SDC Policy Democratisation, Decentralisation and Local Governance - Notebook
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SDC Policy Democratisation, Decentralisation and Local Governance
2
Contents
1 Purpose of this policy 5
2 Significance for the SDC 7
Good governance is key for achieving development outcomes
and DDLG is a core element 7
Relevant in all contexts but with differentiated priorities 9
Global governance reform trends require further push 9
Switzerland is well positioned 11
3 Global Development Agenda 13
4 Strategic Principles 15
5 Thematic priorities 17
Overall goal and expected results 17
Democratisation 18
Decentralisation 21
Local governance 24
ANNEX 1 Governance Principles and DDLG Definitions 28
ANNEX 2 International collaborative platforms 29
3
Awareness raising of the electorate in Mali in view of the presidential elections 2013. © Swiss Cooperation Office Mali
4
1 Purpose of this policy
The purpose of this policy paper is to define the The policy paper does not have the ambition to de-
SDC’s orientation and scope in the area of democ- fine the overall approach of the SDC in the broader
ratisation, decentralisation and local govern- thematic area of governance. Nor does it attempt
ance (DDLG). It is a normative document for the to explain the SDC’s approach in mainstreaming
SDC and will serve as a reference for partner organ- governance which is a compulsory transversal topic
isations, but also for relevant departments of the and will be dealt with in a separate guidance note.
Federal Administration and the wider development The policy is in line with Parliament’s bills regarding
community. It describes the SDC’s underlying devel- development cooperation with the South and the
opment vision and positioning in this thematic area. East and is consistent with major trends in the global
It explains the principles that guide our work and development community.
spells out main thematic priorities and strategic ap-
proaches. A series of subsequent topic papers will
provide more in-depth information on selected sub-
themes in these categories.
5
In Bangladesh, disadvantaged citizens in rural community engaged in planning. © Helvetas Swiss Intercooperation/Jens Engeli
6
2 Significance for the SDC
Good governance is key ›› Having a voice and participation are intrin-
for achieving development sic to people’s well-being: Beyond the devel-
opment efficiency argument, democratic values
outcomes and DDLG is a core constitute a normative goal and a rationale of
element their own. They stand for a life in dignity and
the advancement of fundamental human rights
The SDC shares the conviction of many other de- as they are defined in the international human
velopment partners that development outcomes in rights treaties, especially in the covenant on civ-
a country are strongly influenced by the way it is il and political rights.2 Having a voice and being
governed, or in other words, the way public affairs part of public decision-making is a sign of dignity
are managed and authority is exercised. It there- and essentially contributes to people’s well-be-
fore supports countries in making further progress ing.
in good governance, which means improving the
quality of governance processes. Quality is de- ›› Local governance provides a space condu-
fined by a set of normative principles guiding cive to participatory decision-making: Local-
the SDC’s work: effectiveness and efficiency, ised initiatives are often the origin and playing
transparency and accountability, participation, field for active civic engagement. People more
equality and non-discrimination, and the rule easily assemble around issues affecting every-
of law (see Annex 1). They apply to national as well day life in their neighbourhood, and for them it
as subnational levels (i.e. local good governance). is usually more convenient to interact with local
Applying a governance lense implies a contextu- officials. State officials on the other hand are usu-
alised systemic view of the political system: state ally more embedded in the “social fabric” of their
institutions (essentially the executive, legislative, and communities, especially at the lowest levels. As a
judiciary) and relevant political actors, including the consequence they are more immediately exposed
private sector, their interplay and relations, and po- to public concerns and more likely to engage in
litical-administrative processes. public dialogue and deliberation.
DDLG is at the heart of good governance and ›› More accessible and responsive state insti-
includes the following important dimensions: tutions (including governments, parliaments
i) empowered citizens and political actors, func- and judiciary) at decentralised levels: Decen-
tioning institutions and processes of democracy at tralised state institutions can play an essential
subnational and national levels (e.g. citizen initia- role in promoting local development and engag-
tives, civil society organisations, media, parliaments, ing citizens in improved state-society relations
judiciary, independent oversight bodies, elections through stronger participation and partnerships.
and other spaces of public participation, account- They are likely to have a better understanding of
ability mechanisms); ii) adequate and coherent local needs because of their proximity to citizens,
transfer of tasks, responsibilities, resources and de- and they are able to adjust national development
cision-making authority to subnational1 state levels; strategies to the realities of their territories. Cit-
iii) effective, efficient and democratic government izens on the other hand can more directly voice
authorities at subnational levels; iv) inclusive and their concerns and hold their governments and
constructive, non-violent interaction between the other state representatives accountable. From
state and civil society and within civil society. a gender perspective this is a convenient entry
point, because local institutions and processes
›› Democratic governance allows sharing and tend to be less formal, closer to many women’s
control of power: Strong governments are lives and more accessible to them.
important to effectively fulfil their public duties
and responsibilities. At the same time public con-
trol and power sharing are essential to ensure a
certain counter-balance and to reduce the risk of
power abuse and corruption (concept of checks
and balances). Only if people can hold their lead-
ers to account and are protected against arbitrary
measures are their fundamental human rights
and freedoms ensured.
