The Relevance of Democracy and Good Governance

1

• The Relevance of Democracy and Good Governance
• Parliamentary Involvement in the Poverty
  Reduction and Environmental Protection Process
• in Developing Countries
• ZEFa PhD-Course
• Uwe HOLTZ, February 10/11, 2004
• Only for internal use!

2
Course Objectives

• to acquaint you with the main features of
  democracy, good governance, and development
• to plead for a stronger commitment to political
  systems and parliamentary involvement in
  development theory and practice (poverty
  reduction)
• to help develop your own thinking and analytical
  ability

3
Topics to be covered

1. Neglect of political systems issues
2. Democracy and human rights
3. Good governance
4. Development
5. Relationship between democracy and development
6. Practical experiences Poverty Reduction and
   Environmental Protection - UNCCD
7. Future action - more and better parliamentary
   involvement

4
Reading list

• Amartya Sen Democracy as a Universal Value, in
  Journal of Democracy 10.3 (1999) 3-17 (also
  http//muse.jhu.edu/demo/jod/10.3sen.html )
• Inter-Parliamentary Union Universal Declaration
  on Democracy, 1997, in www.ipu.org (gt quick
  search gt universal declaration on democracy
  exact address http//www.ipu.org/cnl-e/161-dem.ht
  m )
• A Concept Paper on Legislatures and Good
  Governance. Based on a Paper prepared by John K.
  Johnson and Robert T. Nakamura for UNDP. July
  1999, in http//magnet.undp.org/Docs/parliaments/
  Concept20Paper20Revised20MAGNET.htm
• Human Development Report 2002. Deepening
  democracy in a fragmented world. Published for
  the United Nations Development Programme (UNDP),
  New York Oxford 2002 (also http//www.undp.org/
  hdr2002/complete.pdf ) (Overview p. 1-9)
• InWent (ed.) Global Policy without Democracy?
  The Participation and Interface of
  Parliamentarians and Civil Societies for Global
  Policy, Bonn, November 2001 (also
  http//www.dse.de/ef/parlmnt/ind2501e.htm)
• Walter Eberlei Elementary standards of
  participation in national PRSP-processes (GKKE
  Joint Conference Church and Development), Berlin
  - Bonn 2002 (http//www.justitia-et-pax.de/justiti
  a/pdf/arb_96_engl.pdf )
• Uwe Holtz Poverty Reduction Strategy Papers and
  Country Strategy Papers and their relationship to
  the combat against desertification. The role of
  Parliaments, Bonn 2003, http//www.unccd.int/parli
  ament/data/bginfo/PRS.pdf

5
References

• Robert Dahl Polyarchy. Participation and
  Opposition, New Haven - London 1971.
• Robert Dahl Democracy and its Critics, New Haven
  - London 1989.
• IPU (ed.) Democracy Its Principles and
  Achievement, Geneva 1998.
• InWent (Hg.) Human Rights in Developing
  Countries - How can Development Cooperation
  contribute to furthering their Advancement?, Bonn
  September 2003. (http//www.dse.de/ef/human_rights
  /index.htm)
• Jakkie K Cilliers Peace and security through
  good governance? A guide to the NEPAD African
  Peer Review Mechanism, Pretoria 2003.
• Declaration of Santiago on democracy and public
  trust. A new commitment to good governance for
  the Americas. / OAS General Assembly. - Santiago,
  2003. - 6 S.
• Tom Pierre Najem (ed.) Good governance in the
  Middle East oil monarchies, London 2003.
• United Nations Economic and Social Commission for
  Asia and the Pacific What is good governance?,
  in http//www.unescap.org/huset/gg/governance.ht
  m

6

• People First (a trust promoted by Development
  Alternatives, a prominent NGO of India)
  Governance for Sustainable Development -
  empowerment of people in democracies for global
  sustainability-, New Delhi, January 1997
  (http//www.ecouncil.ac.cr/rio/focus/report/englis
  h/people.htm and http//www.ecouncil.ac.cr/rio/fo
  cus/summary/policy/Governance )
• Paul P. Streeten Good Governance History and
  Development of the Concept (Speech - Novartis
  Foundation), 12 Juin 2002, in www.novartisfoundat
  ion.com/symposium/rede_streeten_06122002.pdf
• Walter Eberlei / Heike Henn Parliaments in
  Sub-Saharan Africa actors in poverty
  reduction?(GTZ-Study), Eschborn, December 2003
  (http//www.gtz.de/prsp/download/parliaments.pdf
  )
• Uwe Holtz Partnership for the 21st Century - A
  Preliminary Assessment of the EU-ACP Agreement,
  in DC (Development and Cooperation) 2/2000, p.
  8-12. ( http//www.dse.de/zeitschr/de200-3.htm )
• Uwe Holtz The previous four Round Tables of
  Members of Parliament on the United Nations
  Convention to Combat Desertification, Bonn 2003,
  in http//www.unccd.int/parliament/data/bginfo/PP
  RT(eng).pdf
• (French http//www.unccd.int/parliament/data/bgi
  nfo/PPRT(fra).pdf -
• Spanish http//www.unccd.int/parliament/data/bgin
  fo/PPRT(spa).pdf )

7
Our One World the developing world
8
1. Neglect of political systems issues

9

• Development theories (modernisation, dependency)
  laid no great emphasis on the question of
  political systems.
• Very often, development meant economic growth.
• During the Cold War, the West and East were
  primarily looking for friends in the Third World
  and didnt care much about the question if their
  friends were democrats or dictators.

10
1992 Rio UN Conference on Environment and
Development

• Rio Declaration silent on democracy
• Agenda 21 democracy takes place
• 27.1. Non-governmental organizations play a vital
  role in the shaping and implementation of
  participatory democracy.
• 2.6. Experience has shown that sustainable
  development requires a commitment to sound
  economic policies and management, an effective
  and predictable public administration, the
  integration of environmental concerns into
  decision-making and progress towards democratic
  government, in the light of country-specific
  conditions, which allows for full participation
  of all parties concerned.

