Stories of Governance Reforms and Successful Development Outcomes April 2011

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1 Stories of Governance Reforms and Successful Development Outcomes April

2 Stories of Successful Governance Reforms and Development Outcomes This document provides some highlights of successful governance initiatives in different parts of the globe. 1 The Democratic Governance Group would like to thank the following contributors: Aladeen Shawa, Ayele Wansi Satchivi, Dmitry Pozhidaev, Francis J. Luwangwa Geoff Prewitt, Gerardo Berthin, Hanlie Robertson, Ibrahima Niane, Imad Saed Isidore Agbokou Jacqueline Gichinga, Khaled Magead, Lars Bestle Pauline Tamesis, Pauline Wambui Mwangi, Sumeeta Banerji, Surayo Buzurukova, Susanne Kuehn, Vrej Jijyan, UNCDF (Yemen) UNDP Togo UNDP Yemen UNDP Southern Sudan UNDP Programme of Assistance to the Palestinian People UNDP Regional Centre for Latin America and the Caribbean Consultant UNDP Democratic Republic of Congo UNDP Programme of Assistance to the Palestinian People UNDP Benin ABA-UNDP International Legal Resource Center (ILRC) UNDP Yemen UNDP Regional Centre for Asia and the Pacific UNDP Regional Centre for Asia and the Pacific UNDP Kenya UNDP India UNDP Sudan (Kassala Field Office) UNDP Timor-Leste UNDP Armenia 1 The opinions and interpretations expressed in the report do not necessarily reflect the views of United Nations nor of the development partners involved

3 EXECUTIVE SUMMARY ANALYSIS OF TRENDS AND COMMONALITIES Each of the governance stories contains useful lessons. It is, however, in its aggregate that the collection of these governance stories offers the opportunity to highlight recurring themes, thus strengthening our belief that these constitute the pointers to issues worthy of our attention as we engage with practice and knowledge transfer. The following themes fall in this category: Meaningful community involvement and participation It would seem that the most powerful indicator for successful governance transformation is where the idea of popular participation and involvement is operationalised in a manner that moves it from an opportunity to merely exchange messages (more often government to citizens, or at best talk shops where citizens can voice opinion, but have no guarantee that their opinions have any effect on the decisions taken), to one where involvement actually results in a shift in locus for, and outcome of, decision-making. Through such shifts a true sense of ownership of the intervention develops and increased trust results in a situation where responsibility for public sources shifts from national governments to localities and from government to citizens and civil society. Improved use of, and sharing of Information and knowledge The centrality of information and knowledge in governance transformation is promoted by a number of recurring initiatives, e.g. evidence based decision-making e.g. in the programme design stage, participation, performance management, monitoring and evaluation, etc. In turn, the availability and sharing of information and knowledge contribute to governance transformation goals such as greater transparency, increased accountability, citizen and community empowerment, building of trust relationships and so forth. The availability of information and communication technology assists with both the capturing and manipulation of data and information, as well as facilitates distribution and access to information and knowledge. To be successful, though, ICT must be given the status of tool and not master, sensitive to the stage at which the user community is at in embracing technology. The latest and most advanced is not necessarily the best in a particular context. Invariably it has proven advantageous to combine different generations of technology and introduce newer technology to a select group, using these to build capacity in the broader community once the demand has been cultivated. Building on what institutions and capacity exists, what is familiar and enjoy legitimacy in the population that change is directed at Knowledge transfer of so-called best practices and policy or programmatic borrowing often increases the temptation to ignore the contextual imperatives and wipe the slate clean - ignoring what in reality exists and has come before, thus delimiting the possible paths that could be taken. The stories show how a thorough knowledge and understanding of where the local population is at, and what influences their behaviour, establishes a firm foundation for further programme development, using the prevailing reality to determine what indeed is best in a particular context. Where this is not done existing institutions is often tarnished with the reputation of being part of the problem, where indeed, such institutions could be creatively used as vehicles to address resistance to change, assisting with communication of difficult or complex messages and overcoming legitimacy and trust challenges which government might suffer from

