ST/ESA/PAD/SER.E/98 7th Global Forum on Reinventing Government Building Trust in Government 26-29 June 2007, Vienna, Austria PUBLIC ADMINISTRATION AND DEMOCRATIC GOVERNANCE: Governments Serving Citizens Dennis A. Rondinelli Senior Research Scholar Terry Sanford Institute of Public Policy at Duke University January 2007 The views expressed in this paper are those of the author(s) and do not necessarily represent those of the United Nations or its Member States. DESA MISSION STATEMENT The Department of Economic and Social Affairs of the United Nations Secretariat is a vital interface between global policies in the economic, social and environment spheres and national action. The Department works in three main interlinked areas: (i) it compiles, generates and analyses a wide range of economic, social and environmental data and information on which Member States of the United Nations draw to review common problems and to take stock of policy options; (ii) it facilitates the negotiations of Member States in many intergovernmental bodies on joint courses of action to address ongoing or emerging global challenges; and (iii) it advises interested governments on the ways and means of translating policy frameworks developed in United Nations conferences and summits into programmes at the country level and, through technical assistance, helps build national capacities. NOTE The designations employed and the presentation of the material in this publication do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations concerning the legal status of any country, territory, city or area, or of its authorities, or concerning the delimitation of its frontiers or boundaries. The designations “developed” and “developing” economies are intended for statistical convenience and do not necessarily imply a judgment about the stage reached by a particular country or area in the development process. The term “country” as used in the text of this publication also refers, as appropriate, to territories or areas. The term “dollar” normally refers to the United States dollar ($). The views expressed are those of the individual authors and do not imply any expression of opinion on the part of the United Nations. A United Nations Publication Publication No.: ST/ESA/PAD/SER.E/ Printed in the United States of America 2006 Copyright © United Nations, 2006 All rights reserved ii on Re7itnhv eGnltoinbgal G Foovreurmn ment FOREWORD Making public administration and governance more responsive to the needs of citizens is one of the most important aims of the United Nations’ “Reinventing Government” programme. This volume brings together concepts and ideas from around the world about the need for and ways of achieving more responsive and accountable public administration within the framework of democratic governance. The chapters are edited versions of papers that were originally prepared for the Sixth Global Forum on Reinventing Government held in Seoul, Republic of Korea, on 24-27 May 2005. The Global Forum, in accordance with UN General Assembly resolution A/RES/57/277/ of 2002, is held every two years. The Forum is a bridge on which governance principles and practices meet, and on which global initiatives interact with regional and local priorities. The Forum offers tremendous opportunities for diverse stakeholders – notably, high-ranking government officials, eminent public administration scholars, corporate leaders, representatives of international organizations, donor agencies, and non-governmental organizations – to exchange ideas on approaches that are critical to public policy and management challenges facing the world as a whole and its constituent regions. As part of the United Nations’ efforts to promote excellence in governance and public administration, the Division for Public Administration and Development Management (DPADM) provides support to the Global Forum on Reinventing Government as an international gathering of policy makers and experts so that it can serve as a worldwide laboratory for new ideas and policy development. DPADM extends these discussions not only through the biennial Global Forum but also through a series of regional forums on reinventing government that focuses on specific challenges and innovations in particular geographical regions of the world. The Global Forums on Reinventing Government have explored a wide range of topics for improving governance and public administration including the challenges facing governments in the 21st century arising from globalization, means of fostering democracy and development through e-government, partnerships among citizens, businesses and governments for development and democracy, innovation and quality in government, and participatory and transparent governance. The Seventh Global Forum, to be held in June 2007, will explore ways of building trust in government. All of these themes are reflected in the chapters in this volume and focus on ways of strengthening trust, accountability and participation in government so that it can serve citizens more effectively, efficiently and responsively. This publication is one of the analytical products emerging from the Global Forum on Reinventing Government designed to make the ideas and approaches developed