Bachelor of Science

(Honours) in
Development Studies

Governance And Community

Leadership

Module BSDS 304

Authors: Maxwell Constantine Chando Musingafi
Master of Philosophy Development & Management (NWU)
Master of Business Administration (ZOU)
Bachelor of Science (Honours) Politics & Administration
(UZ)
Bachelor of Business Administration (IMM)
Higher Diploma in Human Resource Management (IPMZ)
Diploma in Personnel Management (IPMZ)
Diploma in Marketing Management (IMM)

Emmanuel Dumbu
Master of Business Administration (ZOU)
Bachelor of Administration (Economics) (UNISA)
Certificate in Education (UZ)

Patrick Chadamoyo
Master of Educational Psychology (UZ)
Bachelor of Educational Psychology (UZ)
Certificate in Education (UZ)

Content Reviewer: Didmus Dewa

Master of Science in Development Studies
Bachelor of Arts Honours in History and Development

Eitor: Solomon Tafireyi Magumise

Master of Business Administration (ZOU)
Bachelor of Arts (London)
Graduate Certificate in Education (UZ)
Diploma in Personal Management (IPMZ)
Diploma in Training Management (IPMZ)
Diploma in Public Relations (LCCI)
Certificate in Public Relations Techniques (UK)
Certificate in Middle Management Development (ZIPAM)
Published by: The Zimbabwe Open University

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The Zimbabwe Open University is a distance teaching and open

learning institution.

Year: 2012

Cover Design: T. Ndhlovu

Layout and Design: D. Satumba Nyandowe

ISBN No: 978-1-77938-644-1

Typeset in Garamond, 12 point on auto leading

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 To the student
The demand for skills and knowledge administrators of varied backgrounds,
and the requirement to adjust and training, skills, experiences and personal
change with changing technology, interests. The combination of all these
places on us a need to learn continually qualities inevitably facilitates the
throughout life. As all people need an production of learning materials that
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demand for education of this magnitude. learning materials should enable you to
It has, however, been discovered that solve both work-related problems and
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now also exploiting e-learning
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commerce, has become the most narrowness, our teams of learning
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Since attainment of independence in are sufficiently comprehensive to cater
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spearheaded the development of in different walks of life. You, the
distance education and open learning at learner, have a large number of optional
tertiary level, resulting in the courses to choose from so that the
establishment of the Zimbabwe Open knowledge and skills developed suit the
University (ZOU) on 1 March, 1999. career path that you choose. Thus, we
strive to tailor-make the learning
ZOU is the first, leading, and currently materials so that they can suit your
the only university in Zimbabwe entirely personal and professional needs. In
dedicated to teaching by distance developing the ZOU learning materials,
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determined to maintain our leading you, the learner, with all the knowledge
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whom are you, the students and your employers. learning path, hopefully like John the Baptist
We consult you and listen to your critical prepared for the coming of Jesus Christ, it is
analysis of the concepts and how they are my hope as your Vice Chancellor that all of you,
presented. We also consult other academics will experience unimpeded success in your
from universities the world over and other educational endeavours. We, on our part, shall
international bodies whose reputation in distance continually strive to improve the learning
education and open learning is of a very high materials through evaluation, transformation of
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professional criticism with the hope of the high quality education that you deserve. Note
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determined to continue improving by changing central position within ZOU’s core activities.
the learning materials to suit the idiosyncratic
needs of our learners, their employers, research, Best wishes and success in your studies.
economic circumstances, technological
development, changing times and geographic
location, in order to maintain our leading
position. We aim at giving you an education
that will work for you at any time anywhere and
in varying circumstances and that your
performance should be second to none. _____________________
Dr. Primrose Kurasha
As a progressive university that is forward Vice Chancellor
looking and determined to be a successful part
of the twenty-first century, ZOU has started to
introduce e-learning materials that will enable
you, our students, to access any source of
information, anywhere in the world through
internet and to communicate, converse, discuss
and collaborate synchronously and
asynchronously, with peers and tutors whom
 The Six Hour Tutorial Session At
The Zimbabwe Open University
A s you embark on your studies with the
Zimbabwe Open University (ZOU) by open
and distance learning, we need to advise you so
This is where the six hour tutorial comes in. For
it to work, you need to know that:
· There is insufficient time for the tutor
that you can make the best use of the learning
to lecture you
materials, your time and the tutors who are based
· Any ideas that you discuss in the
at your regional office.
tutorial, originate from your experience
as you work on the materials. All the
The most important point that you need to note is
issues raised above are a good source
that in distance education and open learning, there
of topics (as they pertain to your
are no lectures like those found in conventional
learning) for discussion during the
universities. Instead, you have learning packages
tutorial
that may comprise written modules, tapes, CDs,
· The answers come from you while the
DVDs and other referral materials for extra reading.
tutor’s task is to confirm, spur further
All these including radio, television, telephone, fax
discussion, clarify, explain, give
and email can be used to deliver learning to you.
additional information, guide the
As such, at the ZOU, we do not expect the tutor
discussion and help you put together
to lecture you when you meet him/her. We believe
full answers for each question that you
that that task is accomplished by the learning
bring
package that you receive at registration. What
· You must prepare for the tutorial by
then is the purpose of the six hour tutorial for each
bringing all the questions and answers
course on offer?
that you have found out on the topics
to the discussion
At the ZOU, as at any other distance and open
· For the tutor to help you effectively, give
learning university, you the student are at the centre
him/her the topics beforehand so that
of learning. After you receive the learning package,
in cases where information has to be
you study the tutorial letter and other guiding
gathered, there is sufficient time to do
documents before using the learning materials.
so. If the questions can get to the tutor
During the study, it is obvious that you will come
at least two weeks before the tutorial,
across concepts/ideas that may not be that easy
that will create enough time for
to understand or that are not so clearly explained.
thorough preparation.
You may also come across issues that you do not
agree with, that actually conflict with the practice
In the tutorial, you are expected and required to
that you are familiar with. In your discussion
take part all the time through contributing in
groups, your friends can bring ideas that are totally
every way possible. You can give your views,
different from yours and arguments may begin. You
even if they are wrong, (many students may hold
may also find that an idea is not clearly explained
the same wrong views and the discussion will
and you remain with more questions than answers.
help correct the errors), they still help you learn
You need someone to help you in such matters.
the correct thing as much as the correct ideas.
 The Six Hour Tutorial Session At The Zimbabwe Open University

You also need to be open-minded, frank, inquisitive learning package together with the sources to
and should leave no stone unturned as you analyze which you are referred. Fully-fledged lectures
ideas and seek clarification on any issues. It has can, therefore, be misleading as the tutor may
been found that those who take part in tutorials dwell on matters irrelevant to the ZOU course.
actively, do better in assignments and examinations
because their ideas are streamlined. Taking part Distance education, by its nature, keeps the tutor
properly means that you prepare for the tutorial and student separate. By introducing the six hour
beforehand by putting together relevant questions tutorial, ZOU hopes to help you come in touch
and their possible answers and those areas that with the physical being, who marks your
cause you confusion. assignments, assesses them, guides you on
preparing for writing examinations and
Only in cases where the infor mation being assignments and who runs your general academic
discussed is not found in the learning package can affairs. This helps you to settle down in your
the tutor provide extra learning materials, but this course having been advised on how to go about
should not be the dominant feature of the six hour your learning. Personal human contact is,
tutorial. As stated, it should be rare because the therefore, upheld by the ZOU.
information needed for the course is found in the

The six hour tutorials should be so structured that the

tasks for each session are very clear. Work for each
session, as much as possible, follows the structure given
below.

Session I (Two Hours)

Session I should be held at the beginning of the semester. The
main aim of this session is to guide you, the student, on how
you are going to approach the course. During the session, you
will be given the overview of the course, how to tackle the
assignments, how to organize the logistics of the course and
formation of study groups that you will belong to. It is also during
this session that you will be advised on how to use your learning
materials effectively.
 The Six Hour Tutorial Session At The Zimbabwe Open University

Session II (Two Hours)

This session comes in the middle of the semester to respond
to the challenges, queries, experiences, uncertainties, and
ideas that you are facing as you go through the course. In this
session, difficult areas in the module are explained through the
combined effort of the students and the tutor. It should also give
direction and feedback where you have not done well in the
first assignment as well as reinforce those areas where
performance in the first assignment is good.

Session III (Two Hours)

The final session, Session III, comes towards the end of the
semester. In this session, you polish up any areas that you still
need clarification on. Your tutor gives you feedback on the
assignments so that you can use the experience for preparation
for the end of semester examination.

Note that in all the three sessions, you identify the areas
that your tutor should give help. You also take a very
important part in finding answers to the problems posed.
You are the most important part of the solutions to your
learning challenges.

Conclusion for this course, but also to prepare yourself to

contribute in the best way possible so that you
can maximally benefit from it. We also urge
In conclusion, we should be very clear that six you to avoid forcing the tutor to lecture you.
hours is too little for lectures and it is not
necessary, in view of the provision of fully self- BEST WISHES IN YOUR STUDIES.
contained learning materials in the package, to
turn the little time into lectures. We, therefore, ZOU
urge you not only to attend the six hour tutorials
Contents

Overview _________________________________________________________________________ 1

Unit One: Introduction to Governance

1.0 _______ Introduction ___________________________________________________ 3
1.1 _______ Objectives _____________________________________________________ 4
1.2 _______ Gover nance ____________________________________________________ 4
_________ Activity 1.1 _____________________________________________________ 6
1.3 _______ The Traditional View of Governance _____________________________ 6
1.4 _______ The Contemporary View of Governance __________________________ 9
_________ Activity 1.2 ____________________________________________________ 13
1.5 _______ Social Capital and Community Governance _______________________ 13
_________ Activity 1.3 ____________________________________________________ 14
1.6 _______ Summary _____________________________________________________ 15
_________ References ___________________________________________________ 16

Unit Two: Leadership Theories and the Concept of Community ___

Leadership
2.0 _______ Introduction __________________________________________________ 19
2.1 _______ Objectives ____________________________________________________ 20
2.2 _______ Defining Leadership ___________________________________________ 20
_________ 2.2.1 Definition of a leader _____________________________________ 20
_________ 2.2.2 Leadership ______________________________________________ 21
_________ 2.2.3 Distinction between headship and leadership ________________ 21
_________ 2.2.4 Characteristics of leaders __________________________________ 22
_________ 2.2.5 Types of leaders by paths to leadership _____________________ 23
_________ 2.2.6 Types of leaders by visibility, legitimacy and scope of influence 23
_________ 2.2.7 Types of leaders by orientation ____________________________ 24
_________ 2.2.8 Types of leaders by professionalism ________________________ 24
_________ Activity 2.1 ____________________________________________________ 25
2.3 _______ Leadership Versus Management ________________________________ 25
2.4 _______ Male Versus Female Leadership ________________________________ 27
2.5 _______ Traditional Leadership ________________________________________ 27
2.6 _______ Community Leadership ________________________________________ 28
2.7 _______ Active Citizenship and Community Leadership ____________________ 28
2.8 _______ Community Involvement and Participation ________________________ 29
_________ Activity 2.2 ____________________________________________________ 30
2.9 _______ Leadership Theories __________________________________________ 30
_________ 2.9.1 The Trait Theory _________________________________________ 30
 _________ 2.9.2 The Style and Behavioural Theories ________________________ 30
_________ 2.9.3 Situational and Contingency Theories _______________________ 31
_________ 2.9.4 Transactional Theory _____________________________________ 32
_________ 2.9.5 Transformational Theory __________________________________ 32
2.10 ______ Community Leadership and Power Dynamics _____________________ 33
_________ 2.10.1 Sources of power ________________________________________ 33
_________ Activity 2.3 ____________________________________________________ 34
2.11 ______ Summary _____________________________________________________ 35
_________ References ___________________________________________________ 36

Unit Three: Global Governance and Developing Countries

3.0 _______ Introduction __________________________________________________ 37
3.1 _______ Objectives ____________________________________________________ 38
3.2 _______ Global Governance ____________________________________________ 38
3.3 _______ Global Development Challenges for Poor Countries _______________ 39
_________ 3.3.1 Global disparities _________________________________________ 39
_________ 3.3.2 Trade barriers and distortions _____________________________ 39
_________ 3.3.3 Flow of financial and human resources ______________________ 40
_________ 3.3.4 Debt burden and debt relief _______________________________ 41
_________ 3.3.5 HIV and AIDS and global governance ______________________ 41
_________ 3.3.6 Armed conflict ___________________________________________ 41
_________ 3.3.7 Global environmental issues _______________________________ 42
_________ 3.3.8 Global 'bads' _____________________________________________ 42
_________ Activity 3.1 ____________________________________________________ 43
3.4 _______ Global Governance Structure and Developing Countries ___________ 43
_________ 3.4.1 Unfavourable rules and insufficient representation ___________ 43
_________ 3.4.2 Ineffective participation ___________________________________ 44
3.5 _______ Restructuring Global Governance _______________________________ 45
_________ 3.5.1 New perspectives _________________________________________ 45
_________ 3.5.2 Renewed strategies ________________________________________ 46
_________ 3.5.3 Trade and market access __________________________________ 46
_________ 3.5.4 Resource mobilisation _____________________________________ 47
_________ 3.5.5 Migration and brain drain _________________________________ 48
_________ 3.5.6 Global environmental concerns ____________________________ 48
_________ 3.5.7 Inter-country consortium for transnational highways for _________
_________ landlocked countries ___________________________________________ 49
_________ Activity 3.2 ____________________________________________________ 50
3.6 _______ Regional Migration Framework __________________________________ 50
3.7 _______ Regional and Sub-regional Common Standards ___________________ 51
3.8 _______ Institutional Reforms __________________________________________ 51
_________ 3.8.1 Increased engagement with civil society ______________________ 52
_________ 3.8.2 Sub-regional legal aid centre for trade negotiations ___________ 52
_________ 3.8.3 Reforms in Bretton Woods institutions ______________________ 53
_________ Activity 3.3 ____________________________________________________ 54
3.9 _______ Summary _____________________________________________________ 55
_________ References ___________________________________________________ 56
Unit Four: Engaging Non-State Actors in National Governance
4.0 _______ Introduction __________________________________________________ 57
4.1 _______ Objectives ____________________________________________________ 58
4.2 _______ What is Civil Society? __________________________________________ 58
4.3 _______ The State and Civil Society: Evolving Relationships ________________ 59
4.4 _______ Institutional Values for Government-Civil Society Engagement ______ 61
_________ Activity 4.1 ____________________________________________________ 63
4.5 _______ Regulatory Systems for Government-Civil Society Engagement _______ 63
4.6 _______ Examples of Government-Civil Society Engagement on Policy _______ 64
_________ 4.6.1 Poverty reduction programmes _____________________________ 64
_________ 4.6.2 Participatory budgeting ____________________________________ 65
_________ 4.6.3 Community governance model ______________________________ 65
4.7 _______ A Framework for Institutionalising Engaged Governance ___________ 65
_________ 4.7.1 The engaged governance framework ________________________ 66
_________ 4.7.2 Network governance ______________________________________ 67
_________ 4.7.3 Deliberative democracy ____________________________________ 67
4.8 _______ Engaged Governance: An Integrative Framework __________________ 67
_________ 4.8.1 Participation: representation and inclusion __________________ 67
_________ 4.8.2 People-centred policy _____________________________________ 68
_________ 4.8.3 Pro-poor policy __________________________________________ 69
_________ 4.8.4 Partnership ______________________________________________ 70
_________ Activity 4.2 ____________________________________________________ 70
4.9 _______ Civil Society Contributions to Democratic Governance _____________ 70
_________ 4.9.1 Civic participation and parliamentary development ___________ 71
_________ 4.9.2 Civil society and political parties ____________________________ 71
_________ 4.9.3 Ensuring state transparency and accountability _______________ 72
_________ 4.9.4 Civil society's role in communication, information dissemination _
_________ and awareness building ________________________________________ 74
_________ Activity 4.3 ____________________________________________________ 76
4.10 ______ Addressing Economic and Human Development Challenges ________ 76
_________ 4.10.1 Influencing policy debates and policy formulation ___________ 76
_________ 4.10.2 Providing basic social services _____________________________ 77
4.11 ______ Limitations and Challenges of Civil Society _______________________ 78
4.12 ______ External Development Partners _________________________________ 79
_________ Activity 4.4 ____________________________________________________ 80
4.13 ______ Summary _____________________________________________________ 81
_________ References ___________________________________________________ 82

Unit Five: Governance and the Private Sector

5.0 _______ Introduction __________________________________________________ 85
5.1 _______ Objectives ____________________________________________________ 86
5.2 _______ Corporate Governance _________________________________________ 86
5.3 _______ Stakeholders in Corporate Governance __________________________ 86
_________ Activity 5.1 ____________________________________________________ 87
5.4 _______ The Private Sector _____________________________________________ 87
5.5 _______ Private Sector Contributions ____________________________________ 88
_________ Activity 5.2 ____________________________________________________ 89
5.6 _______ Constraints to Private Sector Development in Developing Countries _ 90
5.7 _______ Public-Private Partnership ______________________________________ 90
_________ Activity 5.3 ____________________________________________________ 91
5.8 _______ Summary _____________________________________________________ 91
_________ References ___________________________________________________ 92
Unit Six: Governance and Special Interest Groups
6.0 _______ Introduction __________________________________________________ 93
6.1 _______ Objectives ____________________________________________________ 94
6.2 _______ Defining Youth ________________________________________________ 94
_________ 6.2.1 Concepts definitions ______________________________________ 95
6.3 _______ Youth and Governance in Africa ________________________________ 96
_________ 6.3.1 Youth and conflict in Africa ________________________________ 96
_________ 6.3.2 Youth and education in Africa _____________________________ 96
_________ 6.3.3 Youth and unemployment in Africa _________________________ 97
_________ 6.3.4 Health __________________________________________________ 97
_________ Activity 6.1 ____________________________________________________ 98
6.4 _______ Rationale and Models for Engaging Youth ________________________ 98
_________ 6.4.1 Ensuring social justice and youth representation ______________ 98
_________ 6.4.2 Building civil society ______________________________________ 99
_________ 6.4.3 Promoting youth development ______________________________ 99
6.5 _______ Policy and Legislative Support for Engaging Youth _______________ 100
6.6 _______ Limitations to Youth Participation ______________________________ 101
_________ Activity 6.2 ___________________________________________________ 102
6.7 _______ Women and Governance ______________________________________ 102
_________ 6.7.1 The gender sex dichotomy ________________________________ 103
_________ Activity 6.3 ___________________________________________________ 105
_________ 6.7.2 Gender analysis and gender mainstreaming _________________ 105
_________ 6.7.3 Enabling factors for gender mainstreaming _________________ 107
_________ Activity 6.4 ___________________________________________________ 108
_________ 6.7.4 National women's machineries ____________________________ 108
_________ 6.7.5 Factors that hinder effective linkages for gender mainstreaming 109
_________ Activity 6.5 ___________________________________________________ 110
_________ 6.7.6 Women in national parliaments ___________________________ 110
_________ 6.7.7 Women in local government ______________________________ 111
_________ Activity 6.6 ___________________________________________________ 112
6.8 _______ Summary ____________________________________________________ 112
_________ References __________________________________________________ 113

Unit Seven: Communication, ICTS and Engaging Local Knowledge

for Effective Governance
7.0 _______ Introduction _________________________________________________ 117
7.1 _______ Objectives ___________________________________________________ 118
7.2 _______ What is Communication? ______________________________________ 118
_________ 7.2.1 How communication takes place ___________________________ 119
_________ 7.2.2 Barriers to communication ________________________________ 121
_________ 7.2.3 Listening _______________________________________________ 123
_________ Activity 7.1 ___________________________________________________ 125
7.3 _______ Information and Communication Technology ____________________ 125
_________ 7.3.1 ICTs in community development __________________________ 126
_________ 7.3.2 Barriers, constraints and challenges facing ICT adoption in _____
_________ developing countries communities ______________________________ 127
_________ Activity 7.2 ___________________________________________________ 128
7.4 _______ Knowledge Management _______________________________________ 129
_________ 7.4.1 Indigenous and grassroots knowledge ______________________ 130
_________ Activity 7.3 ___________________________________________________ 131
 7.5 _______ Summary ____________________________________________________ 132
_________ References __________________________________________________ 133

Unit Eight: Rule of Law, Human Rights and Access to Justice

8.0 _______ Introduction _________________________________________________ 135
8.1 _______ Objectives ___________________________________________________ 136
8.2 _______ Human Rights, Rule of Law and Justice _________________________ 136
8.3 _______ The African Human Rights Framework __________________________ 136
_________ Activity 8.1 ___________________________________________________ 137
8.4 _______ The State of Human Rights and Rule of Law in Africa ____________ 138
_________ 8.4.1 National constitutions and laws ____________________________ 138
_________ 8.4.2 Violations by law enforcement agencies ____________________ 139
_________ 8.4.3 Civil and political rights __________________________________ 139
_________ 8.4.4 Economic, social and cultural rights ________________________ 140
_________ 8.4.5 Equal access to justice ____________________________________ 140
_________ 8.4.6 Gender equality and women's rights ________________________ 140
_________ Activity 8.2 ___________________________________________________ 141
8.5 _______ Institutional Mechanisms for Safeguarding and Enforcing Human _____
_________ Rights _______________________________________________________ 141
_________ 8.5.1 National human rights enforcement mechanisms _____________ 141
_________ 8.5.2 The role of civil society organisations ______________________ 143
_________ 8.5.3 Human rights commissions _______________________________ 143
_________ 8.5.4 Effectiveness of the judiciary ______________________________ 144
_________ 8.5.5 Monitoring of human rights _______________________________ 144
_________ Activity 8.3 ___________________________________________________ 145
8.6 _______ Summary ____________________________________________________ 145
_________ References __________________________________________________ 146

Unit Nine: Local Governance

9.0 _______ Introduction _________________________________________________ 147
9.1 _______ Objectives ___________________________________________________ 148
9.2 _______ Local Government and Grassroots Communities _________________ 148
_________ Activity 9.1 ___________________________________________________ 149
9.3 _______ Decentralisation ______________________________________________ 149
_________ Activity 9.2 ___________________________________________________ 151
9.4 _______ Involvement and Participation _________________________________ 151
9.5 _______ Gender Mainstreaming ________________________________________ 152
9.6 _______ Capacity Building and Empowerment ___________________________ 153
_________ Activity 9.3 ___________________________________________________ 154
9.7 _______ Summary ____________________________________________________ 155
_________ References __________________________________________________ 156

Unit Ten: Local Governance, Financing and Resource Mobilisation

in Zimbabwe
10.0 ______ Introduction _________________________________________________ 159
10.1 ______ Objectives ___________________________________________________ 160
10.2 ______ Financing Activities in Local Authorities _________________________ 160
 _________ Activity 10.1 __________________________________________________ 163
10.3 ______ Sources of Funding of Local Authorities ________________________ 164
_________ Activity 10.2 __________________________________________________ 165
10.4 ______ The Main Expenditure Drivers _________________________________ 165
10.5 ______ Do Local Governments Adopt Their Own Budgets? ______________ 166
_________ Activity 10.3 __________________________________________________ 167
10.6 ______ Summary ____________________________________________________ 168
_________ References __________________________________________________ 168

Unit Eleven: Community-Based Natural Resources Management __

(CBNRM)

11.0 ______ Introduction _________________________________________________ 169

11.1 ______ Objectives ___________________________________________________ 170
11.2 ______ Background to CBNRM _______________________________________ 170
11.3 ______ Definition of Terms __________________________________________ 170
_________ 11.3.1 What is CBNRM? ______________________________________ 171
_________ Activity 11.1 __________________________________________________ 174
11.4 ______ Principles Guiding CBNRM ___________________________________ 174
_________ Activity 11.2 __________________________________________________ 175
11.5 ______ The Importance of CBNRM to Local Communities ______________ 175
_________ Activity 11.3 __________________________________________________ 177
11.6 ______ Challenges and Opportunities of CBNRM _______________________ 177
_________ Activity 11.4 __________________________________________________ 177
11.7 ______ Empowering and Supporting Vibrant CBNRM Programmes _______ 177
_________ 11.7.1 Providing economic incentives and ownership at community ____
_________ level ________________________________________________________ 178
_________ 11.7.2 Promoting poverty reduction at local levels ________________ 178
_________ 11.7.3 Providing external technical and financial help _____________ 178
_________ 11.7.4 Supporting resource conservation ________________________ 179
_________ 11.7.5 Providing regular monitoring _____________________________ 179
11.8 ______ Experiences of CBO's in CBNRM in Zimbabwe __________________ 180
_________ 11.8.1 The characteristics of a CBO ____________________________ 181
_________ 11.8.2 The SAFIRE MITI Programme __________________________ 181
_________ Activity 11.5 __________________________________________________ 183
_________ 11.8.3 A Case Study: Mahenye CAMPFIRE ______________________ 183
_________ Activity 11.6 __________________________________________________ 186
11.9 ______ Summary ____________________________________________________ 187
_________ References __________________________________________________ 188
_________ APPENDIX A _______________________________________________ 189
_________ A.0 Introduction _____________________________________________ 189
_________ A.1 Learning Objectives _______________________________________ 189
_________ A.2 Dr. Chombo's Speech _____________________________________ 189
_________ A.3 Conclusion _______________________________________________ 193
_________ Activity A.1 __________________________________________________ 193
Overview

T
his module is designed to meet a number of specific learning objectives
in the field of governance and community development. After going
through the module readers are expected to be able to:
 identify the institutional bodies in their communities and create sustainable
linkages
 explain the meaning and value of good governance, local government and
community leadership
 examine the principles underlying good governance, local government
and community leadership
 discuss the process and some of the tools for applying principles of good
governance to the work of local authorities

Our focus in this module is public governance and community leadership, a

broader concept than simple traditional management. The term management
is too formal and limited in its scope. In its narrow sense it focuses on the
formalised administrative tasks of chief executives and managers within
organisational settings. Although the module utilises the traditional management
process as a point of reference (see Figure 1.1), governance is too complex
a subject to be limited to the classical management model. Governance is
multifaceted. It covers developmental, political, administrative, cultural,
sociological and ecological aspects of concerned communities, among other
related issues.
Governance and Community Leadership Module BSDS 304

In Units 1 to 3 we lay the foundation for the discourse in this module. In Unit
1 we give you an overview of the concepts of governance, social capital and
community governance. In Unit 2 our focus is on theories and the concept of
leadership with special emphasis on communal leadership. Governance and
community leadership are closely related concepts. In fact, there is no way
we can talk of public governance without talking about community/communal
leadership. In Unit 3 we contextualise community governance by assessing
the global governance institutional framework and its impact on governance
in developing countries.

In Units 4 to 8 we address some of the contemporary and topical issues in

governance and community leadership. In Unit 4 we look at non-state actors
and their impact on governance and community leadership. In Unit 5 we discuss
the concept of corporate governance and the role of the private sector in
governance and community development. In Unit 6 we discuss issues pertaining
to youth and governance, youth unemployment, youth education and health,
sex and gender, women and governance, gender mainstreaming and analysis,
national women machineries and women in parliament. In Unit 7 we take you
through the issues of communication, information technology and local
knowledge management for effective governance and community leadership.
In unit 8 we focus on human rights, rule of law and justice as pillars of
governance and community leadership.

In Units 9 to 11 we focus on local governance. Unit 9 looks at local government,

decentralisation, involvement and participation, gender mainstreaming, and
capacity building and grassroots empowerment as the major pillars of
governance and community leadership. In Unit 10 we look at how local
authorities in Zimbabwe raise and utilise financial resources. Then in Unit 11
we address the concept of community based natural resources management
with special focus on Zimbabwe.

Finally, in appendix A we close the discussion in this module by summarising

the speech by the Minister of Local Government, Rural and Urban
Development in Zimbabwe, Dr. I. Chombo, at the official opening of the
Policy Dialogue on the Future of Local Government in Zimbabwe, held at
Holiday Inn, Harare, on 3 November 2009. Our major aim in this appendix is
to demonstrate that policy makers themselves are not only aware of
contemporary concepts of public governance and community leadership, but
they understand them and know what is required of them for development to
occur.