7
›› Effective multilevel governance enables ›› Weak governance as a barrier to achieving
better outreach and anchoring of national the global development goals: In the past
development policies: Sound national poli- decades developing countries across the world
cies are a necessary but not sufficient condition experienced substantial transformation and eco-
for development. Without the effective involve- nomic growth, but these processes stand in stark
ment of subnational stakeholders there is a sig- contrast to trends of growing inequality and per-
nificant risk that they will not land on fertile soil. sistent poverty and violence. The progress of the
Decentralisation can essentially help enhance millennium development goals (MDGs) shows
ownership and effectiveness of public adminis- an enormous variation among countries and is
tration throughout different government tiers, highly uneven for the different goals. Few targets
on condition that responsibilities, resources and have been met at the global level, while sever-
decision-making power are balanced and well al key MDGs are lagging.3 Governance deficits
coordinated. But decentralisation per se does not have been identified as a critical factor for further
necessarily lead to better development outcomes; acceleration towards these goals. Findings from
it must be linked to improving good governance 30 MDG country assessments in 2010 outline
at multiple levels. that “without effective and accountable institu-
tions, systems, processes and political will, eco-
›› DDLG provides favourable conditions to pre- nomic gains are not automatically translated into
vent and overcome situations of fragility development outcomes or registered as MDG
and conflict: The concept of democratic govern- achievement.” 4 Governance is clearly seen as the
ance allows for non-violent articulation, peaceful “missing link” between anti-poverty efforts and
negotiation and balancing of interests, which can effective poverty reduction. These findings are
prevent violent confrontations and strengthen particularly relevant for contexts marked by con-
states’ and societies’ resilience in times of crisis. flict and fragility, which continue to lag behind
Entry point is often the subnational or communi- other developing countries in achieving the
ty level. Subnational state institutions are at the MDGs. “According to World Bank projections,
frontline of most pressing challenges and they nearly two-thirds of currently fragile countries
are vital in establishing a relationship of trust will fail to halve poverty by 2015. (…) All these
with the population and enhancing state legit- countries have weak institutions in common or,
imacy. In decentralised systems the concept of in some cases, strong but abusive institutions.5”
vertical power-sharing offers space for self-deter- Finally, these conclusions were reconfirmed at
mination at the level of subnational units, which the 2012 UN Conference on Sustainable Devel-
in turn can strengthen their loyalty and integra- opment (Rio+20) and taken up by the UN Open
tion into the state. Working Group on Sustainable Development
Goals 2030.
Public consultation in Cuba © SDC Cooperation Office Cuba
8
Relevant in all contexts but with Global governance reform
differentiated priorities trends require further push
DDLG is at the core of inclusive and sustainable de- Progress in democratisation: After impressive ac-
velopment and of peacebuilding and state-building. celeration in the 90s and aspirations for democratic
But contextual parameters differ considerably. This freedoms during the Arab Spring, trends in recent
certainly requires nuanced analysis and a solid un- years imply a standstill or backsliding. In 2015, the
derstanding of the political context, which is the key Freedom House Index for the ninth consecutive year
reference and starting point for all activities. It is es- recorded “more declines in democracy worldwide
sential to understand the administrative structures than gains.”7 According to the Democracy Index for
at different government levels, the political institu- the year 2014 half of the world’s countries can be
tions in place and how these relate to each other. considered to be democracies of some sort, but the
It is necessary to know who the key political actors score of “full democracies” is reported to be low at
are and how they interact, how power is negotiated only 15%, whereas 31% are rated as “flawed de-
and legitimacy is conferred. Visible power structures mocracies”, (gap between formal and substantive
and formally recognised actors are not necessarily democracy), 31% are authoritarian and 23% are
the most influential and hence the most important considered to be “hybrid regimes”.8
to change. We also have to look for hidden forces
(e.g. informal institutions) and invisible powers (e.g. A positive development is that people worldwide
socialised norms) shaping different actors’ behav- are increasingly demanding the fulfilment of their
iour. 6 This implies a solid context analysis from dif- democratic rights, despite all difficulties, contradic-
ferent perspectives, and in particular a citizen-cen- tions and setbacks. “People want to have a say, hold
tred comprehension. their governments accountable and monitor in real
time the progress made in their countries.”9 Citizen
The SDC recognises that working in DDLG is inher- protests demanding accountability from those in
ently political because it influences the power dy- power and adherence to the rule of law were on the
namics and structures within a society. It is aware increase globally from 2006-2013.10 And year-long
that it needs to reflect carefully on its own role in research concluded that participation of citizens can
given systems, its space and legitimacy to address lead to important change: “Citizens, when organ-
power imbalances and gender inequalities, or to ised and empowered, can make a difference in the
contribute to changing governance patterns, as well achievement of development goals, they can make
as the possible negative side effects it can create. states more democratic and responsive, and they are
The SDC acknowledges that its own principles and invaluable in making human rights a reality.”11
values are not undisputed and that different coun-
tries take different political and institutional paths. Progress in decentralisation: Over the last two
Political transformation is subject to long-term en- decades the significance of subnational govern-
dogenous processes taking place within societies ments has been growing. Most countries have de-
and driven by political negotiations and struggles veloped a core set of municipal functions and the
among a multitude of actors. share of spending is increasing. Citizens are more
and more involved in decision-making processes.
Hence, the SDC does not attempt to promote a But serious limitations remain: the often under-
“Swiss” or any other “ultimate model” of demo- staffed, underpaid, and poorly qualified local ad-
cratic governance, but tries to build upon existing ministrations, the tendency of central governments
dynamics, improve available structures and facilitate to impose spending responsibilities on local govern-
inclusive and non-violent debate and decision-mak- ments without adequately addressing their income
ing. Particularly in situations of violent conflict and constraints and the often unclear and ambiguous
humanitarian crisis the SDC should pay attention to assignment of functions at different government
strengthening domestic capacities and institutions levels.12 Hence, challenges are still huge and decen-
instead of creating parallel systems. It is important tralisation has not always led to commensurate im-
to address the root causes of conflict, i.e. dysfunc- provements in service delivery.
tional state institutions, power abuse and exclusion,
and to build trust between state and society – and
within society.
