2015agenda.Itisstructuredaroundthreethemes.Thefirstistheincreasingrecognitionamongpolicymakersoftheimportanceoftheruleoflawtodevelopment.Thisisparticularlytrueinthecontextofthepost‐2015world.Theruleoflawhasshapeddevelopmentprocessesthroughtheoperationoflaws,regulationandenforcement;enabledconditionsandcapacitiesnecessarytodevelopmentoutcomes;andremainedacoredevelopmentendinitself.AlthoughitwasnotaddressedexplicitlyaspartoftheMillenniumDevelopmentGoals(MDGs),theimportanceoftheruleoflawtoachievingtheGoalsismentionedacrossseveralMDGcountryreports.UNMemberStateshaverecentlyrenewedtheircommitmenttothestrengtheningtheruleoflawasabasisfordevelopment,notablyinthe2012UNGeneralAssemblyHighLevelMeetingontheRuleofLawandtheRio+20Conference.CommitmentstotheruleoflawandprotectionofrightsalsoemergedfromtherecentPanamaandJohannesburgconsultationsonpersonalsecurityanddemocraticgovernanceinthepost‐2015agenda;2andglobalcivilsocietyactorshavecalledforruleoflawgoalsand/orindicators.3Theforthcomingdeliberationstofleshoutthepost‐2015agendaprovideauniqueopportunitytotranslatethiscommitmenttotheruleoflawintoaction.Thesecondthemeistheimportanceofcontextandspecificity.Theconceptoftheruleoflawresonatesacrossbordersandboundaries,andsocietieshavedevelopedsharedunderstandingsofthevalueoftheruleoflawtodevelopment.Atthesametime,developinganddevelopedcountrieshaveadoptedadiversesetofperspectivesandapproachestotheruleoflawthatreflecttheirculture,history,politics,institutionsandconceptionsofjustice.Itisunderstoodbothasanoutcomeandafeatureofdevelopmentprocesses,abroadprincipleaswellasasetofinstitutions,anditisladenwithvaryingsocialandpoliticalvalues.Thebalancebetweenuniversalityofgoalsandspecificitytocontextshouldbereflectedinapproachestopromotingtheruleoflawthroughthepost‐2015agenda.Thethirdthemeisthemulti‐facetednatureoftheevidencebase.Theevidencebasecutsacrossdisciplines–fromlawtoeconomicstoanthropology–revealingthecross‐cuttingimportanceoftheruleoflawtoawiderangeofdevelopmentoutcomes.Theruleoflawhasbeenlinkedtobroadeconomicgrowth,tosocialjustice,toenhancingsafetyandsecurity,topublicandprivateaccountability,andtoenhancingthefairallocationofservicesbygovernments.Eachoftheselinkagesisbasedonaparticularsetofcausalpathwaysthatpointtovaryingpolicyoptionsforpromotingtheruleoflawasabasisfordevelopment.Theevidencebaseforsomeoftheserelationshipsisalsocontested,inpartduetothemulti‐facetednatureoftheevidence,thevarieddisciplinesinwhichitisrooted,andpaucityofreliabledataoncoreelementsoftheruleoflaw.Emphasizingthelessonsfrompracticalexperiencesalongsideempiricalresearch,weaimtopresentthemostrobustevidenceavailable,pointingoutareasinwhichtheevidenceisstrong,andotherswherefurtheranalysisandbetterdataareneeded.Asabasisfordiscussionsabouthowtheruleoflawmightbeincorporatedintothepost‐2015developmentframework,thisoverviewscanstheliteratureonlawanddevelopment;justicereformandruleoflawpromotion;aswellaseconomic,politicalscienceandanthropologyliteratureonthelinkagesbetweentheruleoflawanddevelopment,drawingoutthemesandpossibledirections.Whilewerefertorelevant
2http://www.worldwewant2015.org/conflictandhttp://www.worldwewant2015.org/governance3http://www.transparency.org/whatwedo/pub/policy_brief._looking_beyond_2015_a_role_for_governanceandhttp://www.opensocietyfoundations.org/projects/justice‐and‐development
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alliedfields,suchassecuritysectorreform,transitionaljustice,humanrights,andsustainabledevelopment,wedonotclaimtotreatthemcomprehensively.Furthermore,wefocusonnational,ratherthaninternational“ruleoflaw”(suchastheoperationoftreatybodies),althoughweengagewithlinkswhereappropriate.4Basedonthisliterature,wefindanemergingbodyofevidencethatpointstospecificlinkagesbetweentheruleoflawanddevelopmentthatcanprovideafoundationforincorporatingtheruleoflawintothepost‐2015developmentframework.Wehighlighttherangeofprinciples,conceptsandcommitmentsthatcomprisetheruleoflaw,alongwiththevarietyofpathwaysthatlinktheruleoflawtodevelopment.Effortstodefinecommitments,targetsandindicatorsshouldsortthroughthisrangeofpathwayswhilebuildingonandstrengtheningtheexistingevidencebase.Wedonotrecommendanyparticularconceptortargetinthisoverview,nordowedeveloponesinglenarrative.Rather,weaimtoclarifytherangeofdifferentoptionsandapproaches.Wealsoemphasizetheimportanceofembeddingtargetsandindicatorsdeeplyinlocalcontexts,andprioritizingnationalandlocalperspectivesthroughaproblem‐solvingapproach.Wearemindfulindraftingthisoverviewoftheneedforhumilityandcare,andwedosobasedonlessonslearnedfromtheMDGprocess.AstheUNTaskTeamonthepost‐2015agendastates:“Severalofthegoalsandtargetsrelatedtotheglobalpartnershipfordevelopmentweredefinedratherimprecisely,therebyweakeningaccountabilityforthepromisedinternationalsupportfortheimplementationoftheMDGframework.Manyofthecommitmentsmadebytheinternationalcommunityhaveremainedunfulfilled.”5Ourapproachistoavoidprescriptivismandrathertotryandframecurrentdiscussionsandoffersomeguidanceonpotentialwaysforwardafter2015.Thisoverviewthusaimstohelpstructurediscussionsby(1)clarifyingtherelationshipbetweentheruleoflawanddevelopment;(2)summarizingthelessonsofruleoflawdevelopmenteffortsandtheexperienceoftheMDGs;and(3)pointingtooptionsforhowtheruleoflawmightbeincorporatedintothepost‐2015developmentagenda.
What Is the Rule of Law?
Atitscore,theruleoflawisameansoforderingsociety–includingthestate‐citizenrelationship.Itincludessystemsofrulesandregulations,thenormsthatinfusethem,andthemeansofadjudicatingandenforcingthem.Whileolderpolicyconceptionsoftheruleoflawindevelopmentemphasizedsecurityandpropertyrights,abroaderunderstandingopensupspacefornewthinkingabouttheruleoflawinthecontextofthepost‐2015agenda. Thesubstanceofvalues,rulesandtheirapplicationvarydeeplyacrossculturesandcontexts,andevolveinresponsetopoliticalandsocialforcesincludingdevelopmentandglobalization.Someoftheelementsthatinfusetheconceptinclude:
Conceptsfrompoliticalphilosophywithamultiplicityofdefinitionsincluding:asystemofrules(sometimes“rulebylaw”);normssuchasequalitybeforethelaw;justprocess,justoutcomes;andequalaccess.
Internationalhumanrightsnorms.Theruleoflawcanbeinfusedwithhumanrightsnorms;fortheU.N.andmanydevelopmentagencies,theruleoflawisinherentlyconsistentwithinternationalhumanrightsstandards.
4AsindicatedintheSecretaryGeneral’srecentreportontheruleoflaw:A/66/749atpara35etseq5UNSystemTaskTeamonthePost‐2015UNDevelopmentAgenda,2012.“RealizingtheFutureWeWantforAll:ReporttotheSecretary‐General”,at7.
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Complexrelationshipwith“justice”:“justice”isoftenusedinrelationtotherule
oflaw.Withinthesamephilosophicaltraditionofthe“ruleoflaw”asdiscussedinthisoverview(i.e.onedominatedbyphilosophyfromtheGlobalNorth),ithasbeentaken–fromallsidesofthepoliticalspectrum‐tomeanthenormsthatinfusearuleoflawsystem;6theoutcomeofthewayinwhichsociety,economyand/orapoliticalsystemisordered;7and/oraseriesofinstitutionsthatmaintainthe“ruleoflaw”.8Atthesametime,inenforcingparticularnormsofjusticeinagivensociety,theruleoflawdeterminesvaryingformsofrecognitionamonggroupsandindividuals,publicparticipation,individualandgroupagency,humanandphysicalsecurity,andthedistributionofresourcesandpublicservices.9
Geographicalandculturalvarianceindefinitions.Avarietyofinstitutionsand
normativecommitmentsarerelevant.Forexample,whilekastomorcustomarylawareimportantinpartsofMelanesia;inSaudiArabia,“[t]helegalsystemrejectsqanun[‘code’or‘statute’]entirely,refusingtocodifyevenitsbasiccivillaws.Itusestheterm‘nizam’,orregulation,forthelimitednumberofman‐madelawsitdoeshave.”10
Deductively,theruleoflawisoffundamentalimportancetodevelopmentoutcomes:theruleoflawexpressesandenablesasociety’sconceptionofsocialandeconomicjustice,andmorespecificallyattitudestoextremepovertyanddeprivation.Itframeswealth,resourceandpower(re)distribution.Yetnoruleiswithoutsubstance.Manywritersontheruleoflawdistinguishbetween“thin”(i.e.concernedwiththeformoflawandequalapplication),and“thick”(i.e.fairorjustsubstantivecontent)ruleoflaw.11However,allconceptionsexpresssomeformof
6Aristotle(2012),NichomacheanEthics(trans.Bartlett,R.andCollins,S.).Chicago:UniversityofChicagoPress;Rawls,J.(1999),ATheoryofJustice(revisededn.).Cambridge,MA:HarvardUniversityPress7Rousseau,J‐J.(ed.Gourevitch,V.)(1997),TheSocialContractandotherlaterpoliticalwritings.Cambridge:CambridgeUniversityPress;Posner,E.(2002),LawandSocialNorms.Cambridge,MA:HarvardUniversityPress;Posner,R.(1983),TheEconomicsofJustice.Cambridge,MA:HarvardUniversityPress;Sen,A.2009.TheIdeaofJustice.Cambridge,MA:HarvardUniversityPress;Sandel,M(1998),LiberalismandtheLimitsofJustice.Cambridge,CambridgeUniversityPress;Dworkin,R.(1986),Law’sEmpire.Cambridge,MA:HarvardUniversityPress;Nozick,R.(1974),Anarchy,State,andUtopia.NewYork:BasicBooks.8Montesquieu,C.(2011),TheSpiritofLaws(trans.Nugent,T.).NewYork:Cosimo9See,forexample,Fraser,N.(1995),“FromRedistributiontoRecognition?DilemmasofJusticeina‘Post‐Socialist’Age”,212(July‐August)NewLeftReviewI68.10Vogel,F.E.,2000.“TheRuleofLawinSaudiArabia,”inCotran,E.,andYamani,M.(eds.)TheRuleofLawintheMiddleEastandtheIslamicWorld:HumanRightsandtheJudicialProcess.LondonandNewYork:I.B.TaurisandCo.,at129.11See,forasummary,Trebilcock,M.J.andDaniels,R.J.,2008.Ruleoflawreformanddevelopment:chartingthefragilepathofprogress.Northampton:EdwardElgar.
Theruleoflawvariesdeeplyacrossculturesandcontexts“Soactuallylookingatthe[state]court,theyonlyfocusonthenatureofyourcomplaintandcarelesstoknowwhattranspiredinthepast.Soinshort,thecourtdoesnotsatisfythebothpartieswhencasesareresolvedbythem.Butforourtraditionalpeopletheylookatthenatureofthecaseandalsodigoutthepasttoknowwhathappened,andbaseduponthattheypeacefullyresolvedthematter.Andattheclimaxthebothpartiesleavewithsmile.”‐MaleadultinNimba,Liberia.Source:DeborahIsser,StevenLubkemannandSaahN’Tow(2009),“LookingforJustice:LiberianExperienceswithandPerceptionsofLocalJusticeOptions,”PeaceworksNo.63,UnitedStatesInstituteofPeace.
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allocationofgoodsorsocialvalues.12Principlesoflegalcertainty,forexample,mightprioritizetheexistingdistributionoflandoverredistributionefforts,ormightimpactcommunityusufructrights.13Asaresult,howROLisdefinedisahighlypoliticalchoice,asthedifferentvaluesandnormsitespousesresultindifferentinterpretationsofwhatisandisnotthelegitimateexerciseofpowerbypublicandprivateactors.Thus,unlikeafacetofdevelopmentdefinedbyaseriesofindividual‐leveloutcomes,likematernalorchildhealth,theruleoflawisamulti‐dimensionalsocialandpoliticalrealitythatvariessignificantlybycontext.
ThecomplexityofROLmeanspolicyunderstandingsoftheruleoflawarealsovaried.Dependingontheactororinstitution,theruleoflawhasbeenviewedas:
Anoutcomeofdevelopment.Forinstance,theWorldBankwritesthat“‘alackofaccesstojusticeisitselfacentraldimensionofpoverty.”14Inthissense,itisanormativelydescribedlegalandpoliticalorder,astateofhumansecurity,andanoutcomeofjustice.15Itisalsoanenablingconditionfordevelopment,forinstanceinestablishingthebasicsocialorderandsecurityrequiredforotherdevelopmentactivitiestoproceed.Itisalsoaprocessthroughwhichotherdevelopmentoutcomesareachieved,thatdetermineswhichdecisionsaremade,rulesareadoptedandenforced,andgrievancesanddisputesareresolved.16
Principleofgovernance,orpoliticalorder,regulatingandframingtheuseofpublicandprivatepower.TheUNSecretaryGeneral(UNSG)definesitasa“principleofgovernanceinwhichallpersons,institutionsandentities,publicandprivate,includingtheStateitself,areaccountabletolawsthatarepubliclypromulgated,equallyenforcedandindependentlyadjudicated,andwhichareconsistentwithinternationalhumanrightsnormsandstandards.Itrequires,aswell,measurestoensureadherencetotheprinciplesofsupremacyoflaw,equalitybeforethelaw,accountabilitytothelaw,fairnessintheapplicationofthelaw,separationofpowers,participationindecision‐making,legalcertainty,avoidanceofarbitrarinessandproceduralandlegaltransparency.”17UNDPincorporatesasimilarviewofruleoflawandaccesstojusticeinitsDemocraticGovernancepillar.Inthiscontext,theruleoflawcontributestosustainablehumandevelopmentasasystemofregulationandjustice.Itgovernstheuseofpowerthroughthefairandequalupholdingofrulesandlaws;italsofocusesontheabilityofthepoorandmarginalizedtoseekredressofgrievancesandvindicationofrightsandclaimsthroughasystemoflegalandsocialinstitutions.18
12Kennedy,D.1991.“TheStakesofLaw,orHaleandFoucault!”15LegalStudiesForum327.13WorldBank(2010),WanLis,FulapStori:LeasingonEpiIsland,Vanuatu.Washington,D.C.:WorldBank14WorldBank(2012),NewDirectionsinJusticeReform,http://www‐wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2012/09/06/000386194_20120906024506/Rendered/PDF/706400REPLACEM0Justice0Reform0Final.pdf,at1.15Sen,A.,2000.‘WhatistheRoleofLegalandJudicialReformintheDevelopmentProcess?’In:WorldBankLegalReviewVol2.Washington,D.C.:WorldBank16Santos,A.,2006.‘TheWorldBank’suseofthe‘RuleofLaw’promiseineconomicdevelopment’.In:D.M.TrubekandA.Santos,eds.,2006.Thenewlawandeconomicdevelopment:acriticalappraisal.Cambridge:CambridgeUniversityPress.17S/2004/616atpara6.18See,e.g.,http://www.undp.org/content/undp/en/home/ourwork/democraticgovernance/focus_areas/focus_justice_law.html,http://www.undp.org/content/dam/aplaws/publication/en/publications/democratic‐governance/dg‐publications‐for‐website/access‐to‐justice‐practice‐note/Justice_PN_En.pdfandhttp://www.undp.org/content/dam/undp/library/corporate/results/english/Results‐RuleOfLaw_9‐25‐12_E.pdf
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Asetofinstitutions.WhiletheUNSGarticulatesadefinitionofROLasaprinciple,
Arbour19mentionsaprevailinginstitutionalviewoftheruleoflawanddevelopment:itconcernsstatebodiesthatdealwithsecurity,lawandorderandtheresolutionofdisputes‐thepolice,ministriesofjustice,prisons,courts,prosecutors,etc.Others20takeasomewhatbroaderinstitutionalview:thetaskofdevelopmentistogetrightthestateandnon‐stateinstitutionsandrulesthatregulateeconomicandsocialactivity.Clark21adoptsaprincipledinstitutionalistview,beginningwiththeprinciplesunderpinningUNDP’sapproachthenshiftingfocusdowntothenationalinstitutionswhichexpressorimpedetheseprinciples,discussingthejudiciary,thepolice,securityforces,andparliaments
Internationalnormsandstandards:stateshavecommittedtointernationalnormsandstandards,includingtotheprinciplesoftheruleoflawitself(seesectiononinternationalcommitmentsbelow).Duringthe2012UNGeneralAssemblyHighLevelMeetingontheRuleofLaw,MemberStatesrecognizedthat“therearecommonfeaturesfoundedoninternationalnormsandstandardswhicharereflectedinabroaddiversityofnationalexperiencesintheareaoftheruleoflaw.”22
19LouiseArbour,“TheRuleofLaw”,NewYorkTimes,September26,2012,http://www.nytimes.com/2012/09/27/opinion/UN‐general‐assembly‐on‐the‐rule‐of‐law.html;LouiseArbour,StatementtotheHigh‐levelmeetingofthe67thSessionoftheGeneralAssemblyontheRuleofLaw,24September2012,athttp://unrol.org/files/Statement_President_CEO‐and‐ICG.pdf20North,D.,(1990)Institutions,InstitutionalChangeandPerformance.CambridgeUniversityPress;North,D.,Wallis,J.andWeingast,B.(2009)ViolenceandSocialOrders:AConceptualFrameworkforInterpretingRecordedHumanHistory.CambridgeUniversityPress.21HelenClark,‘RuleofLawandDevelopment:TimesofChallengeandOpportunity’,InauguralDistinguishedVisitorProgrammeSpeech,CollegeofLaw,QatarUniversity,6December2012,athttp://www.undp.org/content/undp/en/home/presscenter/speeches/2012/12/06/helen‐clark‐rule‐of‐law‐and‐development‐times‐of‐challenge‐and‐opportunity‐/;HelenClark,SpeechattheHigh‐levelmeetingofthe67thSessionoftheGeneralAssemblyontheRuleofLaw,24September2012,athttp://www.undp.org/content/undp/en/home/presscenter/speeches/2012/09/24/helen‐clark‐67th‐session‐of‐the‐un‐general‐assembly/;HelenClark,“DevelopmentinPractice:RuleofLaw,TransitionalJustice,andHumanRights”,2013HandsLecture,1May2013,athttp://www.undp.org/content/undp/en/home/presscenter/speeches/2013/05/01/helen‐clark‐2013‐hands‐lecture/.22A/RES/67/1atpara9etseq
Internationalcommitmentstotheruleoflawasabasisfordevelopment“Theadvancementoftheruleoflawatthenationalandinternationallevelsisessentialforsustainedandinclusiveeconomicgrowth,sustainabledevelopment,theeradicationofpovertyandhungerandthefullrealizationofallhumanrightsandfundamentalfreedoms,includingtherighttodevelopment,allofwhichinturnreinforcetheruleoflaw”‐DeclarationoftheHigh‐LevelMeetingoftheGeneralAssemblyontheRuleofLawattheNationalandInternationalLevels,2012“Democracy,goodgovernanceandtheruleoflaw,atthenationalandinternationallevels,aswellasanenablingenvironment,areessentialforsustainabledevelopment,includingsustainedandinclusiveeconomicgrowth,socialdevelopment,environmentalprotectionandtheeradicationofpovertyandhunger.”‐TheRio+20ConferenceonSustainableDevelopmentOutcomeDocument,2012“Theruleoflawisnotamereadornmenttodevelopment;itisavitalsourceofprogress.Itcreatesanenvironmentinwhichthefullspectrumofhumancreativitycanflourish,andprosperitycanbebuilt.”–UNCommissiononLegalEmpowermentofthePoorFinalReport,2008.