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 Unit One

Introduction to Governance

1.0 Introduction

Good governance is an ideal which is difficult to achieve in its totality;

very few countries, societies, or organizations have even come close.
However, to ensure sustainable human development, actions must be
taken to work towards this ideal (Nikolic, 2008: 6).

Public governance is highly affected and affects all aspects of community life
as illustrated in Figure 1.2. There is an interdependent relationship between
and across the political, social, cultural, technological, economic, legal,
ecological, international and many other subsystems that influence development
and human life in any given community. These forces determine the type and
structure of public governance in modern communities. Because of this diversity
and complexity of the forces impinging on public governance, for it to be
effective public governance has to be highly informal and all encompassing.

In this unit we lay the foundation for the discourse in this module. We give you
an overview of the concepts of governance, social capital and community
governance.
Governance and Community Leadership Module BSDS 304

1.1 Objectives
By the end of this unit, you should be able to:
 explore the concept of governance
 distinguish between traditional and contemporary governance
 explain the concepts of social capital and community governance

1.2 Governance
According to Hunt and Smith (2006), there are numerous definitions and
approaches to governance used by groups with very different ideological
persuasions, for different and often contradictory ends. It can be used as an
analytic concept, a theoretical proposition, or a normative concept, to refer
to a specific policy, a process, to structures, organisations, or a political
environment. But these different meanings and usages do have important
commonalities. In each, there is:
 consideration of critical institutional spheres (for example, the state,
market, hierarchy and community) as being interconnected, rather than
neatly separated and spatialised;
 a focus on a wider field of players and relationship, not simply on
'government';
 the idea of some form of cooperation and coordination as fundamental
to effectiveness;
 attention given to concrete systems of action, decision making and
accountability;
 the foregrounding of power, control and choice;
 the idea that governance effectiveness can be evaluated against
benchmarks and principles; and
 a growing recognition that governance, and evaluations of its
effectiveness, are the products of culturally-based systems (Hunt and
Smith, 2006).
Governance thus focuses our attention outside the more formal realm of
'government', to the interaction between self-organising agents and networks
at many different levels, and to the relative power and relationships between
them, and with governments. In fact, governance is multifaceted. It covers
developmental, political, administrative, cultural, sociological and ecological
aspects of concerned communities, among other related issues.

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Unit 1 Introduction to Governance

Figure 1.1: Forces Influencing and Influenced by the Governance

Process

(Adapted from Musingafi, 2012: 34)

There is an interdependent relationship between and across the political, social,

cultural, technological, economic, legal, ecological, international and many
other subsystems that influence development and human life in any given
community. These forces determine the type and structure of governance in
modern communities. Because of this diversity and complexity of the forces
impinging on governance, for it to be effective, governance has to be highly
informal and all encompassing.

Importantly, the concept of governance is not culture-neutral. Assessments of

what constitutes 'good/bad', 'strong/weak', or 'legitimate/ineffective' governance
are informed by culturally-based values and epistemologies. The Canadian
Institute of Governance (IOG) argues that 'there is plenty of room for different
traditions and values to be accommodated in the definition of good governance'
(IOG website). If 'good governance is about both achieving desired results
and achieving them in the right way', then the 'right way' is largely shaped by
the cultural norms and values of the organisation or society (IOG website).

Graham, et al. (2003: 1) think 'governance is the interaction among structures,

processes and traditions that determine how power and responsibilities are
exercised, how decisions are taken, and how citizens and other stakeholders
have their say.' Therefore, governance is about power , relationships and

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accountability. Who has the influence? Who makes the decisions? How
decision-makers are held accountable? This is an open definition allowing for
either bad or good governance as per the principles of good governance
outlined below.

Thus governance is taken to mean the evolving processes, relationships,

institutions and structures by which a group of people, community or society
organise themselves collectively to negotiate their rights and interests, get things
done, and make decisions about:
how they are constituted as a group (who are members and who are
not);
who has authority within the group, and about what;
their agreed rules to ensure authority is exercised properly and their
decision-makers are held accountable;
how they enforce the decisions they make; and
what arrangements will best enable them to achieve their goals.
In other words, governance is as much about people, relationships and
processes, as it is about formal structures and corporate technicalities.
Fundamentally, governance is about power, jurisdiction, control and choice,
and the relative extent and nature of these. It is about who has influence, who
makes decisions, who controls resources, and how leaders are held
accountable (Plumptre and Graham, 1999; Cornell, 1993).

Activity 1.1
1. What is governance?
? 2.
3.
Comment on the view that governance is more than government.
Discuss forces influencing and influenced by the governance process.
4. The concept of governance is not culture-neutral. Discuss

1.3 The Traditional View of Governance

The term governance comes from Latin and suggests the notion of steering.
This steering of society can be compared with the traditional approach of
governments driving society. As such, within this view governance is equated
to the traditional government philosophy of governing and controlling human
and social behaviour from above (Maki, 2008).

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Unit 1 Introduction to Governance

According to Assaduzzaman (2009), in the 14th Century the term governance

referred to action, method, or function of governing. Governance thus meant
the act or process of governing, especially authoritative direction and control
of social behaviour. Emphasis was on mechanisms to ensure that constituents
followed established processes and policies as per government rules and
regulations. Within this view, governance is about the political and public
administration tasks performed by central and local governments to ensure
public compliance with set rules and regulations. In this sense the term
governance is not new; it is as old as the history of political and administrative
thought as detailed in the works of successive classical political and public
administration theorists like Plato (428BC-348BC), Aristotle (384-322BC),
Niccolo Machiavelli (1469-1527), Thomas Hobbes (1588-1679), John
Locke (1632-1704), Adam Smith (1723-1790), Immanuel Kant (1724-1804)
and many others. According to Paris (2006) Kant argued that human beings
are 'rational creatures' who may be misled by 'self-seeking animal inclinations'.
Therefore, they require a 'master' in form of central or local government to
prevent them from abusing the freedom of others and to force them 'to obey
a universally valid will under which everyone can be free'.

Rather than people directly getting involved in the public decision making
process, it is the government that makes public decisions on their behalf.
Such a government may be an imposition and authoritarian as in the case of
Hobbes' Leviathan or Machiavelli's Republic under the Prince , or
representative as in the case of Locke or Smith 's liberal government. In all
these cases, the traditional role of government is one of unilateral, vertical
governance. The government formulates concrete and sometimes quantitative
objectives, which it then timetables, weighs up and prioritises.

Implicit in this conceptual framework is the notion that only the government
has power and the prerogative right to define, explain and interpret public
interests. The people thus surrender their right to make public decisions
concerning their lives to ruling elite called government. Figure 1.2 below shows
government on the apex of the social hierarchy. Although government may be
influenced by subjects, especially the rich like in most liberal governments, it
has the prerogative right to make public decisions that bind everyone. There
is no room for the private sector and civil society getting directly involved in
governance issues. All are bunched into the rich and the poor masses and
they are not given room to directly get involved in governance and public
policy formulation issues. Government decides on their behalf.

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Figure 1.2: The Traditional View of Governance

(Adapted from Musingafi, 2012: 41)

The system is such that it is the masses that carry the weight of whatever
decision (good or bad) made by those at the top of the hierarchy. They may
be involved in choosing the government through elections but this does not
mean they are directly involved in policy formulation and public decision-
making. In most cases their views are disregarded. The attitude is that
government knows better what the masses want than anyone else.

According to Assaduzzaman (2009), the situation in Figure 1.2 leads to

excessive political influence and bureaucratic control over local governance.
This situation has been blamed for conditions of massive poverty, corruption,
economic stagnation, lack of political stability, confused priorities, chaos, and
violation of human rights especially in less developed countries (Jreisat, 2004).

Musingafi (2012) observes that the assumption that the government has a
monopoly on power no longer holds water as in modern society, power is
fragmented, and there is no power centre, but rather a large number of power
centres that are constantly in motion. Examples of other power centres other
than the government are the international community, international organisations

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Unit 1 Introduction to Governance

like the United Nations, regional groupings like Southern Africa Development
Community (SADC), the business community, opposition political parties,
non-governmental organizations, churches, pressure groups, enlightened
consumers, trade unions, environmentalists, and many other civic organisations.
Even the claim that the government has the prerogative right to define, explain
and interpret public interests is now challenged. The existence of several power
centres mean that interests can be explained and interpreted from different
angles. Suppressing such forces and interests translates to disgruntlement,
chaos and underutilisation of human capabilities.

1.4 The Contemporary View of Governance

The philosophy behind the contemporary thinking on governance is summarised
by the ancient Greek philosopher Aristotle, when he says, 'If liberty and equality,
as is thought by some are chiefly to be found in democracy, they will be best
attained when all persons alike share in the government to the utmost' (Anon,
2002). Thus, despite the recently expressed interest in the new governance
concept, both the term and concept are not new, but rather old (Peters, 2000).
What is new is the emphasis put on the concept. Although there is still diversity
on what governance means, 'there is a baseline agreement that governance
refers to the development of governing styles in which the boundaries between
and within public and private sectors have become blurred (Stoker, 1998).

Stoker (1998) discussed the theory of governance under the following five
propositions:
governance refers to a set of institutions and actors that are drawn from
but also beyond government;
governance identifies the blurring of boundaries and responsibilities for
tackling social and economic issues;
governance identifies the power dependence involved in the relationships
between institutions involved in collective action;
governance is about autonomous self-governing networks of actors;
and
governance recognizes the capacity to get things done which does not
rest on the power of government to command or use its authority. It
sees government as able to use new tools and techniques to steer and
guide.

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The first proposition challenges the traditional government systems

characterised by a sovereign parliamentary system, the executive/cabinet, the
judiciary and accountability through some form of interval elections. In most
developing countries the legitimacy of such governments is questionable as
elections are highly influenced by some form of manipulation and most
governments are nothing but impositions. Stoker's argument is that whether
elected or imposed, the ability of the traditional governance structure to
represent contemporary divergent societal interests is limited. The proposal is
that on top of the traditional government, other stakeholders (the public, civic
groups, pressure groups, non-governmental organisations, etceteras) should
directly get involved in the governance process. The current (2009-2011)
constitution making in Zimbabwe is facing this dilemma. Civil society led by
Maduku 's National Constitutional Assembly (NCA) wants to be fully involved
if not to lead the whole process. Government wants to monopolise the process
so as to protect some vested interests.

The second proposition is on the balance between the state and other
contending forces. Responsibility and accountability should be equitably shared
between and across all stakeholders. Thus 'a concern with 'active' citizenship
links governance to wider debates about communitarianism and 'family' values'
(Stoker, 1998). The levelling of responsibilities blurs the boundaries between
the public and private. This results in the rise of a multitude of voluntary agencies
like non-profits, non-governmental organisations (NGOs), community
enterprises, cooperatives, among others, all working together to create a social
economy. If not well handled, the danger with these developments is the blurring
of both responsibility and accountability, and the increase in scapegoating and
avoidance of blame.

The third proposition implies that governing is an interactive process because

no single actor has the knowledge or resource capacity to tackle problems
unilaterally (Kooiman, 1993). This gives rise to the establishment of a level of
mutual understanding and embeddedness so that organizations develop a
shared vision and joint-working capacity leading to the establishment of a
self-governing network.

The fourth proposition is summarised by Ostrom (1990) and Keohane and

Ostrom (1995) on the management of common-pool resources in poor rural
communities. Focus is on the various institutional arrangements that can be
created to enable people to cooperate over resources which are finite to
which they have open access. Incentives and sanctions are identified assuming
that rational and self-interested actors will respond appropriately. Increasing
the availability of information and reducing transaction costs are seen as essential

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Unit 1 Introduction to Governance

to designing effective systems. Self-organised systems of control among the

key participants are seen as more effective than government-imposed regulation.

The fifth proposition implies that the traditional government takes an enabler,
facilitator or catalytic agent role. Everyone (young or old, female or male,
black or white, physically challenged or not, etcetera) has to find it easy to
contribute to the shaping of things that affect his/her life.

According to Assaduzzaman (2009) these propositions provide a broader

canvas to the changing world of government and emphasise on power
decentralisation, as well as on local self-government and involvement of all
actors in the governance process (See Figure 1.4 below).

Peters (2001) came up with four models of contemporary governance. The

models include:
The market model: The model claims that the private sector can provide better
services than the traditional public sector;
The participatory state model: Emphasis is on greater individual and collective
participation by segments of government organisations that have been commonly
excluded from decision-making;
The flexible government model: Government should be contextual and flexible.
The deregulated government model: focuses on less bureaucratic control, more
managerial freedom and recommendations based on societal needs and
collective decision-making.
For Assaduzzaman (2009), the Stoker (1998) and Peters (2001) models
have paved the way for viewing governance from broader perspectives. In
fact, decentralisation and people's participation have been placed in high priority
in achieving the goals of governance in the 21st Century, at least at the level of
the theoretical debate. Of crucial importance is the fact observed by Edgar,
L., et al. (2006) that governance is not only a destination, but a journey.

Governance is more than government, more than public administration, more

than a governing model or structure, though of course these are important.
Governance, and in particular good governance, is also about effective ways
of continuously engaging various sectors of society. Governance is therefore
closely aligned with democracy and the central role that citizens must play in
any effective governance system. (Edgar, L., et al., 2006).

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Table 1.1: Criteria for Contemporary Effective Governance

Criteria Explanation
Participation All citizens, both men and women, should have a voice, directly or
through intermediary organisations representing their interests, throughout
the processes of policy- and decision-making. Broad-based participation
hinges upon national and local governments following an inclusive
approach.
Transparency Information should flow freely in society. Processes, institutions and
information must be directly accessible to those concerned.
Equity All groups in society, both men and women, should have the opportunities
to improve their well-being.
Effectiveness Processes and institutions should produce results that meet needs while
and efficiency making the best use of resources.
Rule of law Legal frameworks should be fair and enforced impartially, especially laws
on human rights.
Accountability Governments, the private sector and civil society organisations should be
accountable to the public or the interests they are representing.
Coherency Appropriate policies and actions must be coherent, consistent and easily
understood.
Responsiveness Institutions and processes should serve all stakeholders and respond
properly to changes in demand and preferences, or other new
circumstances.
Integration Governance should enhance and promote integrated and holistic
approaches.
Ethical Governance has to be based on the ethical principles of the societies in
Considerations which it functions, for example, by respecting traditional rights

(Source: WWAP, 2003; 2006)

As put forward by UNWVLC (2008), whereas poor governance is

characterised by arbitrary policy making, unaccountable bureaucracies,
unenforced or unjust legal systems, the abuse of executive power, a civil society
unengaged in public life, and widespread corruption; good governance is
epitomized by predictable, open and enlightened policy-making, a bureaucracy
imbued with a professional ethos acting in furtherance of the public good, the
rule of law, transparent processes, and a strong civil society participating in
public affairs.

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Unit 1 Introduction to Governance

Activity 1.2
?
1. Compare and contrast the traditional and contemporary views of
governance.
2. Why is the traditional view of governance challenged in modern
communities?
3. Explain the philosophy behind the contemporary argument on
governance.
4. Discuss Stoker's five governance propositions.
5. Evaluate Peters' four models of contemporary governance.
6. Contemporary thinking on governance promotes community based and
participative management approaches. Discuss.
7. Evaluate the criteria for contemporary effective governance.

1.5 Social Capital and Community Governance

According to Bowles and Gintis (2002: 419), social capital refers to trust,
concern for one's associates, a willingness to live by the norms of one's
community and to punish those who do not. These behaviours were recognised
as essential ingredients of good governance among classical thinkers from
Aristotle to Thomas Aquinas and Edmund Burke. However, political theorists
and constitutional thinkers since the late eighteenth century have shifted
emphasis from these ideals to competitive markets, well-de?ned property
rights, and ef?cient, well-intentioned states. Good rules of the game thus came
to displace good citizens as the sine qua non of good government (Bowles
and Gintis, 2002: 419).

Bowles and Gintis (2002: 419) observe that communities are part of good
governance because they address certain problems that cannot be handled
either by individuals acting alone or by markets and governments. In most
African communities for example, it is the duty of every resident to discipline
children. The Toyama Bay ?shing co-operatives in Japan studied by Platteau
and Seki (2001) illustrate another aspect of community problem solving. Faced
with variable catches, as well as the high level and changing nature of skills
required, some ?shermen have elected to share income, information and training.
Fishing, off-loading the catch, and marketing by individual boats are
synchronised to increase the transparency of the sharing process and make
opportunistic cheating on the agreement easy to detect. As this Japanese
example suggest, communities solve problems that might otherwise appear as
classic market failures or state failures.

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Communities can sometimes do what governments and markets fail to do

because their members, but not outsiders, have crucial information about other
members' behaviours, capacities, and needs. This insider information is most
frequently used in multilateral rather than centralised ways, taking the form of
a raised eyebrow, a kind word, an admonishment, gossip or ridicule, all of
which may have particular salience when conveyed by a neighbour or a
workmate whom one is accustomed to call one of 'us' rather than 'them' (Bowles
and Gintis, 2002: 419).

Activity 1.3
?
1. Compare and contrast the social capital and market forces views on
community governance.
2. Explore the relationship between governance and socioeconomic
development.
3. Examine the concept of community governance.

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Unit 1 Introduction to Governance

1.6 Summary
In this unit we have shown that there is an interdependent relationship between
and across the political, social, cultural, technological, economic, legal,
ecological, international and many other subsystems that influence development
and human life in any given community. We argued that these forces determine
the type and structure of public governance in modern communities. Because
of this diversity and complexity of the forces impinging on public governance,
for it to be effective public governance has to be highly informal and all
encompassing.

In the next unit we are going to look at theories and the concept of community
leadership with special emphasis on communal leadership. Governance and
community leadership are closely related concepts.

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References
Anon. (2002) Governance. IChemE Assembly.
Assaduzzaman, M. (2009. Governance in practice: decentralization and
people's participation in the local development of Bangladesh. PhD
Thesis. University of Tempere.
Bowles, S. and Gintis, H. (2002). 'Social capital and community governance'.
The Economic Journal 112. Pp. 419-436.
Cornell, S. (1993). Accountability, legitimacy and the foundations of native
self-governance, Malcolm Wiener Centre for Social Policy and
Harvard Project, J.F. Kennedy School of Government, Harvard
University, Cambridge, MA.
Edgar, L., Marshall, C. and Bassett, M. (2006). Partnerships: putting
good governance principles in practice. Institute on Governance:
www.iog.ca.
Graham, J., Bruce, A. and Plumptre, T. (2003). Principles for good
governance in the 21st century: policy brief number 15 (August,
2003). Institute on Governance: www.iog.ca.
Hunt, J. and Smith, D.E. (2006). Building indigenous community
governance in Australia: Preliminary research findings. Working
paper no. 31/2006. The Centre for Aboriginal Economic Policy
Research. Australian National University.
Institute on Governance (IOG) (2002). Governance effectiveness 'quick
check', IOG, Ottawa, available at <http://www. og.ca/>
Institute on Governance (IOG) website <http://www. og.ca/boardgovernance/
html/gov_whagoo.html>.
Jreisat, J. (2004). 'Governance in a globalizing world'. International journal
of public administration. 27 (13 & 14): 1003-1029.
Keohane, R. and Ostrom, E. (1995). Local commons and global
interdependence. London: SAGE.
Kooiman, J. (1993). 'Social political governance: introduction'. In Kooiman,
J. ed. Modern governance. London: SAGE
Maki, H. (2008). Water, sanitation and health: the development of the
environmental services in four South African cities (1840-1920).
PhD Thesis. University of Tempere.
Musingafi, M.C.C. (2012). IWRM, potable water supply governance &
stakeholders participation in Zimbabwe and South Africa:
Comparative perspectives from selected water authorities. PhD
Thesis. Vanderbijlpark. North-West University.
Nikolic, I. (2008). Participants manual on good governance. Consortium
for Rehabilitation and Development.

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Unit 1 Introduction to Governance

Ostrom, E. (1990). Governing the commons: the evolution of institutions

for collective actions. Cambridge: Cambridge University Press.
Paris, R. (2006). 'Bringing the Leviathan back in: classical versus contemporary
studies of the liberal peace'. International studies review (2006) 8:
425-440.
Peters, B. G. (2000). 'Globalization, institutions and governance', in Peters,
B. G and Savoie, D. J. ed. Governance in the twenty-first century:
revitalizing the public service. Canadian centre for management
development.
Plumptre, T. and Graham, J. (1999). Governance and good governance:
International and Aboriginal perspectives, Unpublished report, IOG,
Ottawa.
Stoker, G. (1998). 'Governance as theory: five propositions.' International
journal of social science. 50 (155): 17-28.
UNWVLC. (2008). Governance and community based approaches
manual. UNWVLC.
WWAP/UNESCO. (2003). Water for people, water for life: the UN world
water development report 1. Paris: UNESCO Publishing, and New
York: Berghahn Books.
WWAP/UNESCO. (2006). A shared responsibility: the UN world water
development report 2. Paris: UNESCO Publishing, and New York:
Berghahn Books.
World Bank. (1997). World development report. Washington D. C.: World
Bank.
World Bank (1994). Governance: The World Bank's experience.
Washington, DC. World Bank.
World Bank (various years). Governance and anti-corruption country
diagnostic reports (various countries), <www.worldbank.org/wb /
governance/d ag_surveys.htm>.

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18 Zimbabwe Open University

 Unit Two

Leadership Theories and the

Concept of Community
Leadership

2.0 Introduction

One of the great challenges of leadership is to develop harmony between

service and the power that is necessary for the exercise of leadership
(Keshavan Nair, 20th Century Indian Author, captured in Fisher and
Tees, 2005)

In a gathering of three or more people, it is almost certain that one of them will
represent others in certain matters. In this instance, the person representing
others could be said to assume a leadership position, at least on the issue for
which he or she represents the others.
Governance and Community Leadership Module BSDS 304

Similarly, as a visitor in a household, it is considered a good social manner to

obtain permission or pay one's respects to the head of the household as early
as possible during a visit. In this case, the head of household is assumed the
leader of the household. This type of situation where people look for one
person who represents others is found in all spheres of human life. Even in
systems where every member carries equal status, as in Houses of Parliament,
one of the peers is selected to act as a leader for all, hence the phrase "first
among equals".

The ability to influence the ideas and actions of others is found in all social
systems. In a small family unit, such influence may be found in the father,
mother or uncle. In larger social systems, such influence is built around power
structures, status roles and a number of autonomous institutions. There are
people who are vested with the responsibility of making decisions on behalf
of others.

In this unit we are going to look at theories and the concept of leadership with
special emphasis on communal leadership. Governance and community
leadership are closely related concepts.

2.1 Objectives
By the end of this unit, you should be able to:
 define the term leadership
 distinguish between leadership and management
 explain the role of citizens in community leadership
 discuss the importance of the various leadership theories in community
leadership
 discuss sources of power and their importance to community leadership

2.2 Defining Leadership

In this section we define definitions of leadership.

2.2.1 Definition of a leader

As observed by Adebayo (2009), a leader can be:
 a person who initiates interaction with other members of the group
 a person initiating interaction with others more frequently than anybody
else in the group
 a person who moves the group towards attaining its goals

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Unit 2 Leadership Theories and the Concept of Community Leadership

Thus Adebayo (2009) concludes that a leader is one who leads or goes first.
A leader is thus the person who sees the goal ahead of others in the group,
then plans and enlists the support of others to achieve the goal. In any given
situation, the leader is the one who influences the thoughts and actions of
others in his group or community. The concept of a leader is therefore one of
role-playing (Adebayo, 2009). That is, performing certain roles that would
be perceived by others as a leading role. It is also important that one cannot
be a leader in isolation. A leader can only emerge in a group. There must be
followers to identify with and be influenced by a leader.

2.2.2 Leadership
A large amount of literature exists on the topic leadership but there is no
neatly defined universal definition of this term. Leadership mean different things
to different people in different organisations and under different circumstances.
Many writers on this area have attempted to define the term in different ways.
However, leadership has been defined as a process by which one person is
able to influence others in order to accomplish an objective and reach a
common goal. Leadership involves the creation of a vision and strategic
direction for the organisation or the individual, the communication of that vision
to the people and the customers of the organisation. It also involves inspiring,
motivating and aligning people and the organisation or community in this case
to achieve the vision. In addition leadership can involve creating direction and
support around an idea or a problem. Importantly, regardless of the degree to
which the essence of leadership can be captured in a definition, communities
believe in its importance and the general people residing in a community know
when they see it.

2.2.3 Distinction between headship and leadership

There are instances where one person is referred to as the 'head' in a group,
yet another person actually performs the leading roles in that group. This is
the root of the term 'figure head' or 'ceremonial leader'. These terms ('figure
head' or 'ceremonial leader') are used to describe persons who may occupy
the headship seat, but are in fact either incapable of leading the group or
relegates the responsibility of leadership to others.

The main differences between headship and leadership are as follows:

 headship or domination is maintained through an organised system and
not by the spontaneous recognition by other members of the group or
by the individual's contribution to the attainment of group goals;

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 the group goal is usually chosen by the headman in line with his vested
interests and not internally determined by the group;
 in headship, there is little or no sense of shared feeling or joint action in
pursuit of the given goal;
 there is a wide gap between the group members and the head who
often strives to maintain this social distance as a tool for coercing group
members; and
 the leader's authority is spontaneously accorded by other group
members, whereas the authority of the headman derives from some
extra-group power (Adebayo, 2009).

2.2.4 Characteristics of leaders

There are certain qualities that are exhibited by an individual that make him or
her a leader among peers or in a community. The peers or other members of
the community need to identify these qualities before conferring the status of a
leader on such a person.
 A leader must have the ability to influence others. This may be influenced
by a person's personal characteristics such as height, handsomeness or
a special appeal that radiates around the individual. It may be an ability
for fluent speech that moves a crowd or being wealthy or generous;
having known connections with external bodies or occupying a known
official position. In many rural areas, age, being married, honesty, humility
and industry are highly valued qualities that leaders are expected to
have.
 A leader must have the ability to identify with the group. This quality
requires some level of empathy or placing oneself in the other's position;
having consideration for the feeling of others; being emotionally stable,
ready to work with others, love and constantly identify with the group,
selflessness, loyalty to the group ideals and goals. These are qualities
often demonstrated by many successful union leaders. Members of
their union can readily feel a mutual identity.
 There may also be some innate or psychological characteristics that
propel a person to leadership. But such a person needs to have other
qualities readily perceived by others to become a leader, failing which
such a person will become a self-imposed leader. For instance, a person
who happens to be a general in the army when a coup takes place may
be readily acceptable as a leader (Adebayo, 2009).
From the foregoing, leaders can be categorised in many different ways. A
leader can therefore posses several qualities that may even appear conflicting
sometimes.

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2.2.5 Types of leaders by paths to leadership

Adebayo (2009) came up with the following types of 'paths' leaders:

Situational leader

A situational leader foresees a crisis or need of the group and takes the initiative
to address it usually by mobilising others to tackle it. A situational leader usually
holds the position as long as the situation persists.

Dictatorial leader

A dictatorial leader is one who feels the people owe him continuous allegiance
after having been entrusted to the leadership position by a particular situation.
When situational leaders refuse to quit the position after the situation ceases,
they often become dictatorial imposing their views rather than seeking to
influence others to follow them. Most military leaders become dictators after
they have been entrusted with leadership in a coup.

Traditional or hereditary leader

A traditional or hereditary leader emerges by birth-right. The custom or

tradition of the group recognises the right of the individual to lead them even
before he or she is born. This way, tradition confers on the leader the right to
loyalty and unquestioning followership even if other circumstances do not
make him or her suitable to hold the office.

Professional leader

Persons who become leaders by virtue of some expertise or technical

competence are professional leaders. Even though professional leaders do
not emerge by virtue of personal qualities, possession of a good character
can boost the acceptability of a professional leader. So an agricultural extension
officer who is also perceived as a good person by his farmers will be more
readily acceptable to one that is perceived as a bad person. Other categories
of professional leaders are the village teacher, the veterinary officer among a
group of Fulani herdsmen, the village medicine man and so on.

2.2.6 Types of leaders by visibility, legitimacy and scope of

influence
Adebayo (2009) came up with the following types of 'visibility, legitimacy and
scope of influence leaders:

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Visible leader

A leader is called visible when followers and other leaders in a community

assign him/her similar levels of power and recognition. They play roles that
are readily perceived by all members of the community. They are therefore
'visible'.