9
Women use the desk for decentralized municipal services in Bushat, Albania, © SDC
10Progress in governance: A cross-country compar- zen participation” was the second highest among
ison between 1996 and 2008 concludes that about the nine SDC priority themes, slightly behind agri-
one third of countries have experienced substantial culture and food security.16 DDLG is a sector of its
positive changes in at least one dimension of gov- own and it is an integral part of many other sector
ernance, even over relatively short periods of time.13 strategies. The SDC has been working in this field
However, improvements in governance in some and accumulating proven experience for decades.
countries are often offset by declines in others and
global indices point at several enduring challenges: The SDC’s mandate: The promotion of democracy
still low levels of government effectiveness (at 18% and human rights is listed as an important objective
in LICs, 33% in MICs), low levels of voice and ac- in the Federal Constitution17 and is a major priority
countability (at 23% in LICs, 40% in MICs), still lim- of Swiss foreign policy. One of the strategic goals in
ited budget information and independent oversight, the Federal Council’s dispatch on International Co-
and a considerable number of people (53%) who operation 2013-2016 reads “support to states un-
believe that corruption has increased.14 dergoing a transition to democratic market based
systems”, and among the listed nine priority themes,
The question of positive correlation between one is “State reform, local administration and citi-
DDLG reforms and development outcomes: In zen participation”.18 The new dispatch (2017-2020)
general, research about positive impact of DDLG under preparation defines governance as a themat-
reforms on development outcomes is still in its in- ic priority and transversal theme and confirms the
cipient phase and the evidence base to date is lim- SDC’s current positioning on DDLG.
ited and inconclusive. Findings support evidence
of positive as well as non-positive effects. It large- Swiss history and authentic experience: Switzer-
ly depends on the given political, institutional and land’s approach to DDLG is deeply rooted in its own
socio-economic context and the design and imple- history, political system and practice. Federalism, the
mentation modalities of support programmes.15 rule of law and direct democracy are perceived as
important factors contributing to economic success
and peaceful management of cultural, religious and
Switzerland is well positioned linguistic diversity. Switzerland has long experience
in negotiating functional assignments between mul-
DDLG as important priority: DDLG topics are re- tiple administrative tiers, and the principles of sub-
flected in many country cooperation strategies and sidiarity and municipal authority are recognised in
programmes. More than 30% of SDC’s overall bilat- the constitution.19 Democracy is not an abstract ide-
eral budget is spent on governance-related activities ology but based on Switzerland’s actual experience
of which DDLG represents an important priority. and belief in democratic values. The concepts of a
In 2014, spending on bilateral cooperation on the pluralistic society and the protection of minorities
theme “state reform, local administration and citi- are fundamental beliefs and proven practice.
Traditional Swiss local citizen assembly © Lionel Scheepmans
11Annual Democracy Forum 2015 discussing the Agenda 2030 on Sustainable Development © SDC
123 Global Development Agenda
Sustainable Development Goals 2030: The High The New Deal for Engagement in Fragile
Level Panel on the Post-2015 Development Agenda States: A new approach on the nexus of peace, hu-
agreed that good governance and effective institu- man rights and development was reached when the
tions are central for sustainable growth and poverty OECD/DAC Ministers in 2007 endorsed the 10 Frag-
reduction. More effective and inclusive institutions ile States Principles; and again with the endorsement
build public trust through transparency and integ- of the “New Deal for Engagement in Fragile States”
rity, and allow citizens’ voices to be heard. While (New Deal) at the OECD High Level Forum on Aid Ef-
the Millennium Development Goals (MDGs) did not fectiveness in Busan in 2011.23 The New Deal is a key
include clear targets for good governance, the rule agreement between fragile and conflict-affected
of law and inclusion, these have been put on the states, international development partners and civil
agenda of the 2030 negotiations. At the same time society to improve current development policy and
the international debate on “Fragile States” has practice in fragile states and situations of conflict. It
highlighted a need to more explicitly address the re- is guided by five Peacebuilding and Statebuild-
duction of violence, conflict and fragility. “Making ing Goals (PSGs): 1) Legitimate and inclusive poli-
progress in reducing poverty and supporting human tics, 2) Security, 3) Justice, 4) Economic foundations,
development will require targets for substantial de- 5) Revenue and services. DDLG essentially contrib-
creases in violence, improvements in access to jus- utes to the achievement of the PSGs, particularly to
tice and fundamentally stronger institutions.20” the goals 1–3 and more indirectly to goals 4 and 5.