11

• ZEFs mission is to give scientific support to
  the implementation of Agenda 21 and to contribute
  to a sustainable development which ensures a life
  in human dignity for everyone.
• Bonn University Rector Prof. M. Huber in a
  letter to the UN Secretary-General B.
  Butros-Ghali, April 1, 1996

12
J. von Braun, P. Vlek, A. Wimmer (2002)
STRATEGY FOR THE FUTURE OF ZEF - The Development
Experience

• In the 1950s and 60s, the general emphasis was on
  creating conditions that would stimulate economic
  growth, often through the expansion of physical
  infrastructure.
• Many gigantic infrastructure projects illustrate
  important lessons learned from the 1950s, 60s,
  and 70s notably, that efforts to stimulate
  economic growth in one sector can be offset by
  adverse impacts in another that the management
  of resources can have long-term consequences for
  their sustainable use and that development is
  tied to the larger political and economic context
  in which it occurs.

13

• In the 1980s, development approaches that focused
  on rapid aggregate economic growth were attacked
  as too narrow and not sufficient t o ensure
  long-term growth and an equitable sharing of
  economic progress. International leaders embraced
  the term sustainable development.
• Besides improved livelihoods, the redefined
  notion of development also included aspects of
  freedom, rights, cultural identity, information,
  and participation.
• Through the 1990s, development was taking place
  in a rapidly changing political, economic, and
  social context.

14
UNDP, Human Development Report - Deepening
democracy in a fragmented world, 2002

• Many persistent development problems reflect
  failures of governance. Studies in a range of
  countries and regions hold weak governance
  responsible for persistent poverty and lagging
  development.
• The governance crisis is evident in widespread
  corruption, inefficient public services and a
  host of other failures.
• Studies have also shown what poor governance
  means for ordinary citizens - schools without
  teachers, courts without justice, local
  bureaucrats demanding bribes at every turn.

15

• Since the end of the Cold War, NGOs and INGOs are
  playing quite important roles in the development
  process (international conferences, advocacy
  role, negotiation partners).
• The tendency for donors and international
  organisations to engage with civil society and
  NGOs but to neglect parliaments is neither
  acceptable nor prudent.
• Donors and international organisations have to
  engage with parliaments, who have the last word
  on laws and budgets and are the representative
  institutions providing the political base for
  policy and institutional arrangements.

16

• During its 108th Conference (Santiago de Chile,
  April 2003), the Inter-Parliamentary Union (IPU)
  underlined the natural function of parliaments as
  one of meditation between the public and
  international organisations and institutions.
• The Conference emphasised that parliaments
  represent the basis for good governance grounded
  on democratic institutions that are responsive to
  the needs of the people, the rule of law,
  anti-corruption measures, gender equality and the
  need for a favourable atmosphere and environment
  for investment

17
Heidemarie Wieczorek-Zeul / Uschi Eid
Development cooperation with Sub-Sahara Africa
a position paper, January 2004

• Broad based anti-poverty strategies must be
  backed by political will in the developing
  countries.
• Strategies have to be integrated in the whole
  political process with parliamentary
  decision-making and with civil society
  participation.
• The final text of the New Partnership for
  Africas Development (NEPAD), October 2001,
  makes no reference to parliaments.

18

• 2. Democracy and human rights

19

• Democracy and human rights are belonging together
  and mutually reinforcing
• Political Science is democracy science and about
  politics, policies and polity
• Politics activities concerned with the
  acquisition of power art and science of
  directing and administrating states and other
  political units
• Policies area or plan of action adopted or
  pursued by a government, party, business etc.
• Polity form, constitution or institutional
  framework of government or organisation of a
  society etc.

20
The International Bill of Human Rights

• consists of
• the Universal Declaration of Human Rights adopted
  by General Assembly resolution 217 A (III) of 10
  December 1948,
• the International Covenant on Economic, Social
  and Cultural Rights adopted by the General
  Assembly by its resolution 2200 A (XXI) of 16
  December 1966 - entry into force 3 January 1976.
• the International Covenant on Civil and
  Political Rights adopted by the General Assembly
  by its resolution 2200 A (XXI) of 16 December
  1966 entry into force 23 March 1976, and its
  two Optional Protocols.
• The first Optional Protocol to the International
  Covenant on Civil and Political Rights, adopted
  by the same resolution, provided international
  machinery for dealing with communications from
  individuals claiming to be victims of violations
  of any of the rights set forth in the Covenant.
• Second Optional Protocol to the International
  Covenant on Civil and Political Rights, aiming at
  the abolition of the death penalty, U.N. Doc.
  A/44/49 (1989), entered into force July 11, 1991.

21

• Since 1948 the Universal Declaration has been and
  rightly continues to be the most important and
  far-reaching of all UN declarations, and a
  fundamental source of inspiration for national
  and international efforts to promote and protect
  human rights and fundamental freedoms.
• It has set the direction for all subsequent work
  in the field of human rights and has provided the
  basic philosophy for many legally binding
  international instruments designed to protect the
  rights and freedoms which it proclaims.
• The Declaration came to be recognized as a
  historic document articulating a common
  definition of human dignity and values. The
  Declaration is a yardstick by which to measure
  the degree of respect for, and compliance with,
  international human rights standards everywhere
  on earth.

22
International Covenants on Human Rights

• The preambles and articles 1, 3 and 5 of the two
  International Covenants are almost identical.
• The preambles recall the obligation of States
  under the Charter of the United Nations to
  promote human rights
• remind the individual of his responsibility to
  strive for the promotion and observance of those
  rights
• and recognize that, in accordance with the
  Universal Declaration of Human Rights, the ideal
  of free human beings enjoying civil and political
  freedom and freedom from fear and want can be
  achieved only if conditions are created whereby
  everyone may enjoy his civil and political
  rights, as well as his economic, social and
  cultural rights.