Concealed leader

These are persons within a community recognised by other leaders for their
influence but not by non-leaders or other members of the community. They
are called 'concealed' because their influence is more evident in the circle of
leaders.

Symbolic leader

Symbolic leaders are assigned more prestige by non-leaders than by leaders.

They do not have as much influence as the masses feel they have.

2.2.7 Types of leaders by orientation

Adebayo (2009) came up with the following types of 'orientation' leaders:

Local leaders

These are leaders who exhibit greater interest in the goals of their community.
Their influence is based on an elaborate network of social relationships. They
tend to hold local political offices and if they are literate tend to read local
newspapers mainly. The persons they know are more important than what
they know.

Cosmopolitan leaders

The interest of cosmopolitan leaders goes beyond the local community. They
often represent the community outside its boundary. They tend to be
knowledgeable about affairs outside the local community and can facilitate
influx of external resources into the community. Their influence is often
dependent on what they know than who they know.

2.2.8 Types of leaders by professionalism

Adebayo (2009) came up with the following types of 'non-professional'
leaders:

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Unit 2 Leadership Theories and the Concept of Community Leadership

Action leader

An action leader is a non-professional leader who is actively involved in the

planning, execution and or evaluation of community programmes. Such a
person may serve as a volunteer subject-matter specialist or as a programme
planner, councillor or committee member. They are usually sought after by
change agents for training and active involvement in community programmes.

Opinion leader

These are non-professional leaders, who by virtue of some qualities they

posses (age, education, ancestry, wealth, prestige or political contacts) influence
opinions in most activities in the community. It is usually for people to wait
until such a person has formed an opinion on a subject before they make up
their minds on where to sway (for or against) on the issue.

Activity 2.1
1. What do you understand by the term leadership?
? 2.
3.
Distinguish between headship and leadership.
Evaluate characteristics of a leader as outlined in this unit.
4. How applicable are the types of leaders identified in this unit to your
community?

2.3 Leadership Versus Management

The term leadership is a complex term to define because leadership has three
complex phenomena involving the leader, the followers and the situation. The
three variables are strictly interdependent that we cannot talk of one variable
without making an implication on the other variable. Leadership researchers
are still raging the war on the definition of the term leadership. There is no
single accepted definition of leadership. Leadership can be defined as the
process of influencing the organised group towards accomplishing the goals
of the organisation. In the process of influencing the group to the achievement
of the goals of the organisation the leader of the group directs and coordinates
the work activities of the group members. This means that to lead is to induce
a subordinate to behave in a desired manner. Directing the subordinate to
behave in certain manner need the leader to have an interpersonal relationship
with the community members to make them comply with what is needed to
be done in the organisation. In this way, leadership is seen as the way of

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transforming followers, creating a vision of goals that need to be attained and

articulating ways of attaining the stated goals.

Many people usually equate management to leadership although the two are
not necessarily the same. In actual fact managers are appointed to positions
of power in the organisation and to their positions. Their ability to influence
the subordinates depends on the formal authority inherent in their positions. In
contrast, leaders may either be appointed or emerge from within a work group.
Leaders are able to influence others to perform beyond the actions dictated
by formal authority.

Another difference between a leader and a manager is that the manager

administer to the subordinate whilst on the other hand the leader is innovative.
Managers maintain what they get available in the formal organisation and the
leader develops what is at the disposal of the organisation. One question
which still remains unanswered is the question of whether the manager should
be a leader or a leader is a manager. The following tale can be used to illustrate
the differences between managers and leaders.

Table 2.1 Differences between Managers and Leaders

MANAGER LEADER
Managers administer Leaders innovate
Mangers maintain Leaders develop
Mangers control Leaders inspire
Managers have short-term objectives Leaders have long-term objectives
Managers ask how and when Leaders ask what and why
Managers imitate Leaders originate
Managers accept the status quo Leaders challenge the status quo
The debate can be endless on whether the manager must be a leader and a
leader being a manager. Many people believe that leadership ability is a
handicap to a manager. We tend to believe that all managers should ideally be
leaders. However, not all leaders necessarily have the capabilities of being
effective managers, and thus not all leaders should be managers. The fact that
an individual can influence others does not mean that he/she can be able to
plan, organise, organise and control. The intention of this book is to study
leadership from the management perspective. Therefore the definition of
leadership that will be applied in this book is the leader is someone who can
influence others and who has the managerial authority that will lead the leader
to direct and influence a group towards the achievement of goals.

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2.4 Male Versus Female Leadership

On average men and women are equally effective in community leadership.
Take for instance the role of community leadership that was assumed by the
first female Vice President of Zimbabwe, Joyce Mujuru. She is showing
potential of leading the nation just equally as good as a male leader. Researches
have shown that men who are led by women prefer to follow the woman who
exhibits more feminine qualities. Men are more likely to rely on their formal
authority and on rewards and punishments whilst women tend to use their
charisma, interpersonal skills, hard work and personal contacts. Women, in
community leadership are usually characterised by encouraging participation,
sharing power and information and usually enhance people's self-worth.

2.5 Traditional Leadership

Traditional forms of leadership vary greatly according to cultural context and
to the functions that leaders are expected to fulfil. They may also differ
significantly over local areas depending on the particular characteristics of the
individual settlement. On the whole, the primary determinant of traditional
leadership is ascription, that is, leaders owe their position in local society to
who they are, and not to what they do. This is particularly the case in many
African and Asian countries, where appropriate leadership qualities include
age, status and affiliation to the dominant kinship group or lineage.

A leader's functions mainly revolve around representing the community to the

outside world, resolving disputes within the village and offering protection to
villagers. In many parts of Africa, for example, villages are headed by tribal
chiefs or clan elders. Age is a critical factor because political power, high
social status and the ability to command trust and respect are prerogatives of
the elderly in traditional African society. Ethnicity, that is racial and cultural
background, is also an important consideration, and the local headman is
likely to come from the dominant tribe or clan in a given area. Wealth too,
while generally less important than age, kinship and prestige, is similarly a key
factor, not only because it tends to go hand-in-hand with these other criteria,
but also because large landowners control resources on which the local
population may be dependent for its livelihood, and are an important source
of employment in village communities. Both historically, and in many present-
day villages in the rural areas, there is a widespread tradition of the "Big Man"
phenomenon, whereby a paternalistic leader of a village offers patronage and
protection for his community. While a "Big Man" is not necessarily a male

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leader (women and men have traditionally held important positions in local
political matters) women have tended to become excluded with the penetration
of colonialism and accompanying male-dominated administrative systems.

2.6 Community Leadership

Community leadership is a facet comprising of many people and organisations
that have the community at heart. Mostly the religious leaders and the traditional
leaders have played a pivotal role in the area of community leadership. Of
recent the community is now an area that has many players from abroad such
as the non governmental organization that seek to establish relations with the
communities. The entrance of the non governmental organisation in the
community is bring a new dimension of leadership in the communities as these
organisations bring in new methods of leading in the programmes they initiate
in the communities. Most of the non governmental organisations work directly
with the communities and individuals and this has often set them on a collision
course with the central government which is afraid of having its authority
undermined. The community leadership comprises not only of the general
population leadership but also of the business community, the central
government and the politicians. All these have a bearing on the leadership of
the community for the general welfare development of the community members.
The whole purpose of community leadership from all these facets is to make
sure there is meaningful development in the community that has to benefit
each and every individual in the community.

2.7 Active Citizenship and Community Leadership

Local leadership in the communities has played an instrumental role in setting
civil society organisations like the farmers' unions, trade unions, residents
associations, religious fellowships and consumer associations. All these need
community leaders to initiate and bank role the activities of such entities. This
calls for active participation of the community members in community leadership
because the individual associations and unions formed would require some
form of leadership. The leaders are drawn from the community itself and this
calls for the active role of the community members to take part.

The active participation of the community through engaging in community based

associations and unions assist the community to take lead in the monitoring
and policing the activities of the local authorities and the central government

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agencies, pointing out any transgressions and excesses. Active citizenship

participation has also been instrumental in creating and providing vital
information in decision making. For example, the local farmers' unions and
clubs can lobby government and the private sector to provide better
commercial deals with the intention of improving the status of the members of
the association.

However, in some cases local leadership in the form of citizenship participation

has assumed responsibility over the issues beyond its jurisdiction. A case in
point here can be that of the citizenship participation in the redistribution of
the land resources by the Zimbabwe National Liberation War Veteran
Association which literally took over the control of the implementation of the
2000 fast track Land Reform Programme in Zimbabwe. It was the veterans
association which principally determined the target farms and potential
beneficiaries. This was done with little or no input from the communities and
the local developmental structures in the country. Therefore, if unchecked,
local leadership, especially if backed by a politically powerful constituency,
can actually inhibit public participation and accountability in formation and
implementation of local government policy through creation of parallel structures
undermining those of the local authorities.

2.8 Community Involvement and Participation

The distinct characteristic to all participative leadership in communities is the
use of joint decision making. The community members should be consulted,
participate and involved in making decisions that affect them. This move will
enhance their commitment and increased loyalty to the decisions. There are a
number of reasons why community leaders would want to share their decision
making power with the community members. Firstly, the community
requirements are becoming complex such that there is no one who can claim
supremacy over every facet of the community. Even leaders have to depend
on their followers on other certain issues that they do not have knowledge
and skills. Thus participation and involvement of the followers by the community
leaders would allow those who know the most to contribute. Community
leaders should make sure that those communities that are made up of many
layers of the population there is adequate representative participation, and
quality circles should be encouraged.

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Activity 2.2
1. Distinguish between leadership and management.
? 2.
3.
Female leaders are more effective than male leaders. Comment.
Compare and contrast traditional and community leaders.
4. What do you think are the community benefits in the engagement of
citizens in community leadership processes?
5. Are male leaders different from female leaders? Why do you think
that?

2.9 Leadership Theories

In this section we take you through various theories of leadership.

2.9.1 The Trait Theory

The trait theory grew out of qualities found in well known natural leaders,
whom it was thought were born with leadership qualities. This theory suggests
that there are certain characteristics common to all successful leaders. One is
therefore born a leader. This thinking influences one's attitude towards
leadership development and training. If leaders are born, not made, then there
is no point of leadership training.

2.9.2 The Style and Behavioural Theories

The style approach came as a result of the trait theory failing to explain leadership
effectively. It focuses on leader behaviour, as opposed to leader traits. Studies
were carried out at Ohio State University, the University of Michigan, and the
Blake and Mouton studies.

In the Ohio State University Studies it was established that there were only
two independent dimensions of leader behaviour: consideration and initiating
structure. Consideration involves creating mutual respect and focuses on a
concern for group members' needs and desires. Initiating structure concerns
itself with organising and defining what group members should be doing to
maximise output. The two dimensions of leader behaviour were oriented at
right angles resulting in four behavioural styles of leadership:
1. Low structure, high consideration;
2. High structure, high consideration;
3. Low structure, low consideration; and
4. High structure, low consideration.

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At the University of Michigan researchers found that leaders were either

employee-centred or task-centred. It was concluded that effective leaders
were employee-centred.

The Blake and Mouton Leadership Grid was used to establish that there was
one best way of leadership. It has two dimensions; concern for production
and concern for people. They identified five possible leadership styles; 1.1
impoverished management, 1.9 country club management, 5.5 middle-of-
the-road management, 9.1 authority-compliance, and 9.9 team management.
Because it emphasises interdependence and teamwork, the 9.9 style is
considered by Blake and Mouton to be the best regardless of the situation.
They suggest that the 9.9 orientation leads to productivity, satisfaction,
creativity, and health.

The Style Theory illustrate that leader behaviour can be systematically improved
and developed. It revealed that there is not always one best way to lead, but
that it depended on the situation. For example, it was found that employees
prefer structure over consideration when faced with role ambiguity.

The Managerial Grid

(1,9) Country club style 9,9 team style

(5,5)
Middle of the road style

(1,1) Impoverished style (9,1) produce or perish style

2.9.3 Situational and Contingency Theories

Situational theories propose that the effectiveness of a particular style of leader
behaviour depends on the situation. For example, in a war situation, it is useful
to use an autocratic approach to leadership, as opposed to having a debate
about shooting. Fiedler's contingency Model, Robert House's Path-Goal
Theory, and Hersey and Blanchard's situational Leadership Theory are the
major situational theories of leadership.

Fielder's model suggests that a successful community leader depends on

matching a leader's style to a situation's demand. According to this model the
community leader has to understand his/her own leadership style, diagnose a
particular situation and then match style and situation. This may mean either to

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change the situation to match the community leader's style or giving the
leadership role to someone whose style does match the situation.

Hersey and Blanchard's situational leadership model suggests that the levels
of directive and supportive leader behaviour should be based on the readiness
level of followers. This is quite opposite to Fiedler's model which assumes
that the leader's style is relatively rigid. Hersey and Blanchard emphasise a
leader's flexibility to adapt to changing situations.

On the other hand the Path-Goal model indicates that the effective community
leader clearly specifies the task and work to reduce roadblocks to task
achievement. The role of the leader is to increase the opportunities for task-
related satisfaction and improve performance in community projects.

One of the most recent contributions to the contingency approach is the leader-
participation model. The model provides a set of rules to determine the amount
and form of participative decision making that should be encouraged in different
situations.

2.9.4 Transactional Theory

Transactional leaders in the community transact with the community members
through enlightening them on the goals and objectives of the community in
which each individual should observe a benefit from. This kind of leadership
encourages the commitment of the individuals in the community to work
towards a common goal as a team

2.9.5 Transformational Theory

Transformational leadership is leading by motivating. Transformational leaders
provide extraordinary motivation by appealing to the community members as
stakeholders to the process of community leadership and management. The
community leaders have to appeal to the values and the needs of the community
and inspiring members to think about community challenges in a new way.
These are leaders who have the potential of transforming their societies through
their words and actions. The community members feel trusted, admired and
respected to the fact that they tend to increase their loyalty to their community.
Community transformational leaders' influence rests on their ability to inspire
the community members through their actions, words and vision. In essence,
transformational leaders make tomorrow's dreams a reality for their
communities they lead.

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2.10 Community Leadership and Power Dynamics

Leadership involves the use of power to influence other community members
to act towards the attainment of the desired goal. Power is the ability to influence
the behaviour of others. Leaders excise power and effective leaders in the
community know how to use power wisely.

2.10.1 Sources of power

French and Raven (as captured by IPMZ, 1996) identified five sources of
power; legitimate, reward, coercive, charismatic and expert power. Handy
(as captured by Nyamuda, 2002) added the sixth source of power to French
and Raven's five sources.

Legitimate power: This is also known as position power or legal power. It

is power given to community leaders because of their offices and therefore it
resides in the position not in the individual concerned. Legitimate power is
thus similar to authority. It is based upon the role, or position, an individual
occupies in society. It is passed from one individual to another as he or she
moves in and out of the role. For example, presidents or prime ministers of
countries have power because of their positions, not because of their personal
characteristics or social class.

Reward power: This is also known as resource power. It is power to give

or withhold resources such as allocation of preferred assignments, fringe
benefits, or any other desired rewards. The more important the reward is, the
greater the leader's power over subordinates.

Coercive power: This is also known as physical power. It is power enforced

through fear of being beaten, excluded from a group, or being subjected to
any other form of painful punishment.

Charismatic power: This is also known as referent or personal power. It

resides in the person's personality. It can be enhanced by position or by expert
status.

Expert power: This is power derived from expertise, knowledge and

professional ability. Someone with it has power over those who need such
knowledge or information. The more important the information and the fewer
the people who possess it, the greater the power of the person who command
it will be.

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Negative power: This is power to stop, delay, distort or disrupt events. It

operates at times of low morale, irritation, stress, or frustration at the failure of
other influence attempts. The use of negative power breeds lack of trust the
superior has for the subordinate.

Activity 2.3
1. How important are leadership theories in the understanding of
? community leadership?
2. How useful is the Blake and Mouton Managerial Grid to your
community?
3. Discuss the various sources of power.

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2.11 Summary
In this unit we have argued that the ability to influence the ideas and actions of
others is found in all social systems. In a small family unit, such influence may
be found in the father, mother or uncle. In larger social systems, such influence
is built around power structures, status roles and a number of autonomous
institutions. There are people who are vested with the responsibility of making
decisions on behalf of others.

In Unit 1 we argued that governance is not only multifaceted, but contextual.

Governance also exists at different levels and institutional frameworks
(international; regional; continental; national; community; village; corporate;
and family level). In the next unit we look at global governance and its impact
on developing countries' governance and community development.

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References
Adebayo, K. (2009). AEM 409: Leadership and rural development. Lagos:
National University of Nigeria.
Fisher, F. and Tees, D. (2005). Key Competencies for Improving Local
Governance. Volume 1: Quick Guide. Nairobi: UN-HABITAT.
IPMZ, (1996). Management, Harare: IPMZ.
Kotter, J.P. (1988). The Leadership Factor. New York: The Free Press.
Nyamuda, P. (2002). Organisational leadership: Module MBA523. Harare:
Zimbabwe Open University.

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 Unit Three

Global Governance and

Developing Countries

3.0 Introduction

In the long history of humankind those who learned to collaborate and

improvise most effectively have prevailed (Charles Darwin, 19th Century
English naturalist, captured in Fisher and Tees, 2005)

Governance and community leadership in developing countries does not occur

in isolation. It is influenced by the different actors, institutions and decision-
making processes taking place at the international level. These global
governance structures are often not favourable to developing countries' needs.
Frequently, developing countries are integrated into global economic and
political governance systems from weak positions.
Governance and Community Leadership Module BSDS 304

On the economic side, developing countries are often unable to penetrate

developed-country markets even while their own markets are easily and
consistently penetrated. Their economic weakness and vulnerability are
exacerbated as a result. Developing countries also are excluded from having
an effective voice in global political and economic institutions, thereby
reinforcing their marginality, limiting their capacity to pursue some development
policies, and reducing their already insufficient influence during negotiations.

In this unit we focus on the broader concerns of governance in the international

community and how the international governance institutional framework affect
developing countries national governance and development processes. We
discuss the role of global governance in addressing developing countries
governance and development challenges.

3.1 Objectives
By the end of this unit, you should be able to:
 define global governance
 discuss global development challenges faced by poor countries
 discuss the role of global governance in addressing developing countries'
development challenges
 describe structural constraints that developing countries face in the global
system

3.2 Global Governance

In the context of this module, global governance refers to the institutions,
organisations, networks and processes generated by global actors to guide
and restrain the behaviour of themselves and others in both national and
international domains. These global actors include governments and multilateral
or inter-state organisations, private-sector actors that organise and undertake
their commercial activities on a global basis, and NGOs whose membership,
values, issues, organisation or actions have a transnational or supraterritorial
element. Global governance is a broader term than 'global government,' which
suggests a centralised authority capable of creating formal obligations without
the explicit consent of affected states and other parties (Ngaire Woods, 2000).

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3.3 Global Development Challenges for Poor

Countries
The development challenges faced by poor countries at the global level range
from access to global market opportunities to financial flows, from migration
and brain drain to WTO's Trade-Related Aspects of Intellectual Property
Rights (TRIPS), from conflicts to global environmental concerns. These
challenges, some of which also have regional and sub-regional dimensions,
are created by
 global disparities in income and wealth distribution among countries
 asymmetrical access to opportunities
 absence of level playing fields
 inadequate representation in the global arena
All these issues have significant implications for developing countries as they
face their development challenges.

3.3.1 Global disparities

Global disparities in income, wealth and human development outcomes are
stark. Developing countries account for only 0.6% of global GDP and the
same proportion of global trade. Global disparities exist not only among
countries, but among individuals as well. The world's richest 500 people have
a combined income greater than that of the poorest 416 million. About 40%
of the world's population accounts for only 5% of the global income; people
in this category live on less than US$2 a day. On the other hand, the richest
10%, almost all of whom live in high-income countries, account for 54% of
global income.

3.3.2 Trade barriers and distortions

Poor countries face great challenges as they attempt to participate in world
trade. Many obstacles stem from their inability to diversify their exports, reduce
the cost of doing business and improve transportation, communication and
energy systems. Also responsible, though, are barriers related to the
international trade structure, poor countries' lack of market access and
developed countries' domestic economic policies. Tariffs and quotas in the
international trade regime limit the ability of many poor countries to gain access
to much-needed markets or to diversify towards high value-added processed
goods. Peak tariff rates of about 15% are often concentrated in goods such
as agricultural products, clothing and textiles, which are major exports from

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developing countries. The relatively high rates, which are designed to protect
producers in developed countries, also have the effect of restricting imports
from poor countries.

Subsidies for agriculture producers in the developed countries also act to

keep out exports from developing countries. For example, cotton subsidies in
the United States and the European Union caused a loss of up to US$300
million in revenue to African cotton-producing countries in 1997. This amount
is greater than the total debt relief ($230 million) approved by the World
Bank and IMF under the HIPC (heavily indebted poor countries) debt-relief
initiative to nine cotton export countries in West Central Africa that same
year. Additionally, the wide gap between prices paid by final consumers and
those received by producers means that although business in several
commodities from the African developing countries has been booming, profits
are not being shared with the developing countries producers. According to
the International Coffee Organisation, earnings by coffee-producing countries
were between $10 billion and $12 billion in the early 1990s, while the value
of retail sales was about $30 billion. Ten years later, the value of retail sales
had soared to $70 billion, but revenues to producers had halved, to about
$5.5 billion.

3.3.3 Flow of financial and human resources

Many developing countries governments still depend heavily on foreign aid.

Net foreign direct investment (FDI) to developing countries totalled less than
3% of their

GDP in 2003, and other capital flows added up to less than 0.5%. The limited
flow of capital remains a problem that contributes to the low rates of saving
and investment in developing countries. The net FDI flows to sub-Saharan
Africa, for example, were $8 billion in 2003, and even this limited flow was
concentrated in a few countries.

Lack of migration opportunities and barriers to movement of labour,

particularly unskilled labour from developing countries, continue to constrain
the development efforts of many of these countries. The labour force in most
developing countries is extremely segmented. Highly skilled people can and
do compete in the global labour market, but unskilled people have problems
selling their services even within their national boundaries. Brain drain continues
to erode human capital in developing countries. Since 1990, Africa has been
losing 23 000 professionals annually. Today, some 300 000 African-born

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professionals reside outside of the continent. To fill in the human resource gap
created by brain drain, Africa employs 150 000 expatriate professionals at a
cost of US$4 billion per year. The reverse brain drain, which is now enriching
countries such as China and India, is not happening in other developing
countries where the traffic is one-way.

3.3.4 Debt burden and debt relief

The debt burden has become unsustainable in many developing countries,
crippling governments and limiting their ability to provide basic services and
public goods to their citizens as well as undermining economic growth. For
developing countries as a whole, the debt-servicing ratio is about 6.81% of
exports of goods and services. For some individual countries, however, it is
extremely high 65.7% for Burundi, 27.6% for Mauritania, 30.8% for São
Tomé and Principe, and 29.5% for Zambia (UNCTAD, 2003). These high
debt-servicing ratios clearly indicate that developing countries do not have
enough resources to channel to important social welfare issues like health,
education, nutrition and human security. Important resources that can be
oriented towards reducing the number of children dying of treatable or
preventable diseases are used for debt servicing.

3.3.5 HIV and AIDS and global governance

Of all the development challenges facing us today, HIV and AIDS is perhaps
the most urgent and global in nature. It knows no borders, national income,
race, age or gender. Addressing the epidemic requires international, regional,
national and local multi-sectoral initiatives embedded in a process of
participatory partnerships. Extensive international and national fiscal
mobilisation has long been needed. Fortunately, after years of avoidance and
foot-dragging, recently there has been an unprecedented increase in global
financial resources devoted to the epidemic. The total amount of money
allocated to the HIV and AIDS response around the world increased from
$300 million in 1996 to an estimated $4.7 billion in 2003. These figures include
funding from national governments as well as "out of pocket" spending by
directly affected individuals and families.

3.3.6 Armed conflict

Conflict in today's globalised world is not only about lost lives, lost livelihoods
and lost opportunities to escape poverty. It is also about a booming arms
trade business that fuels and maintains these conflicts, regardless of the

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outcomes. An average of US$22 billion is spent on arms by countries in Africa,

Asia, the Middle East and Latin America, a sum that would otherwise enable
most developing countries to meet the Millennium Development Goals (MDGs)
of universal primary education and reduced infant and maternal mortality. The
uncontrolled proliferation of small arms and light weapons has contributed to
incidences of armed conflicts by inciting outbreaks of violence, increasing
tension, and escalating and/or prolonging conflict.

The world's most powerful governments are also the world's biggest arms
suppliers, accounting for 88 percent of the world's conventional arms exports
(OXFAM International and Amnesty International, 2003). Most of these
weapons are exported to developing nations. The value of all arms transfer
agreements involving the developed countries in 2003 was more than $13.7
billion, and the value of all arms deliveries was nearly $17 billion during the
same year (Grimmett, 2004).

3.3.7 Global environmental issues

Long-term threats to the global environment are a common concern of all
countries and the responsibility belongs to all countries as well. Developing
countries are acutely vulnerable to a variety of natural shocks, including natural
disasters, and severe structural handicaps. They are susceptible to global
environmental phenomena such as the loss of biological diversity and adverse
effects of climate change that inter alia exacerbate drought, desertification
and sea level rise. Other global environmental degradations that affect
developing countries include acid rain, production of greenhouse gases, forest
fires, contamination of international waters and transnational logging. In many
cases, these countries are not the causes of such degradations but nonetheless
are victimised by them (Musingafi, 2012).

3.3.8 Global 'bads'

There are several notable global "bads" that affect developing countries
significantly. A number of developing countries are on key drug-trafficking
routes, which means they are highly susceptible to the violent crime and
corruption that often accompany the drug trade. Over the past decade,
trafficking in human beings has reached epidemic proportions. Trafficking in
human beings is a crime in which victims are moved from poor environments
to more affluent ones, with the profits flowing in the opposite direction, a
pattern often repeated at the domestic, regional and global levels. The search
for work abroad has been fuelled by economic disparity, high unemployment
and the disruption of traditional livelihoods.

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Traffickers can earn huge profits by taking advantage of large numbers of

potential immigrants. In Asia, girls from villages in Nepal and Bangladesh, the
majority of whom are under 18, are sold to brothels in India. Trafficking in
human beings is not confined to the sex industry. UNICEF estimates that
more than 200 000 children are enslaved by cross-border smuggling in West
and Central Africa. The children are often "sold" by unsuspecting parents
who believe their children are going to be looked after, learn a trade or be
educated. In many cases, trafficking patterns are also related to conflict
situations as combatants (or even peacekeepers) create a market for the
services of victims, and the effects of conflict erode the capacity of law
enforcement and other authorities to combat the problem.

Activity 3.1
1. What is global governance?
? 2.
3.
Discuss the role played by the United Nations in global governance.
Discuss global development challenges faced by poor countries.
4. How does armed conflict affect governance and development in poor
countries
5. What are the 'global bads'?
6. Governance and development challenges in developing countries are
externally induced. Discuss.

3.4 Global Governance Structure and Developing

Countries
The global governance structure represents a system with unequal rules, a
situation that results in unfavourable conditions for countries that have insufficient
representation and ineffective participation. Part of the problem is related to
the systems in place (for example, in areas of rules and representation), while
another part is related to lack of proper capacities (for example, in the area of
participation) in developing countries. As a result, these countries cannot take
advantage of the opportunities offered by the global system and at the same
time they are unprotected from the vulnerabilities caused by globalisation.

3.4.1 Unfavourable rules and insufficient representation

Large inequalities in economic power and influence are embedded in most
international institutions. Often this is justified on the grounds that those with

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the largest stake in the outcomes have most to lose, and that they must have
greater influence to ensure responsible decisions. If stake means financial
outcomes, that is true. But if stake refers to the number of people affected,
often negatively, then that justification looks very thin. Although developing
countries are deeply affected by the decisions of institutions such as the IMF,
World Bank and WTO, they have little power in their decision-making.
Furthermore, although all countries have a seat and a vote in WTO, actual
decision-making occurs within small group meetings that are heavily influenced
by a few countries; most developing countries are usually excluded. In addition
to the formal process, the informal processes further favour the industrial
countries. Serious gaps in transparency remain a major concern.