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Theruleoflawremainsamulti‐facetedconcept.Drawingfromalloftheabove,wecansaythatinthecontextofthepost‐2015agenda,theruleoflawis(1)asystemofrulesandnormsthatisafeatureofsocialandpoliticallife;(2)asocialandpoliticalrealitythatexistsaccordingtodifferentvalues;and(3)aprocessandoutcomethatoperatesatmultiplelevelsandcutsacrosssectorsofdevelopment.Manyhavehighlightedtheplethoraofdefinitions.23Wetreatitasan“essentially‐contestedconcept”:thatis,incapableofbeingpinneddownintheabstract.24Asaresult,wesuggestthatourunderstandingoftheruleoflawwithrespecttothepost‐2015agendaberootedinthefunctionsandrolesitplaysinrelationtodevelopment,aswellasthelessonslearnedfromthehistoryandevolutionofruleoflawreform.Weaddresseachoftheseinthefollowingsections.The Relationship between the Rule of Law and Development
Theliteraturepresentsvaryingviewsandevidenceofthedevelopmentfunctionsperformedbytheruleoflaw,orthepathwaysthroughwhichtheruleoflawcontributestodevelopment.AsUNDPAdministratorHelenClarkehasstated,thefocusofdevelopmentactorshasbeen“lessonsourcesofthelaw”and“moreonwhytheruleoflawisessentialforachievinginclusiveandsustainabledevelopment.”25Inthissectionwedrawonpolicyunderstandingsofthesepathways–fromUNDPandelsewhere–andoutlinethevaryingstrandsoftheory,empiricalevidenceandlessonsfromexperiencethatunderpinthem.Wediscusswhatruleoflawisinrelationtoeconomicandsocialdevelopmentandgrowth,ratherthanasanindependentprinciple.Wenotethatideasaboutthisrelationshiphaveevolvedandchangedovertime;severalarestillcontestedwhileevidenceforothersisincreasinglyrobust.
Enablingeconomicdevelopment,througharangeoffactorssuchastheprotectionofindividualpropertyrights;guaranteeingfairandcrediblecontractenforcement;26settingandenforcinglabourlaws;facilitatingmarketcreationandaccess,includingforthepoorandmarginalized27(forexample,protectingwomen’sinheritancerightsortheirlegalcapabilitytoenterintocontracts).28
Ingeneral,policyontheruleoflawaffectstherulesofthegamethatallowpeopletotransact.29Thereisstrongevidenceofacorrelationbetweenrobustpropertyrightsprotectionandlong‐runeconomicgrowth.30Ontheotherhand,itisnotclearifpropertyrightsprotectionisanoutcomeofgrowthratherthan
23NotablyTamanaha,B.Z.,2004.Ontheruleoflaw:history,politics,theory.Cambridge:CambridgeUniversityPress.24GallieW.B.,1956.‘Essentiallycontestedconcepts’.ProceedingsoftheAristotelianSociety,56,pp.167‐98.;Waldron,J.,2008.‘Theconceptandtheruleoflaw’.GeorgiaLawReview,43(1),pp.1‐61.25HelenClark,‘RuleofLawandDevelopment:TimesofChallengeandOpportunity’,InauguralDistinguishedVisitorProgrammeSpeech,CollegeofLaw,QatarUniversity,6December2012,athttp://www.undp.org/content/undp/en/home/presscenter/speeches/2012/12/06/helen‐clark‐rule‐of‐law‐and‐development‐times‐of‐challenge‐and‐opportunity‐/;26SeeHaggard,S.andTiede,L.(2011),“TheRuleofLawandEconomicGrowth:WhereareWe?”,39WorldDevelopment673foranoverviewoftheliterature.27See,forexample,“businessrights”inCommissiononLegalEmpowermentofthePoor(2008).MakingtheLawWorkForEveryone:Volume1.NewYork:UNDP.28MaryHallward‐DriemeyerandTazeenHasan(2012).EmpoweringWomen:LegalRightsandEconomicOpportunitiesinAfrica.Washington,D.C.:WorldBank.29North1990;WorldBankJusticeAnnextoGovernanceandAnti‐CorruptionUpdate(2012)30Seeforexample,KnackandKeefer1995,Scully1988,Acemogluetal2001,Acemogly
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itscause.31Moreover,whilepropertyrightsareimportant,enforcementisacriticalvariablethatisoftenoverlooked.32Debatesalsoclusteraroundthecontentoftheregulation,thelevelofenforcementanditseffectsonpro‐poorgrowth.33Asregardslaborlaws,theirframetherelationshipbetweenlaborandeconomicdevelopment.Finally,theimpactoftheroleofmarketcreationandaccesshasconvincinglybeenasserted,buttheevidencebaseislimited.34
Thereisconsiderableevidencefortherelationshipbetweenruleoflawandeconomicdevelopment.Butelementsofthisrelationshipneedtobefurtherresearched.Itisnotclear,forinstance,exactlywhyandhowmuchtheruleoflawinfluenceseconomicgrowth.Forexample,somecountriesandsectorshavegrownasaresultofanindustrialpolicyoffavorabletreatmentforcertaincompanies,whileothershavebenefitedfromequaltreatmentunderthelaw.35Inaddition,whileliberalunderstandingsofpropertyrights,contractenforcementandsoonhavetendedtobeassociatedwithgrowth,theyhavesignificantdistributionaleffects.Insomecases,effortstostrengthentheruleoflawcanbeinequitableiftheyfocusonloweringtransactioncostsforelitesratherthanfacilitatingredistributiveactionorbroaderaccesstoopportunities.36
Citizenshipandsocialandeconomicjustice.Theelementsoftheruleoflawrelatedtoidentity,legalrecognition,enablingparticipationandagency,andtheallocationandenforcementofclaimsandrights–includingeconomicandsocialclaimsandrights–havebeenlinkedtoequitablegrowth,equitabledeliveryofpublicservices,andthepossibilityofmoreeffectiveredistribution.
Senseestheruleoflawasbeginningwiththecapabilitiesofindividualsandcommunitiestoparticipateindefiningwhatisjust.Developmentinterventionshavesoughttobuildthesecapabilities–oracitizen’sagencyandvoice–acrosssectors.Thiscutsacrossalllevelsofalegalsystem,forexamplefromhigh‐level
31Haggard,S.,MacIntyre,A.andTiede,L.(2008),“TheRuleofLawandEconomicDevelopment”,11AnnualReviewofPoliticalScience205;Haggard,S.andTiede,L.(2011),“TheRuleofLawandEconomicGrowth:WhereareWe?”,39WorldDevelopment67332Dam,K.W.,2006.Thelaw‐growthnexus:theruleoflawandeconomicdevelopment.Washington,DC:BrookingsInstitutePress.33SeeforexampleBotero,Juan,SimeonDjankov,RafaelLaPorta,FlorencioLopez‐de‐Silanes,andAndreiShleifer,2004.“TheRegulationofLabor”,QuarterlyJournalofEconomics119(4):1339‐82;AlvaroSantos,LaborFlexibility,LegalReform,andEconomicDevelopment,50VirginiaJournalofInternationalLaw43‐106(2009);Kennedy,David,2006.‘The‘RuleofLaw’,politicalchoicesanddevelopmentcommonsense’.In:D.M.TrubekandA.Santos,eds.,2006.Thenewlawandeconomicdevelopment:acriticalappraisal.Cambridge:CambridgeUniversityPress;Faundez,Julio(2009).“EmpoweringWorkersintheInformalEconomy”,HagueJournalontheRuleofLaw,1:156–172;Maiti,D.,2009.‘Institutions,networksandindustrialisation:fieldlevelevidenceoffragmentationandflexibilityfromIndia’,IPPGDiscussionPaper,No.26.Manchester:IPPG.34Stephens,M.(2009).“TheCommissiononLegalEmpowermentofthePoor:AnOpportunityMissed”,HagueJournalontheRuleofLaw,1,132‐157;Mahdi,S.,2010.‘Theimpactofregulatoryandinstitutionalarrangementsonagriculturalmarketsandpoverty:acasestudyofTanzania’scoffeemarket’,IPPGDiscussionPaper,No.40.Manchester:IPPG35Amsden,A.H.,2001.Theriseoftherest:challengestotheWestfromlate‐industrializingeconomies.Oxford:OxfordUniversityPress;Pistor,K.andWellons,P.(1999),TheRoleofLawandLegalInstitutionsinAsianEconomicDevelopment,1960‐1995.NewYork:OxfordUniversityPress;Trubek,D.M.,2008.‘Developmentalstatesandthelegalorder:towardsanewpoliticaleconomyofdevelopmentandlaw’,UniversityofWisconsinLegalStudiesResearchPaper,No.1075;Trubek,D.M.,2009.‘Thepoliticaleconomyoftheruleoflaw:thechallengeofthenewdevelopmentalstate’.HagueJournalontheRuleofLaw,1(1),pp.28‐32.36Son,HyunandKakwani,Nanak(2007)‘Globalestimatesofpro‐poorgrowth’WorldDevelopment36(6):1048‐1066;Holston,J.,1991.‘Themisruleoflaw:landandusurpationinBrazil.’ComparativeStudiesinSocietyandHistory,33(4),pp.695‐725;Scott,J.C.,2009.TheArtofNotBeingGoverned:AnAnarchistHistoryofUplandSoutheastAsia.NewHaven:YaleUniversityPress.
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rules(suchasconstitutions)thatcanfacilitaterecognitionandparticipation,tonationalandlocaladministrativelawregulatingthedeliveryofbasicservices,tocustomarylawgoverningtheallocationofnaturalresourcerights.
Accesstojusticeandlegalempowermentinitiativeshaveproventobevaluablewaystodothis.Legalempowermentblendscommunityempowermentandmobilizationwithlegalcapacitybuildingandadvocacytobuildthevoiceandpoliticalimpactofthepoorandmarginalized.Accesstolegalinformationandtoinstitutionsoftheruleoflaw(looselydefined)mayenablethepoortotakeadvantageofeconomicopportunitiesandresistexploitation,particularlybymakinglocalinstitutions(suchascustomarycourtsorlocalmagistratescourts)accessible.37
Theevidencethatexistsbetweenspecificlegalempowermentinitiativesandbroadersocialandeconomicoutcomes–predominantlyaseriesofdetailedcasestudiesbutlittlecomparativework‐ismixed.Wherelegalempowermentapproacheshavebeencorrelatedwithmoreequitabledevelopmentoutcomes,itisclearthatsocialmobilizationisanimportantfactorifthisapproachistowork.38AcontrolledstudyinBangladeshfoundthattheincidenceofillegaldowrypaymentsdroppedincomparisontothecontrolgroupfollowingNGO‐ledlegaleducationandmobilizationinterventions.39YetastudyofprimaryeducationinIndiafoundthatinformingthecommunityoftheirrightstopushforchangespurredlittlecommunityactivityandnoimprovementineducationoutcomes.40Bycontrast,thepreliminaryresultsfromalandtitlingrandomizedcontroltrialindicatethatanempowermentapproachwasmoreeffectivethantheprovisionofcourtadvocacyservicesatpromotingeffectiveconversationsamongcommunitiesaboutlandrights,spurringpeacefulintra‐communityconflictresolutionoverlandandincreasingcommunityownershipoflandreforms.41
Studiesemphasizethelong,historicalsociopoliticalprocessesthathavecometodefinecitizenshipandidentity;theirimpactondistributionofrights,resources
37Golub,S.,2010.‘Whatislegalempowerment?:anintroduction’,inGolub,S.(ed.),Legalempowerment:practitioners'perspectives.Rome:InternationalDevelopmentLawOrganisation.38Gauri,V.andBrinks,D.eds.,2008.Courtingsocialjustice:judicialenforcementofsocialandeconomicrightsinthedevelopingworld.NewYork:CambridgeUniversityPress;39AsianDevelopmentBank,(2001),“LegalEmpowerment:AdvancingGoodGovernanceandPovertyReduction”,Appendix2,at135‐49.40Banerjee,A.,R.Banerji,E.Duflo,R.GlennersterandS.Khemani(2010)"PitfallsofParticipatoryPrograms:EvidencefromaRandomizedEvaluationinEducationinIndia."AmericanEconomicJournal:EconomicPolicy,2(1):1‐3041Knight,R.etal(2012),ProtectingCommunityLandsandResources:EvidencefromLiberia,MozambiqueandUganda.RomeandWashington,D.C.:IDLOandNamati.
Theruleoflaw,equityandinclusionLegalinstitutionssuchascourtscanplayanimportantroleindefiningidentityandtherebyguaranteeingequitableaccesstoeconomicandsocialopportunities.InKaranjav.Karanja(1976),theHighCourtofKenyasetaprecedentbyrejectingtheargumentthatunderKikuyucustomarylaw,marriedwomendonotownpropertybecausetheyhavenoindependentlegalidentity.Thecourtawardedthewomanathirdofthecouple’spropertyindivorceproceedings.Source:MaryHallward‐DriemeyerandTazeenHasan(2012).EmpoweringWomen:LegalRightsandEconomicOpportunitiesinAfrica.Washington,D.C.:WorldBank.
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andservices;andthesignificantvariationinthepossibilitiesofmobilizationandcollectiveactionthataresoimportanttothisapproach.42
Preventing,mitigatingandpunishingconflict,crimeandviolence(includinglawandorder).Thelinkbetweensecurity,stabilityanddevelopmenthasbeenclearlyestablished,ashasthenegativeimpactoftheabsenceofruleoflawongrowth.43Civilwarsareparticularlydevastatingtodevelopment,andotherformsofwidespreadcrimeandviolencediverttheprovisionofpublicgoods,destroyprivatepropertyandinfrastructure,andleadtoextortion,monopolyandotherharmfulpractices.44
Inadditiontopreventingeconomicdevelopment,violenceandcrimehaveadirectimpactonsocialdevelopmentandwellbeingofcitizens.45Thisisoftencontrastedintheliteraturewiththeaspectsoftheruleoflawwidelyassociatedwiththeabilityofstatestoensurethehumansecurityoftheircitizens,includingbothphysicalsafetyandfulfillmentofbasicneeds.Recentanalysissuggeststhatofthevariousdimensionsoftheruleoflaw,thebasiccontrolofviolencehasthestrongestcorrelationtoeconomicgrowthindevelopingcountries.46
Strengtheningcriminaljusticeinstitutionstendstobeseenasanimportantsteptowardimprovingsecurityandenablingvariousformsofdevelopment,especiallyintheaftermathofviolenceconflict.Nevertheless,studieshavecautionedagainstanoveremphasisonsecurity(“securitization”)tothedetrimentofotherdimensionsoftheruleoflaw.47
42See,forasummary,Marc,A.etal(2012)SocietalDynamicsandFragility:EngagingSocietiesinRespondingtoFragileSituations.Washington,D.C.:WorldBank;Gauri,V.,Woolcock,M.andDesai,D.(2013)‘IntersubjectiveMeaningandCollectiveActioninDevelopingSocieties:Theory,EvidenceandPolicyImplications',48JournalofDevelopmentStudies(forthcoming).43Forasummaryoftheevidence,seeTheWorldBank(2011)WorldDevelopmentReport:Conflict,SecurityandDevelopment.Washington,DC:TheWorldBank.44CollierP.(1999).‘Ontheeconomicconsequencesofcivilwar’,OxfordEconomicPapers51:168–83;Buvinc,M.,&Morrison,A.(1999).Violenceasanobstacleindevelopment.Washington,DC:InterAmericanDevelopmentBank;Ayres,R.(1998).CrimeandviolenceasdevelopmentissuesinLatinAmericaandtheCaribbean.Washington,DC:WorldBank.45NarayanD,PatelR,SchafftK,RademacherA,Koch‐SchulteS.2000.VoicesofthePoor.NewYork:OxfordUniversityPress46Haggard,S.andTiede,L.(2011),“TheRuleofLawandEconomicGrowth:WhereareWe?”,39WorldDevelopment67347See,forasummary,Harborne,B.andSage,C.,(2010),“SecurityandJusticeOverview”,BackgroundPaperpreparedfortheWorldDevelopmentReport2011,athttp://siteresources.worldbank.org/INTJUSFORPOOR/Resources/WDR_Background_Paper_Harborne_Sage.pdf.See,foratrenchantexampleofthiscritique,Duffield,M.(2002)“Socialreconstructionandtheradicalizationofdevelopment:aidasarelationofgloballiberalgovernance”,33DevelopmentandChange1049
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Inthecontextofcivilconflict,TransitionalJusticemechanisms–whichdealwiththelegacyofwarcrimesandabusesofauthoritybythepriorregime–canaffectthetransitiontogreaterstabilityanddevelopment.48Somedevelopment‐relevantfunctionsoftransitionaljusticeare(1)recognizingtherightsofvictims,(2)buildingconfidencethatauthoritiesintendtobreakwiththepast,and(3)re‐establishingstate‐societyrelationships.49Howevertheevidencefortheimpactoftransitionaljusticeandothereffortstostrengthencriminaljusticeinstitutionsintheaftermathofwarishighlylimitedandverymixed.50Someeffortshavebeencriticizedforfocusingtoomuchonhigh‐levelperpetratorsandignoringtheneedsofvictimsorofthemajorityofcitizens(suchassocio‐economicgrievances).51Othershavefocusedonre‐buildingcommunityleveltrust,andaddressingthesocialandeconomicneedsofcitizenswhoseliveshavebeendisruptedbyconflict.