23
WORLD CONFERENCE ON HUMAN RIGHTSVienna, 14-25
June 1993

• Irrespective of the fight between
  universalism and cultural relativism during
  the conference, the VIENNA DECLARATION AND
  PROGRAMME OF ACTION was adopted unanimously
• 1. The World Conference on Human Rights reaffirms
  the solemn commitment of all States to fulfil
  their obligations to promote universal respect
  for, and observance and protection of, all human
  rights and fundamental freedoms for all in
  accordance with the Charter of the United
  Nations, other instruments relating to human
  rights, and international law. The universal
  nature of these rights and freedoms is beyond
  question. Human rights and fundamental freedoms
  are the birthright of all human beings their
  protection and promotion is the first
  responsibility of Governments.

24

• 5. All human rights are universal, indivisible
  and interdependent and interrelated.
• 18. The human rights of women should form an
  integral part of the United Nations human rights
  activities
• 19. The persons belonging to minorities have the
  right to enjoy their own culture, to profess and
  practise their own religion and to use their own
  language in private and in public, freely and
  without interference or any form of
  discrimination.20. The World Conference on
  Human Rights recognizes the inherent dignity and
  the unique contribution of indigenous people to
  the development and plurality of society and
  strongly reaffirms the commitment of the
  international community to their economic, social
  and cultural well-being and their enjoyment of
  the fruits of sustainable development.
• 8. Democracy, development and respect for human
  rights and fundamental freedoms are
  interdependent and mutually reinforcing.

25
The word democracy
originates from the Greek demos
the people

kratein to rule democracy
rule by the people (in the Athenian
democracy, slaves and women were prohibited from
voting)

• The classical distinction between governments in
  terms of the number of rulers
• government by one man (monarchy or tyranny),
• government by the few (aristocracy or
  oligarchy),
• government by the many (democracy).
• The distinction between monarchies and republics.
• Schemes classifying democracies in terms of their
  key institutions
• parliamentary democracy,
• presidential democracy.

26
US President Abraham Lincoln in his Gettysburg
Address (19.11.1863)

• Democracy is
• government of the people by the people for the
  people
• rule emanating from the people (legitimacy)
• participatory form of rule (execution)
• committed to the people and the public welfare
  (normative aspect of rule).

27

• There is much debate on the ability of a
  democracy to properly represent both the will of
  the people and to do what is right, but to
  quote Winston Churchill
• Democracy is the worst form of government
  except for all those others that have been
  tried.
• This is because there is no system that can
  ideally order society. Traditionally the purpose
  of democracy is to prevent tyranny and
  dictatorship (the accumulation of too much
  authority in the hands of one or a few).
• IPU, Universal Declaration on Democracy, 1997
• Democracy is the only political system that has
  the capacity for self-correction.

28
U. HoltzThe triangle of core components of
any democracy

• 1. Free, fair and regular elections with the
  possibility to change government
• Elections require the freedom of expression and
  associational freedom.
• Electoral competition is required for any
  democracy to thrive and flourish. In a
  democracy, multiple political forces compete
  inside an institutional framework (Adam
  Przeworski 1991).
• Without inclusion, certain segments of society
  are not eligible to participate, leaving a lack
  of true democratic representation.

29
Nelson Mandela voting in 1994 elections
30

• 2. Politics shall be bound by constitutional
• law and order
• This requires the - at least a minimum of
• separation of powers,
• independent judiciary,
• rule of law.

31
Federal Constitutional Court - Karlsruhe / Germany
32

• 3. The respect for, and observance and protection
  of inalienable human rights and civil and
  political liberties
• Elections and a body of civil rights - both
  institutions limit the power of the state the
  first by ensuring that the rascals can be thrown
  out of office, the second by making sure that the
  rascals cannot do certain things even while in
  office. Civil rights also protect minorities
  against the dictatorship of the majority.
• (Paul P. Streeten, Prof. em., Boston University)

33
European Court of Human Rights Strasbourg /
France
34
Streeten Does democracy require a market
economy, and does a market economy require
democracy?

• The answer to the first question is yes, for
  there are no democracies that are not market
  economies, although the admixture of public
  ownership, management and regulation varies
  widely the answer to the second question is no,
  for there are many market economies that are not
  democracies. What about market economy as a
  characteristic of democracy?
• A market economy, which promotes the free
  exchange of goods and services, and civil
  society, which involves freely-formed civil
  associations, are in practice distinguishing
  features of a constitutional democracy. And both
  the market economy and civil society depend upon
  constitutionalism to guarantee the freedom
  conjoined with order that enables them to thrive.

35
Robert Dahl Polyarchy. Participation and
Opposition, New Haven - London 1971

• Polyarchy requires not only extensive political
  competition and participation but also
  substantial levels of freedom (of speech, press,
  and the like) and pluralism that enable people to
  form and express their political preferences in a
  meaningful way.
• During the democratisation process the following
  criteria should be negotiated
• associational autonomy,
• freedom of expression,
• alternative information,
• inclusive suffrage,
• right to run for office,
• free and fair elections,
• elected officials

36
Democracy universally recognised?

• IPU, Universal Declaration on Democracy,1997
  Democracy is a universally recognised ideal as
  well as a goal, which is based on common values
  shared by peoples throughout the world community
  irrespective of cultural, political, social and
  economic differences. It is thus a basic right of
  citizenship to be exercised under conditions of
  freedom, equality, transparency and
  responsibility, with due respect for the
  plurality of views, and in the interest of the
  polity.
• Amartya Sen, 1999 The recognition of democracy
  as a universally relevant system, which moves in
  the direction of its acceptance as a universal
  value, is a major revolution in thinking, and one
  of the main contributions of the twentieth
  century. Democracy enriches the lives of the
  citizens.
• UNDP, 2002 Political participation and freedom
  are fundamental parts of human development.

37
Samuel P. Huntington The Third Wave -
Democratization in the Late Twentieth Century,
Norman University of Oklahoma Press, 1991

• Huntington coined the label third wave for the
  trend of democratization that had begun 30 years
  ago.
• The first wave had lasted from the American
  revolution until the break-up of empires at the
  end of World War I
• the second followed from decolonization after
  World War II.
• The third began in Portugal in 1974 and included
  the countries liberated by the end of communism
  in the late 1980s.

