Module C: Social contract, good local governance and public participation

1. Module C: Social contract, good local governance and public participation • Introduction 1.1 Aim of module To increase understanding of the principles and practice of good local governance Module C: Social Contract, Local Governance and Public Participation

2. Introduction (cont) • Explore implications of decentralization for central-local relations • Understand relationships between local government and other local actors • Understand concept of governance + principles of good local governance • Be aware of strategies and tools for strengthening citizen-local government relationship Module C: Social Contract, Local Governance and Public Participation

3. Introduction (cont) 1.2 Structure of the day 2. Formal representative politics: rhetoric, reality and potential • Widening political engagement – participation and accountability • Community development & local govt 5. Tools & sources of guidance Module C: Social Contract, Local Governance and Public Participation

4. 2. Formal representative politics: rhetoric, reality and potential 2.1 Introduction Purpose: to examine whether local democracy results in • more effective & responsive local government • voice for citizens, especially the poor Module C: Social Contract, Local Governance and Public Participation

5. 2.2 Central-local relations • Degree of autonomy related to • Constitution and legal basis for local government • Political motives of center + role and organization of local politics • Enhance local responsiveness + accountability • Counterbalance central power • More effective & efficient service delivery • Resource base Module C: Social Contract, Local Governance and Public Participation

6. 2.2 Central-local relations (cont) • Degrees of autonomy • High – capacity to initiate + freedom from oversight • Medium – either capacity to initiate + oversight or little power to initiate but little oversight • Low – no capacity to initiate, strong central control Module C: Social Contract, Local Governance and Public Participation

7. 2.2 Central-local relations (cont) • Central government attitudes vary • Arguments for retaining central control e.g. • Universal provision + redistribution • Universal standards or content • Central backup/specialized services • Professional staff • Achieving sectoral goals • Resources not evenly distributed Module C: Social Contract, Local Governance and Public Participation

8. 2.3 When is DD effective & responsive to the poor? • Has recent DD been developmentally effective + responsive to the poor? • In what circumstances? • With what characteristics? • Recent research comparing experience finds often not, but sometimes is – when and why? Module C: Social Contract, Local Governance and Public Participation

9. 2.3 When is DD effective & responsive to the poor? (cont) • Central government motivation • Build alliances + local elites – some powers, so may be effective, but unlikely to be pro-poor • Circumvent local elites to achieve poverty reduction – pro-poor if central backing • Fear local challenges so resists DD – limited powers, benefits mostly captured by local elites Module C: Social Contract, Local Governance and Public Participation

10. 2.3 When is DD effective & responsive to the poor? (cont) • Local socio-political structures • Elite capture common? • Increases voice of middle income • But • elite capture not inevitable • Composition & interests of elite? e.g. compare Botswana and Cote d’Ivoire (Boxes 1 and 2) Module C: Social Contract, Local Governance and Public Participation

11. 2.3 When is DD effective & responsive to the poor? (cont) • The design of political arrangements for decentralization influences • Scope for political participation • Nature of representation • Likelihood of responsiveness • Accountability • Who holds power – individual, group, dispersed? Module C: Social Contract, Local Governance and Public Participation

12. 2.3 When is DD effective & responsive to the poor? (cont) • Admin & fiscal arrangements • Resourcing critical – stable, predictable central-local transfers + local revenue generation • Role of central government – control, supervision, staffing, technical support (balanced with autonomy) • Hierarchy of levels + clear allocation roles to • Ensure resources + expertise available to local level • Sub-local units to increase responsiveness Module C: Social Contract, Local Governance and Public Participation

13. 2.3 When is DD effective & responsive to the poor? (cont) • Institutionalization • Stability over 10-15 years • Successive elections • Development of capacity Module C: Social Contract, Local Governance and Public Participation

14. 2.4 The characteristics of local democratic politics • Political structures & organization • Electoral arrangements • Location of executive control • Accountability mechanisms • Influence • Scope for political participation • Responsiveness + effectiveness • Accountability Module C: Social Contract, Local Governance and Public Participation

15. 2.4 The characteristics of local democratic politics (cont) Design of local electoral system • Election of representatives • Ward-based vs party list (see Boxes 1 & 2) • Can and do all residents vote? Who is less likely to vote and why? • What is the basis for representation? Exercise 1 – what do you understand by ‘representation’? Module C: Social Contract, Local Governance and Public Participation

16. 2.4 The characteristics of local democratic politics (cont) a) Election of representatives (cont) • Can all citizens stand for political office? • Does the social composition of legislatures reflect city/district population? b) Rules on terms of office • Single short term – encourages short termism • Longer, multiple – encourage reform + longer term initiatives? Module C: Social Contract, Local Governance and Public Participation

17. 2.4 The characteristics of local democratic politics (cont) • Institutionalization • Are elections held regularly? • Is there a peaceful alternation of power? • Are local elections independent of national elections? Module C: Social Contract, Local Governance and Public Participation