3.4.2 Ineffective participation

Integrating development countries into the global economy requires their voice
and effective participation in the rule-based multilateral trading system.
However, accession of developing countries to WTO has been hampered by
a number of factors:
 sustained policy issues related to adjustment of developing countries'
development strategies
 implementing instruments and legislative framework related to WTO
requirements
 insufficient knowledge, expertise, resources, infrastructure and analytical
capacities required for accession negotiations
 increasing demands by some WTO members for a higher level of
obligations and commitments from the acceding countries
Despite the adoption of simplified and streamlined procedures by the WTO
General Council in 2002, developing countries' accession remains a protracted
and complex procedure.

Many developing countries lack the capacity to negotiate complex and often
highly legal processes due to constrained human and financial resources,
limitations that are especially damning in trade negotiations. For example, in
2000, as many as 15 African countries did not have a representative at WTO
headquarters. At one point, 29 African nations with permanent missions in
Geneva only had one person to deal with all the UN agencies and diverse
issues. Without sufficient capacities to do the homework and pursue follow-
up actions, these countries can hardly be expected to participate effectively in
global forums. This shortfall has become even more complex as some of the
global negotiations have become highly technical and complex. Issues like

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environmental standards and procurement need solid substantive knowledge

to produce positive results for developing countries.

For effective participation in global forums, good substantive work and

coordinated action are needed at the country level also. Frequently, however,
policy makers, legislators and politicians in developing countries seem unaware
of the important global issues that have major implications for their countries.
In many cases, a lack of knowledge of the WTO negotiating process means
that countries are forced to change their domestic policies as a result of
agreements that are not fully understood. Global management also suffers
because of a lack of consistency between positions taken by various ministries
and missions abroad.

3.5 Restructuring Global Governance

In the light of the preceding discussion, the crucial question is what kind of
global governance structure is needed if the development challenges of
developing countries are to be effectively addressed. With the birth of the
United Nations and other global institutions, a global governance system was
created that has been in place for more than 50 years. New organisations,
new rules, new tools and new actors continue to be involved, but many of the
key global governance structures have remained the same from the beginning.
It can be safely assumed that changes and reforms are needed in the global
governance structure to overcome the development challenges of developing
countries. Outcomes from the 2005 World Summit show a positive movement
toward addressing the needs of developing countries, especially in Africa,
where the risk of not achieving the MDGs is greatest. In general, however,
restructuring global governance for developing countries still entails three
fundamental issues:
 new perspectives
 renewed strategies
 institutional reforms

3.5.1 New perspectives

Restructuring the global governance system could start with new perspectives
based on a set of new principles, the main features of which are:
a) putting human concerns and rights at the centre of global governance,
which consists of:

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 strengthening global ethics and responsibility;

 bringing principles of human development and social protection into
concepts and practice of global economic governance;
 adopting regional and global agreements to prevent races to the bottom;
 developing a global code of conduct for multinational corporations and
a global forum for their monitoring; and
 strengthening global commitment to democratic governance;
b) reducing human vulnerabilities and protecting poor people, which consists
of;
 reducing financial insecurity;
 protecting people during periods of crisis and adjustments;
 controlling global "bads";
 maintaining cultural diversity; and
 preserving the environment;
c) narrowing global gaps, which consists of:
 promoting a fair and even field;
 ensuring opportunities for weaker countries, and
 helping them develop capacities
Three elements are needed to make global arrangements more effective and
more reflective of democratic principles:
d) greater pluralism, which expands the space for all state and non-state
actors to influence policies and hold powerful actors accountable;
e) increased representation, transparency and accountability in decision-
making; and
f) fair and equitable opportunities and rules to allow for the effective
participation of all stakeholders
However, all these elements require political will from major power brokers
in favour of greater equity for developing countries.

3.5.2 Renewed strategies

Renewed strategies for global governance would properly address a range of
development challenges that developing countries face at the global level.
Among them are issues related to trade, financial flows, migration and brain
drain, environmental concerns and global "bads."

3.5.3 Trade and market access

In areas of trade opportunities and market access, capacities have to be
developed both on the supply and demand sides. On the supply side, many

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developing countries economies, particularly in Africa, may benefit from

diversifying their exports from the current predominant dependence on primary
commodity exports. Such lack of diversification exists also in most small island
states, where agriculture still remains a major export sector. Other important
capacity development issues on the supply side include development of
workers' skills, improved working conditions and quality control. All these
issues could be addressed through strategies emphasising institutional reforms
and better integration with broader development agenda.

On the demand side, a number of measures can be considered:

 global zero-tariff market access for developing countries;
 easing the rules of origin for developing countries exports;
 developing countries affected by the elimination of quotas on textile
and clothing may need financial and technical assistance to cover the
shortfall;
 Intra-regional cooperation and trading among developing countries.
In general, capacity development is required in developing countries to improve
their understanding of these issues and to create conditions in which developing
countries formulate views and positions on them. Capacities need to be
developed, for example, to enable developing countries to participate
meaningfully in different negotiations and trade arrangements.

More broadly, undertaking the following measures could greatly improve trade
and market access among developing countries:
 integrating trade issues into national development strategies;
 increasing regional integration;
 assessing the social impact of trade measures and considering the human
impacts of opening up economies;
 proper timing and sequencing of opening up the economy; and
 greater coordination among various ministries and agencies within
developing countries

3.5.4 Resource mobilisation

Enhancing developing countries' absorptive capacity can increase the
effectiveness of external development assistance. A good governance structure,
including efficient systems, less corruption, transparency and accountability,
and political stability, helps improve this capacity. More specifically, effective
absorption of FDI requires simplified rules, one-stop service, conducive
incentive structures and skilled labour.

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3.5.5 Migration and brain drain

Developing countries' interests in the area of migration are likely to be more
thoroughly acknowledged and responded to if raised in all relevant global and
regional forums. Institutions like the International Organisation on Migration
(IOM) can be used to set norms and guidelines designed to protect the rights
of overseas workers and ensure their well-being in both sending and receiving
countries. On the commercial side, systems for sending remittances and other
financial transactions would benefit from simplification and becoming more
widely available. One particular area of concern is that of human trafficking,
including trafficking of women and girls for prostitution. This problem can be
addressed more aggressively through broadly agreed norms, stricter legal
frameworks and their implementation, and multinational collaboration of law
enforcement agencies.

Brain drain is a complex problem for developing countries. Many people,

both in developing countries and elsewhere, have suggested various approaches
to deal with the problem. Ultimately, it seems that the most appropriate
strategies would be to focus less on trying to stop brain drain and more on
assessing how to make positive gains out of it. Several proposals are on the
table. They include:
 an exit tax (a tax paid by the employee or the firm in the receiving
country at the time the employment visa is granted);
 a flat tax, in which overseas nationals pay a small fraction of their income
(perhaps 1% ) to their home country; and
 a corporate model, in which the multilateral regime would allow
automatic inter-governmental transfers of payroll taxes or income taxes
paid by nationals of other countries.
All these proposals require serious thought both in terms of their content,
trade-offs and institutional implications.

3.5.6 Global environmental concerns

When considering strategies to deal with global environmental concerns that
affect developing countries, the first step is to recognise that they may best be
addressed through multinational actions, including the following:
 bilateral and multilateral discussions on global environmental concerns
and finding solutions that keep in mind the underlying assumption that
solutions need to be beneficial to all concerned;
 participation of developing countries in global environmental discussions
and negotiations, including those focusing on issues regarding which

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they are the victims and not the perpetrators (for example, greenhouse
emissions);
 formulation of regional and sub-regional environmental standards. This
would not only harmonise the environmental standards in relevant
developing countries, but also would help them take a common stand
in trade negotiations when issues related to environmental standards
are brought to the table; and
 introduction of permits for greenhouse emissions along the lines explored
in the Clean Development Mechanism (CDM) proposed in the Kyoto
Accord.

3.5.7 Inter-country consortium for transnational highways

for landlocked countries
It is widely agreed that transnational highways may bring net benefits not only
to landlocked countries but to all the countries through which they pass. But
conceptualising and building such highways brings up a whole series of difficult
questions:
 how should the issues of design and locations of transnational highways
be addressed where multiple nations are involved;
 who should finance the huge costs associated with construction of such
massive infrastructure projects;
 how should the costs of operations and maintenance be handled;
 and how should issues of inter-country equity in benefits and costs be
addressed given the fact that 1) different levels of benefits may accrue
to different countries, and 2) different countries may have different views
regarding how all costs (construction as well operations and
maintenance) should be borne.
The formation of an inter-country consortium, which is similar to a private-
sector joint stock company, is an important first step toward addressing these
questions. All countries through which the highway or highways pass should
be members of the consortium. Its members should agree on a common
standard for the highways' design and construction. Furthermore, members
of the consortium can discuss and determine how construction costs as well
as costs of operations and maintenance are to be borne by participating
countries, based on various agreed-upon formulas. They might consider, for
example, the length of highway segments in each country or relative country-
specific cost-benefit analyses.

Multilateral lending agencies can be crucial to such projects in a number of

ways. Through discussion at a regional or a sub-regional basis, international

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lending agencies can play a catalytic role in setting up a consortium; they can
mediate effectively in deciding on the consortium's rules and regulations,
liabilities and responsibilities; and, instead of lending to individual countries,
they can lend to the consortium with clear guidelines as to disbursement of
funds and individual countries' responsibilities. External agencies also can serve
as guarantor, with their reputation acting as the collateral, which would
encourage internal private finance to lend to the consortium. Through such a
process of consortium, the credit rating would be on a multi-country basis as
opposed to the current single country basis.

Non-lending institutions can also play major roles in several different areas.
They can provide the necessary traditional technical assistance at various
stages, including design, spatial location, and identification of common
standards and common tolls. They can also contribute to capacity development
by organising training and workshops on human resource development,
operations and maintenance, financial and administrative management, and
knowledge-sharing. Non-lending institutions can also move into new areas
such as national capacity-building in contracting, procurement and similar
activities.

Activity 3.2
1. What is preventing poor countries from taking the advantage of the
? opportunities offered by the global system?
2. Discuss the factors working against developing countries accession to
WTO.
3. In general restructuring global governance for developing countries
entails three fundamental issues. Discuss.
4. Suggest ways of improving global governance structures.

3.6 Regional Migration Framework

In a globalised world, labour moves across countries in search of enhanced
economic opportunities and a better life. But this movement faces several
constraints, including lack of proper information, legal barriers imposed by
different countries and the absence of a uniform framework for protecting the
rights and well-being of migrant workers. As a result, the migration process
has become quite dangerous. Illegal trafficking of people, particularly of women
for sex work, is widespread, and the human rights of migrant workers, even
when they are legal, are constantly violated.

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The formulation of a regional migration framework with rules and norms,

processes and modus operandi, and dispute and conflict-resolution mechanisms
can contribute greatly to human well-being and development in all countries
concerned. The process can be initiated through regional discussion and debate
on these issues, with participating countries agreeing to and endorsing a
framework. A regional monitoring unit can also be established as the watchdog
to ensure that the framework is implemented properly and effectively.

Multilateral lending and non-lending organisations can contribute to the

formulation and implementation of the framework. Lending organisations can
provide funds, or help generate funds by acting as the collateral guarantor, to
countries engaged in implementing the framework and also in setting up the
monitoring framework. Participating countries would be responsible for paying
back the loan. Non-lending organisations can provide technical assistance,
such as facilitating regional discussion and agreement, helping build the
monitoring unit's capacity and improving knowledge-sharing among all
stakeholders.

3.7 Regional and Sub-regional Common Standards

Common standards are important for developing countries to ensure meaningful
participation in global negotiations. Their participation is more credible and
influential when they are unified in regards to objectives and strategies; in such
circumstances, the all-too-frequent divide and rule policy of richer countries
becomes ineffective. Common standards can be created in areas such as
labour and environmental standards and technology transfers. Broader
discussion is needed among developing countries to identify criteria for common
standards.

3.8 Institutional Reforms

The institutional reforms required in global governance to address developing
countries' development challenges consist of strengthening some existing
mechanisms, overhauling others and initiating new ones. Some of the broader
proposals have been debated and discussed for quite some time.

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3.8.1 Increased engagement with civil society

Participation, public support and ownership by local actors and governments
are vital for international cooperation to work. A new global politics is emerging
with the potential to catalyse change and innovation. A significant feature of
these new movements is the pressure they exert on politicians and corporations
worldwide to respond to the needs of developing countries. Reaching beyond
governments to transnational groups, alliances and experts is an important
step, as would be the new multi-stakeholder processes stretching beyond
mere consultations to encompass a more active role for non-state actors in
setting agendas and formulating and monitoring policy. Expanded involvement
of NGOs, especially those from developing countries, could broaden
international decision-making processes. By the end of 2005, only about 250
of the 1 550 NGOs associated with the UN Department of Public Information
came from developing countries, and developing country NGOs account for
an even smaller share of those in consultative status with the UN Economic
and Social Council. It is also important to acknowledge that including civil
society organisations in decision-making processes will not have a significant
effect if national governments themselves are still excluded from the international
decision-making sphere.

3.8.2 Sub-regional legal aid centre for trade negotiations

As has already been mentioned, in trade negotiations developing countries
are often constrained by their lack of both human and financial capacity. These
constraints can be reduced by the creation of sub-regional legal aid centres
providing resources, both financial and human, to poor countries. Such centres
may have a small permanent secretariat with trade lawyers and negotiators on
a retainer basis so that developing countries can use their services whenever
needed in WTO and other trade negotiations. The secretariat can be the
catalytic agent in matching demand and supply by considering the needs of
countries and the expertise available. The services offered can include
interpretation of trade clauses, dispute settlements and financial obligations,
including debt relief in favour of poor countries. To summarise, close
consideration of the following issues can help to create and sustain viable
sub-regional legal aid centres:
 Ownership, reliability and respect are often enhanced when the services
are not offered for free. Fees can be established at rates that can be
afforded by poor countries;
 Both lending and non-lending multilateral organisations can assist in
setting up and running sub-regional legal aid centres for trade

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negotiations. Lending organisations may, as they have done traditionally,

provide the seed money as well as operational funds for such a centre.
They may also serve as guarantors of loans. Sub-regional countries are
encouraged to draw up a plan for paying back any loans.
 Non-lending institutions may provide technical support for setting up
the permanent secretariat, identifying the legal and negotiating expertise
in the sub-region and entering into contracts with these experts. At the
same time, they can also perform two major broader functions:
developing capacity in each country and managing knowledge by sharing
the experiences of outcomes and process of various trade negotiations
facilitated by the centre.

3.8.3 Reforms in Bretton Woods institutions

Many people in developing countries do not believe that their interests are
represented by international institutions such as the IMF, World Bank and
WTO or that these entities are adequately accountable for what they do. The
institutions are often perceived as only representing the narrow interests of
and being overly accountable to their most powerful members through both
informal and formal processes. However, these issues have long been
surrounded by controversy, and open to debate. Therefore, much more fact-
based research is needed to guide the direction of reforms in this area. Over
the years, the legitimacy of the Bretton Woods institutions has been questioned
in three primary areas: their internal governance structures, their policy
prescriptions, and their perceived associations with the so-called Washington
Consensus. In terms of their internal governance structure, the Bretton Woods
institutions have been perceived, on many occasions, to be guided by informal
de facto arrangements; to be too close to policy makers in the United States
as the world's largest economy; and to be heavily influenced by G8 countries.

For the Bretton Woods institutions, reforms in policies must be linked to reforms
in governance. If their governance were perceived to be more legitimate, their
policy prescriptions may become more acceptable. But on the policy front
also, the institutions should place greater priority on country ownership of
recommended strategies and policies.

If the Bretton Woods institutions are to play a major positive role in

development in the future, both their governance structure and those of the
international economic system must be allowed to change. Increasing gender
diversity among the top management would be a good start. Women constitute
only 8 percent of the World Bank Board of Directors, and there is no woman
on the IMF Board of Directors. Furthermore, the top governance of the

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international economic system should be broadened to go beyond the G8.

The institutions' voting-share systems, long weighted in favour of Western
Europe and the United States, should also be changed to take into account
current economic and demographic realities

Activity 3.3
1. The formulation of a regional migration framework with rules and norms,
? processes and modus operandi, and dispute and conflict-resolution
mechanisms can contribute greatly to human well-being and
development in all countries concerned. Comment.
2. How important are institutional reforms in global governance?
3. Justify the need for institutional reforms in global governance.
4. Many people in developing countries do not believe that their interests
are represented by international institutions such as the IMF, World
Bank and WTO or that these entities are adequately accountable for
what they do. Why?

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3.9 Summary
In this unit we argued that in the modern global international community it is
not enough to simply look at local communities' governance and leadership
frameworks without contextualising them into the broader global village system.
In this unit we looked at the broader concerns of governance in the international
community and how the international governance institutional framework affect
developing countries national governance and development processes. We
discussed the role of global governance in addressing developing countries
governance and development challenges.

In the next unit we look at the importance of engaging non-state actors in the
governance process.

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References
Ferreyra, A., Jahan, S., Keuleers, P., Mabsout, R., Mason, J., Mukhopadhyay,
P., Ohiorhenuan, L., Selim, N., Tamesis, P. and Taylor, N. (2006).
Governance for the Future Democracy and Development in the
Least Developed Countries. UNDP.
Fisher, F. and Tees, D. (2005). Key Competencies for Improving Local
Governance. Volume 1: Quick Guide. Nairobi: UN-HABITAT.
Grimmett, R.F. 92004). Conventional Arms Transfer to Developing
Nations, 1996-2003. CRS Report for Congress RL32547.
Congressional Research Service, The Library of Congress.
Musingafi, M.C.C. (2012). IWRM, potable water supply governance and
stakeholders participation in Zimbabwe and South Africa:
Comparative perspectives from selected water authorities. PhD
Thesis. Vanderbijlpark: North-West University.
OXFAM International and Amnesty International (2003). Shattered Lives:
The Case for Tough International Arms Control. London, UK.
UNCTAD (United Nations Conference on Trade and Development). (2003).
Economic Development in Africa: Trade Performance and
Commodity Dependence. New York: United Nations.
UNDP. (2005). Voices of the Least Developed Countries of Asia and the
Pacific: Achieving the Millennium Development Goals through a
Global partnership. Delhi: Elsevier.
Woods, N. (2000). Accountability in Global Governance. UNDP Human
Development Online: http://hdr.undp.org/docs/publications/
background_papers/2002/

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 Unit Four

Engaging Non-State Actors in

National Governance

4.0 Introduction

We will be forever known by the tracks we leave (Dakota proverb,

captured in Fisher and Tees, 2005)

According to Ferreyra (2006) non-state actors (communities, civil society,

the private [see Unit 6] sector and external development partners) have a
critical role to play in democratic governance and in addressing development
challenges. This role is anchored in two premises. First, non-state actors are
important partners of the state in the promotion of democratic governance
and development. State and non-state partnerships and interactions increase
the likelihood that a government is more responsive, transparent and
accountable to all members of society.
Governance and Community Leadership Module BSDS 304

These interactions and partnerships can improve democratic practice by

facilitating people's participation in politics and decision-making process,
empowering local groups to take charge of their livelihoods, and allowing
citizens to advocate for policy reforms with public officials and political figures.
Overcoming development challenges requires the existence of constant and
efficient linkages among governments and all members of society. This in turn
requires the existence of an inclusive and engaged society that incorporates
the voice of all groups in decision-making processes and promotes people-
centred development policies. Second, apart from partnerships with the state,
non-state actors by themselves can contribute significantly to addressing
development challenges of developing counties by, among other things, bringing
in alternative voices to policy debates and dialogues, providing service delivery
and acting as a watch dog for state activities. Nonetheless, just like the
government institutions that they seek to improve, non-state actors themselves
need to be subject to the same principles of transparency, accountability and
inclusiveness. Our aim in this unit is to develop a framework for understanding
the role of citizen engagement in government. We explore the concept of
government-civil society engagement through the principles of good
governance.

4.1 Objectives
By the end of this unit, you should be able to:
 define non-state actors and civil society
 discuss the framework for institutionalising engaged governance
 outline the integrative framework for the engaged governance
 evaluate the civil society contribution to democratic governance
 discuss approaches to address economic and human development
challenges

4.2 What is Civil Society?

According to Chatiza (2010) civil society refers to organisations that are formed
by citizens to pursue their social, political, and economic interests. Although
regulated, they are neither formed nor controlled by the state or the private
sector from which they maintain operational independence tempered by
strategic linkages and partnerships. According to Ferreyra (2006), non-state
actors (civil society) can contribute significantly to addressing community
development challenges, among other things, bringing in alternative voices to

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policy debates and dialogues, providing service delivery and acting as a watch
dog for state activities. Nonetheless, just like the government institutions that
they seek to improve, non-state actors themselves need to be subject to the
same principles of transparency, accountability and inclusiveness.

4.3 The State and Civil Society: Evolving

Relationships
Throughout the twentieth century, the public service tradition of the politically
disinterested, aloof, 'expert' bureaucracy (Felts and Jos, 1996) was slowly
eroded in many of the developed nations as it became mired in crises related
to the growing costs of public services due to the increasing scale of provision
and alleged inefficiencies. Governments were perceived to lack accountability,
which led to increasing community dissatisfaction and demands for privatisation
and greater public choice (Ackroyd, 1995; Esquith, 1997). In the late sixties,
commentators were predicting that emerging themes in public administration
would be social equity, ethics and citizen participation (Esquith, 1997).

Government responses to these crises ushered in the marketisation and

managerialism solutions (private sector 'solutions' to public sector 'problems')
of the 1980s. These approaches, referred to by some as 'new public
management' (NPM), emphasised strategic planning, performance
measurement, accountability, results, purchaser/provider split, contracting out
and 'doing more with less' (Hood, 1991). These managerial tools were
constitutive of a corporate governance focus adopted by governments.
Consistent with private sector principles and practices the public became
connected now to the state as "consumers with the ability to choose and
complain although not the ability to proactively shape services" (Corrigan and
Joyce, 1997: 419).

The general view, however, is that market-managerialism failed "to deliver on

its central claim to lower costs per unit of service (Hood, 1991). This perceived
failure in the 1980s efficiency measures has been attributed, in part, to a service
provision that simply grew and grew without much consideration or systematic
evaluation of the needs served or calculation of the benefits to the community
as a whole (Ackroyd, 1995).

For many nations with developing economies, the last century was also a time
of deepening administrative crises centred on the state's in-effectiveness in
addressing issues around poverty and social and economic development. The

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intervention by international funding and donor agencies throughout the 1970s

and 1980s to address such issues were frustrated (de Alcántara, 1998) by
weak governance institutions, entrenched corruption and a post-colonial legacy
of under-developed human capital. Of interest is that, from the 1980s, the
same managerialist reforms applied in the developed nations were transferred
without question to countries that differed not simply in economic terms but in
broad cultural, political and social terms.

Compounding these administrative crises, the last few decades have seen
governments across the globe increasingly engage with the "complex dialectic
of globalisation-regionalisation that has made it more difficult for nation states
to control economic activities within their borders and to achieve coherent
economic spaces" (Jessop, 1998: 33). In addition, old traditions of patronage
politics and clientelism have been contested by a multitude of organised civil
society interest groups and recently emerging global policy networks (for
example, Transparency International, the Kyoto Protocol), each seeking to
influence national policy agendas (Streck, 2002).

Striving to maintain legitimacy amid an increasingly complex administration

field and significant community distrust, governments have sought to expand
their governance repertoire beyond hierarchy and market modes to draw
increasingly into their decision-making processes a diverse array of private
sector, civil society organisations, international financial institutions and public
interest groups (Jessop, 1998). This same shift in governance focus is observed
in governments in developing nations (Musoni, 2003) stimulated, primarily,
by donor funding incentives. Purely economic approaches to development
problems by these agencies had proved ineffective in achieving planned
economic restructuring. Moves towards an institutional economics perspective
provided the frame through which donor agencies could intervene into the
social and political aspects of state governance, which were impacting on the
smooth functioning of the modern economic markets they were assisting to
develop (de Alcántara, 1998). This institutional approach by donors has further
evolved to incorporate, or at least support in principle, democratising agendas.
Economic development programmes and funds are now linked to the promotion
of more participatory state governance approaches in the view that more
'grass roots involvement' (in particular, by the poor) would better inform national
poverty reduction programming and, thus, enhance prospects of sustaining
development efforts on the ground.

In general, recognition of the citizen's right to participate and the associated

challenges to the role of public management have prompted a re-examination
of governance. Merrien (1998) describes the search for new forms of

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governance as a response to growing state dysfunction, the crisis of legitimacy

in the public sphere, intervention at all levels of state activity by agents and
institutions from the private sector and the new importance of the market
model.

4.4 Institutional Values for Government-Civil

Society Engagement
The current thinking on governance sees the individual and the group's right to
participate in government decision making as a centre piece along with notions
of good corporate governance. Engagement of the citizens in the running of
the affairs of the state results in the community becoming more responsive,
transparent and accountable to finding lasting and sustainable solutions to
state challenges.

Graham, Amos and Plumptre (2003) identify five broad sets of good
governance principles, which they relate to resolving the exercise of power
and the results of power. A summary of these principles is as follows:
Legitimacy and voice:
 recognition of a person's right to participate in decision-making whether
directly or through intermediaries that represent their intention; and
 consensus orientation that mediates differing interests in the group's
best interest and on policies and procedures;
Direction:
 leaders and the public share a broad and long-term perspective on
good governance and human development, along with a sense of what
is needed for such development, and understand the historical, cultural
and social contexts for such development;
Performance:
 responsive institutions and processes that serve the needs of all
stakeholders; and
 effective and efficient institutions and processes that produce results,
which meets needs while making the best use of resources;
Accountability:
 government, private sector and civil society decision-makers have some
form of accountability to the public as well as to institutional
stakeholders, and
 transparency through institutions, processes and information being
directly accessible to those concerned, and enough information is
provided to understand and monitor them;

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Fairness:
 equity of opportunities for all persons to improve or maintain their well
being,
 rule of law that is fair and enforced impartially (Graham et al., 2003).
Some of the espoused benefits of government-civil society engagement include
the following:
 providing for evidence-based policy and planning (Russell, 2000);
 a capacity to tap new sources of policy-relevant ideas, information and
resources;
 a capacity for aligning allocation of resources and service provision
with community needs;
 enhanced risk management in the context of an increasingly vigilant
public;
 potential for development of more strategic, long-term partnerships
between government and civil society sectors;
 development of civil society's trust in government and public institutions;
 development of citizenship and civic capacity; and
 strengthening of democracy and democratic institutions (Guthrie and
Bishop, 2003)
Engaged governance is a useful strategic and conceptual device for referring
to a system of governance that marries citizen rights, government political
vision, elements of good corporate governance and social justice. Good
governance has been conflated in practice with a narrow focus on corporate
governance and provides little understanding of the importance of engagement
as a political goal in setting government direction and shaping performance
and accountability systems.

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Activity 4.1
1. What is civil society?
? 2.
3.
Identify the non-state actors in governance.
Trace the evolution of the state-civil society relationship.
4. Analyse principles of good governance as per the Graham, Amos and
Plumptre (2003) outline.
5. Discuss the espoused benefits of government-civil society engagement
as outlined in this unit.
6. Do you agree that engagement of the citizens in the running of the
affairs of the state results in the community becoming more responsive,
transparent and accountable to finding lasting and sustainable solutions
to state challenges? Support your argument with practical examples.
7. What is the rationale for engaging civil society in the governance
systems?

4.5 Regulatory Systems for Government-Civil

Society Engagement
Regulatory systems are the tasks around which government-civil society
engagement is organised, the policy cycle and its component tasks. There are
options for government to open its political opportunity structures at various
points in a policy cycle and there are various points in the policy cycle where
citizens can access, or advocate to gain access into decision-making processes.
Of course, there is a capability dimension for both government and citizens as
they engage each other on these tasks. Capability can refer to adequate
knowledge, understanding, skills (technical and social), resources, opportunity
and so forth (Guthrie, 2003).