Strengtheningaccountabilityandchecksonpower,andreducingcorruption.Theruleoflawentailspublicandprivateaccountabilityintheexerciseofpower,andconsistentandfairregulationanddisputeresolution,innationalandlocalcontexts.52
Dependingonacountry’sconstitutionalandinstitutionalsetting,institutionsthatenforceandadjudicatethelaw,suchasjudiciariesandregulatoryagencies,maybeinapositiontocheckthearbitraryactionofgovernmenttovaryingdegrees.Thisfunctionoftheruleoflawshapesthemeaningofandpossibilitiesforcorruption,nepotismandrent‐seeking,affectingcostsforeconomicactors53andthenatureoflongrungrowth.Thepresenceofinstitutionalchecksalsoaffectsthedistributionofrentsandshapestheprovisionofpublicservicesand
48VinjamuriL,SnyderJ.2004.‘Advocacyandscholarshipinthestudyofinternationalwarcrimestribunalsandtransitionaljustice.’AnnualReviewofPoliticalScience7:345–62;49Teitel,Ruti.2002.TransitionalJustice.OxfordUniversityPress;Mani,Rama.2002.BeyondRetribution:SeekingJusticeintheShadowofWar.Cambridge:PolityPress;WorldBank(2011),WorldDevelopmentReport2011:Conflict,SecurityandDevelopment.Washington,DC:WorldBank;UNDP(2011),StrengtheningtheRuleofLawinCrisis‐affectedandFragileSituations.NewYork:UNDP,at1850Tiede,LydiaandStephenHaggard.2012.“TheRevivaloftheRuleofLawintheWakeofCivilWar,”4HagueJournalontheRuleofLaw120.Call,C(2007),“Conclusion”inCall,C.(ed.)ConstructingJusticeandSecurityAfterWar.Washington,DC:UnitedStatesInstituteofPeacePress.51Miller,Z.(2008),“EffectsofInvisibility:InSearchofthe‘Economic’inTransitionalJustice”,2InternationalJournalofTransitionalJustice266.52O’Donnell,GuillermoA.2004.“WhytheRuleofLawMatters,”JournalofDemocracy15(4);WeingastB.1997.;Thepoliticalfoundationsofdemocracyandtheruleoflaw’.Am.Polit.Sci.Rev.91(2):245–63;UNDP(2011),StrengtheningtheRuleofLawinCrisis‐affectedandFragileSituations.NewYork:UNDP,at8,11.53Hallward‐Driemeier,M.,Khun‐Jush,G.andPritchett,L.,2010.“DealsversusRules:PolicyImplementationUncertaintyandWhyFirmsHateIt”,NBERWorkingPaperNo.16001
Theruleoflawandconflict,crimeandviolenceInperceptionsurveysofsixconflict‐affectedcountriesandterritories,injustice,inequalityandcorruptionwerecitedastheleadingdriversofviolence.InCentralAmerica,crimeandviolencewereconsistentlycitedasthetopfiveconstraintstoproductivityandgrowth.Accordingtolocalbusinessowners,thehighcostofcrimeactsasadragoncompetitiveness,reducesprofitmargins,andcanmakethedifferenceinwhetheracompanysurvivesorfails.Ina2008surveyofallCentralAmericancountries,71%oftheadultpopulationsaidtheyviewcrimeasamajorthreattofuturewell‐being,andmorethan50%believedhighcrimerateswouldjustifyamilitarycoup.Source:WorldBank(2011),WorldDevelopmentReport2011:Conflict,SecurityandDevelopment.Washington,DC:WorldBank
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thequalityofpublicinfrastructure.54Thepresenceofsuchinstitutionshasbeencorrelatedwithinvestmentandeconomicgrowth,55andmoregenerallywithmorerobusteconomicactivityandhighertaxrevenues.56
Howeversomestudieshavedistinguishedbetweendefactoanddejurechecksonexecutivepower.57Moreover,thedirectionofcausationiscontested:whilerulesandinstitutionsmatter,wheretheycomefromandthereasonsforwhichpeoplefollowthemmayberootedinotherfactorsthatneedtobebetterunderstood,suchasthenatureofpoliticalcoalitionsandsourcesofauthority.Inotherwords,legalinstitutionsmaybetheresult,ratherthanthecause,ofagreedchecksonpower.58
Enhancingthefairallocationofservicesbyprovidingcrediblemechanismsforholdingpublicandprivateactorsaccountableandredressinggrievances.
Assuch,theruleoflawcutsacrossdevelopmentendeavours:roadbuildingortheprovisionofprimaryhealthcareraisesissuesofthereallocationofrights,privileges,dutiesandpowers.Alegalsystemframesthesereallocations,adjudgestheirlegitimacy,enforcesthem,anddealswiththegrievancesofthosewholoseout.59ItseemsclearfromtheevidencethatROLisimportanttoservicedelivery.
Furthermore,arangeofactorsbeyondthecourtssupportservicedeliverythroughlegalorquasi‐legalmeans.InIndia,aWorldBankhealthprojectdevelopedacomplaintshandlingmechanismsensitivetotheneedsofa
54Bhagwati,J.(1982).‘Directlyunproductiveprofit‐seeking(DUP)activities’.JournalofPoliticalEconomy,90(51),988;PoliMauroP.1998.‘Corruptionandthecompositionofgovernment’.J.PublicEcon.68(88):263;TanziV,andDavoodiH.1997.‘Corruption,publicinvestmentandgrowth’.IMFWorkingPaperSeriesWP/97/139.55Henisz,W.J.(2000).;Theinstitutionalenvironmentforeconomicgrowth’.EconomicPolitics,12(1),1;Helmke,G.,&Rosenbluth,R.(2009).“Regimesandtheruleoflaw:Judicialindependenceincomparativeperspective”.AnnualReviewofPoliticalScience,12,34556Olson,M.(1993).‘Dictatorship,democracyanddevelopment’,AmericanPoliticalScienceReview,87,567;McGuire,M.,&Olson,M.(1996).‘Theeconomicsofautocracyandmajorityrule:Theinvisiblehandandtheuseofforce’.JournalofEconomicLiterature,34,72;Weingast,B.(1997),‘Thepoliticalfoundationsofdemocracyandtheruleoflaw’,AmericanPoliticalScienceReview,91(2),245.57Feld,L.,&Voigt,S.(2003).‘Economicgrowthandjudicialindependence:Cross‐countryevidenceusinganewsetofindicators’,EuropeanJournalofPoliticalEconomy,19(3),49758Upham,F.(2006).‘Mythmakingintherule‐of‐laworthodoxy’,inCarothers,T.(ed.),Promotingtheruleoflawabroad:insearchofknowledge.Washington,DC.:CarnegieEndowmentforInternationalPeace;Stasavage,D.(2002).Privateinvestmentandpoliticalinstitutions.EconomicsandPolitics,14,4159Sage,C.,Menzies,N.andWoolcock,M.,2009.‘Takingtheruleofthegameseriously:mainstreamingjusticeindevelopmentTheWorldBank’sJusticeforthePoorProgram’.In:IDLOLegalEmpowermentworkingpapers,No.5.Rome:InternationalDevelopmentLawOrganization;Sandel,M.,2007.Justice:AReader.Oxford:OxfordUniversityPress.
TheruleoflawandequitableservicedeliveryInBraziltherehavebeenover100,000courtcasesinthelastdecadethathaveenforcedtherightsofindividualsandgroupstoreceivemedicaltreatment.Source:VarunGauri(2011),“RedressingGrievancesandComplaintsRegardingBasicServiceDelivery”,WorldBankPolicyResearchWorkingPaperSeries5699
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disadvantagedtribalcommunitybyplacingstaffmembersfromalocaltribalNGOinhealthcenterstoassistinregisteringcomplaintsandsuggestions.60
Protectingtheenvironmentandnaturalresources.Theruleoflawisimportanttoanynotionofsustainabledevelopment:61itenablesthesustainableuseoftheenvironmentbyprotectingenvironmentalrightsinconstitutionsandlegislation;enforcingregulations;requiringadministrativeprotectionssuchasenvironmentalimpactassessments;anddefiningrulesfornaturalresourceexploitationandgovernance.
Therightsofindigenouspeoplestomanageandshareinthebenefitsoftheirlandandnaturalresourcesareafeatureoftheinternationallegalregimeandinsomecountriesareincorporatedintonationallawsandpolicieswiththeestablishmentofprotectedareas.62
Theliteratureandevidenceonnaturalresourcesandruleoflawinstitutionsisnotveryextensive63:resourcesustainabilityhasmainlybeenunderstoodintermsofeconomicpolicy.64
Whiletheevidencebaseislimited,significanttheoreticalworkandseveralcasestudiesasserttheimportanceofthisrelationshipinlegalterms65:forexample,since1962morethan90countrieshaveincludedarighttoahealthyenvironmentintheirnationalconstitution.66Somecountrieshavedevelopedthisfurther,movingfromconstitutionalprovisionstosubsidiarylegislationandregulatoryorlocalgovernmentaction.Inthisview,theruleoflawbecomescentraltoprotectingnaturalresources,tocurbingillegalextraction,andtoenforcingthefairallocationanddistributionofresourcesforsustainabledevelopment.
60DenaRingold,AlakaHolla,MargaretKoziol,SanthoshSrinivasan.2011.CitizensandServiceDelivery:AssessingtheUseofSocialAccountabilityApproachesinHumanDevelopment.Washington,D.C.:WorldBank61InternationalIDEAandIDLO(2012),“Informaldiscussiononlinkagesbetweentheruleoflaw,democracyandsustainabledevelopment”,ConceptNote,athttp://www.idea.int/un/upload/Concept‐Note‐IDEA‐IDLO‐Italy‐rev‐5‐0‐Final.pdf62Anaya,S.andWilliamsJr.,R.2001.“TheProtectionofIndigenousPeoples’RightsoverLandsandNaturalResourcesUnderTheInter‐AmericanHumanRightsSystem.”14HarvardHumanRightsJournal33;Xanthaki,A.2003.“LandRightsofIndigenousPeoplesinSouth‐EastAsia.”4MelbourneJournalofInternationalLaw467.63Norman,C.,2009.“RuleofLawandtheResourceCurse:AbundanceVersusIntensity”,EnvironmentalandResourceEconomics,43(2),pp.183‐207.64CollierP(2008),TheBottomBillion:WhythePoorestCountriesareFailingandWhatCanBeDoneAboutIt.NewYork:OxfordUniversityPress;WorldBank(2010),TheChangingWealthofNations:MeasuringSustainableDevelopmentintheNewMillennium.Washington,D.C.:WorldBank.Desai,D.andJarvis,M.(2012),‘GovernanceandAccountabilityinExtractiveIndustries:TheoryandPracticeattheWorldBank’,30JournalofEnergyandNaturalResourcesLaw,101attemptstotellaruleoflawandgovernancestory.65Boyle,A.andFreestone,D(eds.)(2001),InternationalLawandSustainableDevelopment.Oxford:OxfordUniversityPress;Dasgupta,S.,Mody,A.,Roy,S.andWheeler,D.(2001)“EnvironmentalRegulationandDevelopment:ACross‐countryEmpiricalAnalysis”,29OxfordDevelopmentStudies173;Lehtonen,M.2004.“Theenvironmental–socialinterfaceofsustainabledevelopment:capabilities,socialcapital,institutions”,49EcologicalEconomics,199.66Law,DandVersteegM(2012),“TheDecliningInfluenceoftheUnitedStatesConstitution”,87NewYorkUniversityLawReview762,773‐5
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TherelationshipsbetweenROLanddevelopmentaremorecomplexandmulti‐dimensionalthananyofthesefunctionsalonesuggest.ROLsitsincomplexterrainofpoliticalandsocialchangealliedtogovernancereform,67requiringsomerethinkingofwhattheruleoflawisandwhatitissupposedtodofordevelopment. Therelationshipbetweenruleoflawanddevelopmentiscomplex,comprises
multipledimensionsandfunctions,andlikelygoesthroughmultiplepathwaysoverlongperiodsoftime.Asaresult,contextmattersimmensely.
Traditionalwaysofbuildingtheruleoflaw(i.e.afocusonstrengtheningcertainstateinstitutionswithexplicitlyjudicialorlegalfunctions)areofvaryingeffectivenesswhenitcomestoaffectingROL’sdevelopmentfunctions.Effortsthatfocussolelyontheseinstitutionsmayonlyhavealimitedimpactonequityandpro‐poorgrowth.AlthoughseveralstudieshavefoundstrongcorrelationbetweenROLandoverallgrowth,oneanalysisfoundnoassociationbetweenROL(basedontheWorldBankgovernanceindicators)andmoreequitableincomedistribution.68Thissuggestsmoreemphasisneedstobepaidtocitizenship,socialandeconomicjustice,andthedeliveryofbasicserviceswhenpromotingtheruleoflaw.
ROLmayhavebroadereffectsondevelopmentthanarecurrentlyunderstood,as
ROL‐relatedreformshavesignificantpoliticalandsocialconsequences.Forexample,transforminglandrightsprotectionstoformalizeindividualtitlemightinvolveachangeinsocialunderstandingsof“community”property,whichcouldeitherexcludeorexpandwomen’sexistingusufructrights.69Ingeneral,“buy‐in”toreformswillinpartrestontheruleoflawasaframeworkfortheexerciseofpower,politicsandthuscollectiveactionandcoalition‐building.70
ROLreformsmustengagewiththewholerangeofpoliticalandsocialrulesandnormsthatconstituteasociety,includinginformallegalsystemsthatarerelevanttobillionsofcitizens.Astate‐centricmindsetoftenpromptsdonorstofocusonformal
67Pistor,K.andWellons,P.(1999),TheRoleofLawandLegalInstitutionsinAsianEconomicDevelopment,1960‐1995.NewYork:OxfordUniversityPress;Jayasuriya,K.(ed.)(1999),Law,Capitalism,andPowerinAsia:TheRuleofLawandLegalInstitutions.NewYork:Routledge;Khan,M.(2008)'GovernanceandDevelopment:ThePerspectiveofGrowth‐EnhancingGovernance',inODI,DiversityandComplementarityinDevelopmentAid:EastAsianLessonsforAfricanGrowth.Tokyo:GRIPSDevelopmentForum/NationalGraduateInstituteforPolicyStudies,pp.107‐152.68Son,HyunandKakwani,Nanak(2007)‘Globalestimatesofpro‐poorgrowth’WorldDevelopment36(6):1048‐1066.69WorldBank(2010),WanLis,FulapStori:LeasingonEpiIsland,Vanuatu.Washington,D.C.:WorldBank70McGee,R.andJ.Gaventa(2011)ShiftingPower?AssessingtheImpactofTransparencyandAccountability,IDSWorkingPaper383.Brighton:InstituteofDevelopmentStudies;Wild,L.andBergh,G.(2012)“TherelationshipbetweendemocraticgovernanceandMDGachievement”,OverseasDevelopmentInstitute(onfilewithauthors).
TheruleoflawandenvironmentalprotectionInthePhilippines,thelegislature–withUNDPsupport‐producedspecificrulesofprocedureforenvironmentalcases“withaviewtoprotectingandadvancingtheconstitutionalrightofthepeopletohealthandtoabalancedandhealthfulecology,andprovidingasimplified,speedy,andinexpensiveprocedurefortheenforcementofenvironmentalrightsunderPhilippineslaw.”Source:UNDP,athttp://www.undp.org/content/undp/en/home/ourwork/democraticgovernance/projects_and_initiatives/environmental-justice-philippines/
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systems.71However,itisunhelpfultothinkoflegalsystemsaseither“state”or“non‐state”.Differentsystemsoperatewiththebackingofarangeofactors:commercialarbitrationmaybestate‐enforced,whilecustomaryorreligiousleadersmayalsobelocalgovernmentofficials.72Thesesystemsarenotinherentlydeficient:theydonotalwaysneedtoberemediedorputunderdirectstatecontrol.Indeed,formalcourtsupervisionofcustomarydecisionsmayunderminethelegitimacyofcustomarycourts.73Somemayraisehumanrightsorpoliticallegitimacyconcerns,buttheymayalsoprovideaformof‘goodenough’governanceandasafespacefordisputeresolution,74especiallywhenbolsteredbythemobilizationofexistingsocialgroupstoapplysocialpressureforthedesiredresults.75
Asaresultofthiscomplexity,theruleoflawentailsnumeroustrade‐offs,tensionsandchoicesforpolicymakers:InorderforapolicymakertotakeacomprehensiveviewonROLinthecontextofsustainabledevelopment,heorshemustthinkaboutthespecificaspectsofdevelopmenttobeachievedinthelightofseveralkeychoices,trade‐offsandtensions.Inthecontextoflandtitling,forexample,theremaybecompromisesbetweengeneralizedorcontext‐specificrulesandunderstandingsofproperty,ownershipandinheritance,suchasindividualorcommunitytitle;betweenactors,suchaswhethertofocusonproblemsasunderstoodbythestate,localcommunities,orindividuals;andbetweeninstitutions,suchashowtoengagewithnon‐stateorinformalinstitutionslikecustomarytitletoland.Noonepolicyoptionisexantethebest:forexample,theentireuniverseofstateandnon‐stateinstitutionscanberelevanttoordistantfrompeople’sneeds,trustedorillegitimate,costlyorcheap.
71Desai,D.,Isser,D.andWoolcock,M.(2012),‘RethinkingJusticeReforminFragileandConflict‐AffectedStates:LessonsforEnhancingtheCapacityofDevelopmentAgencies’,4HagueJournalontheRuleofLaw54;Baker,B.(2010).“Linkingstateandnon‐statesecurityandjustice.”DevelopmentPolicyReview,28(5),597;Baker,B.&Scheye,E.(2009).“AccesstoJusticeinaPost‐conflictState:DonorsupportedMultidimensionalPeacekeepinginSouthernSudan.”InternationalPeacekeeping16(2),171.72Humphreys,S.,2011.Theatreoftheruleoflaw:transnationallegalinterventionintheoryandpractice.Cambridge:CambridgeUniversityPress;Tamanaha,B.Z.,2000.‘Anon‐essentialistversionoflegalpluralism’.JournalofLawandSociety,27(2),pp.296‐321;Tamanaha,B.Z.,2008.‘Understandinglegalpluralism:pasttopresent,localtoglobal’.SydneyLawReview,30,pp.375‐411.73Isser,D.,2012.“Theproblemwithproblematizinglegalpluralism:lessonsfromthefield”,inTamanaha,B.,Sage,C.andWoolcock,M.(eds.),LegalPluralismandDevelopment:ScholarsandPractitionersinDialogue.Cambridge:CambridgeUniversityPress;Sage,C.andWoolcock,M.,2012.“Introduction:LegalPluralismandDevelopmentPolicy‐ScholarsandPractitionersinDialogue”,inTamanaha,B.,Sage,C.andWoolcock,M.(eds.),LegalPluralismandDevelopment:ScholarsandPractitionersinDialogue.Cambridge:CambridgeUniversityPress.74Adler,D.andWoolcock,M.,2010.‘Justicewithouttheruleoflaw?Thechallengeofrights‐basedindustrialrelationsincontemporaryCambodia’.In:C.FenwickandT.Novitz,Humanrightsatwork:perspectivesonlawandregulation.Oxford:HartPublishing75Khan,M(2009)'Is"GoodGovernance"anAppropriateModelforGovernanceReforms?TheRelevanceofEastAsiaforDevelopingMuslimCountries’,in:Springborg,Robert,(ed.),DevelopmentModelsinMuslimContexts:Chinese,"Islamic"andNeo‐LiberalAlternatives.Edinburgh:EdinburghUniversityPress;Khan,M.(2008)'GovernanceandDevelopment:ThePerspectiveofGrowth‐EnhancingGovernance',inODI,DiversityandComplementarityinDevelopmentAid:EastAsianLessonsforAfricanGrowth.Tokyo:GRIPSDevelopmentForum/NationalGraduateInstituteforPolicyStudies,pp.107‐152.