38

• A wave of democratization is simply a group of
  transitions from nondemocratic to democratic
  regimes that occur within a specified period of
  time and that significantly outnumber transitions
  in the opposite direction during that period.
• Each of these waves was followed by an ebb tide
  as fascism spread over Europe in the 20s and
  30s and Communism and forms of autocratic
  Socialism took hold in the third world in the
  60s and 70s.

39

• Each wave had its own conditions, but several
  variables
• merit mentioning
• - As a country industrializes, it becomes
  increasingly difficult for an authoritarian
  regime to maintain its monopoly on power.
• - Industrialization also fosters the growth of a
  questioning middle class that becomes more vocal
  as its wealth increases (not to mention a vibrant
  working class that is also a vital force for
  democracy).
• - Authoritarian regimes inevitably weaken over
  time as they fail to meet expectations and public
  dissatisfaction increases they also become stale
  and are usually incapable of renewing themselves.

40
Graeme Gill The Dynamics of Democratization -
Elites, Civil Society and the Transition Process,
Houndmills MacMillan Press, 2000

• Gill shows the significance of civil society in
  comparing the varied course of democratization in
  different states in the third wave.
• In all cases the process starts with the fall of
  the dictatorial regime for differing reasons
  (economic crisis, political mobilization,
  international pressure, dissent within the
  regime, etc).
• The fall of the regime does not necessarily lead
  to the establishment of democracy. The outcome
  depends instead on the behaviour of the elites.
• Transition theory focused largely on the market
  and democracy - and saw these two as not
  contiguous. Gill introduces society as a link
  between the two and makes the plausible argument
  that social organization and social structures
  have a major impact on the democratization
  process.

41
The last two decades of the 20th century have
been dubbed the third wave of democratization,
as dictatorial regimes fell in scores of
countries

• Before the start of this global trend toward
  democracy, there were roughly 40 countries that
  could be classified as more or less democratic.
• The number increased moderately through the late
  1970s and early 1980s as a number of states
  experienced transitions from authoritarian
  (predominantly military) to democratic rule.
• In the mid-1980s, however, the pace of global
  democratic expansion accelerated markedly, and
  today there are between 76 and 117 democracies,
  depending on how one counts.

42

• In 2002, the first Arab Human Development Report
  was released by the United Nations Development
  Program and the Arab Fund for Social and Economic
  Development.
• With contributions from dozens of Arab scholars,
  it declared bluntly The wave of democracy that
  transformed governance in most of the world has
  barely reached the Arab states. The freedom
  deficit undermines human development and is one
  of the most painful manifestations of lagging
  political development.

43

• The world has more democratic countries and more
  political participation than ever, with 140
  countries holding multiparty elections. Of 147
  countries with data, 121- with 68 of the worlds
  people - had some or all of the elements of
  formal democracy in 2000.
• This compares with only 54 countries, with 46 of
  the worlds people, in 1980. Since then 81
  countries have taken significant steps in
  democratization, while 6 have regressed. Scores
  of authoritarian regimes have been replaced by
  governments more accountable to the people - a
  real achievement for human development.
• But true democratization means more than
  elections. It requires the consolidation of
  democratic institutions and the strengthening of
  democratic practices, with democratic values and
  norms embedded in all parts of society.
• Source UNDP

44
Transitology - Consolidation of democracy

• Wolfgang Merkel (1966)
• 4 levels of consolidation institutional
  (polity), representative (politics), behavioral
  (elites) and civic culture
• Juan J. Linz /Alfred Stepan (1996)
• 3 dimensions Behaviorally, Attitudionally,
  Constitutionally
• 5 arenas Civil society, Political society,
  Rule of law, State apparatus", Economic
  society)

45

• By a minimalist, electoral democracy definition,
  countries such as Turkey, Russia, Sri Lanka or
  Colombia, qualify as democracies. But by a
  stricter conception of liberal democracy, all
  fall short and are partly free. All suffer
  sufficiently serious abridgments of political
  rights and civil liberties that they failed to
  attain a rating of free in the most recent
  Comparative Survey of Freedom, the annual
  global survey of political rights and civil
  liberties conducted by Freedom House.
• This gap between electoral democracy and liberal
  democracy, which has become one of the most
  striking features of the third wave, has
  serious consequences for theory, policy, and
  comparative analysis.

46
Freedom in the World 2003www.freedomhouse.org

• 193 countries
• 90 Free
• 55 Partly Free
• 48 Not Free

47
Map of Freedom 2003
48
(No Transcript)
49
Parliament key institution of democracy

• IPU, 1997
• Democracy is founded on the right of everyone to
  take part in the management of public affairs it
  therefore requires the existence of
  representative institutions at all levels and, in
  particular, a Parliament in which all components
  of society are represented and which has the
  requisite powers and means to express the will of
  the people by legislating and overseeing
  government action.

50
PARLIAMENTS' ROLE IN STRENGTHENING DEMOCRATIC
INSTITUTIONSAND HUMAN DEVELOPMENT IN A
FRAGMENTED WORLD Resolution adopted unanimously
by the 108th Conference, Chile, 11.4.2003

• national parliaments represent the basis for
  good governance grounded on democratic
  institutions responsive to the needs of the
  people, the rule of law, anti-corruption
  measures, gender equality and a favourable
  atmosphere and environment for investment,
• the important role of parliaments as legitimate
  representatives of the people in strengthening
  democratisation in multilateral institutions and
  furthering human development,
• parliaments have a vital responsibility to
  guarantee free universal education without any
  discrimination whatsoever, as this hastens the
  pace of economic, social and political
  development and fosters cultural and spiritual
  advancement,

51
The Assemblée Nationale / Niamey (Niger)
German Parliament / Berlin
52

• The Universal Declaration on Democracy rightly
  stipulates that a parliament must be endowed with
  the requisite powers and practical means to
  express the will of the people by legislating and
  overseeing government action.
• The IPU Resolution Parliaments' Role in
  Strengthening Democratic Institutions and Human
  Development in a Fragmented World propagates
  sustainable human development as an overall
  political objective at the same time, it
  expresses concern that efforts to build strong
  democratic institutions in ensuring successful
  long-term human development encounter numerous
  challenges, such as poverty, corruption,
  globalization, lack of resources, discrimination,
  transnational crime, civil strife, environmental
  degradation and overpopulation.