Extensive consultations with a large number of civil With these commitments, support to countries in
society organisations and negotiations among UN their efforts to overcome fragility and violent con-
member states led to the drafting of seventeen Sus- flict has become a policy priority of international co-
tainable Development Goals (SDGs). Good Govern- operation.24 Switzerland currently holds the chair of
ance, Peace and State building are reflected in goal the International Network on Conflict and Fragility
16: “To promote peaceful and inclusive societies for (INCAF) and is very engaged in promoting the imple-
sustainable development, provide access to justice mentation of these commitments. The PSGs are an
for all and build effective, accountable and inclusive important building block for the new 2030 Agenda.
institutions at all levels.”21 DDLG essentially helps im- The 2030 goals will also be crucial for the realisation
plement this goal and related targets, namely to de- of the PSGs, particularly goal 16 on peaceful and
velop effective, accountable and transparent institu- inclusive societies, but also the goals on basic social
tions at all levels and to ensure responsive, inclusive, services (health, education, water and sanitation),
participatory and representative decision-making at on food security, economic growth, employment
all levels, to substantially reduce corruption, to pro- and decent work, and on reducing inequality and
mote the rule of law and to ensure equal access to achieving gender equality.
justice for all. But also for goal 17, “to strengthen
means of implementation”, DDLG is important in International collaborative platforms: A variety
view of improving domestic resource mobilisation at of international platforms, networks or country-led
subnational levels (Target 17.1: capacity for tax and initiatives are working to improve governance sys-
other revenue collection). tems. They are either driven by development part-
ners (e.g. OECD DAC GovNet or the Development
The Aid Effectiveness Agenda: During the 4th Partners Working Group on Decentralization and
High Level Forum on Aid Effectiveness in Busan Local Governance), or representing local govern-
(2011), the “Busan Partnership for Effective Devel- ment associations, (e.g. the United Cities and Local
opment Cooperation” highlighted the importance Governments Network), or they are joint govern-
of promoting human rights, democracy and good ment-civil society initiatives, e.g. the Open Gov-
governance as an integral part of all development ernance Partnership. (For a selective overview see
efforts.22 And it recognised the critical role of local Annex 2).
governments, parliaments and civil society organi-
sations for improving service delivery and enhanc-
ing participation, to oversee development processes
and to anchor the countries’ development agendas
in broad-based democratic ownership.
13Roma students asking for anti-discrimination legislation in Skopje, Macedonia © SDC/Harald Schenker
144 Strategic principles
Political engagement: DDLG interventions are Principled but adapted approach: The SDC per-
highly political because they aim at changing po- ceives good governance and democratic values as
litical systems, institutions and processes, and they essential enablers for sustainable development.
address the sensitive issue of deep-rooted power However, the realities of a country’s economy, policy
structures and relations. Political systems are based and society, and the level of fragility and conflict re-
on laws and formal institutions but also on hidden quire cautious, adjusted and sequenced approach-
powers exercised by informal leaders or shaped es. The SDC believes in “best-fit solutions” rather
by customs, social and cultural norms. The SDC is than “standard models” and aims to build upon ex-
committed to consciously engaging in such complex isting structures and dynamics.
and sensitive systemic change processes, while tak-
ing into consideration the associated risks. This too Engagement with a long-term perspective:
applies to situations of conflict and violence where Working on political systems and transformation is
it is particularly important to find political solutions never a linear process, but mostly cyclical and some-
addressing the underlying root causes of exclusion, times contradictory. It does not allow for quick-fix
inequality and power abuse. solutions, but requires long-term and sustained en-
gagement. Building relationships of trust is essential
Starting from context: A sound context analysis and takes time.
must be the starting point of any intervention to un-
derstand the complexity of political systems and ac- Particular consideration for gender equality:
tors, the prevailing mechanisms of power and exclu- Given the different stereotypes about women and
sion, interests and belief systems as well as capacity men and their roles in the public sphere, DDLG is ex-
gaps. Each context is different, shaped by the specif- tremely gender-oriented. Access to public resources
ic historical and political background and subject to and services is most often governed by men, and
different stages of “maturity” in DDLG. Negotiation responding to needs perceived by men. Managing
processes between political stakeholders are not the public affairs is often seen as a men’s issue, and
same everywhere and vary in time. Consequently, women’s participation in decision-making every-
the SDC has invested in the development of a set of where is far from equal to men’s. In many contexts,
analytical tools and continues to refine them: polit- gender roles are perceived as part of “culture” and
ical economy and power analysis as well as gender “tradition” that should be preserved in a rapidly
analysis are a must in every context, conflict analysis changing world. Women’s equal access to services
and fragility assessments are compulsory particular- and resources, decision-making and legal protection
ly in situations of fragility and conflict, and local gov- are part of the principle of non-discrimination that
ernance assessments are strongly recommended to should govern the behaviour of state institutions at
capture relevant information at subnational levels.25 central and local level. Women’s full and effective
participation and equal opportunities for leadership
Applying a systemic perspective and linking at all levels is also one of the key demands of the
operations with policy reforms: Working in gender goal in the 2030 Agenda and a clear priority
DDLG implies a systemic approach, which means for the SDC.
addressing multiple government levels, state institu-
tions and non-state actors, and combining assistance Results orientation: The SDC aims to achieve both
for regulatory reforms, capacity development and tangible results for the benefit of the people and in-
behavioural change. Hence, the SDC tries to iden- stitutional systemic change. It is aware that change
tify multiple entry points for working on the system processes in DDLG are complex; they are influenced
which are complementary and mutually reinforcing. by many factors and the way they impact on each
In view of reaching scale and maximising impact and other is not always straightforward and easy to cap-
sustainability, the SDC connects operational “grass- ture. Instead of measuring and aggregating only iso-
roots” experience with policy advocacy and policy lated quantifiable targets it is important to capture
dialogue. It promotes measures to capitalise on and a comprehensive picture of occurred change (fields
share good practice, actively participates in donor of observation) and to include as well quality dimen-
coordination and policy dialogue and supports do- sions and behavioural change processes. Multiple
mestic advocacy initiatives and platforms. perspectives of involved stakeholders will be used
in the monitoring and analysis of results to better
understand how change happens and what matters
for people.