Ruleoflawtrade‐offs“Thislandownershipistheworstpossiblethingforlivestockhusbandry.Croplandcanbeprivatizedandprotected,OK.Livestockhusbandrymustcertainlynotbesettled.Theclimacticconditionsareextremelydifficultandchangeablehere.Therefore,pasturemustbesharedamongherdersandusedincommon…itmustbeleftasitisandhasbeenforhundredsofyears.”‐Mongolianpastoralist.Source:MariaFernandez‐GimenezandBatjavBatbuyan(2004),“LawandDisorder:LocalImplementationofMongolia’sLandLaw”,35DevelopmentandChange141.
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Understandingthevariouspathwaysthroughwhichtheruleoflawaffectsdevelopmentcanenablemoreeffectiveruleoflawprogramming.Itcanbroadenconsensusaroundthefunctionswheretheevidenceisstronger;highlightthosewheremoreexplorationandresearchareneeded;andultimatelyhelptoclarifytrade‐offsandinformpolicychoicesthatcanimprovedevelopmentoutcomes. The Evolution of Rule of Law Reform
Welooktotheevolutionofpolicyandthelessonslearnedoverseveraldecadesofdevelopmentassistancetounderstandhoweffortstopromotetheruleoflawasabasisfordevelopmenthavefaredinpractice.Themeaningoftheruleoflaw,itsrelationshiptodevelopment,andwhatruleoflawreformlookslikehaveallbeenquestionsdebatedbypolicymakersandacademicsatleastsincethe1960s.Thisquickhistoricalsketchsituatesthediscussionsaboveinthecontextofruleoflawanddevelopmentpolicy.Someideasfromeachoftheperiodsbelowremainrelevanttoday.
Earlydevelopmentco‐operation(1960sto1974):drivenbyforeignaidagencies
andAmericanlegalacademics.AttemptedtorecreateAmericanlegaleducation(andsomeinstitutionalreform)indevelopingcountriestotransmitliberalvaluestoanewgenerationoflegalelites,whowouldthengoontomakelawandsocialpolicy.Criticisedasbeingdecontextualizedandunawareofthepoliticalandinstitutionalrealityoftherecipientcountries.76
Scepticism(1974–1990):Retreatfrommuchlawandlegalinstitutionalreform
workwiththeexceptionoftheUNagencies.Asderegulationandstructuraladjustmentbecameprimarydevelopmenttools,institutionsandgovernancewerenotprioritized(althoughformercolonialpowerscontinuedtoengagewiththelegalsystemsofformercolonies,forexamplebybuildinglawschoolsandstrengtheninglegaleducation77).
Revival(1990‐1999):
o Emergenceofinstitutionsasobjectsofreformandtheideathatthe“rulesofthegame”bywhichpeopleledtheireconomicandsociallivesmatteredtodevelopment.Incorporationoflegalreformintomarket‐enablingpolicyprescriptions(forexample,regulationandpropertyrightsprotection):lawwasnolongersimplyatooltoconstrainstatepowerbutwasapolicytooltosupporteconomicexchange.Eventuallythistypeofruleoflawreformdistilledintostrengtheningcriminaljustice,judicialpredictability,enforceabilityofcontracts,andsecurityofpropertyasenablersofeconomicdevelopment.Ittendedtowardafocusontransplantingparticularbestpracticesregardinglawandorganizationsaspartofreformpackages.
o Simultaneously,theemergenceofformercommuniststatesresultedinapoliticalconceptionoftheruleoflaw,closelylinkedtodemocratization.Theruleoflawwasaframeworkfortheexerciseofstatepowerandrepresentedapoliticalculture;however,itwasgenerallyjudgedagainst
76Trubek,DavidM.andMarcGalanter.1974.“ScholarsinSelf‐Estrangements:SomeReflectionsontheCrisisinLawandDevelopmentStudiesintheUnitedStates,”4WisconsinLawReview1062;Gardner,J.(1980),LegalImperialism:AmericanLawyersandForeignAidinLatinAmerica.Madison,WI:UniversityofWisconsinPress.77McAuslan,Patrick(2004),"IntheBeginningwastheLaw…anIntellectualOdyssey",CornellLawSchoolEastAsianLawandCultureSeries.
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aWesternliberalideal‐type.78Donorssupportedconstitutionalreform;lawreform;judicialcapacity‐building;courtadministrationandcasemanagementreform;andtheuseoflawtosupporttransition(forexampleprivatizationandmarketliberalization).
o Theexpansionofpeacekeepingandpeacebuildingmissionsledtoadistinctapproachinconflict‐affectedcountries,withanemphasisonestablishingorderandsecurity,rebuildingandrestructuringjusticesysteminstitutions,mitigatingthesourcesofconflictthroughimproveddisputeresolution,andpromotingaccountabilityforpastatrocitiesthroughtransitionaljustice.79Workinconflict‐affectedcountriesfocusedprimarilyoncriminaljustice,includingpolice,prosecutors,courtsandcorrectionsasabasisforsecurityandpeacebuilding,and“ruleoflaw”workbecamesynonymouswithrebuildingandrestructuringtheseinstitutions.Closelyrelatedto“ruleoflaw”workwastheemergenceofsecuritysectorreform,whichaimedtoinfuseassistancetomilitary,policeandothersecurityforceswithattentiontoprinciplesofgoodgovernanceandhumanrights.
Governanceandinstitutions,rightsandjustice(1999‐):Lawhasbecome
understoodnotjustinstrumentaltomarketfunctioningortransition,butasanendofdevelopmentitself.“Institutionsrule”80–ortheideathatifyougettheinstitutionsrightandeverythingelsewillfollow–meansthatgettingtheruleoflaw“right”(peranundefinedexternalstandard)hasbecomeadonorgoal.Simultaneously,Sen’sideaof“developmentasfreedom”81providedthisexternalstandard–ofhumanrightsnormsandclaims–againstwhichtogettheinstitutionsright.
Context,complexityandpluralism(2002‐):atthesametime,workon
institutions(whichfromthestartemphasisedtheirhistoricalandsocialcontingency),plusexperiencefrompreviousphasesofruleoflawreform,hashighlightedtheimportanceofcontextandcomplexity.Legalanthropologistsandotherswhohadengagedfordecadeswithnewornon‐Westernstatesusedlessonsabouttheimportanceofcontext,82thenatureofpoliticalandculturalpath‐dependencies83andthecomplexitiesofnon‐statesystemsofjusticetocriticizeone‐size‐fits‐allapproaches.Civilsocietygroupsandothernon‐stateactorshaveemergedasgovernanceprovidersincertainareas.84Asaresult,
78Carothers,T.2006.“TheRuleofLawRevival”,inCarothers,T.ed.,Promotingtheruleoflawabroad:Insearchofknowledge.Washington,DC.:CarnegieEndowmentforInternationalPeace.79Mani,Rama.2002.BeyondRetribution:SeekingJusticeintheShadowofWar,Cambridge:PolityPress;Stromseth,Jane,DavidWippmanandRosaBrooks.2006.CanMightMakeRights:BuildingtheRuleofLawAfterMilitaryInterventions.CambridgeUniversityPress;Call,CharlesT.(ed.)2007.ConstructingJusticeandSecurityAfterWar.Washington,DC:UnitedStatesInstituteofPeacePress;Samuels,Kirsti.2006.“RuleofLawReforminPost‐ConflictCountries:OperationalInitiativesandLessonsLearnt.”SocialDevelopmentPapers:ConflictPreventionandReconstruction37.Washington,DC:TheWorldBank.80Rodrik,Dani,ArvindSubramanian,andFrancescoTrebbi.2004.“InstitutionsRule:ThePrimacyofInstitutionsoverGeographyandIntegrationinEconomicDevelopment.”JournalofEconomicGrowth9(2):131–65.81Sen,Amartya(1999)DevelopmentasFreedom,NewYork:Knopf82Hatchard,John,andAmandaPerry‐Kessaris(eds.)2003.LawandDevelopment:FacingComplexityinthe21stCentury.London:CavendishPublishing;McAuslan,Patrick(2004),"IntheBeginningwastheLaw…anIntellectualOdyssey",CornellLawSchoolEastAsianLawandCultureSeries.83Teitel,Ruti.2005.“TransitionalRuleofLaw”,inCzarnota,Adam,MartinKrygier,andWojciechSadurski,(eds.)Rethinkingruleoflawaftercommunism.BudapestandNewYork:CentralEuropeanUniversityShare.84Sikkink,K.,2002.“TransnationalAdvocacyNetworksandtheSocialConstructionofLegalRules”,inDezalay,Y.andGarth,B.,eds.GlobalPrescriptions:TheProduction,Exportation,andImportationofaNewLegalOrthodoxy.Arbor:UniversityofMichiganPress.
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donorsareturningtotargetedinterventions–including“legalempowerment”initiativesfocusedonthepoor‐toconfrontspecificproblemsintheircontext.85Theyhavealsoturnedincreasinglyto“non‐state”systems,andexaminedthepluralityoflegalanddisputeresolutionsystemsincountries.Thissitsincontrastwithgovernanceandrightsapproaches,whichhaveastrongernormativecommitmentandoperateatagreaterlevelofgenerality.
Security(2001‐):Thefirstdecadeofthe2000salsoincludedatrendtoward
“securitization”ofruleoflawinitiatives,especiallyintheaftermathof9/11andincountriesaffectedbyviolentcrimeorconflict.Inparalleltofocusonlocalinitiatives,somedonorshaveprioritizedassistanceforstrengtheningthecapacityofstatestoconfronttransnationalcrimeandterrorism,andonenhancingcriminaljusticecooperationacrossborders.
Rule of Law Programming and Evidence for Development Effectiveness
Whiletheevidenceinanyoneparticularareaisinsufficient,itisbecomingincreasinglyclearthattheruleoflawmattersacrosstheboard.Policymakersarestartingtopaymoreattentiontotypesofevidencebeyondquantitativedata,suchasanthropologicalworkorpoliticaleconomystudies.Takentogether,thesesourcesofinformationarebeginningtodoamuchbetterjobofdescribingROLasacomplexandcross‐cuttingphenomenon.Asaresult,theevidencebaseremainsinsufficient,butcleargapsandpotentialsolutionsareemerging.
WhilethereisincreasingevidencelinkingROLtodevelopment,theevidencelinkingROLprogrammingtoruleoflawanddevelopmentoutcomesiscomplexandinsomecasesuncertain.Thisuncertaintyplaysoutatthreelevels:themacrocausalrelationshipsbetweentheruleoflawanddevelopment;themicrocausalrelationshipsbetweenruleoflawprogramminganditsimpactonimmediatedevelopmentprogramgoals;andtheintermediaterelationshipsbetweentheachievementofprogramgoalsoroutputsandbroaderruleoflawanddevelopmentoutcomes.Whileevidencehasaccumulatedforthemacrorelationshipbetweenruleoflawanddevelopment,assummarizedabove(albeitwithquestionsaroundcausation),evidencefortheimpactofdevelopmentprogramsonimmediateprogramgoalsoronbroadergoalsrelatedtotheruleoflawanddevelopmentisuncertainandcontested.
Macro:causationbetweenruleoflawanddevelopment.Asdetailedinthesection
above,there’sageneralconsensusthatinstitutionsmattertogovernanceandtodevelopment.OnestudyfindsacorrelationintheWorldBankGovernanceIndicatorsbetweena1‐pointincrease(outof6)ontheruleoflawscaleanda2.5‐to‐4‐foldimprovementinpercapitaincomesandinfantmortality,anda15‐25percentincreaseinliteracyrates.86Anotherfindsasignificantandstrongcorrelationbetweeninstitutionalqualityandpercapitaincomes.87However,thesestudiesprovidenoclearevidenceastowhethertheruleoflawcausesdevelopmentortheotherwayround.88ExamplessuchasChinahadgrowthwithalimitedroleforthe
85GolubStephen.2006.“TheLegalEmpowermentAlternative”inCarothers,ed.PromotingtheRuleofLawAbroad.Washington,DC:CarnegieEndowmentforInternationalPeace.86Kaufmann,D.,Kraay,A.andZoido‐Lobaton,P.(1999).“GovernanceMatters.”WorldBankPolicyResearchWorkingPaperSeries2196.87Rodrik,Subramanian&Trebbi.(2004).“InstitutionsRule:theprimacyofinstitutionsovergeographyandintegrationineconomicdevelopment.”9JournalofEconomicGrowth131.88Glaeser,E.,etal,2004.“DoInstitutionsCauseGrowth”,9JournalofEconomicGrowth,271.
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legalsystem,andtherearefewstudiesofspecificreformeffortsthatquestion,ratherthanassert,causation.89
Micro:Programeffectiveness.Thereislessevidenceforwhetherinstitutionscanbe
influencedbyaid‐baseddevelopmentprograms,orwhetherruleoflawsystemsareinsteadtheresultofcomplexhistorical,economic,political,socialandculturaldynamicsbeyondthereachofdevelopmentinterventions.90Changeinruleoflawsystemsmightbesocomplexthatitishardtoattributetodevelopmentinterventions,especiallygivendonortimehorizons,shiftinggoals,91highexpectations,untestedassumptionsandnormativecommitmentsnotsufficientlyborneoutbyevidence.92Furthermore,themeasuresusedfocusheavilyonformalinstitutionssuchascourts,whichonlyrepresentasliceoftherelevantinstitutionsmakinguparuleoflawsystem.93Theyalsotakelimitedaccountofcitizenandcommunityvoice,includingperceptionsurveydataontheruleoflawanddetailedqualitativeassessments(suchasethnographies).Emergingapproaches,fromrandomizedcontroltrialstomixedmethodsstudies,areincreasingthesophisticationofourunderstandingofhowprogrameffectiveness.However,theseapproacheshaveyettobecomemainstream.
Intermediate:theimpactofROLprogramsonbroaderdevelopmentoutcomes.Evenwheredonorsfindevidencethattheyareachievingtheirimmediategoalsinstrengtheningelementsoftheruleoflaw,theimpactsonthebroaderruleoflawandondevelopmentoutcomesisrarelyestablished.Theproposedcausallinksbetweenprogramoutputsandbroaderoutcomesareoftenpoorlytheorized,andmeasuresofoutputsareconfusedformeasuresofruleoflaw.94Forexample,U.S.‐fundedruleoflawprogramsinHaitihavefocusedonreducingthepercentageofdetaineesinprolongedpre‐trialdetention.Whiletheseprogramsaddressadirehumanrightsissuethatmeritsattention,theresultsmayhavelittleimpactontheperceptionsandexperienceofthemajorityofcitizenswhonevercomeintocontactwiththecriminaljusticesystem.Meanwhile,broaderelementsofprogrameffectivenessareoftenleftoutofmeasurementframeworks.Forexample,aWorldBank‐supportedreformprojectinVenezuelaledtobetween20%and70%reductionsincaseprocessing
89Davis,K.andTrebilcock,M.(2008),“TheRelationshipBetweenLawandDevelopment:OptimistsversusSkeptics”,56AmericanJournalofComparativeLaw895;Jensen,E.G.andHeller,T.C.(eds.)(2003).Beyondcommonknowledge:empiricalapproachestotheruleoflaw.Stanford:StanfordUniversityPress;Samuels,Kirsti.2006.“RuleofLawReforminPost‐ConflictCountries:OperationalInitiativesandLessonsLearnt.”SocialDevelopmentPapers:ConflictPreventionandReconstruction37.Washington,DC:TheWorldBank.;Bergling,P.,Ederlof,J.,andTaylor,V.(2009),RuleofLawPromotion:GlobalPerspectives,LocalApplications.IustusForlag:Uppsala;Trebilcock,M.andPrado,M.(2012),WhatMakesPoorCountriesPoor?:InstitutionalDeterminantsofDevelopment.Cheltenham:EdwardElgar;Messick,R.(1999),“TheInternationalBankforReconstructionandDevelopmentJudicialReformandEconomicDevelopment:ASurveyoftheIssues”,TheWorldBankResearchObserver,14(1),117‐36.90Davis,K.andTrebilcock,M.(2008),“TheRelationshipBetweenLawandDevelopment:OptimistsversusSkeptics”,56AmericanJournalofComparativeLaw89591Cohen,Elin,KevinJFandl,AmandaPerry‐Kessaris,andVeronicaTaylor.2011.“TruthandConsequencesinRuleofLaw:Inferences,AttributionandEvaluation”,3HagueJournalontheRuleofLaw10692Wild,L.andBergh,G.(2012)“TherelationshipbetweendemocraticgovernanceandMDGachievement”,OverseasDevelopmentInstitute(onfilewithauthors).93Davis,Kevin.2004.“WhatcantheRuleofLawvariabletellusaboutRuleofLawreforms?”MichiganJournalofInternationalLaw26:141‐161.94See,forexample,Jensen,E.G.andHeller,T.C.(eds.)(2003).Beyondcommonknowledge:empiricalapproachestotheruleoflaw.Stanford:StanfordUniversityPress;Carothers,T.(ed.)(2006),PromotingtheRuleofLawAbroad:InSearchofKnowledge.Washington,DC:CarnegieEndowmentforInternationalPeace,;Hammergren,L.(2007)EnvisioningReform:ImprovingJudicialPerformanceinLatinAmerica.StateCollege,PA:PennStateUniversityPress;Trebilcock,M.andDaniels,R.(2006)RuleofLawReformandDevelopment:ChartingtheFragilePathofProgress.Cheltenham:EdwardElgar.
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times,95yetthesystemicimpactonuserexperience–oronbroadergovernance–wasnotstudied.Thisagainpointstotheneedforalong‐termandrobustengagementwithcitizenandcommunityvoicetounderstandimpact.Thereisalsolimiteddataontheeffectivenessofscalingupoftargetedruleoflaweffortssuchasempowermentprograms(althoughanattemptistakingplaceinSierraLeonetoevaluatethescaleupofparalegalprovision).96
Morecanbedonetomeasuredevelopmenteffectivenessthroughimproveddatacollectionandbettermonitoringandevaluation(M&E)frameworks.MuchM&Ehascountedoutputs(suchascaseprocessingtime)andnotimpactovertime.Especiallywhenlookingbeyondformalinstitutions,outcomesbecomeevenhardertomeasure.Forexample,theimpactofnon‐statesystemsisoftenpoorlycaptured.97Twoapproacheshaveemergedrecently:first,randomizedcontroltrialsdesignatetreatmentandcontrolcommunitiestoreceivedifferentlevelsoflegalassistance(forexample,toundertakelandtitling)andthenmeasuretheimpact.98Thesearerobust,rareandexpensive.Theotherapproachistoconductathoroughbaselinestudyusinga“cluster”ofindicatorsfromavarietyofsources,andthenmeasurewhatchangedovertimeafteraspecificproject.99Accumulatingthesestudiesfromseveralprojectsisacheaper“informedprocessofmonitoredtrialanderror.”100YetsuchapproachesrequiremoreattentiontoM&Efromthestartofprojects.Towardthisend,UNTPisdevelopinganewguideonmeasuringeffectivenessofROLprogramming.
