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ART_Franck_The New Development Can American Law and Legal Institutions Help Developing Countries
ART_Franck_The New Development Can American Law and Legal Institutions Help Developing Countries
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THE NEW DEVELOPMENT: CAN AMERICAN LAW
AND LEGAL INSTITUTIONS HELP DEVELOPING
COUNTRIES?t
THOMAS M. FRANCK*
American experience has not only built on the preceding one, but
has also, to some extent, radically altered and repealed that stage
and its underlying values. Our legal culture has served the cen-
tral function of legitimizing change, thereby making these poten-
tially divisive and revolutionary transitions seem orderly, peace-
ful, and to some extent, less perceptible.
This ability to promote orderly yet radical transition-a skill
well represented on the teams-is relevant to Africa and Asia.
Nevertheless, there is an important difference between our social
universe and that in which Afro-Asian lawyers and legal institu-
tions operate today. The United States underwent the three
stages of development consecutively. Without exception, the new
nations perceive all three stages-unification, industrialization, and
social welfare-as necessary and equal objectives and, therefore,
are pursuing all three concurrently.
This "accordioning" of the developmental stages is disorienting
to many American students and theorists. Conventional wisdom
teaches that national unification, the creation of stable and viable
communities and markets, is the prerequisite to establishment of
an industrial infrastructure, and that industrial growth, in turn,
is the prerequisite to dealing successfully with such social con-
cerns as poverty, illiteracy, and disease. Rejecting these assump-
tions, the new nations assert, instead, that unity is as much a prod-
uct as a prerequisite of industrialization and social welfare, and
that industrialization without concern for social welfare merely
postpones for future generations the unpaid accounts of angry peo-
ple, blighted cities, and despoiled countrysides.
Historically, men may have been unable to imagine a factory
until they had created a secure community or to invent unemploy-
ment benefits until they had built a factory. The new nations of
Africa and Asia, however, are taking their political, industrial,
and social revolutions all in one, and the consciousness of their
people encompasses all three phases simultaneously. Hence, de-
spite what economists may teach regarding stability, infrastruc-
ture, and capital accumulation, politicians in these countries are
not free to follow the historic step-by-step approach to develop-
ment. Africans and Asians intend to move from drums to the
full range of communications technology; they do not intend to
begin from the bottom by reinventing the wireless.
Two recent attitudinal shifts have also led developers to ask
whether a stage-by-stage approach might not in fact be the least
desirable path to development. First, people in the developed
world are themselves beginning to question the wisdom of having
undergone a period of industrialization relatively free of social
welfare concerns. 8 We ask whether a purely GNP oriented defi-
almost wholly on: (1) authority (Austin and Marx); and (2) so-
cialization (Durkheim, Weber, Parsons, and Skinner). Both ap-
proaches are fundamentally inappropriate to the stage into which
developed and developing nations are currently trying to enter.
They deal preponderantly with the study of power in quantity:
"big" government and "big" society, each hierarchically enforcing
norms of legitimate authority to establish systems and to reinforce
behavior among groups of persons under such rubrics as law, or-
der, morality, progress, and legitimacy. There is a surprising
dearth of contemporary. American literature on either the hori-
zontal, as distinct from the vertical, flow of power or the horizon-
tal formation of authority by equals in small communities jointly
sharing tasks and responsibilities. 6 The difference is not merely
one between dictatorship and democracy, but also between two
kinds of democracy: the vertical and the horizontal or, more con-
ventionally, the representative and the participatory. During the
past hundred years the United States has loaded almost all its
democracy onto a representational grid: The Presidency, Con-
gress, state legislatures, and municipal councils. However, most
less developed countries (LDC's) are not developing in this man-
ner. Representative democracy, in most although not all instances,
is being replaced by other systems which, in some of the more in-
teresting experiments, utilize, rather than combat, the sociocul-
tural facts of decentralization in rural, tribal societies.
Today, there is serious concern in the United States with the
efficacy of our own authority system, and new methods of legiti-
mization are being sought. We are experimenting with ways to
involve more citizens individually or in small subgroups di-
rectly, rather than through remote representatives, in decisionmak-
ing, at least on those levels that affect them most intimately.
Thus, the social welfare phase of American development in-
volves not merely a substantive reordering of priorities, values,
and laws, but an even more fundamental reorganization of the
procedures by which priorities are set and laws made. To this ex-
tent, we are beginning to think more like the LDC's and our ex-
periments should become increasingly relevant to their own as-
pirations. At the same time, while our more radical experiments
in social welfare and in popular participation may often be those
with which the LDC's can most readily empathize, many of the
radicals promoting and implementing those innovations are, para-
doxically, alien to the style and circumstances of the new na-
tions. Since these countries have not undergone a capitalist-
industrial age, their leaders do not share with our radicals the
need for revolutionary style or rhetoric. It puts them off, or
rather, they react adversely to the flamboyant tactics of some of
our innovators, especially those who seek to export not only the
19. It has been suggested that in view of the social cost of single
mindedly pursuing any particular social goal, system of values, or frame-
work of norms, better social consequences may ensue when the society
allows "several incompatible goals . . .to live in compromise, even though
logically they are mutually exclusive." J. SHKLAR, LEGALISM 122 (1964).