15Ambitions should be realistic, and at the same time with other concerned Federal Departments (name-
it is important to achieve some quick results, par- ly with the State Secretariat for Economic Affairs).
ticularly in post-conflict settings, where the win- It engages with an array of competence centres in
dow of opportunity for establishing people’s trust Switzerland and globally. This involves universities,
in new political systems is short. To identify some specialised institutes, representatives of Swiss polit-
“low-hanging fruit in governance” can be crucial.26 ical institutions and SDC implementing partners, as
While reporting on results, one should pay attention well as collaborative platforms of the international
to qualify achievements against a reference value for development community. The corresponding SDC
appraising the significance of achievements. thematic network DDLGN has a specific mandate to
contribute to the thematic quality of SDC operations
Collaborative approach: To make best use of and to enhance thematic knowledge and joint learn-
synergies and promote coherence, the SDC strives ing. Currently the network comprises approximately
for coordination and collaboration within the Fed- 230 members worldwide, including SDC staff, im-
eral Department of Foreign Affairs (namely with the plementing partners and associated experts.
Division of Human Security), within the SDC and
Working Group at DDLGN Face-to-Face Meeting in Mozambique, June 2015 © SDC Network of Democratisation, Decentralisation
and Local Governance (DDLGN)/Benoît Meyer-Bisch
165 Thematic priorities
The SDC has developed considerable experience ii) well-functioning accountability systems and pro-
in DDLG over the years. Typical entry point is the cesses are providing for the necessary counterbal-
subnational level where it assists state institutions in ance, oversight and sanctioning of abusive practice;
their democratic transformation and helps to render iii) governments and parliaments introduce required
them capable, better resourced and more effective legal reforms and support strategies; and iv) well-in-
in fulfilling public duties. This goes together with formed and empowered citizens voice their con-
long experience in civil society empowerment and a cerns and claim for public space for participation,
strong commitment to promoting citizen initiatives. engage around issues that matter to them and hold
The constructive interaction between the state and their governments and political representatives ac-
citizens is very important and the SDC places par- countable. This presumes that all people, including
ticular emphasis on promoting gender equality and powerless and disadvantaged groups, are aware of
the inclusion and empowerment of disadvantaged their rights, relate to their society and feel confident
groups, including internally displaced persons and and responsible enough to engage.
refugees. During the past years the SDC made sub-
stantial efforts to better connect field experience The change hypothesis describes an ideal scenar-
at subnational levels to the central policy level, and io and as such it applies in different ways to dif-
contributed to the design of evidence-based state ferent contexts. For example in authoritarian or
reforms. post-authoritarian systems the objectives typ-
ically consist in strengthening effectiveness and
Currently it is shifting to a more systemic approach minimum transparency of the still centralised multi-
and is opening up its perspective to include a wider level government structures in providing responsive
range of political actors and state institutions. This and inclusive public services and at best, in creating
includes for example parliaments, justice and the or maintaining certain space for citizen engagement
role of political parties which are essential drivers and public consultation. In situations affected by
or restrainers of reforms. Hierarchical party struc- violent conflict, expectations should be modest.
tures and confrontational inter-party relations are a Typically it is realistic at first to expect improvements
direct cause of dysfunctionalgovernance. Also the in trust-building between conflicting parties, inter-
dimension of informal leaders and power structures personal relations, and accessibility of basic services
is gaining importance. Particularly in fragile and con- (e.g. protection of vulnerable groups, reduction of
flict settings, informal or extra-legal institutions (e.g. vulnerabilities), and to maintain institutional con-
traditional or religious groups) may play strong roles tinuity instead of institutional improvements. In
in either competing with or rebuilding trust in polit- post-conflict settings, building effective state in-
ical state institutions. stitutions and people’s confidence in them, ensuring
the rule of law, equal access to justice and reducing
violence is particularly important and certainly ad-
Overall goal and expected dresses the key dimension of the fragility agenda.
results In more advanced systems of decentralisation
and democratic governance the aim might be to
The overall goal in DDLG is to strengthen legal further refine and consolidate multi-level govern-
frameworks, state institutions, political actors and ment arrangements, make better use of existing
processes that promote peaceful and inclusive de- space for public debate and participation, or en-
velopment for all people. Substantial contributions hance the effectiveness of accountability systems.
to this overall goal are most likely if (change hy- But in all contexts the inclusion of vulnerable and
pothesis): i) subnational governments operating in disadvantaged groups and improvements in gender
decentralised political-administrative settings, with equality remain a challenge which requires targeted
adequate capacities and resources, perform their measures.