Akeycauseoftheevidencegapisthelackofemphasisplacedbydonorsonbuildingdomesticdatacollectioncapacity.Thiscapacityisimportantfordonorstoevaluateprograms,andalsoforcountriestoconductsustainedevaluationoftheirinstitutions.101ThisisoneareathattheMDGexperienceclearlystimulatedandwhichhadspillovereffects:increasedcapacitytogatherdataandpursuearangeofdata‐gatheringmethodologies.
Current Trends in Rule of Law Programming
Inresponsetoagrowingbodyofevidence,policymakershaveadoptednewandpromisingeffortstopursuetheruleoflawthatreflectapragmaticproblem‐solvingapproachandthatcutacrossdevelopment.Whiletheevidencefortraditionalruleoflawprogrammingismixed,ithasalsopointedtowardsnewavenuesforstrengtheningthevariouspathwaysbetweentheruleoflawanddevelopment.Moreworkisneededtoevaluatethesenewapproaches.Ontheonehand,thecritiquesoftraditionalapproachestoruleoflawprogrammingareincreasinglyclear.Abroadconsensushasemergedaroundcertaincriticismsofrecent
95PérezPerdomo,R.(2006)“UnaEvaluacióndelaReformaJudicialenVenezuela,”inJudicialReforminLatinAmerica:AnAssessmentforPolicymakers,CenterforStrategicandInternationalStudiesandCentrodeEstudiosdeJusticiadelasAméricas.96http://www.soros.org/sites/default/files/pretrial‐csae‐research‐overview‐20120710.pdf97Haggard,S.,MacIntyre,A.andTiede,L.,2008.‘Theruleoflawandeconomicdevelopment.’AnnualReviewofPoliticalScience,11,pp.205‐34.98Knight,R.etal(2012),ProtectingCommunityLandsandResources:EvidencefromLiberia,MozambiqueandUganda.RomeandWashington,D.C.:IDLOandNamati.99Parson,Jim(2011),“DevelopingClustersofIndicators:AnAlternativeApproachtoMeasuringtheprovisionofJustice,”3HagueJournalontheRuleofLaw170100Braithwaite,John(2011)‘TheEssenceofResponsiveRegulation’UBCLawReview44(3),475‐520101UNDP(2011),StrengtheningtheRuleofLawinCrisis‐affectedandFragileSituations.NewYork:UNDPat48;Foglesong,T.andChristopherStone,2007.“MeasuringtheContributionofCriminalJusticeSystemstotheControlofCrimeandViolence:LessonsfromJamaicaandtheDominicanRepublic”,CIDWorkingPaperNo.144
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ruleoflaweffortsfromadevelopmentperspective,andacknowledgementofwhathasn’tworked:
Apresumptionoflineartrajectoriesofchange102:ruleoflawreformsandtheirimpactaresocially,economicallyandpoliticallycomplexandoftendealwithvaluesdeeplyembeddedinsociety.Asaresult,changeiscomplexandwillnotnecessarilyhappeninalinearfashion.Thingsmaygetworsebeforetheygetbetter,andthingsmaysimultaneouslygetworsebysomemeasures(e.g.propertyrights)andbetterbyothers(e.g.grievancesinservicedelivery)
Timehorizons:ruleoflawreformisoftenalong‐term,multi‐generationalendeavourrequiringsustainedcommitment.103Onestudyfoundthatittookthefastestmovingcountriesanaverageof41yearstoachievesignificanttransformationstotheruleoflaw.104
Theneedforrobustin‐countrypoliticalcoalitionsandwill:Giventhecomplexandcontext‐specificnatureofruleoflawreform,politicaldemandforreformsisessential,asisgrapplingwithvestedintereststhatrenderreformsdifficulttorealize.105Policymakersshouldmodulateexpectationsaccordingly:“Iftheefficacyoflegalinstitutionsdependsoncomplementaryfeaturesofthebroaderpoliticalsystem,apparentlysimplereformsmaybewellbeyondthecapacityofoutsiderstoeffect.”106
Transplantingmodelsfromelsewhere:Identifying“bestpractices”inruleoflawreformfromelsewhere(suchastheidealdesignofaprosecutor’soffice)andtransplantingthemisunlikelytowork.107Emphasisshouldbeplacedonthefunctionthattheysystemismeanttoperform,ratherthanwhatitlookslike.Thatdoesnotmeanthatlearninglessonsandsharingknowledgearen’timportant,butthattheymustbeevaluatedineachnewcontext.
Inresponsetothesecritiques,policymakershavepursuednewapproachestotheruleoflawthatbetterreflectslocalcontextsandvaryingperspectivesontheruleoflaw.Thelandscapeofruleoflaweffortshasbroadenedbeyondthenarrowfocusonaparticularsetofinstitutions.Policymakershaveincreasinglyfocusedonthelegalandinstitutionalunderpinningsofdevelopmentpolicy.Viewingtheruleoflawbothasanoutcomeandelementofprocess,developmentagencieshaveincorporatedattentiontoruleoflawintoavarietyofdevelopmentprogrammes,fromemployment,healthandeducationtonaturalresourcemanagement,crisispreventionandmitigation,povertyreduction,and
102Desai,D.,Isser,D.andWoolcock,M.(2012),‘RethinkingJusticeReforminFragileandConflict‐AffectedStates:LessonsforEnhancingtheCapacityofDevelopmentAgencies’,4HagueJournalontheRuleofLaw54103WorldBank(2012),NewDirectionsinJusticeReform,http://www‐wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2012/09/06/000386194_20120906024506/Rendered/PDF/706400REPLACEM0Justice0Reform0Final.pdf,at8.SeealsoWorldBank(2011),WorldDevelopmentReport2011:Conflict,SecurityandDevelopment.Washington,DC:WorldBank;Desai,D.,Isser,D.andWoolcock,M.(2012),‘RethinkingJusticeReforminFragileandConflict‐AffectedStates:LessonsforEnhancingtheCapacityofDevelopmentAgencies’,4HagueJournalontheRuleofLaw54.104Pritchett,Lant,andFraukedeWeijer.2010.“FragileStates:StuckinaCapabilityTrap?”BackgroundpaperfortheWorldDevelopmentReport2011,athttps://openknowledge.worldbank.org/handle/10986/9109 105Trebilcock,M.andDaniels,R.(2006)RuleofLawReformandDevelopment:ChartingtheFragilePathofProgress.Cheltenham:EdwardElgar;106Haggard,S.,MacIntyre,A.andTiede,L.,2008.‘Theruleoflawandeconomicdevelopment.’AnnualReviewofPoliticalScience,11,pp.205‐34,at206107Carothers,Thomas.2006.“TheProblemofKnowledge,”inCarothers,ed.PromotingtheRuleofLawAbroad.Washington,DC:CarnegieEndowmentforInternationalPeace.
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economicgrowth.Theyhavealsoengagedabroaderrangeofstateandnon‐stateactors,legalsystemsanddisputeresolutionmechanisms.
Manypolicymakersandscholarshaveturnedtopragmaticproblem‐solving.Inthisapproach,theyhaveworriedlessaboutcapacity‐buildinginorservicedeliveryfromspecificinstitutions;rather,theyhavemadechoices,trade‐offsandbalancesonacase‐by‐casebasiswithanemphasisontheperspectiveoftheend‐user.Theyhavefocusedonworkingwiththerangeofinstitutionsandactorsthataffectthedesireddevelopmentoutcome.Engagingwiththenorms,laws,regulationsandmechanismstoenforcethemandresolvedisputesiscriticaltothisapproach.TherecentWorldBankstrategicdocumentonjusticereformoffersanimportantpracticalsynthesisofhowtounderstandROLthroughthelensofthisapproach.Fromadevelopmentperspective,ROLbecomes(1)asetoflaws,regulationsandinstitutionsspanningallthreebranchesofgovernmentandmultiplenonstateactorscarryingoutrelevantfunctions;(2)accesstoandenforcementoftheselaws,regulationsandinstitutions;and(3)thenormsandvaluesthatinfusethem.108Thisapproachhassomekeycomponents:
End‐UserPerspective:Senarticulatesa“realization‐focusedunderstandingofjustice”,orthe“needtofocusonactualrealizationsandaccomplishments,ratherthanonlyontheestablishmentofwhatareidentifiedastherightinstitutionsandrules.”109TheWorldBankcommitstodoingsofromtheperspectiveofend‐usersandpotentialend‐users110,andUNDPlooksattheruleoflawfromapeople‐centredperspective.111Inordertoknowtheseneedsandproblems,policymakersanddonorsneedtocommittobuilding,articulatingandlisteningtothevoicesofthepoorandofnational‐levelpolicymakers.Thisisbothadevelopmentend,andameansofimprovingotherdevelopmentprocessesthroughbettermonitoringandevaluation.
Startswithconcreteproblemsfacingpeople.Ratherthanstartingwithbroadlydefinedprinciplesorinternationalbestpractices,thisapproachseekstoidentifythekeychallengesexperiencedbycitizens.Localappropriateness(alongwithparticipationandbuy‐in)willaffectthesustainabilityofreform.112Forexample,humanrightsrealizationinMalawi113andAngola114havebeenhamperednotbyconstitutionalissuesbutpracticalissuessuchasaccesstojusticeandthecapacityofcourts.
Evidence‐Based:Aprogramonjusticeindicatorsandnational‐leveldatacollectionatHarvardseesruleoflawreformasaprocessofgatheringdataandsolvingproblemsthattheybringtolight.115Theseapproachesdonot
108WorldBank(2012),NewDirectionsinJusticeReform,http://www‐wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2012/09/06/000386194_20120906024506/Rendered/PDF/706400REPLACEM0Justice0Reform0Final.pdf,at3109Sen,A.2009.TheIdeaofJustice.Cambridge,MA:HarvardUniversityPress,at10110WorldBank,NewDirectionsinJusticeReform,at1.111UNDP(2011),StrengtheningtheRuleofLawinCrisis‐affectedandFragileSituations.NewYork:UNDP,at11112InternationalIDEAandIDLO(2012),“Informaldiscussiononlinkagesbetweentheruleoflaw,democracyandsustainabledevelopment”,ConceptNote,athttp://www.idea.int/un/upload/Concept‐Note‐IDEA‐IDLO‐Italy‐rev‐5‐0‐Final.pdf113Gloppen,S.andKanyongolo,F.E.(2007).“CourtsandthepoorinMalawi:Economicmarginalization,vulnerability,andthelaw.”InternationalJournalofConstitutionalLaw,5(2),258‐293.114Skaar,E.,SerraVan‐Dúnem,J.O.(2006).“CourtsunderconstructioninAngola:Whatcantheydoforthepoor?”WorkingPaper‐Chr.MichelsenInstitute,20.115TheHarvardKennedySchoolPrograminCriminalJusticePolicyandManagement,seehttp://www.hks.harvard.edu/programs/criminaljustice
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presupposetheprincipalruleoflawchallenges,butseektoaddressthemastheyareandhowevertheyareconfigured.116ArecentreviewoftheUNROLsupportagendafoundthat“[r]atherthanpresupposingformaljudicialandsecurityinstitutions,astendstobethepractice,thoseseekingtoprovideassistancecouldlookinsteadtotheimmediateself‐definedneedsofthecitizenryasaguide…Theprecisesequenceandprioritizationoftheseeffortsshouldnotbegeneralizedanddevelopedintoboilerplateresponsesandtheycertainlyneedtobeaccompaniedbysoundpoliticaleconomyandotherformsofanalysis.”117
Cutsacrossarangeofinstitutions:Policymakershaveworriedlessaboutwhatconstitutes“law”andwhatcountsasan“institution”inaruleoflawsystem:concernedwith“acontinuumwhichrunsfromtheclearestformofstatelawthroughtothevaguestformsofinformalsocialcontrol”118,insofarasthesemechanismsimpactdevelopmentoutcomes.119Providersrangefromcourtstocustomaryleaders,toyouthgroupstoconflict‐resolutionNGOsandsoon.120
o Noinstitution–formalorinformal–isapanacea:inanevaluationofLokAdalats(communityjusticeinstitutions)inIndia,Galanter&Krishnanfoundtheirjudgementsandeffectivenesstobeinconsistent.121Aproblem‐solvingapproachisnotweddedtoparticularinstitutionsorinstitutionalforms,buttakesapragmaticapproachtorealizedesiredfunctions.
Cutsacrossarangeofsectors(“cross‐cutting”or“mainstreaming”).Ruleoflaw,especiallyasexperiencedbycitizens,isnotlimitedtothecourts,policeandotherelementsofthejusticesystem.Thefairallocationanddeliveryofservices,treatmentofgrievancesandresolutionofpropertydisputesaffectcitizens’perceptionandrealityoftheruleoflaw.Strengtheningtheruleoflawthereforerequireslookingacrosssectorsfromhealthandeducationtoeconomicdevelopment.
Theproblem‐solvingapproachhasbeguntoreconfigurepolicyapproachestoROL’svariousdevelopmentfunctions,bringingintofocusROL’ssocialandpoliticalcomplexity;itscross‐cuttingnature;andtheimportanceofinnovativetools.WeseethefollowingareasascoredimensionsofthewaysinwhichROLrelatestothepost‐2015agenda:
o Enablingeconomicdevelopment:afocusonproblemsfacedbyend‐usersratherthan
specificinstitutionsorpreconceivednotionsoftheruleoflaw–forexample,propertyrightsandenablingmarkets‐hasledtopolicymakersappreciating
116Scheye,Eric(2009)‘RuleofLawinFragileandConflictAffectedCountries:WorkingwithintheIntersticesandInterfaces’FramingPaperProducedfortheWorldBankHeadlineSeminaronRuleofLawinConflict‐AffectedandFragileSituations,athttp://siteresources.worldbank.org/EXTLICUS/Resources/511777‐1224016350914/5474500‐1257528293370/Scheye.pdf117Kavanagh,CaminoandBruceJones(2011)“ShakyFoundations:AnAssessmentoftheUnitedNation’sRuleofLawSupportAgenda”,NYUCenteronInternationalCooperation,athttp://www.cic.nyu.edu/staff/docs/kavanagh/kavanagh_rol.pdf118Woodman,G.(1998),“IdeologicalCombatandSocialObservation:RecentDebateAboutLegalPluralism.”JournalofLegalPluralism,42:21‐59,atp.45.119Tamanaha,B.(2007).“UnderstandingLegalPluralism:PasttoPresent,LocaltoGlobal.”SydneyLawReview,30:375‐411120Baker,B.&Scheye,E.(2009).“AccesstoJusticeinaPost‐conflictState:DonorsupportedMultidimensionalPeacekeepinginSouthernSudan.”InternationalPeacekeeping16(2),171‐85.121Galanter,M.,Krishnan,J.K.(2004).“‘Breadforthepoor’:AccesstojusticeandtherightsoftheneedyinIndia.”HastingsLawJournal,55(4),789‐834.
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grievancesandconflictsacrosstheirdevelopmentportfoliosasruleoflawissues.Thusresolvingconflictovergrazingrightsisnotjustaquestionoflandandagriculturepolicy,butajusticeissuethatmayberesolvedthroughsupportforlocally‐drivencommunitygroupsorcommittees;122servicedeliveryprojectssuchasbasichealthcareprovisionnowincludethedesignofgrievancemechanismsandtheirlinkagestoexistingcourtsandlegalmechanismsincountry.123
o Citizenshipandsocialandeconomicjustice:Legalempowermentapproacheshave
emergedasusefulproblem‐solvingtoolsinthiscontextastheyaretargeted,flexibleandparticipatory.Forexample,paralegalshelppeoplenavigatestateandcustomarycourtstohavetheirgrievancesredressed,fromsanitationissuestotheprovisionofhealthcare.124Empowermentapproachesneedtobeconsideredinthepoliticalcontextandpowerdynamicsofthecommunitiesinwhichtheyoperate:thereisariskofcapturebypowerfulinterests125andaquestionofaccountabilityofthefacilitators(suchasparalegals)tothetargetbeneficiaries.126
o Conflict,crimeandviolence:therecentWorldDevelopmentReport2011highlighted
theimportanceofjusticeandtheruleoflawtoavoidingconflictandfacilitatingtransitionsoutofconflict.However,italsostressedtheimportanceofaproblem‐solvingapproachdrivenbyinstitutionalfunctions,aswellasthelengthoftimedonorsneededtocommittoreformsandtheimportanceofrealisticexpectations.127
o Accountability:focusingonend‐userperspectives,policymakershaveturnedto
technology:forexample,inthegatheringandresolutionofgrievances(throughSMShotlines,forexample),thegatheringanddisseminationoflegalinformation(forexample,broadcastingradioprogramsaboutrights‐awareness)128andparticipationindecisionprocesses.129
o ServiceDelivery.Thelegalframeworksforlocalpublicandjudicialauthoritiesare
emergingasanimportantareaforruleoflawreform.Manydecisionsaffectingdailyliveshappenatthelocallevel,andlocaladministrationisakeylinkinthebuildingoftrustbetweentheindividualorcommunityandthestate.130ApilotreformeffortinQuezonCityinthePhilippinesidentifiedspecificproblemswiththeruleoflaw
122TanjaChopra(2009),“JusticeVersusPeaceinNorthernKenya”,2WorldBankJustice&DevelopmentWorkingPaperSeries1;Knight,R.etal(2012),ProtectingCommunityLandsandResources:EvidencefromLiberia,MozambiqueandUganda.RomeandWashington,D.C.:IDLOandNamati.123VarunGauri(2011),“RedressingGrievancesandComplaintsRegardingBasicServiceDelivery”,WorldBankPolicyResearchWorkingPaperSeries5699.124VivekMaru(2010),“AlliesUnknown:SocialAccountabilityandLegalEmpowerment”,HealthandHumanRights12,pp83‐93.125HooriaHayatandKholaAhmed(2008),“LegalEmpowerment:AnImpossibleDream”,DfIDandWomen'sEmpowermentinMuslimContextsWorkingPaper,athttp://www.dfid.gov.uk/R4D/PDF/Outputs/WomenEmpMus/WEMC_WP_HayatandAhmed.pdf126MarlesevonBroembsen(2012),“LegalEmpowermentofthePoor:TheRe‐emergenceofaLostStrandofHumanRights?”,RapoportCenterHumanRightsWorkingPaperSeries,1/2012,at15.127WorldBank(2011),WorldDevelopmentReport2011:Conflict,SecurityandDevelopment.Washington,DC:WorldBank128VarunGauri(2011),“RedressingGrievancesandComplaintsRegardingBasicServiceDelivery”,WorldBankPolicyResearchWorkingPaperSeries5699.129UNSystemTaskTeamonthePost‐2015UNDevelopmentAgenda,“GovernanceandDevelopment:ThematicThinkPiece”,May2012,at3.130PerBergling,ErikOWennerströmandRichardZajacSannerholm(2010),“RuleofLawinPublicAdministration:ProblemsandWaysAheadinPost‐ConflictPeace‐building”,HagueJournalontheRuleofLaw,2(2),pp.171‐202.
