Module C: Social contract,
good local governance and
public participation
1. Introduction
1.1 Aim of module
To increase understanding of the
principles and practice of good local
governance
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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
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Introduction (cont)
1.2 Structure of the day
2. Formal representative politics:
rhetoric, reality and potential
3. Widening political engagement –
participation and accountability
4. Community development & local govt
5. Tools & sources of guidance
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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
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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
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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
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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
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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?
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2.3 When is DD effective &
responsive to the poor? (cont)
i.
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
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2.3 When is DD effective &
responsive to the poor? (cont)
ii.
•
•
•
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)
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2.3 When is DD effective &
responsive to the poor? (cont)
iii. 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?
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2.3 When is DD effective &
responsive to the poor? (cont)
iv. Admin & fiscal arrangements
•
•
•
Resourcing critical – stable, predictable centrallocal 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
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2.3 When is DD effective &
responsive to the poor? (cont)
v.
•
•
•
Institutionalization
Stability over 10-15 years
Successive elections
Development of capacity
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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
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2.4 The characteristics of local
democratic politics (cont)
Design of local electoral system
a) 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’?
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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?
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2.4 The characteristics of local
democratic politics (cont)
c) Institutionalization
– Are elections held regularly?
– Is there a peaceful alternation of
power?
– Are local elections independent of
national elections?
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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?
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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?
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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?
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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
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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?
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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?
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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?
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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?
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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
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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
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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
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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
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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
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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
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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
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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
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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?
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3. Widening political
engagement – participation &
accountability
3.1 Introduction: participation
Voting = passive citizenship
Participation =
o active citizenship
o power sharing
o end or means
o initiated from above or below
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3.1 The ladder of
participation
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
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3.2 Strengthening local
democracy
a) 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
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3.2 Strengthening local democracy (cont)
• Role for central govt (cont)
– Legislation
– Reformed electoral rules, including elected
executive
– Reserved seats (quotas) for underrepresented groups (e.g. Uganda)
– Non-govt reps in policy + oversight
– Requiring consultation + participation
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3.2 Strengthening local democracy (cont)
b)
•
•
To
•
•
•
Effective representation
Civic education
) see Box
Political capacity building ) 7
Encourage voting, especially by poor,
women
Encourage citizens to stand for election
Build capacity to use office once elected
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3.2 Strengthening local democracy (cont)
c) 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
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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?
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3.3 Strengthening accountability
• Possibilities
– Government initiatives to improve
internal and external accountability
– Civil society initiatives
– Joint initiatives
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3.3 Strengthening accountability (cont)
a) 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
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3.3 Strengthening accountability (cont)
b) Assessing user satisfaction
• Quantitative opinion surveys (Box 11
Report cards)
• Qualitative user surveys
• ‘naming and shaming’
• Pressure through publicity, lobbying,
dialogue
• Response?
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3.3 Strengthening accountability (cont)
c) 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?
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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
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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?
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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)
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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?
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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
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3.4 Participatory decision making (cont)
Factors explaining successful participation
• Initiative from politicians or citizens
• Attitude of local govt – citizens not beneficiaries
• Commitment of local govt + institutionalized into
procedures
• Multi-party political system (but not polarized)
• Enabling environment: DD + tradition of self-help
• Presence of a change agent
• Clear benefits for all participants
• Capacity building for all actors
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4. Community development
and local government
Exercise C.7 What does ‘community’
mean?
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4.1 Introduction: the concept
of ‘community’
Issues to be considered in local government
-community cooperation for development
– Does administrative subdivision or informal
settlement have homogeneous population with
common interests?
– Does area have a CBO (or more than one)?
– Is there a need for new organizations?
– Who are the community leaders & are they
representative and accountable?
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4.1 Introduction: the concept of
‘community’ (cont)
Forms of community participation
i. Better educated residents ‘represent’ area
ii. Resident local govt officials ‘represent’ area
iii. Consultation – do all have a voice?
iv. Area reps sit on board, committee – are
they influential?
v. Community (or its leaders) asked to develop
project jointly with external agency
vi. Residents take initiative, seek external
support
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Exercise C.8: Resolving
conflict
Task of local councilor: to resolve conflict
between formal shopkeepers and
informal street vendors
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Exercise C.8:
Resolving conflict – questions for
discussion
• What were the views of the formal
shopkeepers & why were they in conflict with
the vendors?
• What were the views of the vendors?
• What solutions were you able to come up
with?
• What were the difficulties you experienced in
finding a win-win solution?
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4.2 Community participation in
decision making & service delivery –
romantic or realistic?
Factors resulting in success
• Strong + committed leadership for the
initiative
• Tradition of participation
• Developed with not for groups
• Larger proportion of population participating
• Long time frame
• Sustainability considered from beginning
• Minimizing time involvement of poor +
providing incentives
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4.2 Community participation in
decision making & service delivery –
romantic or realistic? (cont)
Motives for participation
• Forced to participate ) outcome unlikely
• Paid to participate
) to be successful
• Incited to participate )
(by reward or sanctions)
• Participate voluntarily ) outcome likely to
• Initiate participation ) be successful
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4.2 Community participation in
decision making & service delivery –
romantic or realistic? (cont)
Obstacles to participation (+ solutions)
Within an agency
• Centralization - decentralize
• Attitudes: recipients not citizens, resist power
sharing, use technical language, don’t value people’s
knowledge – develop new attitudes
• Internal systems which don’t reward it – reward
working with communities
• Frequent transfer of staff – recognize time needed to
build relationships with communities
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4.2 Community participation in
decision making & service delivery –
romantic or realistic? (cont)
Obstacles within a ‘community’
• Lack of organization – local govt or NGO
community workers facilitate organization
• Leaders lack skills – capacity building
• Factionalism – processes to build consensus
(where impossible working + groups that
don’t threaten powerful interests/leaders e.g.
women)
• Powerful secure benefits – make info
available to all residents
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4.2 Community participation in
decision making & service delivery –
romantic or realistic? (cont)
Obstacles within society
• CBOs seen as a political threat – negotiate
with political actors
• Legal hindrances – ensure all residents can
participate
• Centralization – decentralize, so scope for
local decision making
• External funders hinder – change practices &
requirements
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4.2 Community participation in
decision making & service delivery –
romantic or realistic? (cont)
Some examples
C.14 Participatory ward development planning
in S Africa
C.15 Local management of PHC in Senegal
C.16/17 Communities & municipalities working
together in Dar es Salaam, Dondo
(Mozambique) & Burkina Faso
C.18 Community participation in watsan
delivery in Luanda
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4.2 Community participation in
decision making & service delivery –
romantic or realistic? (cont)
Elements of good practice
• Motivation + attitudes –
• respect on the part of local govt and
communities for skills, views & knowledge
of the other
• Willingness to listen
• Recognition of social diversity + inclusion
women, disadvantaged groups, minorities
• Free flows of information
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4.3 Supporting community
participation and development
• Support to communities
– Access to financial resources e.g. local
development funds
– Capacity building
• Support to local authorities
– Capacity building
– Autonomy, range of functions, adequate
resources
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Exercise C.9: Approaches to
participation in community decision
making & service delivery
• Approaches
– Participatory community planning
– Participatory service delivery
– Support to communities
• Which approaches are relevant to your local
situation?
• Which approaches are feasible?
• Rank them from most to least useful
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5. Conclusion
• Readings
• Tools for participation + sources of guidance
• Summary of the day – revisit objectives
– Examination of relations citizens-local govt
– Obstacles to democratic local govt
– Principles + requirements for good local
governance
– New ways of working together – strengthening
democracy, accountability and participation
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