The structure of goal- rules

1. The structure of goal-rules Pauline Westerman

2. Rules in order to change states of affairsandtoachievecertainaims Characteristics • General categories • Indicate a concrete mannertoachieveanaim • Based on assumption of causeand effect

3. Problems of rules in regulatory state: Structuralproblems: • Generality of categoriesentailproblems of interpretation; • Over- andunderinclusiveness; • The ruleshouldbefollowed; • Even iffollowed, anticipated effect does not take place. Additional (contemporary) problems: • Increasingcomplexity of topics toberegulated; • Increasingcomplexity of socialfieldstoberegulated.

4. . Solution: direct prescription of goals, such as in directives • A Further the protection of the environment. (aspirational norm) • B Make sure that you take the necessary precautions, draft the necessary legislation (implementation norm) • C Report on the progress you made (accountability norm) -------------------------------------

5. Features of goal-regulation • Rules prescribe states of affairs; actions are secondary (ought-to-be-norms). If actions are prescribed, then in goal-terms: act so that aim X is realized. • Rules are indifferent as to how goal is achieved, as long as goal is achieved. • Rules are addressed to (mini)-legislators and policymakers, not to rule-followers • Rules are indifferent as to by whom goal is achieved. Also here specification in terms of goal: everybody who is concerned with `clean environment’. • Goals usually positive, abstract and aspirational

6. . Concretisation of goal-rules • A Further the protection of the environment. (aspirational norm) • B Make sure that you take the necessary precautions, draft the necessary legislation (implementation norm) • C Report on the progress you made (accountability norm) ------------------------------------- • A’ The emission of toxics should be as low as reasonably achievable. • B’ Make sure you carry out a feasibility study, take the necessary measures, including rule-making. • C’ Report on the progress you made. ----------------------------------- • A’’ Within two years emission of toxics should be reduced by 10% • B’’ Inquire into the `best available techniques'. • C’’ Report on the progress you made

7. PERFORMANCE-CENTREDRITUALS LITURGICALRITUALS (HAVE WE GOT IT RIGHT?) As scripts: stereotypedsequence of events routinized • (HAS IT WORKED?) • A way to get results, e.g. healing • charismatic

8. Liturgicalrituals, dependent on conditionalreasoning. Conditionalreasoningdependent on constitutiverules telling which acts `count’ and are relevantIf [conditions] thencounts as proper ritualthenwhateveraims Ifflowers put on the right side `puja’ Ifheadbowed Iffeet are washed

9. Performance-centeredrituals(dependent on cause-effect knowledge) performance Rainfalls Audienceconvinced

10. If [conditions] then [legal concept] if [legal concept] then [legalconsequences] Right toinhabit house Signedbythreewitnesses Right toexclude non-owners testament Transferred in presence of notary Dutytopayinheriteddebts Dutytopaytaxes Notcontrarytoequity

11. Goal-legislationandconditionalreasoning?

12. . Concretisation of goal-rules • A Further the protection of the environment. (aspirational norm) • B Make sure that you take the necessary precautions, draft the necessary legislation (implementation norm) • C Report on the progress you made (accountability norm) ------------------------------------- • A’ The emission of toxics should be as low as reasonably achievable. • B’ Make sure you carry out a feasibility study, take the necessary measures, including rule-making. • C’ Report on the progress you made. ----------------------------------- • A’’ Within two years emission of toxics should be reduced by 10% • B’’ Inquire into the `best available techniques'. • C’’ Report on the progress you made

13. If [conditions] then [policy-aim] if [policy-aim] then [consequences] Subsidy Short waiting-list License Furtheringgood health care Information topatients Certified Goodreputation Trainedpersonnel

14. Goalregulation leads tonestedconcepts

15. Nestedconcepts • Relations between parts-wholesuggestcausalrelations: As ifcertifiededucation leads totrainedpersonneland as iftrainedpersonnel leads togood health care. • But is thisassumptionjustified?

16. If [conditions] then [policy-aim] Brightmask Rainfall Gooddance Wild gestures

17. Convergence of aims?

18. ReasonsadducedbyPrincipal : • P justifiesoriginalaimbyreferringto • more abstract aim • on whichthere is consensus • leaving open the possibility of variation (Cf SchanksandAbelson: Goals as higherlevels of abstraction in understanding a story: scripts – plans- goals- themes)

19. Reasonsadducedby Agent: • A justifies his performance byindicating • howaspirational norm was fulfilled = concrete results (parts of originalaim) • howimplementation norm was fulfilled (concrete protocols, codes etc)

20. But whatabout means? • Concretisation of abstract goal: In subgoals=parts (what does abstract goal `clean environment’ consist in) • Concrete parts do notnecessarily lead to overall abstract goal. At best partiallyso. (andnot even that) • Specification of subgoal in tresholds: “more than 10%” turningaspirationalnormsintobinaryones • But toreduceby 10% is a specificform of reducingemission, but not a means toachievethataim. • Instantiation of goals intoexemplary concrete realization: `best practices’. • Usuallya way toindicatethattresholdsshouldberegarded as a minimalperformance, not a maximum one.

21. Pros andcons of goal-regulation pro con Accountability norm leads toconcretisationwhichsuggestthat concrete measures are taken thatactuallybringabout the desired effect But these concrete component partsactuallyperform the function of formalconditions Cause-effect relations are “definedaway” Stabilityandlegalcertainty are undermined • Advantage forlegislator in view of his lack of (technicalandsocial) knowledge. • Allowsforvariationdepending on localcircumstances