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frameworkforimplementationofacityhousingprogram,inlargepartonthebasisofend‐usersurveys.131
International Policy Commitments to the Rule of Law
CommitmentstothePrincipleofRuleofLawTheimportanceoftheruleoflawisbroadlyacceptedacrosscountriesandregions,asreflectedininternationalpolicydocuments,conventionsandresolutionsofmultilateralandregionalorganizationsaroundtheworld.Severalofthesedocumentsspecificallyaffirmtheimportanceoftheruleoflawtodevelopment.
o TheUNMemberStateshaveaffirmedtheircommitmenttotheruleoflawthrough
severalUNGeneralAssemblyResolutions.MostrecentlytheSeptember2012DeclarationoftheHigh‐LevelMeetingoftheGeneralAssemblyontheRuleofLawattheNationalandInternationalLevels(followingonpreviousUNGAResolutionsincludingthe2005WorldSummitOutcomesandfollowupresolutions),statedthat“theadvancementoftheruleoflawatthenationalandinternationallevelsisessentialforsustainedandinclusiveeconomicgrowth,sustainabledevelopment,theeradicationofpovertyandhungerandthefullrealizationofallhumanrightsandfundamentalfreedoms,includingtherighttodevelopment,allofwhichinturnreinforcetheruleoflaw,andforthisreasonweareconvincedthatthisinterrelationshipshouldbeconsideredinthepost‐2015internationaldevelopmentagenda.”132
o TheRio+20ConferenceonSustainableDevelopmentinJune2012affirmedthe
essentialroleoftheruleoflawindevelopment.IntheOutcomeDocument,whichwasadoptedbytheUNGeneralAssemblyinSeptember2012,participatingstates“acknowledgethatdemocracy,goodgovernanceandtheruleoflaw,atthenationalandinternationallevels,aswellasanenablingenvironment,areessentialforsustainabledevelopment,includingsustainedandinclusiveeconomicgrowth,socialdevelopment,environmentalprotectionandtheeradicationofpovertyandhunger.”Theparticipantsalsoacknowledgedtheneedfor“strongandeffectivelegalandregulatoryframeworks,”especiallytoensuresustainabledevelopmentthroughextractiveindustries,andtoexpanddevelopmenttothepoorandvulnerable.133
o TheUNSecretaryGeneralhasproducedseveralreportsfocusedontheruleoflaw
(forexample:theProgrammeofAction;,A/66/749andOctober2011,S/2011/643;TheRuleofLawandTransitionalJusticeinPost‐ConflictsocietiesAugust2004,S/2004/616;“Unitingourstrengths:EnhancingUnitedNationsSupportfortheRuleofLaw,”S/2006/908,14December2006)
o TheUNCommissiononLegalEmpowermentofthePoor,whichincludedbroad
representationfromaroundtheglobe,statedinits2008finalreport,MakingtheLawWorkforEveryone,that“theruleoflawisnotamereadornmentto
131EdnaEstifaniaA.Co,MariaFainaL.Diola,DanA.Saguil,EleanorE.Nicolas,andCrinezzaVeilMendoza(2011),RuleofLawinPublicAdministration:ThePhilippineLocalGovernmentUrbanPoorResettlementandHousingProgram.UPNCPAGPolicyBriefNo.2,athttp://folkebernadotteacademy.se/Documents/Kunskapsomr%C3%A5den/Rule%20of%20Law/Rule%20of%20Law%20in%20PA%20Philippines.pdf132DeclarationoftheHigh‐levelMeetingoftheGeneralAssemblyontheRuleofLawattheNationalandInternationalLevels,A/67/L.1*(2012)133UNGeneralAssembly,“TheFutureWeWant,”A/RES/66/288(2012).
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development;itisavitalsourceofprogress.Itcreatesanenvironmentinwhichthefullspectrumofhumancreativitycanflourish,andprosperitycanbebuilt.”Itcalledformoreattentionto“legalempowerment,”definedas“aprocessofsystemicchangethroughwhichthepoorandexcludedbecomeabletousethelaw,thelegalsystem,andlegalservicestoprotectandadvancetheirrightsandinterestsascitizensandeconomicactors.”134
o TheMillenniumDeclaration,adoptedbytheUNGeneralAssemblyin2000asthe
basisfortheMDGs,statedthat“Wewillsparenoefforttopromotedemocracyandstrengthentheruleoflaw,aswellasrespectforallinternationallyrecognizedhumanrightsandfundamentalfreedoms,includingtherighttodevelopment.”135TheUNGeneralAssemblyhasreaffirmedthat“thatgoodgovernanceandtheruleoflawatthenationalandinternationallevelsareessentialforsustained,inclusiveandequitableeconomicgrowth,sustainabledevelopmentandtheeradicationofpovertyandhunger”insubsequentresolutionsregardingtheMDGs.136
o TheHighLevelForumonAidEffectivenessBusanDeclarationcallsforcombating
corruptionandillegalfinancialflows.TheG‐7+NewDealforEngagementinFragileStatesincludessecurityandjusticeastwoofitscentralPeacebuildingandStatebuildingGoals,withanunderlyingfocusontheruleoflaw.
o RegionalandMultilateralOrganizationshaveaffirmedcommitmentstotheruleof
lawintheirchartersandfoundingdocuments,forexample: TheAfricanUnion:“TheUnionshallfunctioninaccordancewiththe
followingprinciples:...respectfordemocraticprinciples,humanrights,theruleoflawandgoodgovernance”(ConstitutiveActoftheAfricanUnion,Article4)
ASEAN:“Tostrengthendemocracy,enhancegoodgovernanceandtheruleoflaw”(ASEANCharter,art.17)
OrganizationofAmericanStates:“TheeffectiveexerciseofrepresentativedemocracyisthebasisfortheruleoflawandoftheconstitutionalregimesofthememberstatesoftheOrganizationofAmericanStates.”(Inter‐AmericanCharter,art.2)
TheEuropeanUnion:“TheUnionisfoundedonthevaluesofrespectforhumandignity,freedom,democracy,equality,theruleoflawandrespectforhumanrights,includingtherightsofpersonsbelongingtominorities(TreatyofLisbon,Art.1a);“EUpartnershipanddialoguewiththirdcountrieswillpromotecommonvaluesof:respectforhumanrights,fundamentalfreedoms,peace,democracy,goodgovernance,genderequality,theruleoflaw,solidarityandjustice”(TheEuropeanConsensusonDevelopment,2006/C46/01)137
TheCommonwealthofNations:“ThosePrincipleshavebeenfurtherelaboratedandstrengthenedovertheyearstounderlinethatdevelopmentrestsonthefoundationsofdemocraticgovernance,theruleoflaw,respectforhumanrights,genderequalityandpeaceandsecurity.”
134CommissiononLegalEmpowermentofthePoor,“MakingtheLawWorkforEveryone”Vol.1(2008)135MillenniumDeclaration(GeneralAssemblyResolution)A/Res/55/2(2000)136Keepingthepromise:unitedtoachievetheMillenniumDevelopmentGoals(GeneralAssemblyResolution)A/RES/65/1(2010)137JointstatementbytheCouncilandtherepresentativesofthegovernmentsoftheMemberStatesmeetingwithintheCouncil,theEuropeanParliamentandtheCommissiononEuropeanUnionDevelopmentPolicy:‘TheEuropeanConsensus’
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Atthislevel,thecommitmenttotheruleoflawismostoftenframedasacommitmenttoageneralprincipleofgovernance.ThisprincipleismostclearlydefinedinUNdocuments,includingthe2012UNGAResolution,inthedefinitioncitedabove.138
Althoughthereisbroadrecognitionoftheprincipleoftheruleoflaw,thespecificpolicycommitmentsareextremelyvariedAgreementtothebroadprinciplehastranslatedintoavarietyofsubstantivecommitmentsbymemberstates,whichspandifferentconceptionsanddefinitionsoftheruleoflaw.Thebreadthofthisconceptandtheresultingcommitmentscanbeillustratedbythecountrypledgesatthe2012UNGAHighLevelMeetingontheRuleofLaw.Someofthepledgesarerelatedtointernationalrelations,whileothersarerelatedtotheruleoflawatthenationallevel,andinvolvearangeofissuesfromindividualhumanrightstoprivatesectorgrowth.Someexamplesofthesepledgesinclude:
Ratifyand/orapplyofinternationalhumanrightsandhumanitarianlawinstruments,e.g.GenevaConventions,RomeStatute,ConventionAgainstTorture,ProtocolConventiononRightsoftheChild,etc.
Strengthendomesticimplementationofhumanrightsnorms,e.g.throughdevelopmentofstrategiesandactionplansforreducingviolenceagainstwomen,addressneedsofwomenprisoners,etc.
Supportpost‐conflictruleoflawdevelopment,e.g.throughfundingtoUNDP,bilateraldevelopmentcooperation,anddeploymentofcivilianspecialiststopost‐conflictcountries;
Strengtheninternationalcooperationoncombatingtransnationalcrimeandcorruption,includingtraffickinginpersons,drugtrafficking,terrorismandfinancialcrimes
Introducedomesticlawsandpoliciestoimprovefairandefficientjustice,e.g.expandlegalaid,buildcorrectionsfacilities,improvemediation
Introducedomesticpoliciesandprocedurestoincreaselegalcertaintyforbusiness,e.g.administrativeburdensandbarrierstotrade
SpecificCommitmentsrelevanttotheruleoflawanddevelopmentThewiderangeofspecificcommitmentsreflectsthevariedconceptionsofandapproachestomeasuringcountries’adherencetotheruleoflaw.Beyondbroadstatementsofcommitmenttotheprincipleofruleoflaw,countrieshaveadoptednumerousspecificcommitments,rangingfrombindingtreatiestomuchlooserprinciplesandstandards,inavarietyofareasthataredirectlyapplicabletotheruleoflaw.Thesecommitmentsarefartoonumerousandvariedtolist.Nonetheless,someofthebroadcategoriesthatarerelevanttotheruleoflawarelistedbelow.
o HumanRightsConventions.Theseinstrumentsareacentralpillarforupholdingthe
ruleoflawattheinternationalandnationallevels.States’formalcommitmentstoconformnationallawandpracticetotheprinciplescontainedinthesedocumentsareavehiclethroughwhichnationalactorsensurethattheirgovernmentsupholdthelaw.Someofthemoreprominentexamplesinclude:UniversalDeclarationofHumanRights(1948);InternationalCovenantsonEconomic,SocialandCulturalRightsandonCivilandPoliticalRights(1966);InternationalConventiononthe
138“aprincipleofgovernanceinwhichallpersons,institutionsandentities,publicandprivate,includingtheStateitself,areaccountabletolawsthatarepubliclypromulgated,equallyenforcedandindependentlyadjudicated,andwhichareconsistentwithinternationalhumanrightsnormsandstandards.Itrequires,aswell,measurestoensureadherencetotheprinciplesofsupremacyoflaw,equalitybeforethelaw,accountabilitytothelaw,fairnessintheapplicationofthelaw,separationofpowers,participationindecisionmaking,legalcertainty,avoidanceofarbitrarinessandproceduralandlegaltransparency”(seeS/2004/616).
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EliminationofAllFormsofRacialDiscrimination;ConventionontheEliminationofAllFormsofDiscriminationagainstWomen;ConventionagainstTortureandOtherCruel,InhumanorDegradingTreatmentorPunishment;ConventionontheRightsoftheChild.
o StandardsforFairandEfficientJusticeSystems.Avarietyofstandardshaveevolved
toguidenationallawandpolicyonthetreatmentofindividualsthroughthecriminalandjusticesystem,andonthestructureofthesystemoverall.Althoughsomestandardsarecontainedinbindingconventions,suchastheTortureConvention,mostareintheformofstandards,principlesandcodesofconductsthatareappliedbynationalauthoritiesinthedevelopmentoftheirownlawandpolicyregardingtheirjusticesystems.Althoughthesestandardsgenerallyreflectbroadhumanrightsandruleoflawprinciples,theytendtofocusonspecificinstitutionsoractions,suchastheconductofjudges,prosecutorsandpoliceinthetreatmentofprisonersorthefulfilmentoftheiractions.Forexample,theBasicPrinciplesontheIndependenceoftheJudiciarysetoutstandardsfortheconditionsofservice,qualificationsandprofessionalethicsforjudges.Otherexamplesinclude:theStandardMinimumRulesfortheTreatmentofPrisoners;UnitedNationsRulesfortheProtectionofJuvenilesDeprivedoftheirLiberty;CodeofConductforLawEnforcementOfficials;BasicPrinciplesontheRoleofLawyers.
o Governanceandcorruption.Numerousinternationalinstrumentshavesetstandards
aimedatincreasingtransparencyandreducingcorruptionatthenationallevel.ThemostrobustandwidelyrecognizedinstrumentistheUnitedNationsConventionAgainstCorruption(UNCAC),whichinvolvesspecificcommitmentstoadoptdomesticlawandpolicyandcooperateinternationally,andincludesareviewmechanismstoenforcecompliance.Regionalorganizations,liketheAfricanUnionandOrganizationofAmericanStates,haveadoptedtheirownconventionsandstandardsoncorruption.Othermechanismsconsistofvoluntarypartnershipsandcommitmentstoadoptstandardsgoverningspecifictypesofrevenueorservices,liketheKimberlyProcesswhichinvolvescommitmentsregardingtheminingandexportofdiamonds,andtheExtractiveIndustryTransparencyInitiative(EITI)whichgovernstheextractionandsaleofoilandminingresources.Otherinitiativesinvolvebroaderstandardsthatareusedasareferencepoint,withvaryinglevelsofreviewandenforceability.ExamplesincludetheOpenGovernmentPartnership.
o SecurityandLawEnforcement,includingpreventingandmitigatingconflict,and
combatingcrimeandterrorism.Agrowingnumberofinternationalinstrumentshavefocusedonstrengtheningthetoolsatthenationalandinternationalleveltoreduceviolentcrimethatcontributetoinsecurityandconflict.Suchinstrumentsrangefromconventionsthatrequirenationalactionagainstspecificformsofcrime,liketheUNConventionAgainstTransnationalOrganizedCrime,InternationalConventionfortheSuppressionoftheFinancingofTerrorismandrelatedconventions,tocommitmentstoimprovecooperationinpreventingtransnationalcrimeandpreventingcriminalfinancing.Stateshavealsocommittedtobuildingandstrengtheninginternationalbodies,liketheInternationalCriminalCourt,withjurisdictionoverinternationalcrimes.
o Economicactivity.Severalinternationaltreatiesandstandardsfocusedoneconomic
activitiesincludeextensiveprovisionsthataffectthecontentofstates’lawandpolicyandtheirtreatmentatthedomesticlevel.Thesecommitmentsaredirectlyrelatedtodevelopment,andtothedomesticpolicyinstrumentsthataffectdevelopmentthroughtrade,investment,intellectualproperty,andotherareasofeconomicactivity.ThemostprominentexampleistheWorldTradeOrganization,anditssystemoftraderequirementsthatmustbeenshrinedinlaw.
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Targets and Indicators
Justastheruleoflawmatters,someasuringitmatters.Thedesignoftargetsandindicatorsfortheruleoflawhasbeenachallengefordevelopmentpolicyandprograms.Thebroadandmulti‐facetednatureoftheruleoflawhasresultedinanincrediblyvariedsetofindicatorsandtools,eachwithitsowncomplexitiesandlimitations.Yetrecentadvanceshaveproducednewtoolsformeasuringvariouselementsoftheruleoflaw
Thefirststepinsettingruleoflawtargetsisdefiningoneormoreclearandmeasurableconcepts.DonorsfrequentlydeploydifferingdefinitionsofROLinlinewiththeirrespectiveconceptions,comparativeadvantagesandinstitutionalmandates.Lowcorrelationamongdifferentmeasuresoftheruleoflawrevealthatthemeasuresarehighlysensitivetothespecificconceptmeasured,themethodologychosen,andthecontextinwhichtheyaredeployed.139YetitisimportanttobearinmindthatdefinitionsforthepurposeofmeasurementarenotnecessarilythesameastheprinciplesofROLthatguidedonorprogramming.Donorscanchoosetomeasureadherencetothesebroadprinciplesortheeffectivenessofruleoflawprogrammingthroughdifferentindicators.Measuringtheimpactofdevelopmentpoliciesisparticularlydifficult,duetoconfusionaboutcausationbetweenprogramoutputsandintendedoutcomes(seeevidencesectionabove).Moreover,anymeasureisonlyanimperfectproxyforthatconcept.Tryingtomeasureamorespecificelementoftheconceptinevitablyomitsothercoreelementsoftheconcept.Compositeindicatorsloseprecisionandsensitivitytochange,andrunintomethodologicalproblems.140
Significantadvanceshavenonethelessbeenmadeinmeasuringtheruleoflawfromavarietyofperspectivesandmethods.Existingindicatorsfortheruleoflawfocusondifferentconceptsinherenttotheruleoflawandapplyvariousmethods.Someoftheapproachesincludethefollowing.
Broadindicesofruleoflawatthecountrylevel.Attemptstocapturethebroad
conceptionofruleoflawgenerallyrelyoncompositemeasuresthatcombineseveraldimensionstoproduceamulti‐facetedmeasureofruleoflawatthecountrylevel.Thisisdoneeitherbycombiningseveralexistingindicatorsthatmeasuremorespecificaspectsoftheruleoflaw,(e.g.WorldBank’sGovernanceIndicators);orthroughexpertandpublicsurveysthataskavarietyofquestionsregardingdifferentelementsoftheruleoflaw(e.g.theWorldJusticeProject’sRuleofLawIndex).Thebroadertheconcept,however,thelessspecificandsensitivetochanges.Broadmeasureshavealsobeencritiquedforemphasizingcertainelementsoftheruleoflawoverothers,orforfavouringWesternconceptionsoftheruleoflaw.Combiningmultipleindicatorscanalsoleadtomethodologicalproblemsintheaggregationofthedata,andhowtointerpretsuchaggregation.