The policy tasks are likely to have local/regional as well as state dimensions.
For example, it is traditional for policy to be formulated at the central
government level. However, in a decentralised system of government,
information generated through local/regional government civil society dialogues
may set the policy agenda. Or conversely, an issue may be identified at a state
level but require substantial public input at the local/regional level during the
policy analysis phase. Similarly, while some planning processes may be
centralised, a decentralised system of government that aims to be responsive
to local/regional needs will have at its heart a deliberative, strategic planning
process involving government and civil society in identifying local priorities
and solutions.

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To implement engaged governance in practice, there are two issues for

governments and public administrators to resolve for each policy task:
 determining, formalising and communicating the distribution of roles,
responsibilities and accountabilities for government and non-government
sectors and actors for each policy task (for example, across state,
regional and local levels), in other words, describing the policy task
network; and
 decisions regarding who should participate, what information and
engagement opportunities should be provided, what engagement
mechanisms are appropriate and what capacities are needed must be
linked demonstrably to the enactment of governance and not viewed
myopically, as is currently the case, as project or programme specific
methods for solving technical problems only with discrete start-end
dates to citizen participation (Guthrie, 2003).

4.6 Examples of Government-Civil Society

Engagement on Policy
In this section, we present examples of government-civil society engagement
on policy.

4.6.1 Poverty reduction programmes

There are some examples that can be used to explain the government-civil
society engagement. A good example is that of poverty reduction strategy by
World Bank and the International Monetary Fund. The programme involves
participative processes. The underlying assumption of this kind of participative
processes is that it will create a sense of broad based ownership of strategy.
Civil society involvement would focus on participatory poverty analyses,
prioritisation of public actions to be addressed in the strategy and monitoring
government's delivery of the commitments made in strategies.

However, in most developing nations of Africa government accountability to

the Poverty Reduction Strategies Programmes processes; government
accountabilities to civil society are low. This condition is reinforced by little
availability of information to enable the civic society organisations and citizens
to build their knowledge of the process and the technical issues.

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4.6.2 Participatory budgeting

A good example in this case is the citizen involvement at the local government
level in the allocation of resources, broad social policy discussions and
monitoring of public spending. The Participatory Budgeting Programme is
framed on a pro-poor strategy that seeks to achieve social justice through
improved policies and resources allocation favouring low income households
and breaking the cycle of patronage politics. The pro-poor policy is applied
through the use of a quality of life index that provides assessments related to
neighbourhood disadvantage. While seemingly successful in achieving its aims
of government-civil society engagement, the participatory budgeting has got
its own problems. There are a number of questions typical of government-
civil society engagement, such as citizens wanting more information than
governments are willing to provide. Sometimes the government is believed to
have a pre-determined agenda and in turn the government officers viewing
citizens as too parochial in outlook.

4.6.3 Community governance model

This model aims at mobilising the collective resources of the community to
identify a community vision and apply the whole range of their resources to
the prosperity of the district. Councils are formed and their role is to make
sure that they create a conducive environment of resource contribution through
a governance process that is empowering of the communities and the citizens.
There is always the reconciliation of the diversity of views and interests in the
community and serves as a monitoring and learning approach to the best use
of the resources. In essence the community governance model involves a
community visioning process and the development of a number of spheres of
the community action plans that identify methods for achieving the distinct
vision.

4.7 A Framework for Institutionalising Engaged

Governance
The engaged governance framework can be applied at any decision making
level consistent with the notion that all systems are hierarchically imbedded.
The framework for institutionalised engaged governance revolves around the
engaged framework, network governance and deliberate democracy.

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4.7.1 The engaged governance framework

According to Guthrie (2003), the engaged governance framework can be
described as follows:
a) a normative dimension that provides the institutional basis for
government-civil society engagement and includes:
 a shared political vision of substantive goals that specifies the object(s)
of governance (Direction);
 a shared vision of the political rights of sectors and actors within the
governance system (Legitimacy and Voice);
 a shared understanding of contextual (political, cultural, social economic,
environmental) factors that can explain why certain qualities are valued
over others and why, sometimes, certain qualities are traded off
(Direction); and
 a set of legitimising conditions for establishing the nature of desirable
government-civil society engagement, for example, policy frameworks
and supportive policies, guidelines and performance indicators
(procedural and transformative) that are embedded in government
performance management systems (Accountability).
b) a regulative dimension that serves as the institutional framework for
organising systems around the core principle of a citizen's right to
participate and other governance principles such as Performance and
Accountability:
 policy cycle that can be understood as a vertically and horizontally
distributed task network that can be described in terms of policy goals,
task interdependencies (including political connections), accountabilities,
performance standards and management systems;
 the roles and responsibilities for government and non-government sectors
and actors within the task network at any point in time;
 mechanisms, processes, practices that enable government-civil society
engagement throughout the policy cycle; and
 resources (human, financial and informational) that will need to be
applied by the institution to government-civil society engagement around
policy tasks
c) a regenerative level that is focused, primarily on capacity development,
and also citizenship:
 capacity development strategies for the whole governance system
focusing on, for example, knowledge and skill capabilities of the various
sectors and actors to access the political opportunity structures within
the policy cycle

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4.7.2 Network governance

Two central features of network governance are the notions of interdependency
and collaboration for mutual benefit. Sectors and actors come together in the
policy cycle through joint interest in a specific activity or outcome that no one
party can address without the other parties' contributions. Similarly no one
party has power to determine the strategies of each other and decisions about
direction and management of operations is by negotiation. The most important
advantage of networking is the flexibility they provide for partnering for mutual
advantage; in essence networking catalyses informal and non-binding
opportunism. Networking has a place in the policy advocate where the
government may be seeking to build coalitions for mutual benefits. Networks
may add value in policy setting and analysis where relationships between
networking partners are sufficiently formalised.

4.7.3 Deliberative democracy

Deliberative democracy refers to informed dialogue and negotiation around
matters of policy. The assumption is that reasoned people choose the most
empirically valid and logical course in order that the community may establish
its normative guidance of conduct and its policies. Deliberative democracy
has some limitations in its implementation. The information is always insufficient
and participants are either representatives of a particular group whose thinking
and choices may not represent their memberships in the various groups and
sub communities. However, the limitations of the deliberative democracy do
not preclude participants from experiencing educative benefits through the
process as they come to appreciate the value-laden nature of the policy issues
as well as the enhanced sense of social responsibility.

4.8 Engaged Governance: An Integrative Framework

In addition to providing a tool for understanding engaged governance, the
engaged governance framework must be able to provide comment on the
various components of engagement practice and their contribution to the
effectiveness of the governance system.

4.8.1 Participation: representation and inclusion

Most good governance conceptions promote an inclusive approach to engaging
with sectors and actors. Inclusiveness means that any citizen, irrespective of
political, social, economic or cultural characteristics, or organised interest group

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can be involved. In some instances, government officers take such a literal

interpretation of inclusiveness that considerable efforts are made to engage
organised 'special interest' groups, often to the almost total exclusion of ordinary
people. Experience indicates, however, that there is almost always an interested,
active, informed minority and a large, silent majority. While it should not be
assumed that it is lack of capacity that is contributing to lack of involvement,
after all some people are not politically inclined, the lack of capacity to act
effectively does reduce the quality of governance regardless of the degree of
organisation in civil society (Wilson and Guajardo, 2000). Weakly organised
civil societies are less likely to take advantage of engagement opportunities,
and thus express their needs, when they do not have a compelling connection
to an issue or place or collective notions of the 'good society'. Weakly
organised civil societies are also less likely to hold government accountable.

Some prefer to leave it to others to act on their behalf as they do not wish to
incur the transaction costs that involvement entails. However, participation
through representation (or by deferring to a more organised entity who shares
the same intent) raises a host of questions relating to legitimacy of representation
(Raco and Flint, 2001). Worth noting however, is the enormous trust and
confidence that many members of the general public place in some of the high
profile international advocacy organisations (Mowbray, 2003).

Increasingly, in both developing and developed countries, institutional agents

are looking to Non Governmental organisations (NGOs) and Civil Society
organisations (CSOs) to assist in gaining strategic reach into communities or
the grass roots. Some governments prefer to mainstream particular civil society
partnerships that are considered more reliable although there are inevitable
questions about the group's capacity to maintain independence and avoid the
costs of professionalisation and bureaucratisation (Nowland-Foreman, 1998,
Shortall, 2002). Mainstreaming particular community structures for on-going
collaboration offers efficiencies and builds strategic capacity but may raise
concerns about capture versus inclusiveness and the representativeness of
nonelected community members (Raco and Flint, 2001; Agranoff and McGuire,
2001b; Cebulla, 2000).

4.8.2 People-centred policy

People centred policy pushes concepts and issues that are based in political
and social science into administrative focus. For example, citizens' values,
aspirations and capacities need to be placed centre stage with at least equal
consideration as more orthodox technical streams of information. This enlarged
focus has the potential to create a tension for public service administrators

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who adhere to managerialist values under the rubric of new public management.
Nevertheless, the people centred policy relies on an overarching political
commitment to address community aspirations, needs and benefits as well as
sustainable development. Such overarching goals imply a value stance at the
centre of a government's agenda to help citizens to articulate and meet their
shared interests. In both the developing and the developed nations, there is
growing consensus and recognition that local governance innovations for
development is more successful if it views people as both the owners of their
problems and their solutions.

4.8.3 Pro-poor policy

A pro-poor policy orientation is essentially affirmative action by governments
that is explicitly biased in favour of the poor so that they benefit more than
proportionately relative to the non-poor (Deolalikar, et al., 2002). To be
effective, pro-poor policy needs to address the social, economic and political
marginalisation that typically characterises the poor and to do so over the
long-term. Taken together, the principles of an engaged governance framework
provide a rationale, thus legitimacy, for pursuing socially just services to the
poor.

Participation of the poor in poverty analyses and opportunities for the poor to
express their needs and identify existing strengths and resources are considered
key to orienting governments to act in favour of the poor. As well, discussions
around pro-poor policies tend to highlight decentralisation of decision-making
as critical to understanding the genesis of poverty although the embedded
nature of poverty requires local, regional and national strategies.

Elements of an engaged governance framework that specifically support pro-

poor policy orientations include:
 a political vision of social justice and community development consistent
with good governance;
 a public expenditure management framework that incorporates social
justice and community development goals associated with performance
indicators;
 a policy commitment to pursuing participative processes throughout
the public policy formulation and delivery cycle at both the macro policy
and local priority and service delivery levels; and
 capacity building investments, either through mobilising existing
community service organisations to work with the poor to participate
and directly providing the poor with information and opportunities for
capacity building

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4.8.4 Partnership
There are myriad forms of public-private or public-civil society partnerships
forged to address area-based policy implementation (for example,
neighbourhood renewal), thematic policy formulation (for example, employment
policy) or specific service delivery (for example, construction, operation and/
or maintenance of specific infrastructure). In essence, government-initiated
partnerships are intended to harness 'local' and/or 'expert' knowledge,
experience and skills to get best value in the public interest (Shortall, 2002).

Activity 4.2
1. What role does the regulatory systems for government-civil society
? engagement play in governance?
2. Discuss the concept of Poverty Reduction Strategies Programme
(PRSP).
3. Assess some of the government-civil society engagement strategies.
4. What is participatory budgeting?
5. How viable is the community governance model?
6. Discuss the framework for institutionalising engaged governance.
7. Outline the integrative framework for the engaged governance.
8. Compare and contrast network governance and deliberative
democracy.
9. Describe the following:
 Participation (representation and inclusion).
 People centred policy.
 Pro-poor policy.
 Partnership.

4.9 Civil Society Contributions to Democratic

Governance
Democratic governance requires the existence of constant and efficient linkages
among governments and all members of society. Civil society provides a space
for state institutions and members of society to consult with each other, interact,
and exchange views and information on public matters. It also creates
institutional spaces for the active participation of minorities and vulnerable
groups in decision-making processes and for increasing political representation
of the views and interests of such groups in state institutions (Ferreyra, 2006).

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4.9.1 Civic participation and parliamentary development

Civil society in many developing countries has been successful in helping
enhance civic participation in democratic governance. In many instances, civil
society has created awareness about participating in elections, raised issues
for election manifestoes, and initiated debates and discussions on issues of
public concerns. It has also played a significant role in voter education
programmes, particularly among minorities, young and first-time voters, women
and indigenous groups. Citizen education programmes have resulted in higher
voter turnout in many developing countries. In several instances, civil society
groups have served as election observers.

Media, another stakeholder in development that is most effective when

independent from government control, has come to play an important role in
enabling society to promote democratic governance. As the political space
has become more inclusive, information has also become more readily
accessible in developing countries. The media has initiated civic education
programmes designed to help increase citizens' knowledge and awareness of
their rights and responsibilities and to promote an informed and participatory
civil society.

Civil society in developing countries has been instrumental in mobilising public

opinion and raising public awareness about Millennium Development Goals
(MDGs). Many civil society organisations have generated broad-based
mobilisation and created increasing demand for accountability on the part of
decision makers, a situation that is essential for introducing MDGs into the
public debate and policy-making. The role of civil society organisations has
been crucial not only in campaigning for the goals at the local level, but also in
monitoring progress and sustaining public interest.

4.9.2 Civil society and political parties

Political parties play a vital role in democratic governance: No democratic
system can function without alternative parties and candidates. Political parties
are crucial in aggregating interests, presenting political alternatives to citizens,
nominating candidates and linking voters with elected public officials. Moreover,
political parties can play a central role in generating cadres of leaders who
promote democratic governance principles and monitor elected
representatives. Additionally, once their members have been elected, political
parties can have influence in shaping public policy. They secure resources,
create support among different political forces, and orient government around
specific issues and platforms. Despite the fact that political parties may fall

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short when facing the complexities of national realities, no democratic system

can ignore them and efforts should be made to make political parties efficient,
inclusive and accountable institutions.

Political parties are often perceived negatively by the population, which may
consider them largely inefficient, corrupt and unaccountable (Ferreyra, 2006).
This situation is even more acute in developing countries, where there is usually
no tradition of multi-party government and little or no effort or resources have
been devoted to improving the quality of existing parties. Often, political parties
are viewed as driven by personal politics and out of touch with the main
concerns of society (Ferreyra, 2006). Among the common criticisms of political
parties are that they do not have clear internal procedures to democratically
select candidates; fail to give women and minorities a strong role in the party;
and overlook the importance of incorporating young people in the party ranks.

A healthy and balanced relationship between civil society and political parties
is essential for democratic governance. This relationship is not always easy to
establish or maintain, however. In some countries, there is persistent
confrontation among civil society organisations and political parties; in others,
meanwhile, it is hard to distinguish between the two entities because civil
society organisations play important political roles and are clear allies of political
parties. The latter situation is not necessarily a positive development, however,
because conflicts of interest can arise when the balance goes out of control.
"The real challenge is to balance support for democratic institutions and
organisations that are more accountable and inclusive, while at the same time
continuing to foster and nurture the development of a broadly based and
active civil society.

4.9.3 Ensuring state transparency and accountability

One of the most important functions of civil society is to provide checks and
balances to government power. In this context, civil society serves as the
watchdog of democratic institutions, helping ensure that they are accountable
to their constituencies. Civil society promotes state accountability in many
cases by empowering and making the state's checks and balances work
efficiently. In other instances, where government mechanisms of accountability
do not exist, civil society can exert pressure to create them in the first place.
Civil society in this sense is not an adversary of the state, but instead serves to
encourage it to improve and maintain its democratic nature.

By exposing abuses of power and government wrongdoings, increasing

expectations of effective performance and creating political pressure, civil

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society can push state mechanisms to target corrupt, inefficient and

unaccountable practices. However, in some cases, the capability of civil society
to make the state accountable is constrained by restrictive laws. In such
environments, civil society organisations focus on non-institutional tools like
mass mobilisation and media denunciations. The pressure they exert through
such means may be more symbolic, but it is nevertheless important.

In the developing countries context, organised civil society often advocates

for the end of authoritarian regimes and one-party rule, and for the establishment
of democratic processes and a multiparty political system. In many African
countries, civil society organisations have helped increase state accountability
to the citizenry by exposing and denouncing wrongdoings. In Benin, Chad
and Malawi, for example, civil society actors have used the media to expose
civil and political rights violations in an effort to restore or launch democracy
in their countries. In Senegal, civil society members helped to oversee the
election process and subsequently exposed instances of ballot stuffing and
other irregularities, which hastened the government's commitment to prevent
fraud and ensure transparency in the election process.

In many developing countries, civil society organisations have focused on

monitoring budgets as part of an effort to increase state accountability and
transparency. In Uganda, for example, budget monitoring has been brought
to the grassroots level through the action of the Uganda Debt Network (UND),
an NGO dedicated to promoting the inclusion of poor people's voices into
the economic and political decision-making process. By training volunteers in
different areas, UND has developed a network of community monitors who
measure service delivery and government initiatives to alleviate poverty.
Although UND's work generated some friction in the beginning, over time
community monitors and the local governments have become allies, with
officials seeing the project as a way to help track what they should be receiving
from governments higher up and as a constructive vehicle for community input
(Ferreyra, 2006).

Many civil society organisations encounter limitations and obstacles when

monitoring budgets and the transparency of public policy processes. In many
developing countries, government officials still consider the budget process to
be too sensitive and important for inputs to be provided by civil society.
Consequently, elected officials rarely discuss project proposals publicly or
solicit opinions from constituents. Few if any needs assessments or planning
discussions are held at the regional and local level, and often budget and
procurement procedures are extremely long and complicated. Budget
monitoring is also complicated by the lack of available data, government distrust

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of citizens' involvement in budget advocacy and monitoring, and civil society

organisations' substandard budget literacy.

4.9.4 Civil society's role in communication, information

dissemination and awareness building
An important element for the promotion and defence of human rights is the
existence of "rights literacy" among the population. Civil society can play a
substantial role in generating and disseminating knowledge about rights as
well as documenting and denouncing abuse of those rights. In many Asian and
African countries, for example, civil society organisations have led the way in
raising visibility and awareness of the HIV and AIDS epidemic and fighting
HIV-related stigma and discrimination (Ferreyra, 2006). These organisations
help to bring a human rights-based approach to the battle against HIV and
AIDS.

Civil society has played a positive role in many processes of peace and
reconciliation, providing the space for the circulation of information and
government service provision.

In Sudan and Somalia, civil society organisations:

 have organised symposiums and workshops addressing conflict
resolution;
 met with national and local leaders in order to pressure them to engage
in negotiations and bring an end to conflict; and
 demonstrated and disseminated their views through the media to engage
citizens in calling for an end to war (Ferreyra, 2006).
These organisations have also developed plans to address postconflict situations
in their countries, notably in terms of resettling internally displaced peoples,
initiating reconstruction, and increasing service delivery.

Civil society organisations in conflict or post-conflict areas also have

emphasised efforts to improve the situation of women through awareness
campaigns focusing on the effects of war and strife on women and children,
who are disproportionately affected by such turmoil. Women's networks have
organised successful campaigns to disseminate information on gender-based
violence, especially domestic violence. For example, in Rwanda, in the
aftermath of the genocide, several new civil society organisations were launched
to provide women with education; social, financial and psychosocial assistance;
and access to services addressing gender-based and domestic violence,
including legal aid for victims wishing to prosecute their attackers. In Sierra

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Leone, numerous local civil society organisations are committed to women's

empowerment. These organisations work with the media to reduce stigma
against women that results from gender-based violence, and to and create
opportunities for the advancement of women's education, welfare and status
(Ferreyra, 2006).

The widespread availability of information and communications technology

(ICT) tools, including short-wave radios, satellite, television and fax machines,
and computers and the Internet, have contributed to a decline in government
monopolies of information and opinion. Community radio has been critical in
disseminating information and enhancing local governance in isolated and rural
areas that public programming may not reach. In many developing countries'
remote areas, there has been an increase in local language radio and community
newsletters owned by indigenous groups and organisations (Ferreyra, 2006).

Such important strides forward cannot disguise the fact that the media in many
developing countries still faces challenges and constraints that seriously limit
its impact in advancing democratic governance. Among the most common
challenges we have:
 governments exercising control over the media;
 legal constraints on the provision or disclosure of official information;
 self-censorship by intimidated journalists;
 political or economic influences on media institutions (often related to
their ownership);
 precarious finances of media organisations and limited financial
resources;
 over-dependence on advertising sources that seek to gain influence
over content;
 hostility of politicians and public servants toward the media and the
disclosure of information; and
 lack of understanding of the importance to democratic institutions of an
independent and free media (Ferreyra, 2006).

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Activity 4.3
1. Evaluate the contributions of civil society to democratic governance.
? 2. How important is civic participation in parliamentary development?
3. No democratic system can function without alternative parties and
candidates. Comment.
4. In some countries it is hard to distinguish between political parties and
civil society because civil society organisations play important political
roles and are clear allies of political parties. What problems are likely
to arise in this scenario?
5. How does civil society ensure state transparency and accountability?
6. Describe the role of civil society in communication, information
dissemination and awareness building.
7. Evaluate the challenges and constraints that seriously limit the media's
impact in advancing democratic governance.

4.10Addressing Economic and Human Development

Challenges
The major two ways that civil society can contribute to addressing developing
countries' economic and human development challenges are:
 by taking an active part in policy debates and dialogues, and thereby
helping influencing policy formulation; and 2)
 by being an active partner in service delivery (Ferreyra, 2006).

4.10.1 Influencing policy debates and policy formulation

Civil society promotes democratic governance by providing government policy
makers with information on the needs and demands of citizens and directly
collaborating in the decision-making process. Through community and
grassroots organisations, civil society can effectively communicate the needs
of vulnerable groups that are often voiceless and serve as a bridge between
them and government institutions. It is able to articulate, aggregate and represent
specific interests of the population, especially those traditionally excluded from
access to power and representation (such as women, minorities and indigenous
peoples) and serve as brokers with political parties and state institutions.
Through such activities, civil society can contribute to making state policies
more sensitive and responsive to the needs and opinions of these groups.

State-civil society collaborative policy-making processes seem especially well

suited to address a wide range of difficult and complex social issues such as

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the environment and sustainable development, crime and safety, discrimination

and social justice, and poverty and social equity. The establishment of a
development structure that integrates the participation of civil society and
government at local/village, intermediate/commune and/or district, regional/
province and national levels within a single coherent framework is of paramount
importance. This integration can help countries to capitalise, in policy terms,
on experience gained at the community level and to institutionalise grassroots
participation in decision-making.

Civil society involvement in policy-making requires the creation and

maintenance of constant links among government officials and donors. Although
distrust between the two sectors can limit cooperation, experience indicates
that it is precisely when civil society organisations collaborate with state
institutions that they have more opportunities to strengthen and improve state
policy. In Mozambique, for example, civil society organisations have been
working closely with legislators to create awareness of gender issues. By
doing so, they have been able to develop women caucuses and to promote
important policies for the improvement of women while gaining experience in
parliamentary rules and procedures.

4.10.2 Providing basic social services

In recent years, civil society in many developing countries has become more
involved in delivering basic services to communities. NGOs and other
community-based organisations can provide the information necessary for
understanding the needs and expectations of poor people with regard to service
delivery. In this way they offer important skills and resources that the state
and private sector may lack. Civil society provision of social services has
contributed to fill important capacity gaps.

Civil society organisations have worked to safeguard the environment and

ensure efficient access to forestry and water resources. In many developing
countries, civil society organisations have been significantly active in primary
education, health services and water supply. In Africa, civil society organisations
have developed projects and programmes to provide prevention and treatment
education and HIV-related health care. The Southern Africa Capacity Initiative
(SACI) was designed to address the challenges posed by HIV and AIDS.
Lesotho, Malawi and Mozambique are members of this initiative, which focuses
on developing partnerships and coalitions to combat the disease. These steps
are undoubtedly important and helpful. However, the civil society's
effectiveness in service delivery is being jeopardised by the rampant spread

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of the epidemic, which has taken the lives of many people engaged in delivering
social services to the public.

4.11 Limitations and Challenges of Civil Society

Civil society's influence in most developing countries continues to grow, but
the sector still faces major challenges and limitations. The strength of civil
society is uneven among developing countries. Democratic systems of
government often struggle with problems related to their functioning,
representation and legitimacy. These problems are related to the lack or
weakness of mechanisms of dialogue and participation that would enable civil
society and the people at large, especially the poorest and most marginalised
in society, to have more of a say in policy decisions and monitoring procedures.
Such shortfalls are extremely problematic because civil society participation
is crucial for effective democratic development.

Many civil society organisations in developing countries cannot exercise their

full potential due to human, financial and legal constraints. An important limit
to their activities comes from the lack of financial autonomy and legal standing.
In many developing countries, civil society organisations are highly dependent
on foreign resources and find it difficult to survive without external support
from international funding agencies or their international NGO counterparts.
Although international support undoubtedly has been useful in helping increase
the number of effective local NGOs, it has also meant that actively or passively,
international donors tend to impose their own agendas onto national and local
NGOs. This raises questions related to local empowerment and ownership.

Funding can be a complicated issue for many civil society organisations that
provide social services. They generally wish to remain independent of the
government despite their reliance on public funding for some of their services;
too often, however, public funds are provided only in exchange for political
support, thus compromising many organisations' independence.

Civil society activities are also limited when regulatory frameworks are weak.
In many developing countries, laws and norms regulating the activities of NGOs
and other civil society organisations limit their potential by excluding them
from effectively influencing policy or acting as watch dogs. At the same time,
many civil society organisations themselves have poor internal governance
structures and lack the accountability and transparency that they demand from
their governments, a situation that affects the organisations' credibility and
leadership. The lack of internal accountability and capacity also seriously

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hampers civil society's capability to receive and absorb financial resources. In

order to play its role most effectively, civil society requires the following:
 an enabling environment that includes legal norms facilitating its
recognition and institutionalisation;
 a culture of dialogue and transparency (which both civil society and the
state contribute to developing); and
 the material resources (including their provision by the state) necessary
to making a meaningful contribution to social debate. In post-conflict
settings, civil society has a big impact on reconstruction efforts where
lack of accountability and transparency can generate corruption
(Ferreyra, 2006).

4.12 External Development Partners

External development partners, both bilateral and multilateral, are major non-
state actors in developing countries. These partners have contributed not only
to fill in the resource gap, but also to enhance policy debates and dialogue,
address governance concerns, and develop national capacities for addressing
the nations' development challenges. For example, the role played by UNICEF
in provisioning of safe water and children's immunisation is well-known.
Bilateral donors such as Canada, Denmark, Finland, the Netherlands, Norway
and Sweden are quite active in the social sectors of many developing countries;
bilateral development partners from Japan, the United Kingdom and the United
States, meanwhile, actively participate in the physical infrastructure sectors.
External development partners are working with national governments and
NGOs in countries heavily affected by HIV and AIDS to deal with the
particularly devastating effects of the epidemic. Their role in environmental
sustainability and natural disaster management is also noteworthy. External
development partners also cover resource gaps in many developing countries
and undertake aid harmonisation and coordination efforts.

In post-conflict situations, external development partners contribute heavily

to restoring services.

In addition to their work responding to economic and human development

challenges, external development partners also contribute significantly to
addressing developing countries' governance challenges. Both multilateral and
bilateral development partners help national governments to design and
implement parliamentary reforms, ensure access to justice through judiciary
reforms, promote public administration reform and combat corruption. They

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can also provide vital support for increased dialogue and information about
political transition, as has happened in Haiti.

External development partners have supported public administration reforms

in many developing countries by supplying knowledge and financial and
technical resources, boosting confidence and stimulating new thinking and
practices. They often seek to improve civil servants' performance and
motivation by selectively raising ("topping up") some salaries. While this practice
is often frowned upon at their headquarters as both distortionary and
unsustainable, it is often unavoidable on the ground, especially in the context
of capacity-constrained countries. To address this ideological discrepancy,
various attempts have been made to bring top ups formally within the pay
regime and to identify less distortionary and more sustainable solutions and
transparent process.

Support by external development partners can be one viable option to

ameliorate severe resource constraints to decentralisation in developing
countries. However, over-dependence on external aid can also be dangerous.
Over-dependence inhibits national ownership of reforms and establishes
conditions in which development fails to continue, or even regresses, when
donor support is withdrawn. Local commitment, capability and sustainability
should be emphasised during project implementation to help avoid backsliding
in the future.