public duties more effectively and are ready to apply
more participatory, inclusive and accountable gov-
ernance practices (change of behaviour);
17Democratisation Again, this requires adapted approaches and a com-
bination of reforms with home-grown ways of pub-
Definition: Democracy comes in multiple forms, lic consultation, debate or reconciliation and, as far
and there is no single universally applicable mod- as possible, working with all relevant actors, includ-
el and no end-point in improving democracy. The ing those who might oppose. And it certainly needs
SDC’s approach to democratisation is guided by a a combination with efforts offering quick gains for
set of values, not by standard settings and proce- better livelihoods. Transparency and accountability
dures. In democratic systems the legitimacy of polit- in the approach, the focus on results and the bias on
ical institutions is based on people’s consent, either partnership and participation enhance the chances
by direct vote or through representation. Democratic of ownership and sustainability. In contexts of con-
systems are believed to be less prone to concentrate flict and violence it is important to understand how
power among elites, since decisions require compro- citizens deal with this situation, how they expe-
mise and inclusion, and elections offer the possibili- rience their citizenship in such contexts, and how
ty of change. This is usually backed by constitutional they confer legitimacy to – or withhold it from – the
guarantees for equal rights to vote, the liberty of various forms of leadership and authority in their en-
opinion and free media, equality before the law, the vironment, and what this all means from a gender
separation and control of powers and the principle perspective.27
of the rule of law, which binds state authority to a
constitutional framework and legal norms. SDC priorities in this area: Following a system-
ic approach, the SDC recognises that successful
Some of the challenges: In many SDC partner democratisation implies comprehensive support
countries, democracies are only emerging and still to different pillars of democracy (e.g. parliaments,
in the making. Frequently they are under immense media, judiciary) and new ways of engaging with a
pressure to quickly meet new expectations and de- wider range of relevant actors, including for exam-
liver a better standard of living. Otherwise the risk is ple social and political movements, political parties,
high that people may lose interest or become sus- informal and extra-legal leaders, the private sec-
ceptible to populism. “Democracy scepticism” is one tor and trade unions. The SDC is ready to explore
of the actual headwords. New forms of “modern “new terrain”, while being aware that this can be
authoritarianism” are another challenge to democ- challenging and politically sensitive. It is important
ratisation, when those in power keep up a façade of to renew efforts which contribute to more inclu-
democracy while in reality weakening competition, sive political processes and power structures. This
closing space for participation and undermining the is particularly important in contexts of fragility and
rule of law. In traditional societies and their predomi- conflicts. The political empowerment of women and
nantly loyalty-based clan structures, democracy is of- vulnerable groups is imperative.
ten questioned as an imposed western system which
is opposed to existing cultural norms and values.
Switzerland is supporting the Serbian National Assembly in its oversight function and in its efforts to ensure transparency. © UNDP/Rea Mucovic
18Democratic accountability and oversight: Ac- in defending the interests of their constituency. In countability describes the relation between state in- East and Southern Africa the support to civil socie- stitutions and people affected by their decisions and ty oversight is linked to media initiatives and to as- actions. It is about the obligation of state institutions sisting parliamentary commissions control function. with assigned public duties to inform the public, to Targeted anti-corruption programs for example in explain and justify their decisions and actions to the Kosovo, Bangladesh, Bhutan and Tanzania try to ad- citizens (information, answerability). And it is about dress corruption from different angles. The SDC will the right and responsibility of the citizens to access continue in this direction and expand knowledge information, get explanations, to check, and to pass and experience (e.g. on available expertise in com- judgement on the conduct of those with public re- bating corruption). sponsibilities. For this a solid system of checks and balances needs to be in place, providing space for Transparent and inclusive elections: The SDC citizen participation and consultation, an independ- promotes inclusive and transparent elections and is ent, pluralistic media, effective parliaments and in- substantially engaged in election assistance, at na- dependent oversight bodies. And it needs mecha- tional and subnational levels. It believes that elec- nisms for sanctioning misbehaviour (enforceability), tions are important because they offer the possibil- e.g. with an independent, impartial and accessible ity to hold political representatives accountable and justice system. The SDC promotes a systemic per- provide a mechanism for redistributing access to spective to accountability which includes vertical power. Poorly designed electoral systems however dimensions of accountability (state institutions can also sustain the rule of a single party and lead to being accountable to citizens, private sector) as well artificial democracies. The SDC is aware of the risk as horizontal dimensions (inter-state checks and that elections may stir up violent conflicts and can balances). It applies to national as well as subnation- be more divisive than unifying if partisan electoral al levels, which need to be connected. It is impor- campaigns are shaped along ethnic, regional or po- tant to work with multiple actors and institutions litical lines. Consequently, election assistance must (balanced support) and to facilitate linkage building start with careful political risk analysis and strength- among them, for greater leverage of their claims. en domestic capacities in preventing and mitigating Complementary to these efforts, targeted measures electoral violence. This is particularly important in to prevent and combat corruption are necessary.28 post-conflict scenarios. The SDC has gained long experience with vertical Other internationally agreed principles to which accountability relations (social accountability) but the SDC adheres are: i) to view elections not as is increasingly applying a more systemic approach. “one-shot events” but engage with a long-term For example in Macedonia the SDC is supporting perspective along the whole electoral cycle; ii) to the oversight function of local parliaments and in- understand elections as important but not the only stitutional capacities of the national parliament, in means for democratic transformation. Electoral as- combination with establishing forums for public sistance needs complementary activities and to be deliberations and strengthening the effectiveness, connected with other good governance or democ- outreach and credibility of civil society organisations ratisation programmes; iii) to strengthen domestic Woman as election official, man voting in Kabul, Afghanistan © SDC/Susanne Schmeidl 19
ownership and capacities; iv) to diversify collab- For example in Bolivia, the SDC has been contribut-
oration modalities in order to minimize risks.29 In ing since 1996 to the implementation of the “law
keeping with these principles, SDC support typically on popular participation,” by informing people
includes: assistance to domestic election bodies for (particularly women, minorities, youth) about their
preparing and holding elections, help to domestic entitlements and responsibilities and by strength-
civil society organisations for independent election ening their organisational capacities and inclusive
observation and monitoring, support to media for participation in public decision-making. With small
impartial information and hate-free reporting, or di- competitive grants it supports initiatives for an ac-
verse initiatives for civic education, public debates, tive citizenry, for example a powerful campaign for
and the promotion of women’s participation in elec- combating violence against women. In the Western
tions. Balkans, the SDC has been supporting civil society
organisations since the 90s in defending the inter-
For example in Myanmar the SDC supported the ests of their members, from the local level up to the
electoral commission in organising the elections and national level. The SDC learned that it has to invest
civil society organisations in civic education, preven- more in strengthening the sincere ownership (legiti-
tion of electoral violence and election observation. macy) of these organisations and the connectivity to
As a complement to that, the HSD facilitated a pro- their members. In future the SDC wants to identify
cess between political parties to sign a joint code innovative ways of better reaching out to genuine
of conduct for the election period. Myanmar is a and inclusive forms of civic engagement.