4 A range of capacity building/ development initiatives are critical In the context of developing countries it can be safely assumed that two or more of the sectors that typically constitute the governance relationship, i.e. state, private sector, civil and political society will be capacity deficient and will require supportive intervention in order to establish the correct balance between the various sectors to ensure sound governance relations, but also to effectively implement any programme and policy interventions. Over and above the range of potential beneficiaries of capacity building interventions, the stories demonstrate the wide variety of forms capacity building/ development manifest in, including traditional training and education; providing infrastructure and technology; providing direct budget, as well as technical support. With respect to the latter, where the need is urgent and critical, it could include making available substantial outside expertise and human resource, for a limited period and preferably under ownership of the domestic partner. Any special capacity interventions, e.g. substantial budget and technical assistance must be designed on a case-by-case basis, accompanied with building internal capability and addressing the fundamental causes of internal weakness. Partnerships The stories show that it is critical for success that organizations acknowledge their own limitations and enter into concrete partnerships where through combining strengths and neutralizing weaknesses, overall capacity for goal realization is maximized. Effective partnership arrangements that clearly assign responsibilities, and is formed around implementing shared goals and objectives has the potential for establishing solid trust relationships between players from the different societal sectors which come together in governance. Alignment, coordination and synchronization of effort Where the policy environment is constituted by a hierarchy of policies and frameworks that hangs together through a coherent logic of shared norms, values and goals, collaboration is facilitated. National constitutions play a critical role in bridging the terrain between international frameworks and the particularities of the localized context. In experiences where alignment were achieved between initiatives of different players and efforts synchronized for all parties involved to contribute in the same direction, in such circumstances unnecessary duplication of effort and wasteful application of resources is avoided. To achieve coordination the impulse to maintain silo s must be overcome. An integrated planning, budgeting, monitoring and evaluation system is critical in this regard

5 ARMENIA: PERFORMANCE BASED BUDGETING In Armenia, local governments are responsible for forming and managing their own local budgets [according to the Law on Self-Governance of 2002]. To improve the accountability of local service providers, fiscal decentralization was seen to be a potential avenue to improve the accountability of local service providers by making resource allocation and decision-making processes more accessible to the beneficiaries. In doing so however, a major obstacle to overcome was the lack of a culture of participation in public processes. At the same time, while the legislative framework requires community budgets to be presented to local communities, there is no requirement for local authorities to incorporate local opinion and feedback in resource allocation decision-making. In 2006, Performance Budgeting was introduced under the UNDP Performance Budgeting Project to address this, both by linking local government priorities to specific targets, but also encouraging the active engagement of the population in setting the priorities and providing oversight and scrutiny on budget execution. The initiative was successful because communities were selected based on the understanding of the Performance Based concept, and the ownership shown by the mayor and the municipal council. Through public meetings, Initiative Groups were set up representing various groups within the community. This group worked with the municipal staff to identify and set budget expenditures and priorities, thereby creating a sense of joint ownership and effort. An education manual on performance budgeting was also developed which provided a detailed description of local Performance Budgeting principles, frameworks, budgeting process phases, execution and oversight. The Manual was presented in a simple way in order to make it understandable for Municipal Servants working in the regions. Finally, a one-off funding for a project identified by citizens was a concrete example of how they can effect change as a result of participation. It not only helped to overcome the widespread skepticism that citizens have a real voice, but it instilled confidence in the Performance Budgeting process, as well as the local government. The introduction of the Performance Budgeting process brought up some tangible results. Firstly, it contributed to overturning the impression that citizens voices and participation do not play a role in which decisions are in public processes are made. As a result of this participatory process, several projects were identified and implemented in the targeted communities related to rehabilitating of public facilities, such as drinking water, gas utilities, public parks, street lightening, road paving, renovating of buildings entrances/roofs, reconstructing of a musical school etc. Not only was this a result of increased engagement, but it can also be seen as a cause for the increased levels of participation in public hearings by the respective communities. In 2007, following the piloting of Performance Budgeting at national level and drawing on the lessons from previous pilots, a legislation was introduced to make Performance Budgeting mandatory for the national budget. UNDP: Mr. Vrej Jijyan, Portfolio Analyst, Socioeconomic Governance Portfolio, - 5 -