Partnerships between civil society organisations and international donors and

development agencies have become essential for the promotion of peace,
sustainable development and democratic governance. Civil society groups
often play crucial intermediary roles between external development partners
and the community.

Activity 4.4
1. Discuss the major two ways that civil society can contribute to
? addressing developing countries' economic and human development
challenges.
2. How would you address economic and human development challenges?
3. Discuss the limitations and challenges of civil society in community
governance.
4. What role does external development partners play in governance and
development in developing countries?

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4.13 Summary
In this unit we looked at the role of civil society, the international community
and the private sector in community governance, leadership and development.
We started by assessing civil society's contributions to various aspects of
democratic governance. While acknowledging the important role of civil society
in addressing governance challenges, we also stressed that civil society has its
own limitations and is thus not a development panacea. Sections of this unit
were devoted to a review of civil society's achievements in policy formulation
and service delivery; and interaction between civil society and external
development partners.

In the next unit we look at corporate governance and the role of the private
sector and public-private partnerships in addressing governance and
development challenges of developing countries.

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References
Ackroyd, S. (1995). From public administration to public sector management.
Understanding contemporary change in British public services.
International Journal of Public Sector Management, Vol. 8, No. 2,
pp. 19-32.
Agranoff, R. and MacGuire, M. (2001a). American federalism and the search
for models of management. Public Administration Review, Vol. 61,
No. 6, pp. 671-681.
Agranoff, R. and McGuire, M. (2001b.) Big questions in public network
management research. Journal of Public Administration Research
and Theory, Vol.11, No.3, pp.295-326.
Barnes, M. (2000). Researching public participation. Local Government
Studies, Vol. 25 (4), pp. 60-75.
Chatiza, K. (2010). Can local government steer socio-economic transformation
in Zimbabwe? Analysing historical trends and gazing into the future. In
De Visser, J., Steytler, N. and Machingauta, N. (eds). Local
government reform in Zimbabwe: A policy dialogue. Bellville:
Community Law Centre. University of the Western Cape. Pp. 1-30.
Cebulla, A. (2000). Trusting community developers: the influence of the form
and origin of community groups on residents' support in Northern Ireland.
Community Development Journal, Vol. 35, No. 2, pp.109-119.
Corrigan, P. and Joyce, P. (1997). Reconstructing public management. A new
responsibility for the public and a case study of local government.
International Journal of Public Sector Management, Vol. 10, No.
6, pp. 417-432.
De Alcántara, C.H. (1998). Uses and Abuses of the Concept of
Governance. UNESCO, Oxford: Blackwell Publishers.
Deolalikar, A.B., Brillantes, A.B., Gaiha, R., Pernia, E.M. and Racelis, M.
2002. Poverty Reduction and the Role of Institutions in Developing
Asia. ERD Working Paper Series No. 10, Economics and Research
Department, Asia Development Bank.
Esquith, S. (1997). John Rawls and the recent history of public administration.
Journal of Management History, Vol. 3, No. 4, pp. 328-341.
Felts, A.A. and Jos, P.H. (1996). The contemporary challenge to the
administrative state: a Weberian analysis. Journal of Management
History, Vol. 2, No. 1, pp. 21-36.
Ferreyra, A., Jahan, S., Keuleers, P., Mabsout, R., Mason, J., Mukhopadhyay,
P., Ohiorhenuan, L., Selim, N., Tamesis, P. and Taylor, N. 2006.
Governance for the Future Democracy and Development in the
Least Developed Countries. UNDP.

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Fisher, F. and Tees, D. (2005). Key Competencies for Improving Local

Governance. Volume 1: Quick Guide. Nairobi: UN-HABITAT.
Graham, J., Amos, B. and Plumptre, T. (2003). Principles for Good
Governance in the 21st Century. Institute on Governance, Policy
Brief No. 15. www.iog.ca/publications/policy briefs.
Guthrie, M.D. (2003). Engaged governance: An institutional approach
to government-civil society engagement. Colombo: United Nations
Department of Economic and Social Affairs.
Hood, C. (1991). A Public Management for all Seasons? Public
Administration, Vol. 69, Spring, pp. 3-19.
Jessop, B. (1998). The Rise of Governance and the Risks of Failure: The
Case of Economic Development. UNESCO, Oxford: Blackwell
Publishers.
Merrien, F.X. (1998). Governance and Modern Welfare States. UNESCO,
Oxford: Blackwell Publishers.
Russell, A. (2000), Regional policy: Recognising spatial diversity. Draft
concept paper. Department of the Premier and Cabinet Regional Office
Network.
Shortall, S. (2002). Social Exclusion in Rural Areas: Are Area Based
Partnerships the Way Forward? Occasional paper presented at
Queensland University of Technology, Brisbane, Australia. Queens
University Belfast: School of Sociology.
Streck, C. (2002). Global Public Policy Networks as Coalitions for Change
in I. Esty (Ed.), Global Environmental Governance, Options and
Opportunities. Yale School of Forestry and Environmental Studies.

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84 Zimbabwe Open University

 Unit Five

Governance and the Private

Sector

5.0 Introduction

T
he private sector includes transnational corporations, small and
medium scale enterprises and the informal sector. In many cases,
transnational activities in a country are known to create isolated
economic enclaves without any forward and backward linkages to the rest of
the economy. Many repatriate profits, which limits the benefits provided to
local communities. They often take advantage of eased financial and regulatory
policies (for example, operating in export-processing zones) but ignore
workers' rights (for example, the absence of a right to unionise in export-
processing zones). Transnational corporations sometimes fail to live up to
their social responsibility (for example, with regard to environmental
degradation).
In this unit we look at the concept of corporate governance and the role of
the private sector in governance and community development.
Governance and Community Leadership Module BSDS 304

5.1 Objectives
By the end of this unit, you should be able to:
 define the phrase corporate governance
 identify stakeholders in a business outfit
 give explanation of salient issues in corporate governance
 analyse the role of private sector in governance and community
leadership

5.2 Corporate Governance

Before we look at governance and the private sector, we have to look at
governance in corporate and business organisations.

According to Aroge (2009), the concept corporate governance can be defined

as the whole spectrum of the culture of an organisation which includes its line
of accountability, business, global operational network, decision making
processes, leadership style, authority, power and approach/strategy to
accomplishment of tasks. The domain of corporate governance covers the
setting up of overall direction for the enterprise through adequate supervision
and control of actions of its executives to facilitate satisfaction of stakeholders.

The main import of corporate governance is to ensure corporate stability and

viability, the choice, quality and mix of persons to perform corporate functions
profitably to the satisfaction of the stakeholders in the organisation concerned
and the larger society through its social behaviour and or social responsibility.
Corporate governance is thus a system of structuring, operating and controlling
a company to achieve strategic goals to satisfy stakeholders and to comply
with the legal and regulatory requirements and to meet the environmental and
community needs.

5.3 Stakeholders in Corporate Governance

Corporate governance stakeholders include managers/ management/ board,
share/ stockholders, employees, suppliers, consumers, distributors,
government, the community and the workers' organisation. Their examination
is important and relevant to our discourse more so that governance as a
concept is being described and qualified by the word corporate which is a
network of relationship. It is indeed a group deal in which each of the

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stakeholders has definite role to play to engender organisational functionality

to bring about the necessary corporate stability and viability.

Activity 5.1
1. What is corporate governance? Discuss its purpose?
? 2. Identify stakeholders in corporate governance.

5.4 The Private Sector

As already explained in the introduction of this unit, the private sector includes
transnational corporations, small and medium scale enterprises and the informal
sector. Small and medium scale enterprises often do not get process and
policy support from the state, either in terms of simplifying the procedure for
approvals or in terms of policy incentives (for example, tax cuts). The informal
sector, which is at the bottom of the ladder, contributes significantly to both
employment generation and economic growth in many countries. Yet this sector
faces challenges related to legality, unfair treatment and discrimination; receives
no policy support; and is subjected to extortion and violence by law
enforcement.

The private sector is a major actor in democratic governance. Securing and

maintaining peace, stability and good governance depends in part on economic
and employment opportunities that provide enough income to improve living
standards. The private sector is an essential source of opportunities for
productive employment and economic growth; its strength helps create a vibrant
society and gives people the opportunity to use their energy and expertise in
creative and productive ways. Thus, development results from the on-going
interaction among three agents of change: the state, civil society and the private
sector. A thorough understanding of the role of the private sector depends on
the ability to distinguish among various private-sector entities, given that their
structures, objectives and modus operandi may be asymmetrical.

To effectively help promote democratic governance, the private sector needs

not only to be strong, but also to be responsive to society. The private sector
can contribute to peace, stability and good governance by:
 maintaining fair and competitive markets;
 ensuring that poor people (especially women and other vulnerable
groups) have equal access to economic opportunities, productive

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employment and credit;

 fostering enterprises that produce jobs and opportunities;
 attracting investment and helping the transfer of knowledge and
technologies, particularly for the poor; providing incentives for human
resource development; and
 protecting the environment and natural resources (Ferreyra, 2006).

5.5 Private Sector Contributions

Small- and medium-scale enterprises and the informal sectors are especially
important to efforts to address developing countries' economic and human
development challenges. For example, the garment industry in Bangladesh,
which consists mostly of small- and medium-sized enterprises, generates
revenues of $2 billion every year from linkages with the rest of the economy in
addition to contributing to direct export earnings. In sub-Saharan Africa the
informal sector accounts for 72% of non-agricultural employment and 41%
of GDP (Ferreyra, 2006).

Micro-enterprises are often the most common type of economic activity in

developing countries. Operating mainly in the informal sector of the economy,
they provide subsistence employment to workers who cannot find employment
in the formal sector. However, it should be noted that poor quality jobs, low
pay, overwork, and unsafe and unhealthy working conditions are widespread
in the informal sector. Initiatives have been launched in some developing
countries to improve working conditions and economic viability. In Uganda,
for example, through the use of ICTs (mainly radio), some programmes have
been initiated to help small enterprises gain access to training and other
resources (Ferreyra, 2006).

There is a significant gender dimension in small- and medium-scale enterprises

as well as in the informal sector. In some developing countries, women
comprise an important part of the informal sector, working from home in both
rural and urban areas. This is particularly true in countries that culturally or
legally restrict women's access to the formal economy. Some two million
women are employed in Bangladesh's garment industry. In sub-Saharan Africa,
meanwhile, 84% of workers in non-agricultural informal employment are
women. In the region's informal sector overall, two of every three women
employed are self-employed. In Benin and Chad, the share of women's
informal employment in non-agricultural sectors is as high as 95% (Ferreyra,
2006). The poorest women in developing countries are employed in agriculture
or in the informal sector, and their work is vastly undercounted in employment

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statistics. In developing countries, women's contribution accounts for more

than 75% of the post-harvesting work in agriculture (Ferreyra, 2006).

Service provision is an area where the private sector can play a very important
role in improving the quality of life of poor people, who in most part of the
world are the ones who pay higher prices and receive the lowest quality of
services. In many developing countries, the private sector is already providing
services where the government is unable to do so. In Cambodia, for example,
small private business provides energy (from battery recharging to fully metered
electricity) to more than one third of the population. In Mali, the district of
Yirimadio within the city of Bamako is not served by the Energie du Mali
(EDM) public water utility. Its 11 000 residents instead are supplied by a
private water provider, whose services were originally established through
the Drinking Water Supply in the Outlying Districts of Bamako Project
(Ferreyra, 2006). Two other private water suppliers were established in the
Sebenikaro and Sikorori districts. Both are supplied by private boreholes
and are connected into the EDM electricity supply network. The private sector
is also involved in sanitation services.

There are also instances where private-sector involvement in service delivery

did not work, however, and NGOs had to be brought in. For example, the
water supply to Dakar, Senegal and some 50 other urban areas is provided
by Senegalaise Des Eaux (SDE), a private company with a 10-year contract
(1996-2006) with the Senegalese National Water Authority (SONES) to
manage and deliver water services. Because the procedures and practices of
SONES and SDE for dealing with household connections were not considered
appropriate to poor neighbourhoods where community rather than individual
solutions must be applied, SDE and SONES in 1999 entered into a partnership
with ENDA, an NGO experienced in social engineering to design a strategy
for reaching low-income consumers (Ferreyra, 2006).

Activity 5.2
1. Analyse the role of private sector in governance and community
? leadership.
2. How important is the contribution of the small and medium enterprises
to development efforts in developing countries?

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5.6 Constraints to Private Sector Development in

Developing Countries
Conducting business in developing countries is often complicated by lack of
sufficient infrastructure (poor energy, transport and telecommunications
infrastructure) and the resulting transaction costs for the private sector.

The issue of transparency and accountability is of prime importance for the

private sector in developing countries, particularly for foreign companies and
multinational corporations.

Small and medium enterprises tend to be engines of job creation, centres of

innovation and entrepreneurship. However, in many developing countries small
and medium enterprises face significant challenges that result in their having a
marginal economic role to date. Small and medium enterprises in developing
countries have difficulties relating to access to finance, counselling, information,
skills, technology, and markets. An additional challenge is posed by the policy
and business environment in which they operate, which is changing rapidly as
a result of market-oriented reforms and technological change.

The ability of small and medium enterprises to grow may also be restricted by
large companies taking advantage of weak institutional environments and rising
anticompetitive barriers to protect their dominant position.

Informal enterprises experience severe constraints regarding access to

resources and the legal system and its benefits. In general, informal enterprises
are not able to borrow money in financial institutions because they are not
formally registered as business organisations or because they do not have title
to the land they use. Moreover, the informality of the economy presents
challenges for small and medium entrepreneurs that want to operate in the
formal sector.

Formal entrepreneurs are affected by an uneven enforcement of laws and

poor mechanisms for protecting property and contracts. Formal small and
medium businesses find it difficult to compete with the low prices of informal
enterprises because they have to pay taxes, whereas informal ones do not.

5.7 Public-Private Partnership

Creating sustainable development requires that states and their development
partners (the private sector, local communities, and civil society organisations)

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join efforts and resources for improving the delivery and quality of basic services
to all citizens, with special attention to those who need them most. Public-
private partnership is the spectrum of possible relations between public and
private actors for the cooperative provision of infrastructure services. At their
best, public-private partnerships can combine the best of both sectors; the
public sector's notion of public accountability and social and environmental
responsibility and the private sector's values of managerial efficiency and
entrepreneurship, as well as resources and technology. However, these
partnerships still must face the challenge of guaranteeing access to social services
to all citizens while maintaining profitability.

Activity 5.3
1. What are the constraints to private-sector development in developing
? countries?
2. How important are public-private partnerships in governance processes
in developing countries?

5.8 Summary
In this unit we looked at corporate governance and the role of the private
sector in community governance. We started by defining the concept of
corporate governance. Like in the case of civil society discussed in unit 4,
while acknowledging the important role of the private sector in addressing
governance challenges, we also stressed that the private sector has its own
limitations and is thus not a development panacea.

In the next unit we look at the status, contribution and contemporary

discussions on youth and women in community governance.

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References
Aroge, S.T. (2009). MBA 714: Corporate governance: Theories and issues.
Lagos: National Open University of Nigeria.
Ferreyra, A., Jahan, S., Keuleers, P., Mabsout, R., Mason, J., Mukhopadhyay,
P., Ohiorhenuan, L., Selim, N., Tamesis, P. and Taylor, N. (2006).
Governance for the Future Democracy and Development in the
Least Developed Countries. UNDP.

92 Zimbabwe Open University

 Unit Six

Governance and Special

Interest Groups

6.0 Introduction

When our children are assured of survival and health, provided with a
good education, protected from war and violence, and when youth
participate in the democracy and development of their countries, then
Africa will be set to claim the 21st century (Amoako, quoted in Sigudhla,
2005:1)

Positive youth, and gender and development approaches view youth and
women as active contributors to their own development and as assets to their
communities. Today's young people are the world's future. They will one day
build our societies' economies, and make decisions that will impact the lives
of future generations. While much effort has focused on the eradication of
war and poverty that affect so many people, especially young people and
women, little attention has been directed to the fundamental cause of some
conflicts and poverty (poor governance).
Governance and Community Leadership Module BSDS 304

As well, efforts to improve governance have often overlooked young people

and women as potential activists and agents of change in their communities
and countries. Yet young people and women have the idealism, resourcefulness,
responsiveness, and resilience in helping to address these issues.

In this unit we discuss issues pertaining to youth and governance, youth

unemployment, youth education and health, sex and gender, women and
governance, gender mainstreaming and analysis, national women machineries
and women in parliament. We divide the unit into two major parts. In the first
part we address issues pertaining to youth. The other half addresses gender
and women in governance. Our central argument in this unit is that youth and
women should be fully involved in the governance of their communities.

6.1 Objectives
By the end of this unit, you should be able to:
 define 'youth'
 discuss the concept of youth and governance in Africa
 discuss how colonialism and capitalism weakened the position of African
women
 analyse the biological debate on the differences between men and
women
 distinguish between sex and gender
 evaluate the extent to which women have been co-opted into parliament
and local government in Africa

6.2 Defining Youth

According to Bonzi (2004), the terms youth and governance are both fluid,
and contain diversities within each of them, in terms of both practical application
and theoretical definition. He further argues that the principles defining youth
are age bound, psychological and socio-economic in nature whereas those
defining governance are political, economic and corporate in nature. Bonzi
(2004) observes that the linkage between the two concepts is two-fold. On
the one hand, governance appears to be a way of delivering services to the
youth, for example, education, health and employment. On the other hand,
young people are a major component of society and a huge security threat to
the sustenance of effective governance. As such they should be active
participants in the process of governance.

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Bowie and Bronte-Tinkew (2008) define youth governance as the practice of

having young people work in partnership with adults to establish the policies,
goals, and activities for governance programmes. This practice can take the
shape of youth serving on boards or of youth taking on other decision-making
roles.

6.2.1 Concepts definitions

As observed by Sigudhla (2005), youth, as a concept, varies from culture to
culture and from one society to another. Thus, the age in which a person is
considered a youth and thus eligible for special treatment under the law varies
around the world. Commonly, a youth is defined as being somewhere between
age 12 and age 25, with different countries and regions choosing more narrow
or broad definitions. In Africa the age limit for youth goes up to 35 in certain
countries.

The United Nations broadly defines youth as those persons between the ages
of 15 and 24 years. The UN (2006) proposes two categories of youth: "young
people between ages 13-19 who are classified as teenagers, whilst those in
the 20-24 age groups are characterised as young adults". In promoting this
definition, the UN concedes that the concept of youth hinges on "specific
socio-cultural, institutional, economic and political factors" in different contexts.

The World Bank also adopts the UN definition by classifying persons in the
15-24 age groups as youth. The World Bank declares that:
 children and youth constitute nearly half of the developing world's
populations - and even more of the poor;
 children and youth represent the greatest leverage point for investments
in human capital and the principal means by which to reduce inter-
generational poverty; and
 children and youth have little or no voice in current strategies for
development, leaving them susceptible to politically and economically
disruptive activities.
Similarly, national frameworks within Africa are varied. The draft Ghana Youth
Policy classifies youth as the 15 to 35 age group. In Mozambique, the youth
are classified as the 14 to 35 age group. In Uganda, they fall within the 13 to
35 age group, whilst, in Nigeria, the youth is classified as those in the 6 to 30
age group.

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Bonzi (2004) sees youth services as an array of services (counseling, health,

recreation, informal education, job preparation, and so on) designed either to
support young people during adolescence or to address specific problems
faced by young people in particular contexts. He further defines youth service
as a set of organised activities in which young people participate to benefit
others. It contributes positively to the community and society in general, and
provides opportunities for reflection (for example, an organisation where young
people are recruited, offered leadership opportunities, participate in activities
that improve the community, and are trained and mentored).

6.3 Youth and Governance in Africa

As observed by Tsike-Sossah (2009), youth form a significant reservoir of
human resource potential in Africa. The youth constitute about 30% of the
world's inhabitants and half of the populations of countries in Africa. Yet about
20% of Africa's young people are unemployed. On the one hand, they are a
potential resource for sustainable economic growth and social development.
Contrariwise, they have proven to be a source of social tension and conflict
when left disengaged and alienated from the conditions necessary for their
development as productive citizens.

6.3.1 Youth and conflict in Africa

According to Bonzi (2004), though the youth and conflict phenomenon has
its roots in issues of unemployment, education and other socio-economic
factors, it continues to generate a huge security threat in the continent. African
youth are the major groups contributing to the on-going conflicts and potential
conflicts in Africa and are also among the main victims of these violent conflicts
and wars. However, youth are not taking any part in any official processes
addressing these conflicts (Bonzi, 2004).

6.3.2 Youth and education in Africa

Education is at the core of youth development and growth. It determines to a
large extent the way youths behave, act or perceive their world. However,
education programmes in most African countries continue to focus more on
knowledge and very little on skills development and are not context-relevant
(Bonzi, 2004). This perpetuates the culture of dependence as a lot of young
people come out of schools disempowered. On another level, the education
sector continues to suffer from high levels of corruption, mismanagement and

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hence lack of adequate resources. Efforts to build strong education

programmes are still to be made in Africa (Bonzi, 2004).

6.3.3 Youth and unemployment in Africa

The normal scene in various African countries is the high rates of unemployment.
This is often due to many reasons such as the lack of planning and capacity to
absorb the youth or develop their potentials. To explore this further it is
important to look at the existing African laws and legislations including labour
laws, the rights to work, the policies imposed by multinational companies, the
exploitations and the denial for equal access opportunities to compete due to
high levels of corruption, nepotism and lack of transparency (Bonzi, 2004).
When policy vacuums restrain the tackling of youth related issues, youth
unemployment find a ground to rise. Very few African countries have designed
a youth policy. Examples are South Africa, Ghana, Sierra Leone. As a result,
youth employment is diluted in vague and general national programmes in
which youth related problems are not addressed. In countries where legislative
measures and youth policies are in place, they have yet to be enforced or
implemented (Bonzi, 2004).
How can the youth participate? (Recommendation)

Employment policies are to be for and done with the youth. In countries where
the government has played the role of job provider in public service,
consequences have been disastrous for the youth, especially when the growing
number of job seekers have become overwhelming. The government's role
should go beyond providing jobs; more importantly it should consist in
facilitating and creating the environment for job creation. The youths become
therefore active participants in job creation rather than recipients of ready-
made jobs that are usually scarce (Bonzi, 2004).

6.3.4 Health
According to Bonzi (2004), young people have the right to health, education
and a decent standard of living. To fulfil these rights, young people must have
youth-friendly information, skills and services for the prevention, treatment
and care of HIV and AIDS and other diseases. However, the evidence tells
us that still many young people do not have access to these interventions.
Preventing and mitigating vulnerability

Young people are diverse. Interventions must be tailored to meet their individual
characteristics, such as age, sex, marital status and domicile, and the many

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deep-rooted structural, social and other contextual issues that make young
people vulnerable (gender relations, race, religion, socioeconomic status).

Activity 6.1
1. Why is it difficulty to define youth?
? 2. Discuss the concept of youth and governance in Africa.
3. Examine the link between youth unemployment, level of education,
poverty, and dysfunctional conflict in Africa.
4. Young people are a major component of society and a huge security
threat to the sustenance of effective governance. Comment.

6.4 Rationale and Models for Engaging Youth

Scholars have identified three dominant rationales for engaging youth in
community governance:
 ensuring social justice and youth representation;
 building civil society; and
 promoting youth development
While the purposes overlap, they reflect fundamentally different emphases in
their purposes and goals, and consequently, in their models and supporting
policy structures.

6.4.1 Ensuring social justice and youth representation

The first rationale for youth engagement is that children are subjects with
rights in addition to being recipients of adult protection. This social justice
rationale is acknowledged in the United Nations Convention on the Rights of
the Child. Article 12 of the Convention emphasises that young people are
entitled to be active agents in their own lives. It specifically states that all
children are capable of expressing a view, and have the right to:
 articulate their views and express their views freely;
 be heard in all matters affecting them, including policy matters, and
 have their views taken seriously in accordance with their age and
maturity.
The Convention notes that "youth voice" allows children to protect themselves
better, strengthens their commitment to, and understanding of, democracy,
and leads to better policy decisions (Lansdown, 2001).

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6.4.2 Building civil society

A second rationale for youth engagement focuses on civil society. The issue is
not primarily one of ensuring youth rights. Instead, the purpose is to balance
individual rights with responsibilities to contribute to the common good. The
goal, therefore, is to create spaces of social experimentation and solidarity
throughout communities so that all members, including youth, have legitimate
opportunities to influence decisions made for collective groups (Etzioni, 1998;
Flanagan and Faison, 2001). Scholars analysing youth in governance from
this perspective highlight research indicating that communities work better
when the voices and competencies of diverse stakeholders are involved in the
identification, leveraging, and mobilisation of community resources (Camino
and Zeldin, 2002; Cohen and Arato, 1992; Minkler and Wallerstein, 1997).
Others note that citizens who volunteer time and resources as adults were
most likely to begin their philanthropy as youth (Independent Sector, 2002).

Efforts to build civil society emphasise partnership models (Camino, 2000;

Lansdown, 2001). These models are typically organised around adult-created
institutional structures through which youth can influence outcomes in situations
of equitable power with adults. The aim is to fashion structures where youth
and adults can bring their often different and complementary views,
experiences, and talents to collective issues (Zeldin, McDaniel, Topitzes and
Calvert, 2000).

6.4.3 Promoting youth development

A third rationale for engaging youth in governance is that active participation
in one's own learning is fundamental to healthy development. From this
perspective, engagement primarily serves a socialisation function, with the
major purpose being to provide individual youth with structured and challenging
experiences in the context of planning and taking action on behalf of others
who are in a state of need. The expected outcomes for youth include identity
development, group membership and responsibility, initiative, peer and adult
relationships, and skill development (Larson, Wilson, Brown, Furstenberg,
and Verma, 2002; McLaughlin, 2000). Youth engagement is also viewed as a
vehicle for the development of civic competence. As youth interact within
democratic institutions, the expectation is that they will gain the full array of
competencies that will allow them to promote their interests as adults (Youniss,
et al., 2002).

The youth development rationale builds from Vgyotsky's (1978) concept of

scaffolding, with the emphasis on providing young people with progressively

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more complex roles in schools, communities, and adult society. This requires
that programming be fashioned to create a goodness-of-fit between the
opportunities provided and the developmental needs and interests of a given
youth (Eccles, J., Midgley, C., Wigfield, A., Buchanan, C., Flanagan, C. and
MacIver, D., 1993). As youth succeed in one governance function or decision-
making activity, they are subsequently given opportunities to engage in other
roles that necessitate higher-order skill or responsibility. Because the goal is
to provide all youth with decision-making opportunities, programmes seek to
infuse youth into all decision-making forums within a community, thus allowing
a maximum amount of options for creating a fit for young people (Zeldin, et
al., 2000).

6.5 Policy and Legislative Support for Engaging

Youth
Zeldin, Camino, and Calvert (2003) recommend the following three major
areas for strengthening policy and practice:

Establish a vision and maximise public awareness of youth engagement

It is most critical that policy analysts and scholars work with policy-makers to
create a solid public awareness of youth engagement in community governance.
Putting forth youth in governance as a public idea, or as a vision of what is
possible and desirable, represents a fundamental step in garnering broad based
support for the practice.

Provide stable funding for places that engage youth

There currently exist five major pathways for youth participation:

 public policy consultation;
 community coalition involvement;
 youth in organisational decision-making;
 youth organising; and
 school-based service-learning
Build local capacity to engage youth

It will also be necessary to build local capacity by supporting cross-sector

community coalitions and independent, non-profit intermediary organisations.
These entities convene stakeholder groups with the aim being to chart,
implement and sustain youth development and therefore have the potential to

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effectively promote youth engagement in governance (Sherman, 2002). For

example, they can describe youth engagement for the community, in the context
of disseminating exemplary national models and local success stories. Another
fundamental role is the provision of training for adults and youth. Examining
attitudes, building youth-adult partnerships, and clearly articulating the purposes
of youth engagement are all important in building local capacity to carry out
successful endeavours (Sherrod, Flanagan and Youniss, 2002).