53
Parliamentary HexagonU. Holtz

• There are idealiter main six roles and functions
• Making laws (legislative power)
• Deciding on the budget (power of the purse)
• Holding government accountable and exercising
  control of executive action (power of
  parliamentary oversight)
• Representing democratic publics (power of
  representation and discourse)
• Electing the executive (elective power)
• Influencing foreign policy and international
  relations (treaty and war power, power of
  mediation between the public and international
  organisations and institutions).
• 1 A very important role is played by the
  political opposition, which should be adequately
  represented in the workings of the parliament and
  be given the resources it needs to do an
  efficient job.

54
Legislative Types John K. Johnson and Robert T.
Nakamura, 1999
55

• In theory policy-making is a problem-solving
  process which is rational, linear, balanced,
  objective and analytical.
• However, very often, the whole life of policy is
  a chaos of purposes and accidents. Practice
  teaches that policy implementation is an ongoing,
  non-linear process that must be managed. It
  requires consensus building, participation of key
  stakeholders, conflict resolution, compromise,
  contingency planning, resource mobilisation and
  adaptation.
• New policies often reconfigure roles, structures,
  and incentives, thus changing the array of costs
  and benefits to implementers, direct
  beneficiaries, and other stakeholders.
• As a result, policy implementation is often very
  difficult. Experience has shown that an inwardly
  focussed, business as usual approach will fall
  short of achieving intended results.
• Rebecca Sutton, The Policy Process An Overview
  Working Paper 118, (Overseas
• Development Institute), London, August 1999.

56

• 3. Good governance

57

• It was politically difficult to complain about
  corruption, mismanagement, and the abuses of
  authoritarian regimes, especially in Africa,
  without giving offence. So a new term was
  invented, whose meaning in relation to the more
  old-fashioned government is not entirely
  clear. (Paul Streeten)
• The Oxford English Dictionary defines governance
  as the act or manner of governing, of exercising
  control or authority over the actions of
  subjects a system of regulations.
• Governance can be used in several contexts such
  as national governance and local governance,
  global governance, corporate governance. There
  are many actors.

58

• Governance was a rarely used term in development
  circles until employed in the World Banks 1989
  report, Sub-Saharan Africa From Crisis to
  Sustainable Growth.
• Later, Governance and Development provided a
  specific definition relevant to the Banks
  purposes the manner in which power is exercised
  in the management of a country's economic and
  social resources for development.
• The World Bank has identified three distinct
  aspects of governance
• (i) the form of political regime
• (ii) the process by which authority is exercised
  in the management of a country's economic and
  social resources for development
• (iii) the capacity of governments to design,
  formulate, and implement policies and discharge
  functions.
• The first aspect is deemed outside the Banks
  mandate thus the Bank's focus has been on the
  second and third aspects.

59

• The term usually describes conditions in a
  country as a whole.
• The African Development Bank has introduced the
  notions of macro-, meso-, and micro-governance to
  conditions at various levels of government,
  suggesting that authoritarian regimes committed
  to development might exhibit and allow good
  governance at the middle and lower levels.
• The Inter-American Development Bank gives special
  emphasis to the modernization of public
  administration.
• Some bilateral donors (for example, the United
  Kingdom's ODA) prefer the terms good governance
  or good government. These terms emphasize
  governances normative aspects and facilitate its
  use as a guide to aid allocation using criteria
  drawn from the political as well as economic
  dimensions of governance.
• BMZ (2001) Poverty Reduction Programme of
  Action 2015 One key factor for successful
  poverty reduction is good governance which
  guarantees human rights, democracy, and
  participation.
• WSSD (2002) Good governance within each country
  and at the international level is essential for
  sustainable development.

60

• The OECD's Development Assistance Committee uses
  the World Banks definition of governance and
  links it with participatory development, human
  rights, and democratization.
• It sees an overall agenda emerging in the aid
  policies of its member states, with the following
  links
• legitimacy of government (degree of
  democratization)
• accountability of political and official elements
  of government (media freedom, transparent
  decision-making, accountability mechanisms),
• competence of governments to formulate policies
  and deliver services
• respect for human rights and rule of law
  (individual and group rights and security,
  framework for economic and social activity, and
  participation).

61

• Governments are one of the actors in governance.
• At the national level, in addition to the
  governments, media, lobbyists, international
  donors, multi-national corporations, etc. may
  play a role in decision-making or in influencing
  the decision-making process.
• All actors other than government and the military
  are grouped together as part of the civil
  society.
• In some countries in addition to the civil
  society, organized crime syndicates also
  influence decision-making, particularly in urban
  areas and at the national level.

62

• Good governance has eight major characteristics.
  http//www.unescap.org/huset/gg/governance.htm
• It is participatory, consensus oriented,
  accountable, transparent, responsive, effective
  and efficient, equitable and inclusive and
  follows the rule of law.
• It assures that corruption is minimized, the
  views of minorities are taken into account and
  that the voices of the most vulnerable in society
  are heard in decision-making.
• It is also responsive to all stakeholders as well
  as to the present and future needs of society.

63
The eight major characteristics Source
http//www.unescap.org/huset/gg/governance.htm
64
HDR 2002

• Human development must also be concerned with
  whether institutions and rules are fair - and
  whether all people have a say in how they
  operate
• Participating in the rules and institutions
  that shape ones community is a basic human right
  and part of human development.
• More inclusive governance can be more
  effective. When local people are consulted about
  the location of a new health clinic, for example,
  there is a better chance it will be built in the
  right place.
• More participatory governance also can be more
  equitable. Much is known about the economic and
  social policies that help eradicate poverty and
  promote more inclusive growth.