Indicatorsofelementsoftheruleoflaw.Severalindicesmeasuresmorespecificelementsorcomponentsoftheruleoflaw,suchassecurityofpropertyandindividuals(e.g.WorldEconomicForum,IndexofEconomicFreedom,WorldBank’sCPIA);contractrightsandenforcement(WorldBank’sCPIAandDoingBusiness);
139Arndt,C.,&Oman,C.(2006).Usesandabusesofgovernanceindicators.Paris:OrganizationforEconomicCooperationandDevelopment.Haggard,S.,MacIntyre,A.,&Tiede,L.(2008).Theruleoflawandeconomicdevelopment.AnnualReviewofPoliticalScience,11,205–234.140Botero,JuanCarlos,RobertL.NelsonandChristinePratt.2011.“IndicesandIndicatorsofJusticeGovernanceandtheRuleofLaw:AnOverview,”TheHagueJournalontheRuleofLaw3(2).
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compliancewithhumanrightsandcivilliberties(e.g.Cingranelli‐RichardsCIRIHumanRightsDataset,FreedomHouse);judicialindependence(e.g.JudicialIndependenceIndex);constraintsontheexecutive(e.g.PolityIV,BertelsmanRuleofLawindex);orcorruption(e.g.GlobalCorruptionBarometer,GlobalIntegrityIndex).Theseindicesoftenrelyonperceptionasmeasuredbyexpertsurveys.Asaresult,theyaresensitivetothesampleofrespondentsandmaybebiased.Someoftheseindices,forexample,havebeencritiquedforrelyingtoomuchonelitelawyersorbusinesses.
Measuresofinstitutionalperformance.Severalmeasuresfocusontheperformance
ofspecificgovernmentinstitutions,usuallyinthejusticesector,althoughsomealsoincludeothersectorsofthegovernment,oralternativeandnon‐statedisputeresolution.Oneadvantageofsuchmeasuresisthattheabilitytocollectadministrativestatisticsonelementsofgovernmentperformance,suchascourtefficiency,allowsfordirectandaccuratemeasures.Yetthereliabilityandavailabilityofsuchdatavarieswidely.Morefundamentally,focusingoninstitutionalperformance,suchastheefficiencyofcourtproceedings,oftenrevealslittleaboutthebroaderruleoflaw(inparticulartheconstellationofinstitutionsthatcitizensturnto)orhowitisexperiencedbycitizens.Moreover,institutionsandstandardsmaydifferconsiderablyacrosscountries.Someexamplesinclude:theAmericanBarAssociation/ROLILegalEducation,LegalProfessionandJudicialReformIndices,theNationalCenterforStateCourt’sCourToolsfocusingoncourtperformance;theNationalJudicialInstituteofCanada’sframeworkforassessingjudicialindependence,transparencyandaccountability;theWorldBank’sDoingBusinessindicatorsandWorldBusinessEnvironmentSurveyofthecredibilityofthecourtsinenforcingcontracts.
Compliancewithinternationalnorms.Onestraightforwardwaytomeasurestates’
compliancewithinternationallawistoexaminetheirlawsandprocedures,andwhethertheyconformtointernationallawsandstandards.Manyinternationalconventionsincludemonitoringmechanisms,liketheICCPR’speriodicreviewprocess,orUNCAC’speerreviewprocess.Theseprocessesgenerallyreviewwhetherthecountryhasadoptedandimplementedthelegalandpolicyprovisionsrequiredbytheconvention.Howeverfocusingoncomplianceoftenleavesoutthecrucialelementsofimplementationandthepolicytrade‐offsthatresultfromcompetingnorms,whichcanbemuchhardertoassess.
Measuresofuserexperienceandcitizenperception.Anotherwaytomeasuretherule
oflawistofocusontheexperienceofusersofinstitutionsandtheperceptionsofcitizensingeneral.Anumberofcross‐countrysurveysaskspecificquestionsaboutpeople’sperceptionofstateinstitutions,theircompliancewiththelaw,andtheirattitudetowardvariousaspectsoftheruleoflaw.Surveyscanalsofocusmorenarrowlyonparticularcategoriesofcitizens,suchasthosethathavebeenincontactwithcourtsorpolicetomeasuretheirperformance.SomeexamplesincludeAfrobarometer,AsianBarometer,Latinobarometer,TI’sCorruptionBarometerRelyingonperceptionscanbehighlyimpreciseandrevealcontradictoryfindings.Forinstance,agovernment’seffortstocombatcorruptioncanresultsingreaterexposureofcases,resultinginanincreaseincitizenperceptionofcorruption.Theyalsodependonthedefinitionoftheconcepttobemeasured,andtheframingoftheproblem.Forexample,surveysontheperceptionofcrimerarelydefinewhat“crime”isandhowseriousitshouldbe.
“Baskets”ofIndicatorstailoredtocountryneeds.Otherindicatorsstartfrombroadprinciplesbutbreakdowntheconceptintovariousprinciplesandsub‐principlesthatareaggregatedinto“baskets”ofmeasuresfromvarioussources.Themeasures
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usedinaparticularcountrycanbetailoredtocountryneeds.AnexampleofthisapproachthatseekstocompareacrosscountriesistheUNRuleofLawIndex.Other“basket”approachesaremoretailored,anddevelopindicatorsbasedonananalysisofcountryconditionsandwhatisneededtoachieveeitherhigherlevelprinciplesandstandards,orspecificimprovementsintheprovisionofjustice.141Forexample,generatingindicatorsbasedonadetailedanalysisofaparticularissueandthedataavailabletocraftabasketofindicatorsfocusedontheparticularproblem–e.g.asetofindicatorsfocusedonpolicesearches,seizuresandarreststomeasuredimensionsofpoliceperformanceidentifiedasaproblembypolicymakers.142Yetthemorecountryspecifictheindicator,thelesstheyarecomparableacrosscountries.Moreover,usingmultipleindicatorsanddatasourceincreasesthecostofcollectingthedata.
Theforegoingdiscussionhighlightsseveraltrade‐offsindefiningindicatorsandtargetsrelativetotheruleoflaw.Asamulti‐dimensionalsocialandpoliticalrealitythatvariesbycontext,changesintheruleoflawcannoteasilybecapturedthroughasingle,time‐boundorspecificindicator.Manymeasuresoftheruleoflawhavetendedtoprivilegecertainconceptionsoftheruleoflawoverothers–suchassecurityofpropertyratherthanequitableenforcement–andtofocusoninstitutionalperformance–suchascaseprocessingtime‐ratherthanoutcomesforcitizens.Sincedataoneachoftheseelementstendstobefragmentedandunreliable,selectingasingleindicatorthatcanbemeasuredacrosscountriescanbetricky. Othertrade‐offsthatariseinselectingindicatorsinclude:
Specificityvs.Breadthofconcept Universalapplication/comparabilityvs.Contextspecificity Sensitivityofmeasurementvs.Comprehensivenessofmeasurement Achievablevs.Ambitious Norm‐basedvs.Performance‐based CostofMeasurement Reliabilityandmeasurabilityofdata Incentivescreatedbydifferentindicators
Effortstomeasuretheruleoflawcanalsoproduceunintendedconsequences.Evenwherepolicymakersintendtoaddressvariouselementsoftheruleoflaw,selectingindicatorsformeasuringpolicyimpactcanempowercertainactorsoverothers,ordistortinstitutionalperformancetowardfulfillingtargetswhileneglectingothercrucialfunctions.Significantgapsintheavailabilityofdata,bothontheperformanceofinstitutionsandonoutcomesforthepubliccanexacerbatetheseconsequencesifpolicymakerschoosetomeasurewhatisavailableratherthanwhatmatters.Forexample,themeasureofhomicideratesisoftenusedasaproxyfortheruleoflaw,sinceitisrelativelyreliable,sensitivetopolicychange,andcanbecomparedacrosscountries.Yetitcanalsoleadtoafocusoncertaintypesofcrimeoverothers,whichdrivestheallocationofresourcesandthelackofattentiontoimportantelementsofinsecurityandinjustice.Amulti‐nationalindicator,drivenbynationalvoices,initspoliticalcontextandwithclearandlimitedaims,canbevaluable.Suchanindicatorcouldfocusglobalattentiononelementsoftheruleoflawthatareunderstoodtobeimportantacrosscountriesandcontexts,andhelpspurimprovedapproachestomeasuringit.Itcouldbebasedona
141Parsons,Jim.2011.“DevelopingClustersofIndicators:AnAlternativeApproachtoMeasuringtheProvisionofJustice”TheHagueJournalontheRuleofLaw3(2).Seealso142Stone,ChristopherandToddFoglesong,“StrengtheningRuleofLawbyMeasuringLocalPractice,OneRuleataTime,”PrograminCriminalJusticePolicyandManagementattheHarvardKennedySchoolofGovernment.
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“basket”ofindicatorsthataregroundedinlocalchallengesandcontext.Forexample,ameasureofaccesstojusticemightincludesurveydatashowingthetypesofcasesofmostconcerntocitizens,captureuserperceptionandexperience,measuretheperformanceofseveralinstitutions,andassesstheavailabilityandqualityofarangeofservices–fromcourtsandparalegalstocommunitymediationandmediaaccess–thatarerelevanttoagivencontext.Suchanapproachcouldmeasureglobaloutcomeswhileremainingadaptabletolocalcontexts.Themostcommoncriticismofuniversalindicatorsisthattheylackrelevancetoparticularcountrycontextsandneedsinordertoachieveacommonconceptacrosscountries.Underlyingthisisthenotionthattheyhavebeenbuiltonlimitedinputfromdifferentvoices,especiallyfromthesouthandatthelocallevel.
Countrieshavebeguntodefinetheirowncountry‐specificindicators.Someprocessesareattemptingtobreakthemould,usingnationally‐drivenprocessestodeveloptargetedmulti‐nationalindicatorswhileacknowledgingtheirimprecisionandstressingthelinksbetweentheindicator,thebehaviouralchangetheyaretryingtostimulate,andavisionoftheruleoflaw.InthecontextoftheMDGs,Mongolia,AlbaniaandCambodiadefinedtheirown“ninth”MDGfocusedonhumanrights,goodgovernanceorhumansecurity.Eachofthesegoalsreflectedvaryinglevelsofpublicconsultation,buttheywerealltailoredtotheirparticulardevelopmentneeds.Othercountrieshavesoughttodefinetheirowncommitmentsandtargetsmoreexplicitlyfocusedontheruleoflawinthecontextofotherfora.ForexampletheG‐7+NewDealforEngagementinFragileStateshassoughttodefineindicators,includingforsecurityandjusticethatreflecttheneedsandperspectivesofthemembercountries.Thiseffortattemptstodefineasetoftargetsandindicatorsthataremorecomparableacrosscontextsbutrootedincountryneeds.
Moreattentioncouldbedevotedtonationalandlocal‐levelinputinthedefinitionoftargetsandindicators.Nationalvoicesareessential,buttheyhavebeen“notablyabsentfromtheglobaldiscussiononruleoflawassistance,whichhasbeenrepletewithinternationalexperts.Governmentandcivilsocietystakeholderswithinrecipientcountriescanprovidesubstantiveinsightonthedynamicsunderlyingkeyconceptssuchasnationalownership.Moreover,theymightquestionfundamentalaspectsofcurrentapproachesandsuggestinnovationstoimprovethelikelihoodofsuccess.”143Morefocusshouldbedevotedtodefiningtargetsandindicatorsthatrespondtotheconditionsinvariouscountries,thatarerelevanttospecificcountrycontexts,andthatincorporateabroaderrangeofvoicesandperspectives.Thiscontextualizedapproachshouldnotbeusedtoavoidchallengingindicators,suchasmulti‐dimensionalonesorthosethatfocusonendusers.Rather,itshouldbeusedtoexplorewhetherthecountrycontext–includingthenatureandcapacityofgovernmentauthorities–suggeststhemtobeuseful.
Settingruleoflawtargetswillalsorequireattentiontodevelopinglocalsourcesofdataontheruleoflaw.Thisincludesbuildingcapacitytocollectandanalyzedatathatisrelevanttolocalcontexts,andhelpstoassesslocalrealities,includingbyincorporatingsub‐nationalandlocalvoicesusingarangeofdifferentmethods.
Thisrequiresdomesticdata‐collection,investmentbydonorsinbuildingdomesticcapacityforsuchdatacollection,andruleoflawstaffincountrywhohaveagraspoflocalcontext.144Italsorequireseffectiveengagementatthe
143UNSGreportA/63/226,at17144DeborahIsser(2011),“UnderstandingandEngagingCustomaryJusticeSystems”,inDeborahIsser(ed.),CustomaryJusticeandtheRuleofLawinWar‐TornSocieties.Washington,DC:UnitedStatesInstituteofPeace,at344‐345.
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internationalwithacademicsandpolicy‐makersfromrecipientcountries,145andfacilitiestopromoteSouth‐Southexchangeoflessons.
Italsorequiresdifferenttypesofdata.Legalanalyses,householdsurveysandeconomicdatadonotseemtobesufficientinexpressingthecomplexityofruleoflawsystemsinordertosupportthedesignofproblem‐basedinterventions.146Thisisparticularlytruewhenwethinkofsystemsincorporatingtraditional,customaryandotherformsofjustice.Understandinglocalconceptionsofjusticeandcapturingvoiceandagencythroughabroaderrangeofdata–forexampletheWorldBank’sVoicesofthePoorproject‐isessential
Thisalsorequiresaconcertedeffortbydonorstolinklocalandnationaldata
andunderstandingofcontexts.Targetedlocalinterventionswillnotbesuccessfulwithoutanunderstandingofthenationalcontextsofpowerandcoalitionsinwhichtheyplayout.Nationalorbiginterventionswillnotworkunlesstheyaremaderelevanttopowerandcoalitiondynamicsatthelocallevel.147Additionaldataandanalyticaltechniquesarerequiredtomeasurethesevariouselementsoftheruleoflaw.
Lessons from the MDGs
ExperiencesuggeststhevalueoftheMDGsforincreasingattentionandresourcestoparticulardevelopmentchallenges.ThemostfrequentlycitedbenefitoftheMDGshasbeenitsimpactonfocusingattentionofdonorsandrecipientcountriesonachievingcommonobjectivesandtargets.TheMDGsarecreditedwithhavinggeneratedconsensusarounddevelopmentpriorities,raisedinternationalawarenessofpoverty,shiftedthedevelopmentdiscoursefromafocusoneconomicgrowthtopovertyreduction,andencouragedgovernmentsandtheirpublicstodevoteresourcestoaddressthesegoals.148TheMDGsalsoledtoimproveddatacollectionandtechniquesformeasuringdevelopmentoutcomes,toenablethedefinitionofconcreteandmeasurablegoals.149
Theevidenceforthisimpactislimitedsofar.Fewsystematicstudieshavebeencarriedouttomeasuretheseeffectsandmoreresearchisneeded.150ThosestudiesthathavebeenconductedsuggestthattheimpactofMDGsonachievinggoalshaseithervariedbythespecificgoal–withmoreprogressonincome,primarycompletionrates,childand
145WilliamTwining,“LegalPluralism101”,ininTamanaha,B.,Sage,C.andWoolcock,M.(eds.),LegalPluralismandDevelopment:ScholarsandPractitionersinDialogue.Cambridge:CambridgeUniversityPress.146Desai,D.,Isser,D.andWoolcock,M.(2012),‘RethinkingJusticeReforminFragileandConflict‐AffectedStates:LessonsforEnhancingtheCapacityofDevelopmentAgencies’,4HagueJournalontheRuleofLaw54.147GilesMohanandKristianStokke,2000.“Participatorydevelopmentandempowerment:thedangersoflocalism”.ThirdWorldQuarterly,21(2),pp.247‐268.148SakikoFukuda‐Parr,Shouldglobalgoalsettingcontinue,andhow,inthepost‐2015era?,DESAWorkingPaper117(2012,ST/ESA/2012/DWP/117),2;CharlesKennyandAndySumner,MoreMoneyorMoreDevelopment:WhatHavetheMDGsAchieved?(CenterforGlobalDevelopmentWorkingPaper278,2011),AlexEvansandDavidSteven,BeyondtheMillenniumDevelopmentGoals:AgreeingaPost‐2015DevelopmentFramework(ManagingGlobalOrderWorkingPaper,2012),http://www.beyond2015.org/sites/default/files/evans_steven_millennium_2015.pdf,6;andClaireMelamedandAndySumner,APost‐215GlobalDevelopmentAgreement:why,what,who?(PaperforODI/UNDPCairoworkshoponapost‐2015GlobalDevelopmentAgreement,2011)http://www.odi.org.uk/sites/odi.org.uk/files/odi‐assets/publications‐opinion‐files/7369.pdf,2‐4.149ClaireMelamed,After2015:Context,politicsandprocessesforapost‐2015globalagreementondevelopment(OverseasDevelopmentInstitute,2012),7.150SeeRichardManning.2009.“UsingIndicatorstoEncourageDevelopment:LessonsfromtheMillenniumDevelopmentGoals”DIISReport1,DanishInstituteforInternationalStudies.
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maternalmortalitythanothergoals151–orhasnotledtoanyaccelerationinachievinggoalsrelativetothepre‐2000period.152Moreover,studiesofcertainsectors,inparticularhealth,havenotedthedistortiveimpactoftheMDGsonstatesystems,withanoveremphasisofaidandpolicyonspecifictargets(suchasHIV/AIDSandmalariapreventionandtreatment)tothedetrimentofotheressentialareas(suchasdeworming).153ThuswhiletheMDGsappeartohavehadanimpactonincreasingaidflowstopriorityareas,theimpactoneffectivegovernmentpolicyandresourceallocationislessclear.154Aclearlessonlearnedistodevoteresourcesandattentiontoensuringthattheobjectivesandtargetsareresultingingreaterresourceallocation.
TheMDGexperiencehighlightedtheimportanceoftheROLforbroaderdevelopmentoutcomes.AreviewofcountryreportsrevealstheimportanceofaddressingtheruleoflawtoachieveMDGtargetsacrosssectors.155Inabroadrangeofcountries,establishingtransparentandlegitimatelegalframeworks,ensuringpredictableenforcementofrulesandprocedures,andreducingcorruptionhaveenabledeffectivedeliveryofhealth,educationandothersocialservices.Theabsenceoftheseelementshasinmanycasesbeencitedasafactorincountries’failuretomeettargets.Forexample,legitimatelawsandcredibleenforcementmechanismshaveparticularlycontributedtoexpandingopportunitiesforwomenandvulnerablegroupstoparticipateineconomicandpoliticallife–asrequiredbythethirdMDGongenderequality. Inafewcases,theMDGshaveencouragedcountriestodefinecontext‐specificapproachestopromotingtheruleoflaw.Inahandfulofcountries,includingMongolia,Albania,CambodiaandIraq,theMDGshaveresultedinspecificattentiontoelementsoftheruleoflaw.Asnotedabove,thesecountriesadoptedadditionalMDGobjectivesandtargetsrelatedtotheruleoflaw,anticorruption,governanceorhumansecurity.TheMongolianMDG,whichonrespectinghumanrights,ensuringfreeaccesstoinformation,mainstreamingdemocraticprinciplesandpractices,andreducingcorruption,reflectedbroadpublicconsultationsaswellastheinputofinternationalexpertisetodefinetargets,indicatorsandmeasurementtechniques.156TheAlbanianMDGfocusedonimprovinggovernance,ruleoflawandinclusionofminoritiesinthecontextofitsbidforEUaccession.Cambodia’sMDGsfocusedontheneedtoreducetheimpactoflandminesandimproveassistancetovictims.TheimpactoftheseMDGsontheresourcesdevotedtotheseissuesorthesuccessofprogramssofarhasnotbeensystematicallytested.