6 BENIN: LE PARTENARIAT PUBLIC-PRIVE Dans la recherche de solutions pratiques pour améliorer la fourniture des services et des problèmes qui se posent à leur mise en œuvre, le Gouvernement du Bénin a fait le choix du partenariat public privé. L intérêt de plus en plus croissant pour les partenariats public privé découle des difficultés financières de l Etat, de la réduction des aides au développement, du volume de dons des partenaires bilatéraux et des prêts des institutions financières internationales comme c est le cas dans la plus part des pays en développement. En effet, les budgets de tous ces pays sont toujours ou le plus souvent très limités par rapport aux défis auxquels ils doivent faire face. De plus, il est de plus en plus difficile d obtenir des prêts et des dons des partenaires au développement à cause des difficultés économiques auxquels ils font face dans leurs pays respectifs. En outre, les privatisations par recours aux grandes entreprises multinationales ne sont plus une solution du fait d une part, de la réticence de ces entreprises à investir en Afrique à cause de la non maîtrise de notre environnement économique par ces multinationales ; et d autre part, parce que ces privatisations ne concernent que les infrastructures existantes alors qu il faut penser au financement des infrastructures à construire. Il a été donc indispensable pour l Etat de repenser son rôle et surtout son mode de financement des infrastructures. Le recours au secteur privé a constitué une opportunité de financement des infrastructures et autres projets de développements. Dans le texte détaillé: BENIN: L'etat en Partenariat avec le Secteur Prive pour plus d'efficacité dans la création de la richesse, il est mis en évidence l expérience du Bénin en matière de partenariat public privé (PPP). Ce texte s articule autour de cinq points à savoir : (i) la Vision actuelle du Gouvernement en matière de PPP ; (ii) la Cohérence de la vision du Bénin avec ses engagements internationaux dont notamment : les Objectifs du Millénaire pour le Développement (OMD) ; (iii) l Expérience d implication du secteur privé dans la gestion des infrastructures au Bénin ; (iv) Quelques résultats du Partenariat Public Privé au Bénin et, (v) Quelques domaines d application pour les communes. Les Partenariats Public Privé sont donc promis pour être utilisés de plus en plus, dans les conditions juridiques qui sont nécessaires et qui sont déjà élaborées, et ce, sans que l Etat ne privatise des éléments qui le constituent. Le but de ces contrats est de faire faire par la personne privée ce que la personne publique n aurait pas compétence de faire et ainsi d obtenir un service qu il n aurait pu se satisfaire à court terme. Information supplémentaire: PNUD: Isidore Agbokou, Représentant résident adjoint; - 6 -

7 BENIN: PUBLIC-PRIVATE PARTNERSHIP In seeking practical solutions to improve the provision of services and the problems involved in their implementation, the Government of Benin has opted for private-public partnership. As in most developing countries, the increasing interest in public-private partnerships arises from financial difficulties of the State, reduction of development aid, the volume of grants from bilateral partners and loans from international financial institutions. Indeed, the budgets of all these countries are always or often very limited compared to the challenges confronting them. Moreover, it is increasingly difficult to obtain loans and grants from development partners because of the economic difficulties that they face in their respective countries. Furthermore, privatization by large multinational companies is no longer a solution, on the one hand, because of the reluctance of such companies to invest in Africa because of lack of control over our business environment by such multinationals; and on the other hand, because such forms of privatisation are confined to existing infrastructure, when it is needed to think of financing the infrastructure to be built. It was therefore essential for the State to rethink its role and especially its method of infrastructure financing. Using the private sector was an opportunity for financing infrastructure and other development projects. The text BENIN: L'etat en Partenariat avec le Secteur Prive pour plus d'efficacite dans la creation de la richesse (French ) highlights the experience of Benin in public-private partnerships (PPPs). The text is based on five points: (i) the Government's current vision of PPPs (ii) Consistency of the vision of Benin with its international commitments including: the Millennium Development Goals ( MDGs), (iii) Experience of private sector involvement in infrastructure management in Benin, (iv) Some results of the Public-Private Partnership in Benin, and (v) Some application areas for municipalities. Public-Private Partnerships are therefore promoted to be used increasingly in the necessary legal conditions and which are already developed, and without compelling the State to privatize its components. The purpose of such agreements is to make the private entity do what the public entity would not be able to do and therefore obtain a service that it could not have had in the short term. UNDP Benin: Isidore Agbokou, Assistant Resident Representative ; - 7 -