WISCONSIN LAW REVIEW [VOL. 1972:767
22. Id.
23. Id. at 19-20.
NUMBER 3] THE NEW DEVELOPMENT 781
gathering must involve not only lawyers, but also social scientists
and economists. Yet in no country visited was anything like this
underway. Therefore, neither judges nor legislators had access
to adequate data derived directly from the society. And soci-
ety too often offered no input into decisions purporting to affect
it.
Fourth, lawyers operating in a society concurrently pursuing
the goals of unity, industrialization, and social welfare will respond
to market forces by gravitating towards serving the first two,
rather than the third. 24 Thus, if the third goal is to remain effec-
tive, the legal profession, government, and interested publics must
deliberately set about to redress the balance through legal educa-
tion and imaginative institutional innovations. In the United
States, this redress is being attempted through use of public
interest law firms, public defender or legal aid bureaus, parapro-
fessional and clinical law programs, and storefront legal services.
Also significant in this country is the assumption of increasing
social responsibility by bar associations.
Finally, a lack of institutional or procedural alternatives to
formalistic structures of vertical representation generally limits
the extent to which the society can promote meaningful public
participation in development planning. Yet such participation is
probably essential to, although not a guarantee of successful exe-
cution; particularly if "success" is measured by a more meaningful
scale than a purely short-run materialistic one. It is also essential
that the public be able to protest effectively against, and get re-
lief from bureaucratic obduracy and the pernicious or capri-
cious exercise of administrative discretion, and that it be able to
do so without recourse to the formal legal process. In response,
lawyers in the United States and other Western states have
played a significant role in diversifying the modes of direct par-
ticipation through such devices as petition, litigation, lobbying, and
hearings, and in devising new institutions such as the ombudsman.
In virtually every instance, however, lawyers in the LDC's have
not yet become instigators and expediters of dialogue between
planners and publics, decisionmakers and those affected. How-
ever, governments and the legal professions are watching the Amer-
ican experience with a view to finding better ways to regularize
the processes of participation and redress, especially in local plan-
ning and administration.
reasons for this vary. In a very few countries, there simply is not
much of a minorities problem. 26 In other countries, for example
Turkey, a minorities problem does exist, but is officially buried by
the political arm of government under the weight of political
edicts and political enforcement of national unity and conformity.
In still others, such as Malaysia, conformity through edict is being
pursued-less successfully, but no less energetically-despite the
acknowledged existence of important minorities. These countries
have embarked on a forced march towards national unity, cutting
across diversity, and it is difficult to castigate political leaders
in this regard when the alternative so often appears to be na-
tional disintegration and civil war.
Finally, some countries, such as Kenya and Singapore, are trying
to achieve unity through coalition-subgroup bargaining processes,
sometimes with one subgroup clearly dominant but concerned
with keeping smaller subgroups from exercising their negative
power, which is usually stronger than their positive power, by acts
that sabotage the stability essential to development. This interest-
aggregation type of bargaining, however, takes place exclusively
in the political arena, and the resulting protections and benefits
are themselves political. Courts, obviously, cannot sit at this bar-
gaining table.
Nowhere, then, did we find courts playing an established role
as the protector of minority rights. 27 These rights were either
protected by political bargaining or deliberately left unprotected.
Thus, in each country visited, the balance of power between
courts and the political arms of government was found to be quite
different from that in the United States. Indeed, we noted a gen-
eral absence of the Lockean belief that "the rule of law," enforced
by courts, was a desirable barrier against infringement of in-
dividual rights by government. In one sense, individual rights, like
minority rights, have been deliberately rendered vulnerable; but
mainly, the rule of law, to the extent that it exists at all, is ev-
erywhere embedded in the political or administrative, not the
judicial, process.
This does not imply that many citizens are not disaffected by
government policies or by the political process in various devel-
oping countries, or that civil rights are not sometimes felt to be
violated unnecessarily. The disaffected, however, generally do
not blame their constitutional system for such inadequacies, but
rather attribute them to the individuals or party currently in
26. Tanzania, not one of the countries visited, is the best example.
27. India, which we did not visit, is largely sui generis to this entire
discussion, although the activist role of the Indian courts has been criti-
cized for reasons similar to those expressed to us in Turkey-that the
courts' favorite minorities were the privileged and the propertied. See
generally H. MERILLAT, LAND AND THE CONSTITUTION IN INDIA (1970).
WISCONSIN LAW REVIEW [VoL. 1972:767
the United States and the new nations. For instance, we are wit-
nessing a common tendency to regard litigation as costly and
wasteful, not merely to the litigants but to society. Thus, laws
may so alter the causal relationship between social events and
legal rights as to do away with the need for much litigation.
Among the laws in this category would be those abolishing many
categories of "social" crime (abortion, homosexuality, adultery,
and even usury), those creating "no fault" liability relationships
(in motor vehicle cases, for example), and those creating -a
broader scope for private arrangements (as in divorce by con-
sent, or in the abolition of distinctions between legitimacy and
illegitimacy).