6.6 Limitations to Youth Participation

According to Tsike-Sossah (2009), the ability of the youth to contribute to
the growth potential of their respective countries is largely determined by a
number of factors including the state of the country's economy and employment
opportunities.

Another key factor is the limited opportunity for young people to participate
in local governance processes. The false interpretation of African culture that
the youth should be seen and not heard has led to the exclusion of youth from
decision making processes. In spite of the systemic socioeconomic challenges
facing governments, little has been done to mainstream youth participation in
local governance processes or even to promote youth development as a key
component of local governance.

Though many pronouncements have been made by governments across Africa

in highlighting the need to develop the youth, the corresponding commitments
are few and far between. Out of the 53 countries on the continent, only 15
have been officially cited as having a youth policy (Tsike-Sossah, 2009).

In this regard, Nwuke's (2002) postulation should serve as a warning for

Africa's political leaders. He posits that:

The development of the continent rests squarely on the youth; it is through

them and by their agency that the vision and noble intentions of the New
Partnership for Africa's Development (NEPAD) can be developed. Again, it
is through them that Africa can make progress towards the realisation of the
Millennium Development Goals (MDGs), among which are the goals of halving
extreme poverty and halting and reversing the spread of HIV and AIDS by
2015.

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Activity 6.2
1. Evaluate the three dominant rationales for engaging youth in community
? governance.
2. Discuss Zeldin, Camino, and Calvert's (2003) three major areas for
strengthening policy and practice in engaging youth in governance.
3. Examine the limitations to youth participation in governance in Africa.

6.7 Women and Governance

Adepelumi (2007) believes African 'women traditionally played a more
significant role in society [and governance] than did Western women.' She
argues that they had the right to profit from their labour, although the profit
usually served as a contribution to the family income. In Africa, the process of
women disempowerment began in the colonial era (Adepelumi, 2007). The
coming of prostitution, commercialisation of sex, and devaluation of women
contribution to development are cases in point (Musingafi, 2010). In the Gold
Coast (Ghana) black women were encouraged to engage in prostitution in
the commercial centres by the colonial legal framework so that they shield
white women from the "abnormal" sexual desires of black men (Ray, 2006:
29). In Rhodesia (Zimbabwe), women were separated from their men on
commercial grounds. They were left in the labour reserves as subsistence
farmers while their men were taken away to commercial centres as labourers
(Raftopoulos and Phimister, 1997). Where they were engaged as teachers,
nurses, agricultural labourers, or any other commercial jobs, they were paid
far less than their male counterparts. African women were ranked lowest in
the colonial social classes structure (Phimister, 1996). The ranking was as
follows: white males at the top, followed by white women, then Asian men,
Asian women, coloured men, coloured women, black men and finally black
women at the bottom. By the end of colonialism African women were
completely disempowered, and as in the Western world, reduced to commercial
commodities.

Today naked bodies of African women, alongside their white counterparts,

are displayed in both print and electronic media as sex objects for sale, to
attract customers to buy products on sale! In most cases when people talk of
porno, they are talking of women, not men. In the past few years Zimbabwean
women, were paid by some Western nationals for having sex with dogs in
display for the world to see how mean African women are (Musingafi, 2010).

African women (and all other women in the world), thus, need empowerment
so that they fully participate in the governance of their communities. United

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Nations (2001) defines empowerment as the processes by which women

take control and ownership of their lives through expansion of their choices.
Kabeer's (1998, 1999) and Musingafi's (2010) view of empowerment refers
to the processes by which those who have been denied the ability to make
choices acquire such ability. The fundamentals of empowerment have been
defined as agency (the ability to define one's goals and act upon them),
awareness of gendered power structures, self-esteem and self-confidence
(Kabeer, 2001).

People who exercise a great deal of choice in their lives may be very powerful,
but they are not empowered because they were never disempowered in the
first place (Kabeer, 2001).

However, for there to be a real choice:

 there must be alternatives, the ability to choose something different;
and
 alternatives must not only exist, they must also be seen to exist

6.7.1 The gender sex dichotomy

There is a difference between nature and nurture in as far as relations between
men and women are concerned. Whereas most feminist scholars agree on the
role of nurture on the position of women and men in society, there is no
agreement on the role of nature. Nature refers to the biological and physiological
(inborn) characteristics of a human being which may not be subject to change.
Nurture refers to learned behaviours which may be unique by culture and
subject to change as people learn new ways of doing things.

Males and females are biologically different. They are physiologically different
in both internal and external genitalia, gonads, hormonal states and secondary
sex characteristics. Because of these differences women are capable of bearing
and suckling children, whereas men are not. In addition differences in physique
between men and women usually means that men are stronger and more
muscular (Haralambos and Holborn, 2000). Haralambos and Holborn (2000)
further note that the belief that it is natural for men and women to behave
differently is widespread and is supported by scientists and some psychologists
and sociologists.

George Peter Murdock (1949), as captured in Haralambos and Holborn

(2000), argues that biological differences are the basis of sexual division of
labour. He believes greater physical strength of men and the fact that women
bear children lead to gender roles out of sheer practicality. Thus because of

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her biological function of childbearing and nursing a woman is tied to the

home. Because of her physique she is limited to less strenuous tasks. And so
on. He established that sexual division of labour was present in all societies, at
least those sampled for his study. He thus concluded that 'the advantages
inherent in a division of labour by sex presumably account for its universality'
(Haralambos and Holborn, 2000: 131).

Linda Birke (1986) and David Morgan (1986), as captured in Haralambos

and Holborn (2000), argue that nature and nurture interact. For them sex
(nature) differences influence gender (nurture) differences and vice versa. Linda
Birke argues that 'women's biology actually and materially affects their lives'
(Haralambos and Holborn, 2000: 135). Feminists cannot ignore biological
facts that women menstruate and give birth, she further argues. However,
both Birke and Morgan accept that cultural interpretation placed on biological
differences is very important. Thus Morgan writes 'If certain distinctions
between men and women come to be seen as crucial, this itself is a cultural
fact and has its consequences, although this is the outcome of a complex
interaction between the biological and the cultural rather than the primary
assertion of the former' (Haralambos and Holborn, 2000: 135).

It is thus important to note that gender and sex are two different things that
have become so closely related such that some people risk using them
interchangeably. Haralambos and Holborn (2000), Crapo (1993), Meena
(1992), among others, see sex as mainly biological and God-given, and gender
mainly psychological and cultural. Meena (1992:1) writes:
Gender has been defined as socially constructed and cultural variable
roles that women and men play in their daily lives. It refers to structural
relationships of inequality between men and women as manifested in
labour markets and political structures, as well as in the household. It is
reinforced by custom, law, and specific development policies… A
distinction is therefore being made between sex and gender. Whereas
sex is biological, gender is acquired and constructed by society.
Thus, where sex is natural, gender is man made.

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Activity 6.3
1. Do you agree that pre-colonial African women were better off when
? compared to colonial and post-colonial African women? Why?
2. Distinguish between sex and gender.
3. Is biology important in determining gender roles in your community?
Why do you think that?
4. What do you understand by empowerment?
5. Discuss the dimensions of empowerment.
6. Access to education helps to empower women. Discuss.
7. Analyse positive effects of education on women empowerment.
8. Discuss the limits to education as a route to women empowerment.

6.7.2 Gender analysis and gender mainstreaming

Gender equality is achieved by gender mainstreaming. Gender mainstreaming
means the process of identifying gender gaps and making women's, men's,
girls' and boys' concerns and experiences integral to the design, implementation,
monitoring and evaluation of policies and programmes in all spheres so that
they benefit equally. The ultimate goal is to achieve gender equality by
transforming mainstream policies, procedures and institutions.

Gender mainstreaming begins with gender analysis. Gender analysis is a

systematic way of looking at the different roles of women and men in
development and at the different impacts of development on women and men.
Gender analysis asks the 'who' question: who does what, has access to and
control over what, benefits from what, for both sexes in different age groups,
classes, religions, ethnic groups, races and castes? Gender analysis also means
that in every major demographic, socio-economic and cultural group, data
are separated by sex and analysed separately by sex.

Through gender analysis we can identify the differences between women and
men regarding their specific activities, conditions, needs, access and control
over resources, and access to development benefits and decision-making.
Three key elements have been highlighted in identifying gender analysis:
 Division of labour: -Men: productive tasks
 -Women: reproductive tasks
 Division of resources: -Women often are not allowed to own capital
assets and have no access and control over
resources
 Needs: -Practical and strategic needs differ greatly
between men and women

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It is therefore important to have a clear understanding of "who does what"

within the society. Often women are relegated to reproductive tasks, but in
conflict and emergency situations, they may also play an important role in
productive activities. Moreover, a better understanding of women's needs is
crucial in deciding how benefits and resources are distributed and accessed
by men and women during a crisis. Finally, it is fundamental to support not
only women's practical concerns, such as the need for fuel, wood, water,
food and sustainable health, including reproductive health needs. It is also
critical to support women's strategic needs, including leadership, decision-
making and empowerment. By supporting these qualities and focusing on
women's strengths rather than their weaknesses the entire community will be
afforded better protection.

CEDPA (2000) summarises the purpose of gender analysis as follows:

 helps ensure that both women and men participate in and benefit from
development;
 looks for the root causes of gender inequality and enables us to address
them;
 looks at equity of impact;
 focuses on transforming attitudes and practices to bring about change;
 helps ensure that traditional power imbalances do not work against
women's advancement;
 enhances a project's effectiveness; and
 ensures long-term sustainability by addressing underlying obstacles to
development
Gender analysis seeks to identify and address the impact of a policy,
programme, action and initiative by men and women. This entitles collecting
sexually desegregated data and gender-sensitive information about the
population concerned. Gender analysis is the first step in gender sensitive
planning and for promoting gender equality. The following gender policies
have been classified by Kabeer (1994):
 Gender-blind policies-recognise no distinction between the sexes.
Assumptions incorporate biases in favour of existing gender relations
and so tend to exclude women;
 Gender-aware policies-recognise that within a society, actors are women
as well as men, that they are constrained in different, and often unequal
ways, and they may consequently have differing and sometimes
conflicting needs, interests and priorities;
 Gender neutral policy approaches-use the knowledge of gender
differences in a given context to overcome biases in delivery, to ensure

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that they target and benefit both genders effectively in terms of their
practical gender needs, and that they work within the existing gender
division of resources and responsibilities;
 Gender specific policies-use the knowledge of gender differences in a
given context to respond to the practical gender needs of a specific
gender, working with the existing division of resources and
responsibilities; and
 Gender redistribution policies-are interventions that intend to transform
existing distributions to create a more balanced relationship of gender.
These policies may target both genders, or one gender specifically;
touch on strategic gender interests; and may work with women's practical
gender needs, but do so in ways which have transformatory potential
to help build up the supportive conditions for women to empower
themselves.

6.7.3 Enabling factors for gender mainstreaming

The following are some of the gender mainstreaming enabling factors:
 political will and leadership;
 policy framework;
 government structures, mechanisms and processes,
 sufficient resources;
 sex-disaggregated data and information systems;
 tools and knowledge for gender analysis;
 adequate motivation; and
 demand from civil society (Agriteam Canada Consulting, 2000)
Agriteam Canada Consulting (2000) posits that these enabling factors are
dynamic and often interdependent. Sufficient resources to engage in gender-
based analysis and to collect sex-disaggregated data may require legislation
or policy changes to reallocate government resources. At the same time, such
legislation may require a critical mass of demand from civil society before it
can be passed. Political will and commitment will ebb and flow over time.
Governments will change and social priorities will shift, resulting in different
opportunities and challenges to national women's machineries and their
mainstreaming efforts at different times. Adaptability will be crucial. It is
important that mainstreaming strategies remain focused on the goal of
institutionalising gender equality, but it is also important that participants combine
an iterative determination with an agility to respond to changing circumstances
(Agriteam Canada Consulting, 2000).

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Activity 6.4
1. Evaluate the importance of gender analysis in governance and
? community development.
2. Examine Kabeer's classification of gender policies.
3. Evaluate the enabling factors for gender mainstreaming.

6.7.4 National women's machineries

Broadly defined, a national women's machinery (NWM) is the organisation
recognised by a national government as a country's primary body, or system
of bodies, dealing with the promotion of gender equality in governance and
development programmes. It is the "central policy co-ordinating unit inside
government" responsible for "supporting government wide mainstreaming of
a gender equality perspective in all policy areas" (Beijing Platform for Action,
1995). NWMs are the primary policy advocates and catalysts for gender
mainstreaming across government agencies and sectors. Thus NMW is:
 the primary body, or system of bodies, dealing with the promotion of
gender equality in governance and development programmes;
 the central policy co-ordinating unit inside government, responsible for
supporting government wide mainstreaming of a gender equality
perspective in all policy areas; and
 the policy advocate and catalyst for gender mainstreaming across
government agencies and sectors (Kabeer, 2003)
For an NWM to be effective it should:
 encourage a widespread understanding and adoption of a gender
mainstreaming strategy;
 synchronise and co-ordinate mainstreaming efforts at all levels of society;
 identify and promote gender equality issues both inside and outside the
government;
 stimulate the increased participation of women as both active agents
and beneficiaries of the development process;
 undertake gender-based analysis to influence priority setting and policy
formation;
 be proactive in shaping government decision making;
 establish strategic alliances among supportive legislators, ministries,
researchers and civilians;
 promote the development of greater capacity in gender mainstreaming,
gender-based analysis (GBA), gender sensitivity training, and so on,
inside and outside NWMs;

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 provide training and technical assistance to government agencies to

enable the integration of a gender perspective in their policies and
programmes;
 work with statistical agencies to develop effective gender equality
indicators;
 instil accountability by ensuring monitoring and evaluating of
mainstreaming efforts is carried out across government sectors; and
 in the interests of being an effective catalyst, develop an expertise in the
dynamics of change within each society (Kabeer, 2003)

6.7.5 Factors that hinder effective linkages for gender

mainstreaming
Factors that may inhibit effective linkages for gender mainstreaming are usually
dynamic and sometimes interdependent. They are likely to ebb and flow
throughout the mainstreaming process, so it is important that NWMs are able
to identify and take measures to address them. Constraining factors include
but are not limited to the following:
 Government agency personnel perceive gender mainstreaming as an
additional burden. In a context where staff are often overburdened and
without sufficient time, money or tools to do their everyday work,
establishing linkages with an NWM and undertaking mainstreaming
activities can be an onerous task.
 Absence of participatory/inclusive methods alienates other agencies.
 Scarce human, financial and technical resources restrict linking and
mainstreaming.
 A lack of incentives/recognition/rewards hinders gender mainstreaming.
Examining policies and programmes with a critical eye and pushing for
changes to those policies and programmes are not always the easiest
ways to make friends in a bureaucracy. Resistance to change usually
presents a significant challenge to gender focal points working within
an agency. Support from senior management and promotion or
recognition mechanisms can help.
 Inappropriate person in key position. Individuals who are identified by
superiors and "appointed" to the position may be resistant to its goals
and undermine the process. Or they may have been appointed because
they are ineffectual and the position is not taken seriously by senior
management.
 Lack of understanding concerning national gender equality goals and
rationale. Poor communication of the goals and rationale for gender
mainstreaming may inhibit effective linkages. Without lucid justification

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for change, change will usually flounder. Mainstream agencies need to

understand the roles of gender equality and how the NWM can assist
in creating a more equitable and prosperous society.
 Lack of professionalism or political skills within the NWM. Establishing
linkages with other agencies within a government bureaucracy requires
reasonably well-developed political networking and negotiation skills.
Staff within an NWM may not have the political clout or experience
required to dialogue effectively with mainstream bureaucrats. Building
confidence and political skills among NWM staff is an essential base
for establishing and maintaining useful links for change.

Activity 6.5
1. What is a national women's machinery? What role does it serve in
? gender mainstreaming?
2. Outline the requirements for national women's machineries to succeed.
3. Discuss factors that hinder effective linkages.

6.7.6 Women in national parliaments

A review of the relevant statistics suggests that, regardless of political system,
the percentage of women in national parliaments around the world is extremely
low, averaging 13.8% in 2000 (Kabeer, 2003). This is an extraordinary under-
representation of women in the highest structures of governance in their
countries. Various forms of bias in the institutions of civil society and the political
sphere - along with conscious discrimination - operate to exclude women,
including women from privileged elites.

The structure of the political sphere makes a difference to how many women
are fielded as candidates and how many win. This includes the extent to which
political parties:
 are institutionalised;
 have clear rules about candidate selection;
 identify policy concerns; and
 operate in a political culture that is conducive to the promotion of
women's involvement in politics (for example, the strength or weakness
of patriarchal ideology, the existence of pluralist forms of organisation
and the degree of religious opposition to gender reforms).
Electoral systems are also important. The ones more likely to bring women
into political office are those:

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 where more than one person can represent a constituency;

 that have multiple parties competing for votes; and
 that practise proportional representation (PR) in party lists
Those less likely to do so are majoritarian systems that create the incentive to
field a single candidate per constituency and appeal to the majority rather
than accommodating diversity. According to Kabeer (2003), a review of 53
legislatures in 1999 found that national assemblies in PR systems had nearly
24% of women compared to 11% in majoritarian systems. In almost every
case where women exceed 15% of elected representative bodies, this has
been the result of special measures that advantage female over male candidates:
Mozambique has 30% female parliamentarians while South Africa has 29%.
Bangladesh, Burkina Faso, India, Tanzania and Uganda have all reserved
seats for women in national or local government (Kabeer, 2003).

At the same time, it should be noted that, at present, the women who enter
national parliaments tend not to be drawn from the ranks of the poor in any
part of the world, nor is there any guarantee that they will be more responsive
to the needs and priorities of poor women than many men in parliament
(Kabeer, 2003).

6.7.7 Women in local government

It is possible that greater participation and influence in local government
structures may be a more relevant goal for poor women than increasing
women's seats in national parliaments. These, after all, make the decisions
that most directly affect the lives of the poor. In recognition of this, a number
of states in India, where there is now 33% reservation of seats for women in
local government, have added further inducements to local communities to
encourage women's participation. Madhya Pradesh and Kerala, for example,
require that one third of participants in the regular open village meetings be
female before there is considered to be a quorum. Kerala also earmarks 10%
of development funds received by local councils from the state to be used for
'women's development' and managed by representatives of female groups of
the village assembly (Kabeer, 2003).

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Activity 6.6
1. Suggest strategies political parties and governments can employ to
? ensure that women are equitably represented in parliament and local
government.
2. Discuss the role played by electoral systems in bringing women to
parliament.
3. How important is social mobilisation in ensuring that women voices
are heard?

6.8 Summary
In this unit we argued that youth and women should be afforded more authentic
opportunities to engage in civic life. It is important to emphasise, however,
that community decision making is a collective construct, not an individual
one, emanating from social interactions within a group. Simply put, youth and
women cannot learn civic decision-making in programmes that focus only on
individual values and outcomes. We further argue that when communities
provide an adequate degree of support, youth and women are capable of far
more than society currently expects. Youth and women can often accomplish
extraordinary things with competence, energy, and compassion. The key,
however, is the phrase 'an adequate degree of support.' Adroitness in collective
decision-making and governance is neither an intrinsic talent nor a set of skills
per se. Learning to do so requires a blend of engagement, participation, and
support. Without adequate support, youth and women are at risk of falling
well below their full potential.

In the next unit we look at the importance of communication, ICTs and the
engagement of local knowledge in the governance process.

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Sherrod, L. Flanagan, C., and Youniss, J. (2002). Dimensions of citizenship
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Youniss, J., Bales, S. and Christmas-Best, V. (2000). Youth civic engagement

in the twenty-first century. Journal of Research on Adolescence, 12(1),
121-148.
Zeldin, S. (2000). Integrating research and practice to understand and
strengthen communities for adolescent development. Applied
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Zeldin, S. (2002). Sense of community and positive beliefs toward adolescents
and youth policy in urban neighbourhoods and small cities. Journal of
Youth and Adolescence, 31, 5, 331-342.
Zeldin, S., Camino, L. and Calvert, M. (2003). Toward an Understanding
of Youth Engagement in Community Governance: Policy Priorities
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Zeldin, S., McDaniel, A.K., Topitzes, D. and Calvert, M. (2000). Youth in
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(www.atthetable.org).

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Communication, ICTs and

Engaging Local Knowledge for
Effective Governance

7.0 Introduction

Nature has given us one tongue, but two ears, that we may hear from
others twice as much as we speak (Epictetus, Roman Philosopher,
captured in Fisher and Tees, 2005)

Communicating involves giving and receiving information, ideas, and feelings

with accuracy and understanding. Effective communication is critical to the
good governance principles of openness, transparency, accountability, and
trust. Information and communication technologies (ICT) have a potential for
economic growth and social empowerment. Rural economies can benefit from
ICT by focusing on social production, social consumption and social services.

In this unit, you will be exposed to issues of communication, information

technology and local knowledge management for effective governance and
community leadership..
Governance and Community Leadership Module BSDS 304

7.1 Objectives
By the end of this unit, you should be able to:
 define the following terms:
 communication
 information technology
 interpersonal communication
 describe barriers to communication and ways of overcoming them
 explain the importance of listening
 discuss barriers to ICT adoption in developing countries
 explain the importance of engaging local knowledge in governance

7.2 What is Communication?

According to UNESCAP (2003) the word communication originates from
the word "communis", which means common. Communication, therefore, is
an act by which a person shares knowledge, feelings, ideas and information,
in ways such that each gains a common understanding of the meaning, intent
and use of the message (UNESCAP, 2003). The means of communication
are usually spoken or written words, pictures or symbols. But we also give
information through our body language. Gestures, postures, looks, facial
expressions can show how we feel and what we think about an issue or
another person. Good communication is mutually beneficial for the sender
and the receiver of information. The above definition calls for attention to the
following points:
 communication involves people and therefore involves trying to
understand how people relate to each other;
 communication is about sharing meaning - agreeing on the definition of
terms they are using;
 communication is symbolic; this means, gestures, sounds, letters, numbers
and words can only represent approximate ideas meant to communicate;
 communication aims at bringing about desired effects such as improving
knowledge, change of attitudes and behaviour of the receiver
Communication involves a wide range of behaviours such as talking, listening,
reading, writing, and thinking. These behaviours occur over time and they
overlap with one another. While we seek mutual understanding when we
directly communicate with one another, research has proved that
communication, never really ends. Research also says that perfect
communication is difficult to achieve. While the production of a brochure,

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poster, video or radio show may have value in getting messages across,
communication is more effective when all participants are actively involved
and when there is interaction and dialogue between the participants. Interaction,
dialogue and active participation enables people to communicate effectively.

7.2.1 How communication takes place

According to UNESCAP (2003), communication can occur without words.
Our four senses, audio, visual, touch and smell, communicate. The ring of the
alarm tells us its time to wake up, the eyes gaze at the window and check for
the time of day or weather, the touch of the wind on our skin tells us if it is hot
or cold and the smell from the kitchen tells us what is cooking. When a message
is sent from a source to a receiver, a specific mental or physical response
(communication) occurs.

Communication is a two-way process. It has a transmitter and a receiver.

Therefore, it is essential for facts to be transmitted in such a manner that the
meaning intended is conveyed and the receiver understands the use of the
message. It becomes a two way process.

There are many different types and methods of communication. For example,
in India, people fold their hands in greeting. In Japan, people bow from the
waist. In Pakistan, people touch their forehead with the right hand. Simple
gestures are an effective means of communication. An effective and culturally
sensitive communicator is able to read feelings and reactions through these
gestures.

Communication is a process. It is the process of transmitting meaning between

individuals. Early human beings communicated through symbols and gestures.
Later, the spoken word, in the form of language, was used for communication.
As technology developed, written words and media were used, in addition to
symbols, gestures and the spoken word (UNESCAP, 2003)

Literature recognises the following forms of communication:

 intrapersonal - communication within oneself;
 interpersonal - person to person communication;
 intragroup - communication within a group;
 intergroup - group to group communication;
 Mass communication - large body of people is addressed;
 Mass media - through the mass media; and
 Organisation communications - within an organisation or among
organisations.

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Communication means making oneself understood and trying to understand

the communication partner. The person who wants to communicate something
is the sender. The person to whom this communication is directed is the receiver.
1. The sender has a message (idea, thought, feeling, opinion, and so forth.)
that he/she wants to communicate.
2. The sender must code his/her message. He/she must put his/her thoughts
or feelings into sounds, words, or written characters (verbal
communication) or into gestures, mime, body position, and so forth.
(non-verbal communication) which are understandable to the receiver.
3. The sender must now send the message in such a way that it can be
received by his/her communication partner.
4. The receiver receives the message over one or more of his/her perception
channels. If this takes place without any omissions or distortions, the
receiver then has an exact copy of the transmitted message.
5. The receiver must decode and interpret, classify, and adopt the message
in order to understand it correctly.
6. The receiver must now acknowledge receipt of the message, that is,
he/she must let the sender know that he/she has received, duplicated,
and understood the message.
Communication can be verbal and non-verbal. In verbal communication, we
use words/language in the written or spoken form. Non-verbal communication
is often given secondary importance, but it is much more important than verbal
communication. It includes a series of gestures, such as facial expressions,
signs, body movements, eye contact, tone of voice, and sounds. According
to UNESCAP (2003), in normal interpersonal communication 5-10 per cent
of total communication is verbal while 90-95 per cent is non-verbal. People
can receive valuable information through non-verbal cues such as:
 body language
 eye contact
 facial expression
 head nodding or shaking
 playing with objects
 making sounds
 signs
 touch
 taste
 silence

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7.2.2 Barriers to communication

There are many barriers to communication. These barriers can stall or distort
communication. Therefore, attention must be paid to overcome these barriers.
Barriers to communication can arise from sender, message, channel and
receiver.

According to UNESCAP (2003), communication barriers can be classified

into three main groups:
 Judgmental attitude may be reflected through excessive analysis,
bossiness, name-calling, ridiculing, making value-based comments and
judgments, moralising or ignoring;
 "Know it all" attitude may be reflected through advising, moralising,
ordering, patronising, threatening or lecturing. This form of behaviour
often inhibits people from sharing their concerns and experiences. When
communicating with youth, this kind of behaviour/communication should
be avoided; and
 Unconcerned attitude may be reflected through voicing platitudes,
diverting the issue, using excessive logic, offhanded assurances, half-
listening, not making eye contact or being flippant. In communicating
with people on sensitive topics, such as HIV and AIDS, care must be
taken to avoid such behaviour and actions. Concern, empathy and
confidentiality are valued components of communication on sensitive
subjects.
The following are other examples of communication barriers:

Sender - receiver relationship

 Language: clients may speak another language, have different
terminology, and might not understand technical jargon
 Values/beliefs: Sender and receiver of different cultural or religious
background may differ in their values, norms and beliefs
 Sex/gender and age: The roles of the sexes in a given culture are shaped
during socialisation. Men and women might differ in educational level/
literacy as well as in norms, values and so forth. The same is true for
age: each generation has its own value system not always shared by
another generation (generation gap).
 Economic and educational status: Clients as well as health service
providers find it hard to relate to a person of different economic or
educational status

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Environment and timing

 Environment: A noisy and disruptive environment can make the client
uncomfortable and affect the impact of the message
 Timing: The timing of the counselling might not suit the client or group.
The clients might not be ready for the message
Communication barriers on the part of the sender
 Attitude: Negative attitudes (biases, prejudices) can affect the impact
of the message
 Message: Messages are difficult to understand when they lack clarity,
are ambiguous, are too loaded with information, contain too little
information
Communication barriers on the part of the receiver
 Attitude of Receiver: People will only get a message when they are
ready to be a receiver, that is, when they are motivated to listen with
attention and interest
 Understanding: misunderstandings are caused by misinterpretation due
to preconceived ideas, prejudices, previous experience, not
understanding words and technical terms, contradictory information from
other sources
 Acceptance of a message will only occur when clients are convinced
and agree on the content of the message
The following are some of the strategies of overcoming barriers to effective
interpersonal communication

Sender - receiver relationship remedies

 Use simple language that the client understands
 Avoid technical jargon, explain technical terms
 Use acceptable, inoffensive terminology
 Try to get information on the cultural and religious beliefs of your clients
 Respect the beliefs of your clients, but clarify relevant misconceptions,
prejudices or fixed ideas
 Respect norms of your clients (proper dress, appearance, behaviour)
 Take into consideration, that some people prefer to talk to persons of
their own sex and/or their own age group on sensitive subjects
 Show a professional attitude and competence when dealing with sensitive
issues with persons of the other sex or another age group.
Environment and timing remedies
 Ensure a comfortable environment for the consultation
 Arrange the environment so that it does not act as a barrier

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Communication barriers on the part of the sender

 Put the client at ease by showing an understanding, helpful attitude
 Create a positive, friendly atmosphere
 Give your message a clear structure by beginning with the general and
then proceed with details in a logical sequence
 Adapt the message to the level of understanding of the client
 Give clear, unambiguous instructions
 Structure the information: emphasise what the client must know
(essential/ important information), should know, could know (nice to
know but not essential)
Communication barriers on the part of the receiver
 Create attention and interest by starting from the client's reality (their
problems, knowledge, interest, emotions), pointing out the relevance
of the information for the clients (solution to their problems, benefits)
 Support the client's understanding by using clear, simple language, giving
examples from the client's sphere of life, explain relationship of facts
(for example, cause-effect relationships), bringing out and diffusing
preconceived ideas and prejudices or misinformation from other sources
 Convince clients by arguing realistically, giving background data, pointing
out the benefits and advantages of what you have to offer, giving clear
instructions on how they can use the information to their advantage.