65

• Democratic governance is valuable in its own
  right. But it can also advance human development,
  for three reasons.
• First, enjoying political freedom and
  participating in the decisions that shape ones
  life are fundamental human rights they are part
  of human development in their own right.
• Democracy helps protect people from economic and
  political catastrophes such as famines and
  descents into chaos. ...
• Democratic governance can trigger a virtuous
  cycle of development - as political freedom
  empowers people to press for policies that expand
  social and economic opportunities, and as open
  debates help communities shape their priorities.
  
• The most benign dictatorship imaginable would
  not be compatible with human development because
  human development has to be fully owned.

66
DECLARATION OF SANTIAGO ON DEMOCRACY AND PUBLIC
TRUSTA NEW COMMITMENT TO GOOD GOVERNANCE FOR
THE AMERICASThe Ministers of Foreign Affairs and
Heads of Delegation of the member countries of
the organization of American States, assembled in
Santiago (2003)

• DECLARE
• The need to define an agenda for good governance
  for the Hemisphere that addresses political,
  economic, and social challenges and fosters
  credibility and public trust in democratic
  institutions.
• Strengthening political parties as intermediaries
  for citizen demands, in a system of
  representative democracy, is essential to the
  functioning of the democratic political system.
• The firm intention to promote full participation
  by citizens in the political system, in order to
  increase credibility and public trust in
  democratic institutions, including support for
  civil society organizations.

67
ACP-EU Partnership Agreement, signed in Cotonou,
23 June 2000

• One of the most controversial issues during the
  EU-ACP negotiations was the debate on good
  governance.
• In Brussels, both sides agreed on a common
  approach aimed at promoting good governance and
  fighting corruption.
• Foreseen is a new procedure for consultation and
  adoption of measures in cases where human rights,
  democratic principles and the rule of law were
  violated as well as a specific procedure for
  application in serious cases of corruption
  (including the suspension of aid), placing the
  emphasis on the primary responsibility of the
  state concerned to take measures to rectify the
  situation.

68

• Theses innovative steps can indeed be considered
  as proof of the vitality of the political
  dialogue between the ACP states and the European
  Union and their shared determination to tackle
  these problems frankly and find effective
  solutions.
• However, the consensus on good governance was
  interpreted by the ACP Secretariat in a quite
  different way On the political and
  institutional issues in particular, the ACP has
  managed to ensure the wider political
  preoccupations of the EU do not lead to
  unmanageable, though fashionable,
  conditionalities being imposed on the 71 states
  of the Group.
• It is irritating that the ACP side is using the
  word fashionable in this important context. For
  years, it has been the common understanding in EU
  national parliaments as well as in the broad
  public and in the international community that it
  cannot be tolerated that official development
  assistance - tax payers money - should be used to
  keep undemocratic governments or dictators in
  power and to give them respectability.

69
BMZ, 1991 and 2001

• To determine the nature and volume of its
  development cooperation with each partner
  country, the German government applies the
  following criteria
• respect for human rights,
• the rule of law and certainty of the law,
• popular participation in the political process,
• creation of a social and ecological market
  economy,
• development-oriented state action.
• In all criteria, attention is also given to the
  extent to which the partner government focuses
  its policy on poverty reduction. The German
  government will reinforce its cooperation with
  countries that are clearly striving for pro-poor
  and pro-development reforms.

70

• Aid policies, just like domestic policies, are
  motivated by a mixture of political and
  commercial pressures, national interests,
  idealism and human solidarity. Military security,
  altruistic and Machiavellian motives and
  profit-seeking export interests inspire foreign
  assistance policies.
• To technical, economic and environmental
  conditionality has been added political
  conditionality about good governance
• Combining development aid not only with the
  conventional conditions for policy reform (reduce
  budget deficits, reduce inflation, raise interest
  rates, devalue), but also environmental
  protection, poverty reduction, social objectives,
  political freedom, human rights and good
  governance has become popular among bilateral and
  multilateral donors.
• Streeten

71

• It is important for conditionality on governance
  and human rights to distinguish between three
  types of negative human rights leaving aside such
  positive, important rights as the right to
  education, health, food, etc
• First, human rights in the narrow sense not to
  be tortured imprisoned without trial, etc.
• Second, civil rights, such as access to an
  independent judiciary the rule of law. In Tudor
  England there was no democracy, but these rights
  were respected.
• Third, political rights, multi-party system, free
  elections, etc. The status of these three kinds
  is quite different. In the third, there is a
  danger that only Parliamentary or Presidential
  democracy is accepted, which may be inappropriate
  for some cultures.
• Another question is whether the conditionality
  referring to governance and human rights is
  additional in two senses (1) are the conditions
  added to other conditions? (2) are additional
  funds available if the conditions are met? Robert
  McNamaras Redistribution with Growth and Basic
  Needs approaches in the 1970s were accompanied by
  additional money.

72

• 4. Development

73

• Development
• There is no single definition universally
  accepted. Values, political convictions,
  scientific findings, practical experiences drawn
  from various backgrounds are coming in.

74
The Challenge to the South. The Report of the
South Commission, Oxford 1990

• The South and Its Tasks
• In our view, development is
• a process which enables human beings to realize
  their potential, build self-confidence, and lead
  lives of dignity and fulfilment.
• It is a process which frees people from the fear
  of want and exploitation.
• It is a movement away from political, economic,
  or social oppression.
• Through development, political independence
  acquires its true significance.
• And it is a process of growth, a movement
  essentially springing from within the society
  that is developing.