good example of a collaborative Swiss approach to
assisting a country in a decisive moment of political An independent, pluralistic media: The media
transformation. In the future the SDC will continue play an important intermediary role in the develop-
this engagement and further exchange gained ex- ment of a democratic society. They are a vector of
perience. It will develop its knowledge of how to information and an agent in their own right. The
improve electoral systems that allow for more bal- SDC supports the media in fulfilling the following
anced and inclusive representation. core functions: disseminating information on rele-
vant topics that enables people to form opinions,
Effective citizen participation: The SDC supports giving a voice to different parts of society, providing
citizens to claim and use spaces for participation a forum for exchange of diverse views, fulfilling a
and to take ownership of and co-responsibility for watchdog function by observing political processes,
public matters. The aim is that better informed and and providing channels to political actors to commu-
organised citizens voice their interests, hold govern- nicate and interact with the people.30
ments accountable, influence policy agendas and
decision-making for their good. The SDC recognises In Tunisia for example, since 2011 the SDC has been
that this usually requires time and many intermedi- supporting the work of radio Gafsa, one of five re-
ary steps, as well as targeted measures to empower gional branches of the national “Radio Tunisienne”.
women and marginalised groups. Blueprint partic- The aim is to improve access to good-quality infor-
ipatory designs with standard project implementa- mation for the inhabitants of the neglected Gafsa
tion modalities are usually less successful and leave region, where the uprising against former president
the door open to elite capture. Ben Ali had its origins. The SDC helps with train-
ing for regional journalists and design of new pro-
grammes which provide more independent and
relevant information. Another example is Tanzania
where the SDC is connecting media assistance to
Campaign to stop violence against women in Bolivia © SDC Cooperation Office Bolivia
social accountability initiatives and helped establish-
ing a strong media umbrella organisation for policy
advocacy and capacity building of its members. In
the near future the SDC will prepare an overview
and analysis of its experience in media assistance in
order to facilitate cross-learning and cross-fertilisa-
tion. The potential of electronic communication and
social media is yet to be explored.
Representative and effective parliaments: In
parliamentary assistance the SDC aims to improve
the performance of parliamentarians in assuming
their core functions, i.e. lawmaking, representa-
tion and oversight, and to strengthen the institu-
tions of Parliament, for example the Secretariat, or
Presidency, or parliamentary services. To this end it
offers support in the following areas: improving the
knowledge base of parliamentarians on key aspects
20of the domestic development agenda (training, about legal rights and the provision of legal aid.
coaching, documentation), assisting them in policy
analysis, in drafting legislation and launching inves- For example in Tajikistan, the SDC supports a com-
tigations, enhancing outreach and communication prehensive access to justice programme to increase
with their constituency, and facilitating constructive legal awareness and improve legal aid services for
dialogue and collaboration between different polit- people, including marginalised groups and women,
ical parties. to improve legal information by the government,
and to promote policy reforms. In Pakistan the SDC
In Serbia, for example, the SDC supports the nation- is engaged in improving the dysfunctional justice
al parliamentarians to better assume their financial system in the Malakand division in the Provincially
oversight responsibility and to engage in dialogue Administered Tribal Areas, which was one of the
with their constituencies at subnational levels. In root causes of violent conflict between militants and
Mongolia the SDC assists a national capacity-build- the Pakistani security forces. It helps improve skills
ing programme for newly elected local councillors, and performance of courts and access to justice
and in Southern Africa the SDC will help strengthen particularly for vulnerable groups (mobile courts). At
the accountability of parliamentary committees in the same time it promotes informal mechanisms for
selected public sectors. In Macedonia and Cambo- alternative dispute resolution. In this area the SDC
dia the SDC supports the establishment of parlia- intends to sharpen its strategic orientation and pos-
mentary institutes which will provide the necessary sibly expand its engagement.
support base for parliamentarians. Parliament assis-
tance is still a relatively new but growing work area Independent oversight bodies: In many coun-
for the SDC, and in the coming years it will continue tries these institutions play an important role for
to expand its knowledge and experience. Confron- professional and independent public oversight. They
tational and obstructive party politics is one of the can provide for complaints and redress mechanisms
key challenges and risks to think about. for people who are affected by officials’ wrongdo-
ings, and they can play an important role in advising
Independent, impartial and accessible justice: on and initiating legal or policy reform processes.
A functioning judicial system is important to sanc- They can be instrumental in enhancing participation
tion abusive practices of state authorities, to protect as well as trust by the people in state institutions.
peoples’ rights and combat gender-based violence.
At the core of the SDC’s commitment are people’s The SDC is supporting different types of institutions,
legal empowerment and the improvement of legal for example independent national human rights
services (e.g. judicial procedures), accessible to all. commissions (Afghanistan, Bangladesh) or anti-cor-
Typically SDC programmes support capacity-build- ruption commissions (Bhutan) and ombudsperson
ing of judges, notaries and lawyers, but they can (Bolivia, Burundi). This shall be continued and con-
also include work with informal justice providers, for nected more strategically to other types of oversight
example traditional authorities. And crucially, the institutions and accountability relations.