during discussion more widely available to policy makers and practitioners, scholars and ii i on Re7itnhv eGnltoinbgal G Foovreurmn ment researchers and the public at large. Its aim is to provide interested governments with conceptual and policy tools to understand the complex challenges facing 21st century public officials and administrators and to select and adapt those ideas that are most appropriate for enhancing their ability to serve citizens effectively. I hope that this publication will stimulate thinking, policy discussions and implementation of innovative ideas to strengthen democratic governance and public administration in ways that will enhance citizens’ trust in government and participation in public affairs. Guido Bertucci, Director Division for Public Administration and Development Management Department of Economic and Social Affairs United Nations iv on Re7itnhv eGnltoinbgal G Foovreurmn ment Editor: Dennis A. Rondinelli, Senior Research Scholar at the Duke Center for International Development at the Terry Sanford Institute of Public Policy at Duke University, and Director of the Pacific Basin Research Center, Soka University of America, Aliso Viejo, California. Contributing Authors: Sabino Cassese and Mario Savino, University of Rome G. Shabbir Cheema, Principal Advisor on Governance, Division for Public Administration and Development Management (DPADM), United Nations James Katorobo, Makerere Institute of Social Research Aisha Ghaus-Pasha, Centre for Social Policy Samuel Paul, Public Affairs Center Jeremy Pope, The Governance Access Learning Network Gowher Rizvi, The Ash Institute for Democratic Governance and Innovation, Harvard University Dennis A. Rondinelli, Duke Center for International Development, Duke University David Satterthwaite, International Institute for Environment and Development (with Somsook Boonyabancha, Celine d’Cruz, Yves Cabannes, Diana Mitlin, Sheela Patel, and Alfredo Stein). Jerzy Szeremeta and Richard Kerby, United Nations Department of Economic and Social Affairs Massimo Tommasoli, International Institute for Democracy and Electoral Assistance The Government Reinvention Series Editor: G. Shabbir Cheema, Principal Advisor on Governance, Division for Public Administration and Development Management (DPADM), Department of Economic and Social Affairs (UNDESA), United Nations. v on Re7itnhv eGnltoinbgal G Foovreurmn ment Contents Foreword ………………………………………………………………………………..ii Acknowledgments …………………………………………………………………….v Contents ………………………………………………………………………………..vi 1. Governments Serving People: The Changing Roles of Public Administration in Democratic Governance ………………..1 Dennis A. Rondinelli 2. Linking Governments and Citizens through Democratic Governance ……………………………………………….29 G. Shabbir Cheema 3. Representative Democracy and Capacity Development for Responsible Politics ………………………………………………..52 Massimo Tommasoli 4. Reinventing Government: Putting Democracy and Social Justice Back into the Discourse ………………………………………………..78 Gowher Rizvi 5. Dimensions of Transparency in Governance ……………………..115 Jeremy Pope 6. E-Government: Providing Value to Citizens ………………………..165 Jerzy Szeremeta and Richard Kerby 7. Accountable Governance and Administrative Reform in Europe …………………………………………………………………..173 Sabino Cassese and Mario Savino 8. Roles of Civil Society Organizations in Governance ………………202 Aisha Ghaus Pasha 9. Auditing for Social Change: Learning from Civil Society Initiatives………………………………………………………..……….…225 Samuel Paul 10. Decentralization and Local Autonomy for Participatory Democracy……………………………………………….. 237 James Katorobo 11. Participatory Governance in Cities …………………………………...267 David Satterthwaite, with Somsook Boonyabancha, Celine d'Cruz, Yves Cabannes, Diana Mitlin, Sheela Patel and Alfredo Stein v i on Re7itnhv eGnltoinbgal G Foovreurmn ment Chapter 1 GOVERNMENTS SERVING PEOPLE: THE CHANGING ROLES OF PUBLIC ADMINISTRATION IN DEMOCRATIC GOVERNANCE Dennis A. Rondinelli The role of public administration in governance is a continuing topic of discussion and debate. The current worldwide reassessment of the functions of the State and of public officials and civil servants arises from two major sources: one is globalization and its impacts on what governments must do to adapt and respond to rapidly changing international economic, social, political and technological trends; the other is increasing dissatisfaction among citizens in many countries with the functions of government and the services that public administrations provide. Globalization – the movement toward greater interaction, integration, and interdependence among people and organizations across national borders – is increasing transactions among countries in trade and investment and in the international flows of capital, people, technology, and information.1 It is evident in the growing levels of international political interaction and widespread social and cultural interchange that have occurred over the past quarter of a century.2 Globalization has brought both benefits and challenges to countries around the world.3 Globalization offers new economic opportunities but also imposes new political, social, technological, and institutional complexities, especially on poorer countries, that governments