8 BHUTAN - BRINGING SERVICES TO THE PEOPLE Tugpula plans to build a permanent mud rammed house in his remote village. But his dream of a roof over his head has not materialized because he has been unable to get the necessary clearance from the forest authorities to obtain timber.tugpula is from the semi nomadic ethnic community of Monpas in Jangbi Village, Langthel Gewog, and will have to walk almost two hours to the gewog center and then drive for two hours to the dzongkhag in an attempt to navigate the nearly month-long bureaucratic process of forestry application approval. However, this is all set to change. The project on localization of e-governance being implemented in Langthel and Drakteng Gewogs in Trongsa Dzongkhag provides a one stop shop for processing permits for the extraction of timber, firewood, flagpoles, fencing and bamboo. This means that Tugpula will no longer have to endure the grueling process but will have his application verified and approved online within a few days. The UNDP-project benefits about 3000 to 5000 local people from the two gewogs (blocks) and over 20,000 public servants, with the time for processing the permits and clearances reduced from a month to about a week. With the e-platform in place, the government will be able to set up online e-services much quicker improving public services for citizens, and achieve one of the major goals of the Royal Government in providing 75 percent of all public services online by After the implementation of the project, public access to information has increased, resulting in greater transparency, efficiency and accountability in public service delivery at the local level. Both the Drakteng and Langthel Gups (Head of the Gewog) have said that the project will greatly improve the lives of the people by making it easier to process applications. UNDP: Pauline Tamesis, Governance Practice Team Leader - 8 -

9 DEMOCRATIC REPUBLIC OF CONGO ENHANCING SOCIAL DIALOGUE The culture of accountability is increasing in the DRC. Through a UNDP supported projects, twenty three accountability meetings have enabled more than 5,000 people, more than half of whom are women, to talk directly and freely with their elected representatives. In most cases, this social dialogue has helped redirect development efforts basing on priorities defined by the people themselves. It was also an opportunity for elected representatives to send messages to people, especially to clarify their role and responsibility in relation to the members of national and provincial government, but also to appeal to civil society organizations and independent media for partnership in monitoring good governance policies. According to the Chairperson of the Provincial Assembly of Bas-Congo, Léonard Simba, the support provided by UNDP and DFID has changed their working methods: We practise what we learn, and we try to use the texts to convince. We have a representation role and we are held accountable at local levels. During the parliamentary break, our Assembly office moves to the provincial Headquarters in order to report to people and discuss with them. We better understand their concerns. Indeed, the survey conducted in December 2010 in Bas-Congo, Equateur, Province Orientale and Kasai Oriental on How Civil Society Organizations feel about the functioning of the Parliament and Provincial Assemblies revealed that 50% of the Members of Parliament are held accountable at local levels, while 40% of civil society organizations, according to the survey, appreciate the performance of their Members of Parliament. The social dialogue has enabled the Members of Parliament to better take into consideration the priorities of the population. Simba, the Chairperson, says we take account of their needs in our budget programme by allocating budget to community investment. For example, we allocated $ 120, 000 to each territory to build a school and a health centre during Moreover, in accordance with its priority, the territory of Mbanza- Ngungu decided to build a university, called Kongo University. In provinces where these meetings with people were held, there were better relations between civil society organizations and elected representatives and more positive public perception of elected representatives. Ms. Martine Monga, the chairperson of the Parents' Committee for the Rehabilitation and Social Reintegration Centre of Kasai Occidental, responsible for re-integrating abandoned children, believes that the meetings with the Members of Parliament provide a forum for finding solutions to their problems: It is the first time in 15 years that we have met with the Members of Parliament. Holding more such meetings will enable us to find sustainable solutions for education sector. Furthermore, this dialogue has inspired me to advocate for the establishment of a provincial coordinating committee of students parents. This will allow us to hold regular consultations before meeting the Members of Parliament because all our problems overlap and working together, we will be more innovative in finding solutions. UNDP Ibrahima Niane, Parliamentary Support Specialist; - 9 -

