Waiting for Democracy: The Politics of Choice and Recognition

Representation, Citizenship and the Public Domain:

Institutional Choice in Decentralization

Jesse C. Ribot

Equity, Poverty & Environment Group Institutions and Governance Program World Resources Institute

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Today’s Talk

 Research Program on Democratic Decentralization  Project  Main findings  New Research Programs  Commodity Chain Analysis as a Policy Tool  Institutional Choice and Recognition  Institutional Choice and Recognition

Defining Decentralization Power Transfers Central Government Ministries: -Health -Environment Education….

Non-market Privatization Donors Big NGOs Democratic Local Government Administrative Local Authority Government Decentralization Individual or Corporation Customary Authority 3rd Sector NGO PVO CBO Participation Not Decentralization

Theoretical Mechanisms of Decentralization Benefits

Advertised Benefits

 Enfranchisement, Equity, Efficiency, Development, Better Management, Better Service Delivery, Benefit retention

Mechanisms



Local Authorities are believed to:

 Better match services to needs and aspirations (public choice theory)   Reduce transaction costs (new institutional econ) by proximity allowing:  Mobilizing local knowledge and skills for collective/public good  Mobilizing local labor for collective projects  Improved coordination among local programs Balance of negative and positive outcomes in decision making (economic theory of “internalizing externalities”)  ALL IMPLY INCLUSION MECHANISM: REPRESENTATION *With*

POWERS

REPRESENTATION

= Responsiveness &/or Accountability Responsiveness Accountability Policies Outcomes Mandates Sanctions

Preferences

Signals

Elements of Effective Decentralization

Positive Outcomes are Expected from:  Local

Institutions

 Actors 

Entrusted

with

Powers

(executive, legislative, judicial: discretion+capabilities to exercise them)  That are

Accountable

to the Local Population [Representation is  integrative mechanisms in rural development]

Power Transfer

Accountability Central Government Ministries: -Health -Environment Education….

Non-market Privatization Donors Big NGOs Individual or Corporation Democratic Local Government Administrative Local Authority Customary Authority

?

Local Populations NGO PVO CBO

?

Participation ?

Power Transfer

Ability to Sanction Central Government Ministries: -Health -Environment Education….

Non-market Privatization Donors Big NGOs Individual or Corporation Democratic Local Government Administrative Local Authority Customary Authority

?

Local Populations NGO PVO CBO

?

Participation ?

What Happens in Practice?

Power Choices in Practice Choice of Institutions in Practice

      

Institutional Choices in Practice

Local democratic institutions rarely empowered. Elected local institutions, when chosen, are often not democratic.

Deconcentration to local branches of forest departments most common.

Privatization of public resources in the name of Decentralization very common:  Hunting in Senegal and Namibia   Land to individuals in South Africa NGOs and community groups being chosen by donors —even where there are democratic local authorities  Forests to individuals and chiefs in Mali and Uganda Competition with & de-legitimating of local democracy-[Bee-keepers in Uganda]   Proliferation of Committees, PVOs and NGOs since 90s Institutional “pluralism” undermining democracy [pluralism is good, but it must be subordinated to representative authorities] Participatory Processes in lieu of working with elected local authorities Customary authority being chosen as if representative.

Many of these choices take legitimacy and powers from local democratic authorities, and are used to mobilize rather than enfranchise.

     

Choice of Powers in Practice

Only a few cases discretionary powers (domain of democracy)  Fiscal resources (eg Cameroon) & some allocation decisions Non-commercial subsistence resources transferred Powers to allocate lucrative resources retained Mandates: the odium of management, dominate transfers   Some funded Most unfunded —NRM not viewed as labor  Forced labor for tree planting still included in Ugandan laws Draconian mgt. Planning required for communities [although NOT usually necessary  double standards applied]  Local use often not ecological problem, but requires elaborate plans   Concessions get to operate with few regulations Access to resource exchanged for labor to implement plans —participatory corvee in Senegal, Cameroon, Zimbabwe CBNRM programs  Donors and NGOs needed to assist planning Means of transfer problem —rights vs. Privileges   Most are insecure Secure means of transfer  legitimacy, security, stability over time

These choices constitute Government Tactics resisting decentralization



Choice of Institutions



Resisting Power Transfers

Getting the Institutions Right?

 Decentralization theory is an IF-THEN proposition [out of new institutionalism]  If we have the right institutions with the right powers  Then we get all these positive outcomes  But we’re not getting to ‘IF’ in most cases 

New institutionalism is being stomped out by a larger set of political-economic forces

[Sort of like “Bambi Meets Godzilla”]

New Institutionalism Meets Political Economy

CONCLUSIONS

What are we doing about it?

Better Match Policy to protect procedural objectives of democracy against instrumental sectoral objectives Powers: Subsidiarity/Standards Actors & Accountability: Institutional Choice New Research Program: If states resist via institutional choices: lets understand those choices and their effects.

Recommendations Section

Principles of Institutional Choice

     

Choose democratic local institutions

for them where they do not  where they exist; Call Scrutinize and re-design local electoral processes to make elected bodies democratic Choose and focus on

fewer institutions

.

Nest institutions

“public” or collective resources is subordinated to democratic authorities so that any institution with powers over  NGOs, Local administrative authorities, Local forest services, customary authorities should be accountable to local elected authorities  Disciplining effect of just hierarchy

Do not transfer public powers to private institutions Use Participation as a tool

democracy  not a substitute for local Inclusion of marginal groups….

Use committees as tools

place of them within democratic structures not in

Ideal Accountability of Institutions

Accountability Power Transfer

Central Government Ministries: -Health -Environment Education….

Customary Authority Democratic Local Government Administrative Local Authority NGO/ PVO CBO Committees Local Populations Individual or Corporation

Subsidiarity Principles

       Focus on creating local discretion Devolve lucrative opportunities Separate technical from political decisions — devolve political decisions.

Shift oversight and approval to a legal control model —function of forest service to assure compliance with laws, not to approve every decision. Keep in mind that capacity follows power Use taxation of resource to retain value [must set at higher level —do not only give locals revenues from fines.] Shift from Planning to Minimum Standards [next]

Subsidiarity Principles II

Limits and Context of Powers 

Shift to uniform minimum standards from a planning approach

 Planning not needed  Standards needed  Delimit Space of Discretion  Eliminate double standards between communities and corporations  [That much forest management being required of local communities by forest services is unnecessary is unthinkable —gather the data to make it thinkable!] 

Incentives —local people do not choose to invest in the environment

  Treat NRM investments as other public works —pay labor Project solutions —reduce co-pay, pair projects, green windows

Framework for Future Analysis



Representation

 Means of Transfer  Empowering Representation  Mix of Institutions 

Citizenship and Belonging

 Residency  Interest  Identity 

Public Domain

 Maintaining public space  Enclosure through privatization and desecularization 

Public Domain



Representation and Belonging

The End