75

• Development is based on self-reliance and is
  self-directed without these characteristics
  there can be no genuine development. But a nation
  is its people. Development has therefore to be an
  effort of, by, and for the people. True
  development has to be people-centred. It has to
  be directed at the fulfilment of human potential
  and the improvement of the social and economic
  well-being of the people.
• The base for a nations development must be its
  own resources, both human and material, fully
  used to meet / its own needs. External assistance
  can promote development. But to have this effect,
  this assistance has to be integrated into the
  national effort and applied to the purposes of
  those it is meant to benefit.

76
New Partnership for Africas Development / NEPAD,
October 2001

• 27. the challenge is for the peoples and
  governments of Africa to understand that
  development is a process of empowerment and
  self-reliance.
• 18. The impoverishment of the African continent
  was accentuated primarily by the legacy of
  colonialism, the Cold War, the workings of the
  international economic system and the
  inadequacies of and shortcomings in the policies
  pursued by many countries in the
  post-independence era.
• 22. Post-colonial Africa inherited weak states
  and dysfunctional economies that were further
  aggravated by poor leadership, corruption and bad
  governance in many countries.

77
NEPAD

• 71. African leaders have learnt from their own
  experiences that peace, security, democracy, good
  governance, human rights and sound economic
  management are conditions for sustainable
  development.
• They are making a pledge to work, both
  individually and collectively, to promote these
  principles in their countries, sub-regions and
  the continent.

78

• In the 2002 World Summit on Sustainable
  Development Political Declaration, the
  government representatives
• reaffirmed the commitment to sustainable
  development,
• pledged to build a humane, equitable and caring
  global society, united by a common determination
  to save our planet, and to
• promote human development and achieve universal
  prosperity and peace.
• They assumed a collective responsibility to
  advance and strengthen the interdependent and
  mutually reinforcing pillars of sustainable
  development economic development, social
  development and environmental protection at
  local, national, regional and global levels
• They welcomed the Johannesburg Summit focus on
  the indivisibility of human dignity, while
  remaining committed to the indivisibility of
  human dignity and to democratic systems.

79

• Holtz
• For development to be human and sustainable it
  must be centered on the human beings and has to
  integrate
• economic development,
• social development,
• environmental stewardship,
• political stability (democracy, human rights,
  rule of law, gender equality)
• - not just for today but for the generations
  to come.
• This is the challenge facing parliaments and
  governments, non-governmental organizations,
  private enterprises, research and teaching
  institutions, communities and individuals.

80

• UNDP advocates the realization of human rights
  as part of sustainable human development, an
  approach that places people at the centre of all
  development activities.
• For UNDP sustainable human development provides
  a unique and holistic paradigm.

81
(No Transcript)
82
5. Relationship between democracy and
development
83

• Is there a cruel choice between freedom and
  economic growth? The relationship between
  democracy or political progress and development
  or economic progress is very complex a large
  and growing academic literature with a variety of
  conclusions
• Only authoritarian governments can provide the
  tough measures necessary for successful
  development.
• Historically, economic progress has occurred in
  non-dictatorial societies.
• Civil and political freedoms promote development
  and growth.
• Property rights, a necessary condition for
  economic growth, are securer in democracies.
• A country does not have to be deemed fit for
  democracy rather, it has to become fit through
  democracy. Political and civil rights can be seen
  as constitutive of the process of development (A.
  Sen).

84
The international community about the links

• WORLD CONFERENCE ON HUMAN RIGHTS, Vienna, June
  1993Democracy, development and respect for
  human rights and fundamental freedoms are
  interdependent and mutually reinforcing.
• UNDPs HUMAN DEVELOPMENT REPORT 2002
• The links between democracy and human
  development are not automatic. Political freedom
  and participation are part of human development,
  both as development goals in their own right and
  as means for advancing human development.
• COTONOU AGREEMENT, 2000
• The partnership shall actively support the
  promotion of human rights, processes of
  democratisation, consolidation of the rule of
  law, and good governance.
• NEPAD, 2001
• African leaders have learnt from their own
  experiences that peace, security, democracy, good
  governance, human rights and sound economic
  management are conditions for sustainable
  development. (Art. 71)

85
WORLD CONFERENCE ON HUMAN RIGHTSVienna, 14-25
June 1993VIENNA DECLARATION AND PROGRAMME OF
ACTION

• 8. The international community should support
  the strengthening and promoting of democracy,
  development and respect for human rights and
  fundamental freedoms in the entire world.
• 9. The World Conference on Human Rights reaffirms
  that least developed countries committed to the
  process of democratization and economic reforms,
  many of which are in Africa, should be supported
  by the international community in order to
  succeed in their transition to democracy and
  economic development.

86

• 10. The World Conference on Human Rights
  reaffirms the right to development, as
  established in the Declaration on the Right to
  Development, as a universal and inalienable right
  and an integral part of fundamental human
  rights.As stated in the Declaration on the
  Right to Development, the human person is the
  central subject of development.While
  development facilitates the enjoyment of all
  human rights, the lack of development may not be
  invoked to justify the abridgement of
  internationally recognized human rights.States
  should cooperate with each other in ensuring
  development and eliminating obstacles to
  development. The international community should
  promote an effective international cooperation
  for the realization of the right to development
  and the elimination of obstacles to development.

87
UNDP
88
ACP-EU Partnership Agreement, signed in Cotonou,
23 June 2000

• Article 9 Essential Elements and Fundamental
  Element
• Co-operation shall be directed towards
  sustainable development centred on the human
  person, who is the main protagonist and
  beneficiary of development this entails respect
  for and promotion of all human rights.
• Respect for all human rights and fundamental
  freedoms, including respect for fundamental
  social rights, democracy based on the rule of law
  and transparent and accountable governance are an
  integral part of sustainable development.
• The Parties reaffirm that democratisation,
  development and the protection of fundamental
  freedoms and human rights are interrelated and
  mutually reinforcing.

89
NEPAD, 2001

• 45. Across the continent, democracy is spreading,
  backed by the African Union (AU), which has shown
  a new resolve to deal with conflicts and censure
  deviation from the norm.
• These efforts are reinforced by voices in civil
  society, including associations of women, youth
  and the independent media. In addition, African
  governments are much more resolute about regional
  and continental goals of economic cooperation and
  integration.
• This serves both to consolidate the gains of the
  economic turnaround and to reinforce the
  advantages of mutual interdependence.