10 REPUBLIQUE DEMOCRATIQUE DU CONGO: SOUTENIR LE DIALOGUE SOCIAL La culture de la redevabilité commence à s instaurer a la RDC. Vingt-trois comptes rendus à la base ont permis à plus de 5000 personnes dont plus de la moitié sont des femmes, de dialoguer directement et librement avec leurs élus. Ce dialogue social a permis le plus souvent de réorienter les actions de développement en fonction des priorités définies par les populations elles-mêmes. Cela a aussi été l occasion pour les élus de transmettre des messages aux populations, surtout de clarifier leur rôle et responsabilité par rapport aux membres du gouvernement national et provincial. Cela a aussi permit de lancer un appel aux organisations de la société civile et aux média indépendants, pour un partenariat dans le contrôle des politiques de bonne gouvernance. Pour le président de l Assemblée provinciale du Bas Congo, Léonard Simba, l appui apporté par le PNUD et DFID a changé leurs méthodes de travail: «Nous mettons en pratique ce que nous apprenons, et nous essayons d utiliser les textes pour convaincre. Nous avons un rôle de représentation et nous rendons compte à la base. Chaque fois que nous sommes en congé, le bureau de notre assemblée passe dans les chefs-lieux de province dans le but de faire une restitution aux populations et échanger avec elles. Nous comprenons mieux leurs préoccupations». En effet, l enquête réalisée en décembre 2010 au Bas-Congo, en Equateur, en province orientale et au Kasaï oriental sur «les impressions des organisations de la société civile sur le fonctionnement du parlement et des assemblées provinciales» a révélé que 50% des députés font des comptes rendus à la base, tandis que 40% des Organisations de la Société civile, selon l enquête, déclarent apprécier positivement le rendement de leurs députés. Le dialogue social a permis aux députés de mieux prendre en compte les priorités de la population. Le président Simba affirme «nous prenons en compte leurs besoins dans notre programme budgétaire en allouant un budget pour des investissements communautaires. Par exemple nous avons alloué dollars à chaque territoire pour construire une école et un centre de santé durant l année Le territoire de Bazangungu a du reste décidé selon sa priorité de construire une université, dénommée université Kongo.». Dans les provinces où ces séances de rencontres avec les populations ont eu lieu, on a noté une amélioration des rapports entre les organisations de la société civile et les élus et une appréciation plus positive des élus par les populations. Mme Martine Monga, présidente du comité des parents du centre de rééducation et réinsertion sociale du Kasai Occidental, chargé d encadrer les enfants abandonnés, estime que les rencontres avec les parlementaires constituent une instance de recherche de solutions à leurs problèmes : «C est la première fois depuis 15 ans, qu on se rencontre avec les parlementaires. En multipliant ce genre de rencontre, nous allons aboutir à des solutions durables pour le secteur de l éducation. Par ailleurs, ce dialogue m a inspiré à plaider pour la mise en place d une structure de coordination des comités de parents d élèves au niveau provincial;. Cela nous permettra de nous concerter régulièrement avant d aller rencontrer les députés car tous nos problèmes se recoupent et en nous mettant ensemble, nous pourrons être plus innovants dans la recherche des solutions». Information Supplementaire: PNUD: Ibrahima NIANE, Specialiste en appui aux parlements;