must address in order to stimulate more equitable economic and social development. In order to benefit from more open and widespread economic interaction, governments must support an economic system that promotes and facilitates the ability of business enterprises to compete effectively in international markets and of people at all economic levels to earn a decent livelihood. Over the past two decades, in the wake of pressures of globalization and technological innovation and more widespread access to communications, citizens in many countries began demanding more of their governments. These rising expectations, too often, have led to growing dissatisfaction with or lack of trust in government. In its review of government reinvention experiences in nine countries, the Organization for Economic Cooperation and Development (OECD) noted that “a growing disenchantment with government performance” increased pressures for 1 United Nations, World Public Sector Report: Globalization and the State. United Nations, New York: Department of Economic and Social Affairs (2001). 2 Stanley Hoffman, “Clash of Globalizations,” Foreign Affairs, Vol. 81, No. 4 (2002): 104-115. 3 Dennis A. Rondinelli and Jack N. Behrman, “The Promises and Pains of Globalization,” Global Focus – International Journal of Business, Politics and Social Policy, Vol. 12, No. 1 (2000): 3-16. 1 on Re7itnhv eGnltoinbgal G Foovreurmn ment reform in Europe.4 But such widespread public dissatisfaction with government is seen in other regions of the world as well. The World Economic Forum’s tracking of public opinion in 14 countries – Argentina, Brazil, Canada, Germany, India, Indonesia, Italy, Mexico, Nigeria, Russia, Spain, Turkey, the United Kingdom and the United States – found a strong deterioration in public trust in government between 2001 and 2005 in all but a few of the countries. In only six of the 14 did more than half of the citizens trust government.5 In Latin America, only 49 per cent of the population surveyed by Latinobarόmetro approved of the government in 18 South and Central American countries in 2005; trust in the elite that led the country was only 33 per cent.6 The survey of 176,554 people in Latin America found that in only five of the 18 countries did more than half of those surveyed believe that elections were “clean.” Only about half of the respondents believed that the State enforces laws effectively. About 72 per cent of those surveyed did not trust the government to know how to spend tax money; 66 per cent of the region’s inhabitants expressed little or no confidence in the judiciary; and only about 30 per cent thought that the government had made progress in reducing corruption in state institutions. Surveys of more than 21,500 people in 12 African countries showed widespread discontent with the performance of governments in that region.7 Asked how well the government performed in creating jobs, 60 per cent of the respondents said “fairly badly or very badly;” about 62 per cent were dissatisfied with government performance in keeping prices stable; 63 per cent did not think government did a good job in narrowing income gaps. Half of the citizens surveyed believed that government did badly at reducing crime and 48 per cent believed that it did not effectively fight corruption in government. Dissatisfaction with government is not restricted to national governments. In Europe, public opinion surveys point out that in 2005, only 51 per cent of the people interviewed by Eurobarometer had confidence in the European Parliament, 4 Organization for Economic Cooperation and Development, “Synthesis of Reform Experiences in Nine OECD Countries: Government Roles and Functions, and Public Management,” PUMA/SGF (99)1, Paris: OECD (1999): 5. 5 World Economic Forum, “Full Survey: Trust in Governments, Corporations and Global Institutions Continues to Decline,” Geneva, Switzerland: WEF (2005). 6 Corporaciόn Latinobarόmetro, “Latinobarόmetro Report 2005,” Santiago, Chile: Corporaciόn Latinobarόmetro (2005). 7 Carolyn Logan and Fabiana Machado, “A Comparative Series of National Public Attitude Surveys on Democracy, Markets and Civil Society in Africa,” Afrobarometer Paper No. 11, Cape Town, South Africa: The Institute for Democracy in South Africa (2002). 2 on Re7itnhv eGnltoinbgal G Foovreurmn ment only 46 per cent trusted the European Commission, and only 40 per cent were satisfied with the European Council.8 As all of these surveys imply, too often, government is seen by citizens, the media, and sometimes by public servants and political leaders themselves, as plodding, inefficient, bureaucratic, change-resistant, incompetent, unresponsive or corrupt. Citizens often complain that governments provide services that are inadequate, inappropriate, inferior or too costly of their hard-earned tax payments. Frequently, people see government officials to be acting in their own interests rather than responding to the needs of citizens. In many countries, the claim that “we are from the government and are here to help you” is met with popular derision. Surveys and opinion polls confirm that the public wants improvements in the ways in which governments serve citizens, that is, a public administration that delivers better services