18. 2.5 Issues of executive control and accountability • Single or plural executive • Plural – more councilors participate, may be indecisive • Single (e.g. elected mayor) – clearer leadership, fewer checks & balances • Elected or appointed • Executive and/or managerial powers independent of legislature • Appointing senior staff - confidence appointments? Module C: Social Contract, Local Governance and Public Participation

19. 2.5 Issues of executive control and accountability Accountability • Requirements for transparency? • Who should exercise scrutiny? • Who should be held to account? • By whom? • Reasons for accountability failure? • How can accountability be improved? • Issues? Procedures + finance, or + gender equity, social justice, environmental impact? Module C: Social Contract, Local Governance and Public Participation

20. 2.5 Issues of executive control and accountability (cont) Transparency • Information available + timely + accurate • Between admin, executive & legislature • Between local govt & citizens • Right to Information legislation? Module C: Social Contract, Local Governance and Public Participation

21. 2.5 Issues of executive control and accountability (cont) Accountability mechanisms • Internal (horizontal accountability) • Rules and regulations • Internal reviews & audits • Central govt supervision • Merit-based recruitment & reward Module C: Social Contract, Local Governance and Public Participation

22. 2.5 Issues of executive control and accountability (cont) • External (vertical) • Executive-based controls (admin to political executive) • Does the executive represent the interests of citizens or limited/personal interests? • Legislature-based controls (admin + exec to elected council/assembly) • Has it legal powers + political authority? Module C: Social Contract, Local Governance and Public Participation

23. 2.5 Issues of executive control and accountability (cont) • External accountability (cont) • Central govt regulation • Is there an indep audit office? • Does central govt encourage good performance, collude with bad practice, or constrain local govt? • Electoral system • Is there wide & regular participation? Module C: Social Contract, Local Governance and Public Participation

24. 2.5 Issues of executive control and accountability (cont) • External mechanisms (cont) • Is there ‘neighborhood level govt + resources (see the kebeles of Addis Ababa – Box 3) • Ventilation of grievances (e.g. regular public hearings, ombudsman, complaints system, media publicity) • Are there complaints systems & are they effective? • Can all get redress for grievances? Module C: Social Contract, Local Governance and Public Participation

25. 2.5 Issues of executive control and accountability (cont) • External mechanisms (cont) • Campaigning by civil society orgs • Do GROs have wide membership? • Can/do NGOs speak on behalf of the poor? • Judiciary-based controls • Does court system have capacity? • Can all citizens access the court system? Module C: Social Contract, Local Governance and Public Participation

26. Exercise 2: the strengths and weaknesses of local government • What are the strengths of the local government system in which you work? • What are its weaknesses? NB give most consideration to political aspects • Relationships with central govt • Local electoral system • Composition & functioning of legislature • Location & exercise of executive power • Arrangements for ensuring accountability Module C: Social Contract, Local Governance and Public Participation

27. 2.6 The vicious and virtuous circles of ineffective/effective local govt • Vicious circle of ineffective undemocratic local govt • Little autonomy • Unresponsive and lacking capacity • Few benefits so limited political participation • Local politics left to the elite • Lost legitimacy, increased disillusionment Module C: Social Contract, Local Governance and Public Participation

28. The virtuous circle of effective & democratic local govt • Local political processes + wide political participation • Opportunities for direct democracy • Accountability mechanisms • Capacity + autonomy • Significant tasks + sufficient resources • Central govt backing, good central-local relations Module C: Social Contract, Local Governance and Public Participation

29. 2.7 Principles of local governance • Government = political & admin apparatus of the state, which guides, controls, regulates, decides • Governance = governing through relationships between state/civil society, rulers/ruled • Interdependence, interaction + joint action • Shared values and purpose which cannot be achieved by govt (or civil society, citizens) alone Module C: Social Contract, Local Governance and Public Participation

30. 2.7 Principles of local governance (cont) • Democratization • Re-allocation roles & responsibilities • Resistance from some, but • Recognition of advantages: if they • pass on appropriate tasks, and • concentrate on getting right the things that only public sector organizations can do, then • if improved service delivery results, increased legitimacy and support Module C: Social Contract, Local Governance and Public Participation

31. 2.8 Actors in the local political system • Who are the key political actors? • Politicians + political parties • Public sector agencies • Traditional authority structures • NGOs – variety of possible aims • Trade unions • CSOs • Citizens Module C: Social Contract, Local Governance and Public Participation

32. 2.8 Actors in the local political system (cont) • What are their political practices? • Voting • Debate, agenda setting • Decision making • Lobbying, demand-making • Negotiation, bargaining • Forming alliances, cooperation • Resistance, protest, non-compliance Module C: Social Contract, Local Governance and Public Participation

33. 2.8 Actors in the local political system (cont) • What explains these political practices? • Values • Understanding of political rights and system • Interests (personal and collective) • Opportunities + constraints provided by political system Module C: Social Contract, Local Governance and Public Participation

34. Exercise C.3: Stakeholder analysis of the local political system In a local political system with which group members are familiar • Identify the main political actors (powerful + marginalized) • Identify political interests of each actor • What influence do they have and why? • Which actors have most/least influence? Module C: Social Contract, Local Governance and Public Participation