11 GHANA: STOP TB CAMPAIGN The Central Region of Ghana has the lowest treatment success rate in the country (51.1% in 2005). Among the leading causes of this situation is persistent superstition on the part of the locals. For many citizens of the Central Region, TB is a spiritual disease. Its name is directly linked to that of a ghost, and contraction of the disease is attributed to juju, or offence against the gods, a perception that exacerbates the stigma of contracting it. Seeking medical assistance is a last resort when all other routes, e.g. prescriptions by the fetish priest or herbalist have failed. The consequent late reporting of patients for treatment is one of the contributing factors in Ghana s high TB death rate, which more than doubled between 1996 and 2004, when it reached 8.6%. To overcome the negative effects of TB stigma and non-treatment related to the region s heavy reliance on traditional customs and superstition, Ghana Stop TB partnership enlisted traditional community leaders as advocates to communicate correct messages about TB and TB/HIV. Some of the mechanisms used to address this were the organization of district and regional meetings where the project goals were introduced to the community. The engagement of traditional leaders with high status in their communities to influence local beliefs and behaviours related to TB and HIV while also disseminating appropriate information on basic TB issues were also useful. 33 Kings and Queen-mothers agreed to become TB/HIV advocates. In addition to utilizing traditional moral authorities to advance awareness of TB issues and education, the project also sought to mobilize community volunteers and train them on TB and HIV issues through sensitization and advocacy, communication and social mobilization training activities. The broad partnership approach between civil society, regional structures and initiatives, etc all working in a single direction, fulfilling a single vision was a success factor. The innovative use of local moral authority figures, specifically traditional leaders, to address traditional believes, building on past realities, rather than ignoring them and introducing culturally foreign messages by outsiders was also extremely important in localizing the efforts. Regional committees, with representation from community leaders and regional health departments, provided technical direction as well as monitoring support, with district-level committees assisting in the planning and supervision of activities reinforced the overall campaign. Although there are many factors contributing to development results, the Central Ghana region has returned some interesting results. There has been a 30% increase in the treatment success rate was achieved within the period, helping the Central Region to attain the target rate of 85%. There was an increase in the number of cases detected, from 871 cases in 2004 to 1302 in 2006, and the model has been expanded to three more regions in Ghana based on the initial successes. Approximately 860 community volunteers were recruited and trained in the fight against TB, assisting with community case findings, undertaking home visits, assist with DOT supervision, defaulter tracing, etc. These volunteers reached over people. FURTHER INFORMATION:

12 GHANA: ICTs IN IMPROVING LOCAL GOVERANCNE IN NORTHERN REGIONS OF GHANA Ghana has a policy framework for utilising electronic media for the participation of citizens in the governance process in the form of the Ministry of Communication s Information Communication Technology for Accelerated Development (ICT4AD) document (Government of Ghana, 2003). It recognises e-government processes as a means of improving the quality of governance and life in general. The underpinning rationale for decentralisation translated in the CT4AD policy recognising the importance of an effective e-government at the local level. In reality, infrastructural and human capacity constraints prevented that the policy could be implemented in Northern Ghana, one of the poorest regions in the country, with very low indicators on the Human Development Index. Decentralisation, and accompanying local accountability and transparency impulses are experiencing opposition in the region from politicians and officials, who do not appreciate prying eyes on their political entrepreneurial enterprises. Furthermore, the political culture, underpinned by severe levels of poverty, is one where the populace is petrified of crossing politicians and officialdom, and is very susceptible to the creation of clientele relations. The political leadership s preferred mode of contact with its constituents is through durbars channelled through chiefs. By the mid 2000s the IDRC-sponsored an e-local governance project in the Tamale Metropolis and Tolon- Kumbungu district in Northern Ghana. The project focused on the uses of ICTs for political inclusion and good governance in Northern Ghana. Based on the survey findings that informed the intervention, a blend of basic ICT tools with more sophisticated channels like interactive websites. Some successful methods used include an interactive breakfast shows on 2 local radio stations, and the establishment of bureaus in the local assemblies to receive collated information from the radio stations and provide feedback. The challenge of infrastructural constraints was also addressed by the donation of computers, ensuring connectivity with cooperation with Ghana Telecom. Drama was used as a tool for civic education to break fears of the population to engage with political leadership. The intervention was rooted in an empirical understanding of the political culture, political participation and socio-economic profile of the user/ beneficiary community, and using a mixed media approach, starting with what the population was most comfortable with. The prevailing political culture was addressed in a sensitive manner, with fears being addressed in a realistic manner. The involvement of a capable local NGO, CITRED, supported by the IDRC from Canada assisted greatly in keeping the impetus for implementation in the face of a less than enthusiastic local official response to implementation. The loop between the information generated in the public participation process, and that of the political process was closed through the establishment of a bureau to analyse and respond information. Some of the results achieved include the area now being recognized as a pace-setter in the local e-government system in Ghana. This is associated by a more confident population, enthusiastically recognising the opportunities that ICTs offers for the deepening of democracy. A deepened understanding by local government officials on the problems experienced by the population is one of the primary spin-offs. Follow up by the local government system, resulting in more effective problem solving and service delivery is also an important result. Waema, T.M. and E. O Adera (2010) Local Governance and ICTs in Africa Case Studies and Guidelines for Implementation and Evaluation, Pambazuka Press

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