SDC supports initiatives raising people’s awareness
Decentralisation
Definition: The SDC’s approach is guided by international standards and good practice.31 It distinguishes
three dimensions of decentralisation with different characteristics and policy implications:32
Political Transfer of political power and decision‐making authority to subnational
Decentralisation levels, such as for example elected village councils, district or provincial
councils (Allowing for democratic structures at subnational levels).
Fiscal Intergovernmental fiscal transfers to subnational governments which allow
Decentralisation them to function properly. The fiscal decentralisation policy also addresses
such issues as revenue assignments (assignment of local taxes and revenue‐
sharing), subnational government borrowing and debt, and the assignment
of expenditure responsibilities.
Administrative Transfer of decision-making authority, resources and responsibilities for the
Decentralisation delivery of selected public services from the central government to other
lower levels of government. The strongest form is devolution, with local
governments having full responsibility for financial and human resources
and for carrying out tasks. Deconcentration is the transfer of authority and
responsibility from one level of central government to another, with the local
unit accountable to the central government ministry or agency. Delegation
is the redistribution of decision competencies and operational responsibility
to authorities which maintain a certain degree of independence from the
central government and yet have to report to it.
21Assignment of responsibilities, finances and deci- In contexts of conflict or post-conflict, decentralisa-
sion-making power can follow different types of tion can provide a mechanism of power sharing that
logic, for example the subsidiarity principle (alloca- may help to ease tensions. Sensitive decisions that
tion to the lowest possible government level, closest are important for regional or local identity can be
to the people), or the principle of economies of scale left to the lower levels of government so that they
(to government levels which can perform assigned will not divide at the centre. When communities can
duties in the most effective and cost-efficient way), take important decisions on their own, without ma-
among others. jor interference by the centre, this can strengthen
their loyalty and integration into the state that pro-
An alternative concept of decentralised government vides this degree of self-rule. But the SDC is aware
which is sometimes put on the reform agenda is that this can also produce negative connotations of
federalism. It describes a system of government in state dissolution – justified or not. Decentralisation
which powers are divided between a central gov- is a competitive process, which in certain contexts
erning authority and constituent political units with might lead to further conflict as stakeholders en-
substantial autonomy (at least two tiers of govern- deavour to access a share of public resources. Me-
ment). The central governing authority has certain diation and appropriate institutional arrangements
exclusive federal powers, the constituent political can mitigate such risks, alongside efforts to clearly
units have certain rights, and they both share cer- define responsibilities and act transparently.
tain concurrent powers. In federations the right to
self-government of the political units is constitu- SDC priorities in this area: The SDC promotes a
tionally entrenched. They often possess their own comprehensive and coherent approach to de-
constitutions which they may amend as they see centralisation reforms where assigned functions at
fit. Movements associated with the establishment subnational levels ideally are in congruence with
or development of federations can exhibit either allocation of finances, human resources and deci-
centralising trends (formation of a stronger central sion-making power. This requires a clear vision of
government, as was the case in Switzerland), or multilevel governance systems with shared
decentralising trends (transfer of power from cen- functions between different tiers according to dif-
tral authorities to local units, as for example in SDC ferent subfunctions. Horizontal cooperation among
partner countries). There are many different federal subnational units is also important, for example in
experiences and various design options may apply. managing natural resources or infrastructure de-
Most important is the identification of solutions velopment. The SDC supports partner countries in
adapted to the specific context. Often critical is the making informed choices for different dimensions
delimitation of federal units, for example when the and forms of decentralisation. It aims to strength-
autonomy of ethnic minorities is at stake. en domestic capacities for designing, implement-
ing and adjusting reforms and uses “bottom-up
Some of the challenges: In many SDC partner lessons” from its numerous local governance pro-
countries decentralisation is a mix of devolution and grammes to inform reform processes. Particularly in
autonomy at some levels plus de-concentration or the area of fiscal decentralisation it has expanded its
even strong centralisation at others. And sometimes, knowledge and engagement, and it will continue to
for example in Bolivia, a legally acknowledged and do so, because it is critical to strengthening subna-
defined parallel system exists for indigenous auton- tional governance.
omy with different rights. This is an indication of the
complexity of reform challenges and the inconsisten- Domestic capacities and initiative for design-
cy of decentralisation processes. The development of ing and implementing decentralisation re-
functional spaces or economic areas at subnational forms: The SDC provides access to information and
levels (also termed as regional development) can pro- technical advice, training and coaching to central
vide an entry point to promote better articulation be- government representatives to design, steer and su-
tween co-existing forms of government. pervise policies, regulations and minimal implemen-
tation standards. It further contributes to strength-
Other challenges are the dichotomy between nation- ening national training systems with the aim of
al macro-economic stability and fiscal decentralisa- enhancing implementation capacities of subnational
tion, and to build linkages between decentralisation governments.
and other sector policies. Interference of politics is
in many cases one of the main obstacles undermin- In Mongolia and Bangladesh for example, the SDC
ing de facto power-sharing. Ruling elites fear losing supports the design of decentralisation reforms with
control and privileges; ruling parties often perceive analytical studies and by testing and adjusting new
subnational governments as being subjected to their modalities on the ground. In Bangladesh it also es-
party control and prefer to have them dependent on sentially contributed to the development of a na-
them. Sound analysis, sequenced approaches with tional training system for subnational governments,
a longer-term vision, flexibility to identify emerging based on a bottom-up horizontal peer learning ap-
opportunities and to be well versed with power dy- proach which is complementary to the top-down
namics increases the prospects of success. courses of the national institute for local govern-
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