and extends their reach and coverage more effectively and efficiently. Citizens expect improvements in the capacity of the public service to deliver more and better services at lower cost. Serving Citizens More Effectively: The Government Reinvention Movement Many political leaders and government officials know that doing things the “old way” no longer meets the demands of a more complex and interconnected international economy or the expectations of a more globally-linked and politically- aware citizenry. Globalization has brought stronger competition among businesses and pressures on governments to create economic, political and social conditions within which the private sector can compete more effectively and in which people can develop their human resources to benefit from participation in productive activities. Over the past quarter of a century international organizations and progressive political leaders have called for government reinvention. Debates during the 1980s over whether or not government was a hindrance or a facilitator of economic development have largely been resolved. Even the most ardent critics of big government now recognize that the State will continue to be an important political institution that can for good or ill influence the welfare of millions of people. The challenge for political and administrative leaders in all countries is to redefine the roles of government and to build the capacity of public and private institutions to play beneficial roles in helping citizens to cope with the uncertainties, and benefit from the opportunities, of globalization.9 8 Eurobarometer, “Standard Eurobarameter 64: Public Opinion in the European Union,” Brussels, Belgium: The European Commission (2005). 9 Dennis A. Rondinelli and G. Shabbir Cheema (eds.), Reinventing Government for the Twenty-first Century: An Introduction, Chapter 1. Stanford, CT: Kumarian Press (2003). 3 on Re7itnhv eGnltoinbgal G Foovreurmn ment The need to improve governance and public administration and to enhance the State’s capacity to carry out new functions and roles is now widely recognized. The United Nations Millennium Declaration calls for respect for human rights and the promotion of democracy and good governance (including efficient and effective public administration). Good governance is a necessary condition for the achievement of each of the Millennium Development Goals (MDGs) – eradicating extreme poverty and hunger; achieving universal primary education; promoting gender equality; reducing child mortality; improving maternal health; combating HIV/AIDS and other diseases; ensuring environmental sustainability; and promoting global partnership for development. Governments in developing countries and their international development partners have significantly increased their financial support to strengthen governance and enhance the efficiency and effectiveness of public administration. But rapid globalization over the past two decades assured that governments could no longer carry on as usual, at least in terms of the functions and roles many of them played in the 1960s and 1970s. As the OECD has pointed out, by the 1980s governments were widely “criticized for their lack of capacity to respond quickly and effectively to strategic issues and for failing to leverage off opportunities in emerging markets offered by, among others, new technologies. Conflicts inherent in combining multiple roles (for instance, policymaker, regulator, monitor, competing service provider, funder), often with conflicting objectives, became obvious.”10 Globalization and technological advances have been and will continue changing the “rules of the game” for government. The roles of the government as a central planner and controller of the national economy, as the primary provider of goods and services, and as the engine of economic growth, have largely been discredited as functioning effectively in countries seeking to promote national competitiveness. Indeed, even the ability of states to exercise sovereign control over internal economic activities and transactions across their borders is changing in the face of relentless globalization.11 In response to widespread citizen dissatisfaction, governments in Australia, New Zealand, the United Kingdom, the United States and other countries adopted new approaches to public administration and governance reform in the early 1980s that collectively came to be known as the “New Public Management.” In their book Reinventing Government, which reflected and influenced reform in the United States and other countries during the 1980s and 1990s, David Osborne and Ted Gaebler summarized the principles and characteristics of the New Public 10 Organization for Economic Cooperation and Development, “Synthesis of Reform Experiences in Nine OECD Countries: Government Roles and Functions, and Public Management,” PUMA/SGF (99)1, Paris: OECD (1999): 3. 11 Dennis A. Rondinelli, “Sovereignty On Line: The Challenges of Transnational Corporations and Information Technology in Asia,” in John D. Montgomery and Nathan Glazer (eds.), Sovereignty Under Challenge: How Governments Respond. New Brunswick, NJ: Transaction Publications (2002): 345-371. 4 on Re7itnhv eGnltoinbgal G Foovreurmn ment