SomeofthelessonslearnedfromtheMDGsareparticularlyrelevanttotheruleoflaw,especiallytheneedtobetterreflectvaryingnationalandsub‐nationalcontexts,andto
151CharlesKennyandAndySumner,MoreMoneyorMoreDevelopment:WhatHavetheMDGsAchieved?(CenterforGlobalDevelopmentWorkingPaper278,2011),18.152SakikoFukuda‐ParrandJoshuaGreenstein,HowShouldMDGImplementationBeMeasured:FasterProgressorMeetingTargets?(UNDP‐IPCWorkingpaper63,2010)http://www.ipc‐undp.org/pub/IPCWorkingPaper63.pdf,22.153Molyneux,DavidH.,“Combatingthe‘‘otherdiseases’’ofMDG6:changingtheparadigmtoachieveequityandpovertyreduction?”,TransactionsoftheRoyalSocietyofTropicalMedicineandHygiene(2008)102,509—519;Shiffman,J.,2008.HasdonorprioritizationofHIV/AIDSdisplacedaidforotherhealthissues?HealthPolicyPlan.23,95—100.154SakikoFukuda‐Parr,Shouldglobalgoalsettingcontinue,andhow,inthepost‐2015era?,DESAWorkingPaper117(2012,ST/ESA/2012/DWP/117),5.;CharlesKennyandAndySumner,MoreMoneyorMoreDevelopment:WhatHavetheMDGsAchieved?(CenterforGlobalDevelopmentWorkingPaper278,2011),4;seealsoClaireMelamedandAndySumner,APost‐215GlobalDevelopmentAgreement:why,what,who?(PaperforODI/UNDPCairoworkshoponapost‐2015GlobalDevelopmentAgreement,2011),at14.155Referencestoadequatelegalframeworks,effectiveenforcementandresolutionofgrievancesaresprinkledthroughoutcountryreports,althoughruleoflawisrarelyanexplicittheme.156Dorjsuren,P,“Mongolia’sExperienceinDevelopingDemocraticGovernanceIndicators,”TheAcademyofPoliticalEducation,Mongolia,athttp://academy.org.mn/apem/index2.php?option=com_content&do_pdf=1&id=93
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incorporatebroaderconsultation.OneofthemaincritiquesoftheMDGswastheirinsufficientattentiontovaryinglocalcontextsandconditions.Theselectionofgoalsdidnotincludebroadconsultationsacrosscountries,oramongdifferentgroupswithincountries,leadingtotheexclusionofimportantaspectsofdevelopment.157Althoughcommonobjectivesandtargetswereusefulinfacilitatingmeasurement,theydidnotsufficientlyaddressvariationsacrosscontexts.158Globally,thetargetsdidnotaddressthedisparitiesacrosscountriesthatconstrainedtheachievementoftheruleoflaw.Atthesub‐nationallevel,aggregateindicatorsdidnotreflectthechallengeofreducinginequalitiesbetweendifferentgroupsorgiveprioritytothemostdisadvantaged.
Theimportanceofnavigatingthetensionbetweenuniversalbenchmarksandcontext‐specificobjectivesisalsoparticularlyrelevanttotheruleoflaw.Giventhevariationinthesubstantiveunderpinnings,institutionalformsandprocessesthataffecttheruleoflawindifferentcontexts,itisparticularlyimportanttoengagewitharangeofthinkers,ideasandperspectivesfromsocietiesinboththeGlobalNorthandSouth.Goalsandindicatorsshouldreflectaparticularpathwayorrelationshipbetweentheruleoflawanddevelopment.Indefiningobjectives,targetsandindicators,policymakersshouldexplorethemultiplewaysofmeasuringtheruleoflawdescribedabove,thatrangefromnormativecommitmentstoinstitutionalperformancetocitizenperceptionandexperience,alongwitheffortstoconstructflexiblebasketsorsystemsofindicatorsthatrespondtoparticularcontexts.Developmentobjectivesrelatedtotheruleoflawshouldalsoreflectconsultationsthatincludedifferentgroupswithinsocieties,andbeflexibletolocalconditions,normsandinstitutions.
Concluding Thoughts and Possible Approaches
Theruleoflawisofenduringimportancetodevelopmentpolicydiscourse.Therelationshipbetweentheruleoflawanddevelopmentismulti‐facetedandrunsthroughvariouspathways.Nonetheless,substantialevidencehasaccumulatedshowingitsimportancetodevelopment.Countrieshaveexpressedtheircommitmenttotheruleoflawthroughseveralinternationalfora,includingtheUNGeneralAssemblyaswellasseveralregionalandinternationalbodiesandinternationaltreatiesestablishingstates’responsibilitytoprotecthumanrights.Civilsocietyactorshaveincreasedtheircallsforaddressingtheruleoflawaspartofthepost‐2015developmentagenda.159Althoughtheruleoflawishighlycomplex,itispartofthedeepstructureofallsocieties.AsstatesoutlinedintheRio+20Outcomedocument,thepost‐2015developmentgoalsshouldhaveuniversalappeal.Attentiontotheruleoflawwouldreflectasharedsensethathumandignityandjusticematter,andthushaveglobalpolitical,socialandeconomicresonance.Giventheprevalenceofpovertyandinequalityinbothdevelopedanddevelopingcountries,itispossibletosay,forexample,thatallcountriesface
157SakikoFukuda‐Parr,Shouldglobalgoalsettingcontinue,andhow,inthepost‐2015era?,DESAWorkingPaper117(2012,ST/ESA/2012/DWP/117),11,12;WilliamEasterly,“HowtheMillenniumDevelopmentGoalsareUnfairtoAfrica,”WorldDevelopmentvol.73,no.1(2008),27;ClaireMelamed,After2015:Context,politicsandprocessesforapost‐2015globalagreementondevelopment(OverseasDevelopmentInstitute,2012),7.158SakikoFukuda‐Parr,Shouldglobalgoalsettingcontinue,andhow,inthepost‐2015era?,DESAWorkingPaper117(2012,ST/ESA/2012/DWP/117),10‐11.;CharlesKennyandAndySumner,MoreMoneyorMoreDevelopment:WhatHavetheMDGsAchieved?(CenterforGlobalDevelopmentWorkingPaper278,2011),11;MichaelA.Clemens,CharlesJ.KennyandToddJ.Moss,“TheTroublewiththeMDGs:ConfrontingExpectationsofAidandDevelopmentSuccess,”WorldDevelopmentvol.35,no.5(2007).159Seehttp://www.transparency.org/whatwedo/pub/policy_brief._looking_beyond_2015_a_role_for_governanceandhttp://www.opensocietyfoundations.org/projects/justice‐and‐development
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challengesrelatedtoensuringeffectiveaccesstojusticebythepoorestandmostmarginalizedsectorsoftheirsocieties.
Agrowingbodyofevidenceandpracticepointtotheimportanceoftheruleofacrosssectorsofdevelopment.Theruleoflawisanendinitselfaswellasanenablingfactorsandelementofprocessthataffectsawiderangeofdevelopmentoutcomes.Theevidencefortherelationshipbetweencertainelementsoftheruleoflawanddevelopmentisgrowing,althoughmoreresearchandimprovedmeasurementtoolsareneeded.Developmentpracticeisalsochangingtoreflectanuancedandcomplexunderstandingoftheruleoflawthatisrootedinlocalcontextandaddressesparticulardevelopmentchallengesinavarietyofsectors.Incorporatingtheruleoflawintothepost‐2015developmentagendacouldincreaseattentiontoitsroleasanenablerandoutcomeofdevelopment.TheexperienceoftheMillenniumDevelopmentGoalssuggeststhevalueofsettingglobaltargetstosteerresourcesandattentiontowardtranslatingcommitmentsintopractice.Additionalglobalfocusontheruleoflawcanchannelresourcestowarddeepeningtheevidencebase,generatingnewdataandmeasurementtechniques,anddesigningeffectivesolutionstochallengesrelatedtotheruleoflawanddevelopment.Effortstoincorporatetheruleoflawintothepost‐2015developmentagendashouldaddressthelessonslearnedfromtheMDGsandfiftyyearsofruleoflawanddevelopmentprogramming:
Incorporatingtheruleoflawrequiresclarifyingtheconceptoftheruleoflaw,and
itsrelationshiptodevelopment.Thevariousconceptionsoftheruleoflaw,includingdifferingsubstantiveandculturalcommitmentsandthevarietyofinstitutionsinvolved,cancomplicateeffortstodefineacommonobjective.Nonetheless,theevidencedescribedabovesuggestsspecificpathwaysthroughwhichtheruleoflawmatterstodevelopment.Itshouldbepossibletofocusoncertainpathwaysandoutcomesthataremostrelevanttothepost‐2015agenda,whileensuringflexibilityandadaptabilitytolocalcontexts.Arobustdiscussioncouldleadtothedefinitionofcoreelementsoftheruleoflawthatcanbeadoptedasaspecificobjectiveorincorporatedintootherobjectives.
Effortstomeasuretheruleoflawshouldtakeintoaccountthepotentialforunintendedconsequencesinadoptingindicatorsforcomplexandmulti‐dimensionalconceptsliketheruleoflaw.Indicatorscanempowercertainactorsoverothers,ordistortinstitutionalperformance.Averynarrowconceptionoftheruleoflawfocusedononeaspectofphysicalsafety,andmaydistortpolicyefforts,forexamplebydirectingresourcestowardcertainformsofviolentcrimeratherthanothersourcesofinsecurity,disputeorgrievancethatmorecommonlyaffectcitizens.
Inaddressingtheruleoflaw,anyfutureglobalframeworkshouldremain
sufficientlyadaptabletoreflectitscontext‐specificandcomplexnature.Giventheruleoflaw’scontestednature,itisparticularlyimportanttoengagewitharangeofthinkers,ideasandperspectivesfromsocietiesinboththeGlobalNorthandSouth.Moreover,theexperienceofunintendedconsequencessuggeststheimportanceofbroadinputindefiningruleoflawelementsofthedevelopmentframework,includingvoiceswithinandacrosscountrieswithvaryingconceptionsandpriorities. Thedefinitionoftargetsandindicatorsshouldalsoreflectlocal,context‐specificunderstandingoftheruleoflawanditsrelationshiptodevelopment,withouteschewingorunderminingcomplexity.
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Thepost‐2015agendashouldrecognizetheimportanceoftheruleoflawacrosssectorsofdevelopment.Itisincreasinglyunderstoodthattheruleoflawshapesoutcomesacrosssectors,fromhealthandeducationtoequitablegrowth,throughinstitutionsandprocessesthatensurelegitimatelegalframeworks,predictableandfairenforcement,andopportunitiestoequitablyresolvegrievancesandclaims.Therelationshipbetweentheruleoflawanddevelopmentarisesnotonlyinaparticularsetofinstitutions,butalsoacrosssocial,economicandpoliticaldevelopment.
Goals,targetsandindicatorsrelatedtotheruleoflawshouldreflectitsmultiple
dimensionsandfunctions.The multi‐facetednatureoftheruleoflawrequiresaflexibleandmulti‐dimensionalapproachtosettingtargetsandindicators.Manymeasuresoftheruleoflawhavetendedtoprivilegecertainconceptionsoftheruleoflawoverothers–suchassecurityofpropertyratherthanequitableenforcement–andtofocusoninstitutionalperformance–suchascaseprocessingtime‐ratherthanoutcomesforcitizens. Someoftherecentinnovationsinmeasuringtheruleoflaw,includingdefiningbasketsofindicatorsorindicesthatincludemultipledimensionsoftheruleoflawandthatcanbetailoredtolocalcontexts,mightbetterreflectthiscomplexitythanasingleindicator.
Threegeneralapproachestoincorporatingtheruleoflawintothepost‐2015developmentagendacouldbeconsidered.Theseapproaches,basedoncurrentdeliberationsregardingthefutureframeworkasreflectedinintergovernmentaldiscussionsandoutcomes,arenotmutuallyexclusiveandcouldbeadoptedinconcert:
1. Defineacommonruleoflawgoalwithaflexiblebasketofindicatorsthat
canbetailoredtocountrycontexts.Aruleoflawgoalwouldsignaltheimportanceoftheruleoflawasanoutcomeofdevelopmentonparwithotheroutcomessuchaspovertyreductionandhealth.
o Selectingaruleoflawgoalwouldrequireachievingbroadconsensusonaparticularaspectorfunctionoftheruleoflawthatresonatesacrossborders.Thismightfocusonsafetyandsecurity,aformofgovernance,accesstojustice,orsocialandeconomicjustice.Achievingsuchconsensuswouldrequireconsultationsattheinternationalandcountrylevelsthatincludeavarietyofvoices.Thegoalwouldalsoneedtobesufficientlybroadtoreflectvariationsacrossculturesandcontexts.ItwouldneedtotakeintoaccountthelessonslearnedfromtheMDGprocess–suchasaiddistortionandunintendedconsequences‐andthehistoryofruleoflawpolicymaking.
o Thegoalshouldfocusonanaspectoftheruleoflawthatisrelatedtootherpartsofthepost‐2015agenda.Forexample,ifthepost‐2015frameworkfocusesonpovertyreduction,thegoalmightbeorientedtowardsocialoreconomicjustice,perhapsaimingforequitableallocationofopportunitiesandservicesoraccesstocredibleprocessesforresolvinggrievancesanddisputes.
o Developingsuchagoalanditstargetsisacomplexendeavour.Thegoal
wouldbespecific,time‐boundanduniversallyapplied.Forexample,agoalonequitableaccesstojusticemightfocusonthepercentageofpeoplewithaccesstocertaintypesofservices,orwhofeelfairlytreatedinthedeliveryofservices.Yetatthesametime,lessonsfromtheMDGs
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suggestthatcountriesshouldretainflexibilitybydesigningatleastsomeoftheirowntargetsandindicators,drawingfrom“baskets”ofindicatorsthatcanbetailoredtospecificcontexts.Forexample,agoalrelatedtopublicsafetyandsecuritymightinvolveatargetofreducingviolentcrimebyacertainpercentage,butallowcountriestodefinethetypeofcrimethatismostsalientinitscontext,andcomplementindicatorsbasedoncrimestatisticswithmeasuresofcitizenexperience.Carefully‐craftedconsultationswithineachcountrywouldaimtodevelopindicatorsthatresonatewitheachsociety’sprioritiesandexperience.
2. Adopttheruleoflawasahighlevel“enabling”goal.Operatingatalevel
beyondtheprimarydevelopmentgoals,anenablinggoalwouldcommitcountriestomakenational‐levelpolicychangesthatenableprogressonotherdevelopmentgoals.Thisapproachrecognizesthattheruleoflawisnotjustanendinitself,butthatitalsoenablesabroaderrangeofdevelopmentoutcomes.
o Theenablinggoalwouldfocusonaspecificelementorfunctionoftheruleoflawthat,accordingtoempiricalevidence,facilitatesotheraspectsofthenewdevelopmentframework.Onthebasisofthebriefsummaryoftheevidencepresentedabove,anenablinggoalcouldfocusononeormorespecificfunctions,includingenforcementofcontracts;accountableandtransparentapplicationofexecutiveauthority;protectionofphysicalsafety;oraccessforvulnerablegroupstoknowledgeaboutrightsandmeanstoenforcethem.Forexample,apost‐2015emphasisonpovertyreductionandinequalitymightleadtoaruleoflawenablinggoalonparticipation,accesstoinformationandrightsprotectionforvulnerablegroupstoensuretheybenefitequallyfrompovertyreductionefforts.
o Theenablinggoalwouldentailconcrete,measurablecommitmentstoadoptnational‐levellegalorpolicychanges.Thesecommitmentswouldfocusonanationalruleoflawsystemasadistinctobjectofpolicychange.Buttheywouldalsobedesignedtoenableachievementofgoalsinothersectors.Forexample,tofulfilanenablinggoalrelatedtoexpandingaccesstoinformationandprotectionofrights,countriesmightcommittosuchpolicychangesasadoptingfreedomofinformationlaws,improvingperformanceoflawenforcement,orexpandingaccesstoparalegalservices.Thesetargetswouldbedesignedtoenableprogressonothergoalssuchashealthcaredelivery,buttheywouldproducebroaderbenefitsaswell.
o Thedetailsofthebenchmarksandindicatorscouldvarybycountry.
Whileadoptinguniversalgoals,countrieswoulddefineatleastsometargetsandindicatorsbasedontheirowninstitutionalneeds,contextsanddevelopmentchallenges.Forexample,agoalfocusedonaccesstojusticemightincludeauniversaltargetfocusedonexpandingthepercentageofpeoplewithaccesstofairandcredibledisputeresolutionmechanisms,butallowlocalvariationindefiningthespecifictypeofmechanism–fromformalcourts,tocustomarytribunals,toparalegaloradministrativemeasures.Theindicatorsformeasuringtheeffectivenessandfairnessofthesemechanismsmightsimilarlyvaryaccordingtothecontext.
3. Incorporatetheruleoflawacrossdevelopmentgoals.Focusingontheruleof
lawasanelementofprocess,thisapproachwouldensurethatother
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developmentgoalssimultaneouslycontributetotheruleoflawbyincorporatingtargetsandindicatorsrelatedtotheruleoflawacrossthesegoals.Thisapproachhighlightstheimportanceoftheruleoflawacrossdevelopment,withoutdefiningitasadesirableendinitself.
o Thisapproachwouldrequireclarifyingtheelementsofprocessthatare
importanttoachievingthepost‐2015goalsaccordingtotheempiricalevidence.Theseelementsmightincludelegitimateandtransparentlegalframeworks;publicparticipationandagency;thefairandequitableresolutionofdisputesandgrievances;credibleenforcementofthelaw;and/orrightsprotection.Eachoftheseelementswouldcontributetotheachievementofothergoalsbystrengtheningtheruleoflawaroundparticularissues.
o Theseelementscouldbeappliedacrossgoalsbyincorporatingspecifictargetsandindicatorsrelatedtotheruleoflawforeachgoal.Forexample,adevelopmentgoalonimprovingmaternalhealthcouldincludetargetsonequitableaccesstoservices,andincludeindicatorsontheadoptionofalegalframeworkestablishingrightstoservices,includingmechanismsthatenforcerightsandhandlegrievancesfairlyandequitably.
o Thetargetsandindicatorswouldbecarefullyformulatedtoaddressa
rangeofcountrycontextsandinstitutionalneeds.Theymightalsocombinearangeofdatasources.Forexample,eachgoalmightincludeindicatorsthatcombineuserperspectivescollectedthroughsurveys,outputindicatorsshowingnumbersofindividualsserved,andinputindicatorsrevealinglegalchanges.