35. 3. Widening political engagement – participation & accountability 3.1 Introduction: participation Voting = passive citizenship Participation = • active citizenship • power sharing • end or means • initiated from above or below Module C: Social Contract, Local Governance and Public Participation

36. Type of participation Persuasion Mobilization Consultation Participation Collaboration Collective action/self management Action by government On residents for govt purposes For/with citizens For/with citizens With citizens Neglect or support 3.1 The ladder of participation Module C: Social Contract, Local Governance and Public Participation

37. 3.2 Strengthening local democracy • Local government – autonomy + elections • Role for central government • Policy frameworks • Minimum standards for basic services • Ensuring equity • Exercising scrutiny to encourage good performance • Providing selected services Module C: Social Contract, Local Governance and Public Participation

38. 3.2 Strengthening local democracy (cont) • Role for central govt (cont) • Legislation • Reformed electoral rules, including elected executive • Reserved seats (quotas) for under-represented groups (e.g. Uganda) • Non-govt reps in policy + oversight • Requiring consultation + participation Module C: Social Contract, Local Governance and Public Participation

39. 3.2 Strengthening local democracy (cont) • Effective representation • Civic education ) see Box • Political capacity building ) 7 To • Encourage voting, especially by poor, women • Encourage citizens to stand for election • Build capacity to use office once elected Module C: Social Contract, Local Governance and Public Participation

40. 3.2 Strengthening local democracy (cont) • Budget analysis • Budgeting by local govt often unrelated to policy aims, poorly presented and secretive • Result – little useful role for legislature, no role for citizens (e.g. Uganda Box 8) • Actions • Improved budgetary practice (Module F) • Budget analysis by NGOs, citizens leading to pressure for gender awareness, equity, responsiveness to needs of poor Module C: Social Contract, Local Governance and Public Participation

41. Exercise C.4: Ways of strengthening local democracy – local needs & feasibility • Approaches • Local govt legislation • Civic education & capacity building • Budget analysis • Are any of these approaches needed in your local situation? • Would that/those approaches be feasible? Module C: Social Contract, Local Governance and Public Participation

42. 3.3 Strengthening accountability • Possibilities • Government initiatives to improve internal and external accountability • Civil society initiatives • Joint initiatives Module C: Social Contract, Local Governance and Public Participation

43. 3.3 Strengthening accountability (cont) • Claiming rights, addressing corruption • Educating the poor in their rights to basic services/regulations (Boxes 8 FOWODE and 9 Operation Firimbi, Kenya) • Supporting poor people when they approach or make claims from the bureaucracy (Box 9 Parivartan, Delhi) • Participatory corruption appraisal + action plan Module C: Social Contract, Local Governance and Public Participation

44. 3.3 Strengthening accountability (cont) • Assessing user satisfaction • Quantitative opinion surveys (Box 11 Report cards) • Qualitative user surveys • ‘naming and shaming’ • Pressure through publicity, lobbying, dialogue • Response? Module C: Social Contract, Local Governance and Public Participation

45. 3.3 Strengthening accountability (cont) • Monitoring and auditing local government performance • Monitoring govt expenditure – role for NGOs, external scrutiny body + citizen reps • Monitoring delivery – role for users, residents’ groups (e.g. Uganda – Box 8) • Auditing quality – role for residents, technically qualified volunteers • Response? Module C: Social Contract, Local Governance and Public Participation

46. Exercise C.5: Applicability of approaches to strengthening accountability to the local situation • Approaches to • Reducing effects of corruption on the poor • Assessing user satisfaction to improve service delivery • Monitoring local govt performance • In your local situation, which of these would be • Applicable • Feasible • Identify 1-2 alternative approaches Module C: Social Contract, Local Governance and Public Participation

47. 3.4 Participatory decision making See examples from St Louis, Senegal & Nakuru, Kenya in Boxes 13 & 14 Is the city/district strategic development planning process effective? • Plan to which all public agencies committed? • Known to other development actors? • Being implemented by dev’t control + allocation funds? Module C: Social Contract, Local Governance and Public Participation

48. 3.4 Participatory decision making (cont) • Under regular review for updating? • Prepared & reviewed through consultative or participatory processes? • Participatory budgeting in Brazil (see also Box 8 on Uganda) • Kenya’s new Local Authority Transfer Fund (Box 15) Module C: Social Contract, Local Governance and Public Participation

49. Exercise C.6 Analyzing a case study of participatory decision making Participatory budgeting in Brazil • 1.         Who participates? • 2.         In what are they able to participate? • 3.How do citizens participate? • 4.         Could participatory budgeting on the Brazilian model by used locally? If not, why not? • 5.         What alternative method of increasing participation in budgeting might be feasible? Module C: Social Contract, Local Governance and Public Participation

50. Exercise C.6 Analyzing a case study of participatory decision making PB in Brazil – contextual factors explaining success • Political history • Workers’ Party + pro-poor political ideology • Participatory culture • Growing confidence of the poor + women • Decentralization + improved financing of local govt Module C: Social Contract, Local Governance and Public Participation