Both in the United States and in the LDC's the growth of reg-
ulatory bureaucracy has created a demand for more self-regula-
tion. Laws creating the necessary incentives may help to pre-
serve some of the benefits of individual autonomy in an era of
burgeoning socialization. Incentive legislation in place of crim-
inal mandate is cheaper to administer, and can be more effective,
as well as less oppressive.
Similarly, legal institutions may be restructured to respond to
commonly felt needs of the social welfare stage of development.
Quasi-judicial tribunals might strive to facilitate compromise and
negotiation between parties, as well as the more conventional, ad-
versary, win-lose relationships, fostered by courts. Also, legal
processes less technical than mandamus may be invented to per-
form the essentially "lyrical" function of compelling those in power
routinely to hear those most directly affected before, and separate
from, the process of deciding; thus a new, administrative forum of
"oyer sans terminer" might develop. Borrowing from the past,
magisterial tribunals could be introduced, in which lesser social
crimes would be handled informally by social scientists and peers,
rather than by judges and juries. These tribunals would utilize
nonretributive, nonpunitive remedies of social restitution.
Finally, autonomous, but publicly funded, commissions for le-
gal research and law reform, composed of ad hoc teams of law-
yers, social scientists, and members of the affected public could
respond to the growing awareness of a social data gap. A commis-
sion's function might be to review the operation of a particular
area of law to determine: (1) What the law as written, inter-
preted, and applied really is; (2) what, if anything, it was de-
signed to accomplish; (3) what it is accomplishing in practice;
(4) what it ought to accomplish; and (5) how it could best be
reformed to accomplish it.
Lawyers themselves might also assume new roles. There may
be need for legal, or paralegal, practitioners who specialize in alert-
ing the citizens-particularly the poor-to their basic rights
against bureaucrats, creditors, parents, landlords, and default-
WISCONSIN LAW REVIEW [VoL. 1972:767
example, has noted that "even in ... India, law has not been
particularly responsive to environmental needs. Nor has it, to
any appreciable extent, retarded processes of national disintegra-
tion or degradation of authority where they occurred ....
What Kbnz means is that people-legislators and judges-have
failed the environment or have degraded authority; to say, "the
law has failed," adds little or nothing to our understanding of
what has gone wrong in India. There are certainly bad per-
sons; but bad institutions and bad laws are an effect, not a discrete
cause of social ills or ideological myopia.
This distinction is of practical significance to anyone interested
in the strategy of change. A "bad" law can rarely be changed
merely by pointing out that a different law would produce better
results. And changing a bad law is usually a task involving far
more than well-intentioned lawyers.
Why then should lawyers insist on assigning priority in the
development field to themselves, to law, and to legal institutions,
when mere parity will do? Is it not sufficient simply to justify
our concern with lawyers because we happen to be lawyers, and
because our experience in the American legal culture leads us to
believe that as long as a country has a legal profession, that pro-
fession, like any other, ought to be sensitive to national goals?
The precise role of lawyers in a given country emerges from
the interaction of a variety of forces affecting that country, and,
therefore, the kinds of roles lawyers play in national develop-
ment ought to be viewed as a sociopolitical choice which each na-
tion must make for itself. We should try to understand that
choice and take it as a given; then, if help is requested, assistance
must work within the parameters the request establishes.
Justice Holmes once observed that "inasmuch as the real justifi-
cation of a rule of law, if there be one, is that it helps to bring
about a social end which we desire, it is no less necessary that
those who make and develop the law should have these ends ar-
ticulately in their minds. '32 We might add that the means towards
those ends employed by lawyers, laws, and legal institutions must
be constantly updated to accord with the specific society, in all its
multivarious complexity, and with each intricate, delicately bal-
anced system of national goals and values.
ily engineers (why after all should not they be the "social engi-
neers"?), architects, professional administrators, and economists
all more numerous in these roles than were lawyers. In corpora-
tions, welfare organizations, and private interest groups, nonlaw-
yers engaged in many of the expediting functions we assign to
lawyers, and handled informal complaint and grievance procedures
at both the citizen's and government's ends. Most important, it
was far from clear, at least on the basis of our rather superficial
examination, that these incumbents of the social engineering role
did their job significantly better, or worse, than might most law-
yers.
IV. MULTILATERALIZATION
Programs of assistance such as those described above operate
within the limits of the current interests of most countries, even
those whose culture has traditionally confined the lawyer's role
rather narrowly. A strong case can therefore be made for multi-
lateralizing any such assistance. First, it reduces the political
risks to donors in what is obviously a relatively high risk enter-
prise. Second, multilateralization makes it harder for political foes
to accuse the government of being lackeys of imperialism, for the
"imperialist" is a consortium; the political risks to the recipient are
thus reduced. Third, multilateralization, involving a number of
developed as well as developing states, shares predictably high
costs. Fourth, it permits utilization of the skills and experiences
of a range of developed countries, such as Canada, as well as
those of more advanced developing states like Singapore. More-
over, most of the feasible proposals are not in areas particularly
or exclusively within the American experience.
V. CONCLUSION