90

• 46. The United Nations Millennium Declaration,
  adopted in September 2000, confirms the global
  communitys readiness to support Africas efforts
  to address the continents underdevelopment and
  marginalisation.
• The Declaration emphasises support for the
  prevention of conflict and the establishment of
  conditions of stability and democracy on the
  continent, as well as for the key challenges of
  eradicating poverty and disease.
• The Declaration further points to the global
  communitys commitment to enhance resource flows
  to Africa, by improving aid, trade and debt
  relationships between Africa and the rest of the
  world, and by increasing private capital flows to
  the continent.

91
Human Rights-Based Approach to Development
Policy Annette Windmeisser, BMZ, 2003
92
6. Practical Experiences poverty reduction
and environmental protection / desertification
UNCCDparliamentary involvement
93
United Nations Convention to Combat
Desertification (UNCCD)

• Drought and desertification threaten the
  livelihood of over 1 billion people in more than
  110 countries around the world.
• Desertification means degradation of land and
  vegetation, soil erosion and the loss of topsoil
  and fertile land in arid, semi-arid and dry
  sub-humid areas, caused primarily by human
  activities and climatic variations. Drought can
  trigger or aggravate desertification. The term
  desertification (somewhat misleadingly) does
  not apply to hyper-arid zones (deserts).
• UNCCD was adopted on 17 June 1994 and entered
  into force in 1996. There are currently 190
  Parties to the Convention - 189 States and the
  European Community.

94

• 2002, the Johannesburg Summit acknowledged the
  UNCCD as an important tool for poverty
  eradication it also stressed the need to
  mobilize adequate and predictable financial
  resources for the implementation of the UNCCD.
• Parliaments can contribute to providing for
  effective policy formulation, coordination,
  implementation and monitoring of the processes of
  sustainable human development including of the
  UNCCD process.
• The UNCCD implementation process will contribute
  to realising the Millennium Development Goals
  (MDGs), in particular the following ensure
  environmental sustainability, eradicate extreme
  poverty and hunger, promote gender equality and
  empower women.

95
Poverty Reduction Strategy Papers (PRSPs)

• After the Cologne G7/G8 Summit in June 1999, the
  World Bank Group and the IMF agreed at the Annual
  Meeting of September 1999 that nationally-owned
  participatory poverty reduction strategies should
  provide the basis for all World Bank and IMF
  concessional lending, and for debt relief under
  the enhanced Heavily Indebted Poor Countries
  Initiative.
• The shift to PRSPs and the loss of confidence in
  the previous policy of economic reform,
  structural adjustment programmes (SAPs), has
  occurred since the World Bank and other advocates
  of adjustment policies have come to acknowledge
  that many adjustment measures generated losses
  among the poor, and that there was a connection
  between adjustment programmes and growing poverty
  and inequality

96

• The second generation of reforms now advocated,
  rather than revising and improving the economic
  policy framework so far pursued, principally adds
  new elements, emphasising the importance of
  getting institutions right or simply good
  governance.
• PRSPs describe a country's macroeconomic,
  structural and social policies and programmes
  that aimed at promoting growth and reducing
  poverty, as well as associated external financing
  needs and major sources of financing. PRSPs may
  include core techniques (poverty diagnostics,
  monitoring and evaluation, etc.), sectoral issues
  (health, education, infrastructure, macroeconomic
  policy), and cross-cutting issues (gender,
  environment, etc.).
• PRSPs are prepared by governments through a
  participatory process involving civil society and
  development partners, including the World Bank
  and the IMF.

97

• There are seven core process and content
  principles underlying the drafting and
  implementation of poverty reduction strategies.
  The strategies should be
• Country-driven.
• Participatory.
• Partnership-oriented.
• Comprehensive.
• Results-oriented.
• Prioritized.
• Based on a long-term perspective for poverty
  reduction.
• As of April 2003, 26 countries had presented
  PRSPs and 45 countries had presented I-PRPSs to
  the World Bank and IMF Boards.

98
Desertification, land degradation and
parliaments involvement in PRSPs in selected
countries

• Analysis. PRSPs do not consider land
  degradation, soil erosion and desertification to
  be main factors for poverty.
• Poverty-environment links. The picture is mixed.
  Some PRSPs recognize the links between poverty
  alleviation and the restoration or sound
  management of natural resources while others do
  not. Neither the economic significance of
  desertification and its impact on the poor
  population, nor the poverty/land degradation
  downward spiral are mentioned.
• Planning / environmental management responses.
  Not a single PRSP regarded the combat against
  desertification as a priority area. While the
  PRSPs represent a significant effort to bring
  together the full set of public actions that
  countries intend to pursue to reduce poverty,
  they generally are weak regarding the
  prioritisation and specificity of these actions.
• Participatory process. In all analysed countries
  more or less satisfactory and broad participation
  processes took place. However, parliaments were
  not really involved in the consultation,
  elaboration and decision-making process of the
  PRSPs. Their role was too often the traditional
  role of formal approval (rubberstamp).
  Political parties were rarely invited to
  participate at the process.

99

• In a joint declaration in Dakar in September
  2001, African members of parliament involved in
  the PRSP forum, stressed that parliament must
  not be marginalized in the formulation and
  implementation of poverty reduction strategies.
  Examples of this marginalization are common.
• Uganda, for instance, has been especially
  energetic in assuring civil society participation
  in PRSP development and monitoring, but formal
  parliamentary review of plans and progress has
  been neglected.
• In contrast, the Burkina Faso PRSP was presented
  to parliament for ratification prior to its
  official transmission to the Bank and the Fund.
• In Mauritania, parliamentarians were members of
  the PRSP working parties and of the committee
  monitoring the PRSP process a debate was held in
  parliament with NGOs, other civil society
  organizations and development partners, and
  parliament approved the PRSP.