7.2.3 Listening
Listening is the highest form of communication. When they consider
communication, people tend to think more of speaking and less of listening.
We rarely receive any training on how to listen but reading, writing and speaking
are taught in abundance. Always remember that the responsibility for ensuring
that the listener gets the message lies with the sender. To introduce new material
to an audience we must tap into known material. The new material should be
linked to what they already know or have experienced.

According to UNESCAP (2003), there are 5 main forms of listening:

 "Ignoring"- listening occurs when the listener is not attentive to the
message, as s/he is otherwise preoccupied and unwilling to receive a
message;
 "Pretending"- listening occurs when the speaker is in a higher position
and the listener cannot ignore him/her. S/he pretends to listen, even
when the message is boring or irrelevant;

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 Selective - listening occurs when the listener picks up only those parts
of the message that interest him/her and ignores the rest of the message;
 Attentive - listening occurs when the listener not only listens and is able
to answer questions, but also understands the significance of the
message; and
 Empathic- listening occurs when the listener does not necessarily agree
with the speaker, but deeply understands that person emotionally and
intellectually. This is the highest form of listening and is often referred to
as being in "someone's shoes".
There are a number of barriers to receiving messages. Human beings can
receive messages subject to certain limitations. These limitations are called
filters. Anything below or above the range of these filters is usually left out:
 Physical filters - The inherent structure of our senses limits our capacity
to perceive. For example, we can only see certain colours from a
spectrum of colours. We can only hear between certain frequencies -
20Hz to 20 000 Hz. All frequencies higher or lower are filtered out;
 Psychological filters- enable people to look/view the same things
differently. Our attributes, expectations, past experiences, and
knowledge influence what we perceive and how we perceive it. These
perceptions change during the course of life and greatly influence the
way we communicate.
The following are seven steps to effective messages as identified by UNESCAP
(2003):
 Know your target audience - who are they, what do they need, how
can you reach them?
 Set clear objectives - what do you expect from the message, how will
you measure it, when will it happen?
 Work for approval - your audience should choose your message over
the others that are also coming its way;
 Be strategic - use words, images and sounds that are acceptable to
your audience, because your main purpose is to make them listen;
 Work for acceptance - is your message credible, do people believe
your message and the communicator, who and what will people believe?
 Work for recall - the message should remain with the audience, make it
catchy, make it funny, repeat if necessary, use different types of media;
 Review and re-plan - are you reaching the intended audience, are you
achieving the objectives, do you need to change, do you need a new
message?

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Activity 7.1
1. What is communication?
? 2. How does communication take place?
3. How valuable is interpersonal communication in governance and
community leadership?
4. Examine the barriers to effective interpersonal communication.
5. Suggest strategies of overcoming barriers to effective interpersonal
communication.
6. How important is listening in the communication process?

7.3 Information and Communication Technology

Information and communication technology is a general term that describes
any technology that helps to produce, manipulate, store, communicate, and/
or disseminate information. It is about the enabling tools that facilitate storage,
handling and sharing of data and information. Modern information and
communication technology is largely about the capability to electronically input,
process, store, output, transmit, and receive data and information (Musingafi,
2011).

Although technology is important as an enabling factor for both information

and knowledge management, it is essential to realise that technology is only
one of the components. The human factor is the centre piece of every successful
information and knowledge management system. Only when a culture of
information and knowledge sharing exists, is it possible to truly benefit from
the growing technological possibilities (Musingafi, 2011).

A range of ICTs and approaches can be identified. Their type and use must
be selected on the basis of appropriateness to the needs and expectations of
the end user. Literacy levels, gender, language, culture and social norms are
some of the considerations in choosing the appropriate ICT. Text-based, audio
and video communications are channelled through the internet and World
Wide Web, radio, television (TV), mobile phones, personal digital assistants
(PDAs), Geographical Positioning System (GPS), Geographical Information
Systems (GIS), and radio frequency identification. Modern ICTs include
Internet, Radio, TV, Mobile phones, Personal Digital Assistant (PDAs),
Computers, Radio Frequency Identifications (RFIDs) and the multitude of
various information systems generated and supported by them.

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The wide ranging use of ICT is seen as a driver of change, especially at the
policy level. Involvement of communities is important, not just as targeted
groups but as people who need to trust services and technologies. Thus planning
the use and dissemination of ICT and exchange of knowledge should assess
what other programmes should be integrated. Relevant stakeholders within
the community should be involved. Situation analyses should help identify
current behaviours by matching appropriateness of ICT to knowledge needs
and must be inclusive. Age of the target population, service providers and
policy makers may determine openness to adoption of ICT, whereas disabilities
such as blindness and deafness may exclude these sections of communities.

7.3.1 ICTs in community development

Effective adoption of information and communication technologies (ICT) has
not only a proven record in many parts of the world but a demonstrated
potential to attain significant economic, social and environmental benefits at
local, national and global levels (Gelb, et al., 2008).

In rural areas of developing countries, the promotion of economic development

is closely linked with income generation. Livelihood opportunities are enhanced
by improving the access of small-scale producers and small businesses to
markets for goods, services and commodities, to basic services (for example,
education, vocational training or finance) and to information on market
conditions. Improving access to markets, however, requires overcoming a
number of challenges that frequently prevent rural producers from being
competitive, including:
 insufficient market orientation of their production and dependence on a
small number of economic activities;
 remoteness and sparse population density;
 lack of transport infrastructure;
 insecurity and lack of effective rule of law;
 inadequate infrastructure and basic services; and
 dysfunctional land and property ownership structures.
ICT can provide rural businesses with access to information (for example, on
price, market conditions or know how) as well as financial and non-financial
services (for example, business development services). In particular, it can be
a major driver in enhancing access to agricultural financial services thereby
directly contributing to improvements in agricultural productivity and food
security. At the same time ICT generate new business opportunities and
improve the business enabling environment by reducing transaction costs and
improving the investment climate. By connecting rural areas more closely to

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national and global information, knowledge, or social networks, new mobile

technology can motivate young entrepreneurs to stay in these regions.

7.3.2 Barriers, constraints and challenges facing ICT

adoption in developing countries communities
Most of the problems faced by projects attempting to introduce ICT's into
rural areas stem from the combination of impoverished low population density
spread over vast areas and inept or corrupt governments, that have no interest
in delivering services to these areas. This situation leaves many millions of
people without proper road access, electricity, water and sewerage services,
and telephone.

Primary barriers to ICTs are:

 wired technologies are expensive in such areas, hence the high
penetration of mobile communications as opposed to fixed telephone
lines;
 there is no electricity in most such areas, although there are on-going
efforts to provide basic solar power for instance at clinics (see the
Solar Electric Light Fund (SELF) or Solar Light for Africa);
 further the high level of illiteracy means that there is no support or
maintenance readily available for ICTs; and
 often harsh environmental conditions, moisture or heat and little secured
housing.
Distance barriers are the general factor in intermediate and remote rural areas
that influences increased costs of business and entrepreneurs' endeavour,
transport and cultural activities and negatively affects the quality of rural life. It
plays its role in an access of rural inhabitants to cultural and shopping centres,
administrative and governmental structures, educational facilities, social and
health services and so forth. Lower population densities have its consequence
in lower public transport densities and increased waiting times.

Economic barriers - producers, when not using local input material, have to
import inputs and due to small consumer markets, have to export products
out of the area, increasing, thus, the costs burden for their products and services.
These barriers can be addressed by a combination of increased awareness
about rural areas, eTransactions (eBusiness, eBanking and eLogistics) and
by increased development of production of regional special products,
investment and tourism.

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Information barriers - currently the amenities of many rural areas are "invisible"
to the "outside world" (inhabitants of other areas, urban centres or citizens of
other states - rural tourism, local products and so forth.) To overcome
information barriers in this sense means to implement ICT to enable a full bi-
directional access of rural inhabitants to information via data and voice services
for example, Internet and at the same time to increase the awareness of the
world outside of the rural area, of its amenities and opportunities for business
and tourism, cultural traditions and recreational facilities. The expected outcome
is that more business and tourist visitors will come to rural areas to invest and/
or spend their money.

Social barriers of rural inhabitants to information, education facilities, health

and social services and so forth.

The following is a list of some of the constraints and challenges to ICT adoption
in rural areas. Note that the list is not exhaustive.
 Financial sustainability;
 Skills development and retention;
 Making ICT more intuitive and conversational;
 Enriching and diversifying the knowledge base;
 Validating local language communications;
 Gaining and maintaining trust in the system;
 Local information for local use; and
 The trustworthiness of the content.

Activity 7.2
1. What do you understand by ICT?
? 2. Why is it important to determine the ICT appropriateness to the needs
and expectations of the end user?
3. What are the constraints to ICT development and usage in developing
countries communities?
4. Evaluate the barriers to ICT adoption in developing countries
communities?
5. What are the implications of the statement, 'Although technology is
important as an enabling factor for both information and knowledge
management, it is essential to realise that technology is only one of the
components?

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7.4 Knowledge Management

Knowledge starts as data and then moves through information to knowledge.
According to Musingafi, et al., (2011), data is a base representation of a fact,
represented in the form of numbers, letters, or words. They are simply registers
of facts from events or transactions without context. Examples include number
of visits to a community, number of crop failures, number of farmers trained.
Thus, data are raw facts awaiting processing.

Musingafi, et al., (2011), further observe that by structuring data using our
mental framework and subjectivity to explain or express something, we convert
data into information, a set of data with relevance and purpose. This provides
answers to "who", "what", "where", and "when" questions. Information is thus
contextualised data. It is the result of processing, manipulating and organising
data so that meaning is assigned, according to context and assumed
conventions.

Musingafi, et al., (2011), note that knowledge is information that is embedded

in a context, has a purpose and leads one to take an action. It allows us to
make sense of information, relate information to our lives and know when
information is irrelevant. For example, a farmer has learned that by rotating
crops he is less exposed to crop failures. He tried different varieties and with
his previous knowledge about the soil and weather conditions in the region,
he has come up with the right mix of crops that produced a good harvest and
allowed him to pay his loans and provide for his family. Information becomes
knowledge when a person acts on it, makes it his own, conceptualises it by
placing it in relation to previous knowledge and internalises it by making it
part of his beliefs (Musingafi, et al., 2011).

Wisdom is knowledge with insight or the capacity to know what body of

knowledge is relevant to the solution of significant problems (Musingafi, et
al., 2011). Information can tell us that something happened, knowledge can
tell us how it works, but wisdom allows us to identify the bodies of knowledge
required to evaluate whether it is a positive or negative development. Wisdom
means knowing what questions to ask. Wisdom is therefore the ability to use
knowledge for a purpose, ability to apply knowledge or experience,
understanding or common sense and insight. Wisdom is knowledge gained
through personal experience that allows understanding how to apply concepts
from one domain to new situations or problems (Musingafi, et al., 2011).

Proper application of knowledge and wisdom translates to development

(Musingafi, et al., 2011).

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7.4.1 Indigenous and grassroots knowledge

Indigenous knowledge is closely linked to community based and grassroots
management approaches. This is knowledge that is unique to a given culture
or society. It is the basis for local-level decision-making in agriculture, health
care, food preparation, education, natural resource management, and a host
of other activities in rural communities. It is the knowledge that people in a
given community have developed over time, and continue to develop. Such
knowledge is based on experience, often tested over centuries of use, adapted
to local culture and environment (Musingafi, et al., 2011).

Indigenous knowledge is rich in cultural knowledge that provides identity to

young people. It helps us answer the questions about who we are and what
our history is, about appropriate technology, and useful medicinal plants for
curing human and livestock diseases. It assists us with environmental and
agricultural knowledge and knowledge of the human body, including sex
education, and many other useful areas of knowledge.

Indigenous knowledge forms part of the community's information and

knowledge resources. In most sub-Saharan communities, this knowledge has
difficulty surviving. According to Mchombu (2004), difficulties arise because
traditions and cultures are often the object of massive attacks and questions
by the dominant foreign culture. Colonialists and their allies cast aside and
disorganise the knowledge and traditions that indigenous groups use to define
themselves and their view of the world. In decreasing the value of indigenous
and local knowledge resources, the channels of traditional knowledge
communication have been cut off. The younger generation has been de-linked
from their own culture and traditions. This separation makes it difficult for the
older generation to transfer this rich cultural heritage to the next generation.

Some of the reasons for the destruction of the indigenous information and
knowledge base are listed by Mchombu (2004) as follows:
 young people turning away from their elders and breaking an ancient
chain of orally communicated knowledge;
 an education system which is de-linked from the indigenous knowledge
base and aimed at proving that external information is better than
indigenous knowledge;
 the destruction of the homes of indigenous populations by urbanisation,
farming and commercial activities, such as logging and mining; and
 propaganda from the "modernisation-oriented" mass media and political
elite that traditional ways of doing things are never as good as external
ways of doing things and should be rejected.

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The folly of sidelining indigenous knowledge in governance and community

development projects is well illustrated in the old man from a village in the
western part of Ivory Coast story captured by Clavreul (2003). He told the
head of a well drilling team that had drilled unsuccessfully for water for three
days:

I admire your courage. You are doing everything in your power to give us
water, but may I give you some advice? [...] The water runs beneath the earth
in small brooks. We cannot see these little brooks beneath the earth, but they
exist. I have noticed that in the dry season the termite hills continue to grow.
And termites need a lot of water. They look for water in the brooks deep
down in the earth. I know the location of the termite hills in the fields around
the village. Put your machine there. You will find water.

The following day the team found water at the location indicated by the old
man.

It is, therefore, important to take indigenous knowledge into account when

trying to find solutions to identified community development issues.

Activity 7.3
1. Evaluate the assertion that, 'knowledge derives from information, as
? information derives from data.'
2. Distinguish between data, information, knowledge and wisdom.
3. How important is indigenous knowledge to community development
projects?

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7.5 Summary
In this unit we have looked at the importance of effective communication in
governance. We argued that effective communication is critical to the good
governance principles of openness, transparency, accountability, and trust.
Information and communication technologies (ICT) have a potential for
economic growth and social empowerment. Community knowledge has to
be well-managed to ensure good governance and attainment of community
development.

In the next unit we look at the relationship between human rights policy and
practice in Africa.

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References
Clavreul, J.Y. (2003). 'The wisdom of the elderly, water and termite hills'. In:
Graaf, S. de (ed) Water stories. Delft, The Netherlands, IRC
International Water and Sanitation Centre.
Economic and Social Commission for Asia and the Pacific (UNESCAP).
(2003). Life Skills Training Guide for Young People: HIV/AIDS
and Substance Use Prevention. New York: UN.
Fisher, F. and Tees, D. (2005). Key Competencies for Improving Local
Governance. Volume 1: Quick Guide. Nairobi: UN-HABITAT.
Mchombu, K.J. (2004). Sharing knowledge for community development
and transformation: a handbook. Oxfam Canada.
Musingafi, M.C.C., Dumbu, E. and Dube, H. (2011). Project management
information systems: A handbook for managing project
management information systems in sub-Saharan Africa.
Saarbrucken: LAP Lambert Academic Publishers.

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134 Zimbabwe Open University

 Unit Eight

Rule of Law, Human Rights and

Access to Justice

8.0 Introduction

Ferreyra, et al. (2006) claim that the promotion and protection of human
rights as well as the achievement of human development are possible only
when governments establish transparent, accountable systems of governance,
grounded in the rule of law, and provide access to justice for all members of
society, paying special attention to the most vulnerable groups in society. There
are different mechanisms through which governments guarantee human rights
and the rule of law. These include:
 laws consistent with international human rights standards;
 institutional separation of powers, which includes an independent
judiciary; and
 effective functioning of courts, judiciary and law enforcement as well
as independent human rights institutions or ombudsman offices
(Ferreyra, et al, 2006).
In this unit we look at the relationship between human rights policy and practice
in Africa. We conclude that Africa has formulated and adopted rule of law
and human rights policies and legislation, but these are nothing more than
pieces of paper as they are not implemented.
Governance and Community Leadership Module BSDS 304

8.1 Objectives
By the end of this unit, you should be able to:
 discuss the African human rights framework
 analyse the state of human rights and rule of law in Africa
 evaluate institutional mechanisms for safeguarding and enforcing human
rights

8.2 Human Rights, Rule of Law and Justice

Human rights, rule of law and justice are the pillars of governance and
community leadership. As we discuss these concepts in this unit take them
down to your community and try to visualise how these concepts and issues
affect governance and leadership in your community.

According to Ferreyra, et al. (2006), respect for human rights and the rule of
law promotes an empowered and participatory society that can counter
exploitative political and economic interests in society. For this to occur, it is
important that norms are known to all, applied in law and reality, and that
mechanisms for redress are in place. Although the primary guarantor of human
rights is the national government, human rights and the rule of law cannot be
realised without the commitment of society to these norms and rules as well.
Interactions among individuals and groups in society should therefore reflect
these principles.

According to Human Rights Watch (2001), human rights standards have

become increasingly well defined and broad in scope, reflecting economic,
social, political, civil and cultural entitlements. They also embody international
consensus on the minimum requirements for a life with dignity. Human rights
seek to ensure the substantive equality of all people and help to identify people
and institutions with a particular responsibility to act (UN General Assembly,
1993).

8.3 The African Human Rights Framework

While African countries have overwhelmingly subscribed to most international
and regional human rights norms and standards, ratified numerous major human
rights treaties and enshrined these norms and standards in their constitutions
and national legislations, a significant gap remains in their realisation (Ferreyra,
et al., 2006). Some progress has been made on human rights, but the

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application of human rights standards lags behind the substantial efforts made
in ratifying human rights treaties and conventions and the public statements
and rhetoric of African leaders on human rights (Human Rights Watch, 2001).
The challenge is therefore to narrow this gap and make human rights a reality
in all spheres of life, particularly for the most vulnerable groups in society.

African leaders have affirmed commitments to human rights and rule of law
through the Constitutive Act of the African Union (AU), the New Partnership
for Africa's Development (NEPAD) Declaration on Democracy, Political,
Economic and Corporate Governance and the Memorandum of
Understanding on theAfrican Peer Review Mechanism (APRM), among others.
African leaders' commitment to human rights is highlighted in the Declaration
adopted by the 38th Ordinary Session of the Assembly of Heads of State and
Government in Durban, South Africa, 8 July 2002. The Constitutive Act of
the AU declares one objective of the union to be promoting and protecting
human and peoples' rights in accordance with the African Charter on Human
and Peoples' Rights and other relevant international instruments. Among the
AU's guiding principles is the respect for democratic principles, human rights,
rule of law and good governance.

The African human rights framework has evolved from the African Charter on
Human and Peoples' Rights, which borrowed largely from other international
human rights instruments. The charter is different from other international and
regional human rights instruments in that it makes no distinction between civil
and political rights and economic, social and cultural rights. It also introduces
the concept of people's rights and duties. The African Charter on the Rights
and Welfare of the Child, which was adopted in July 2003 as the first human
rights instrument of the AU, and the Protocol to the African Charter Related
to the Rights of Women in Africa, which came into force in November 1999,
complete the African human rights framework (Human Rights Watch, 2001).

Activity 8.1
1. Discuss the state of human rights policy and practice in Africa.
? 2. Human rights seek to ensure the substantive equality of all people and
help to identify people and institutions with a particular responsibility
to act. Discuss.
3. Discuss the African human rights framework.
4. Among the AU's guiding principles is the respect for democratic
principles, human rights, rule of law and good governance. How has
Africa fared in this area?

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8.4 The State of Human Rights and Rule of Law in

Africa
African countries have ratified almost all the major human rights instruments
and have affirmed faith in international human rights through various forums,
but significant challenges remain in realising human rights in Africa. The
universality of human rights remains formal rather than real. Inequalities and
injustices against women and children are widespread, as are racism and
ethnic discrimination.

8.4.1 National constitutions and laws

The basic principles in the Universal Declaration of Human Rights are restated
in most national constitutions and incorporated into national laws. The detailed
provisions on human rights contained in African constitutions give national
expression to the rights contained in the International Covenant on Civil and
Political Rights and the International Covenant on Economic Social and Cultural
Rights (UN General Assembly, 1966). The constitutions of all African countries
guarantee the civil and political rights of every citizen as well as the democratic
values of human dignity, equality and freedom. In terms of the bill of rights,
they guarantee without qualification the right to equality before the law, human
dignity and inviolability of the individual. They prohibit all forms of malicious
treatment and exploitation especially slavery, torture and degrading punishment.
And they guarantee the right to a fair hearing, including the right to be heard,
to appeal, to be presumed innocent, to be defended by counsel of one's
choice and to have a trial within a reasonable time by an impartial court or
tribunal. In practice, however, power tends to be distorted in favour of the
state.

African constitutions often recognise that fundamental human rights and

freedoms of the individual are inherent and not granted by the state and that
these rights must be respected, upheld and provided by all organs and agencies
of government and by all persons. Liberty is thus protected as a general concept
embracing all of a man's or woman's rights and interests in a free and democratic
society. Some national constitutions, such as South Africa's, go further and
include justiciable socioeconomic rights (Ferreyra, et al., 2006).

The national constitutions further provide for equality of all before and under
the law in political, economic, social and cultural life and grant equal protection
of the law to all citizens.

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8.4.2 Violations by law enforcement agencies

Many leaders still violate the constitution, order citizens and political opponents
to be detained without trial, suppress lawful demonstration and agitation by
the people and prevent citizens' lawful assembly by citing frivolous security
reasons or insisting on securing a permit that may not be granted. All these
actions erode the fundamental political and civil rights of the citizens.

In many African countries there is very low level of transparency with regard
to the violations of human rights that take place in prisons, for instance, indicating
poor surveillance over the conduct of prison managers and the welfare of
prisoners. In many African countries prisons are overcrowded and offer poor
sanitation, leading to the proliferation of such diseases as typhoid, dysentery
and tuberculosis. According to the national country report, Senegal's prisons
are ill equipped and obsolete, with most of them dating back to the colonial
days. They are also overcrowded (Human Rights Watch, 2001). In South
Africa the Independent Complaints Directorate's 2001 report noted that torture
and ill treatment of criminal suspects by the police remained a serious problem.
It reported 650 deaths in custody as result of police action in 2001.

The institutions charged with protecting rights and liberties have failed to live
up to citizens' expectations. As a result, in some countries the public has lost
confidence in these institutions and does not consider them as having much
credibility and integrity (Ferreyra, et al., 2006).

8.4.3 Civil and political rights

Many African countries do not always respect the civil rights and liberties
clearly spelled out in the constitution, especially in difficult political situations.
Several African countries held presidential or parliamentary elections in the
last decade, and most were characterised by intimidation and gross and
widespread vote rigging (Ferreyra, et al., 2006). There are often accusations
that the incumbents use their existing government power to win votes.
Harassment of journalists and editors, self-censorship and inequality in media
access always intensify as the date for elections nears. Supporters of opposition
candidates are often threatened and harassed (Ferreyra, et al., 2006).

The most significant violations of human rights in Africa tend to be related to

the exercise of political rights, especially dissent and freedom of association.
Criticism of government actions and policies is often seen as a challenge to
existing authority. Open disagreement with government on key issues of
governance is perceived as unpatriotic and is often violently suppressed (Human
Rights Watch, 2001).

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Political dissenters continue to be arrested in several African countries despite

the constitutional freedom to form political parties. Human rights organisations
remain one of the most dynamic segments of civil society in Africa, but their
work is constantly hounded by government security agencies (Human Rights
Watch, 2001).

8.4.4 Economic, social and cultural rights

In the areas of economic and material social rights, many African countries
have made the right to employment, education, health services, housing, food
and the like non-justiciable, listing them as directive principles of state policy,
which are rights the government will strive to achieve based on resource
availability. But these rights cannot be enforced, and the government cannot
be sued if they are not realised, making them non-binding rights (Hatchard,
1998).

8.4.5 Equal access to justice

According to Human Rights Watch (2001), in virtually every African country
access to justice in a quick and efficient manner is problematic. The court
system is slow and expensive, and access to it is often determined by the
social status of the person involved. In Kenya the average waiting time to get
justice in court is three years. In Mauritius criminal cases in district and
intermediate courts usually take one year to come to court for trial for the first
time and two to three years to go through trial; supreme court cases usually
take three to four years to come up for trial. In Nigeria access to justice is
notoriously hampered by delays in trials in the law courts, with an average
waiting time of five years for cases to be brought to trial, especially in criminal
cases.

8.4.6 Gender equality and women's rights

Many constitutions declare sex discrimination illegal, but allow an exception
for matters relating to customary law. This sort of arrangement does not send
a clear and consistent message on the importance of gender equality and
serves only to perpetuate gender discrimination (Ferreyra, et al., 2006).

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Activity 8.2
1. Analyse the state of human rights and rule of law in Africa.
? 2. The constitutions of all African countries guarantee the civil and political
rights of every citizen as well as the democratic values of human dignity,
equality and freedom. Discuss.
3. ManyAfrican constitutions declare sex discrimination illegal, but allow
an exception for matters relating to customary law. What is the problem
with this arrangement?

8.5 Institutional Mechanisms for Safeguarding and

Enforcing Human Rights
There are several institutional mechanisms for safeguarding and enforcing human
rights in Africa. Some of them are outlined in the following subsections.

8.5.1 National human rights enforcement mechanisms

Effective domestic protection of human rights requires a network of
complementary norms and mechanisms, including:
 state adherence to human rights treaties;
 implementation of international human rights obligations in domestic law;
 effective and accessible state institutions where individuals can obtain
redress for human rights breaches;
 a lively human rights nongovernmental organisation community; and
 a population that has developed a strong human rights culture.
Traditionally, the judiciary, in view of the constitution and the nature of its
functions, is the main government agency called upon to protect human rights
and advance rule of law, accountability and transparency in government. It
has two basic instruments for preventing or punishing the violation of the liberty
of an individual. These instruments are critical in a preventive sense and are
used worldwide to advance the cause of human rights and rule of law (Ferreyra,
et al., 2006). But many jurisdictions have realised that protecting human rights
and promoting accountability in governance and rule of law cannot be left to
the courts alone but must also involve other democratic institutions designed
specifically to provide such protection.

According to Ferreyra, et al. (2006), watchdog institutions that oversee the

executive include human rights commissions, public protectors, auditors
general, inspector generals, ombudsmen, electoral commissions and

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anticorruption commissions. They typically have several functions: to promote

adherence to rule of law and principles of natural justice in administration, to
eliminate corruption and abuses of authority and public office, to promote
fair, efficient and good governance in public offices and to promote
constitutionalism and accountability in governance.

A central factor in the effective operation of watchdog institutions is their

independence from other branches of government, especially the executive.
The independence of an institution depends on such matters as appointment
procedures and protection of tenure and promotion procedures for appointees.
In most cases in Africa the watchdog institutions are fairly or substantially
controlled by the executive branch of government (Ferreyra, et al., 2006).
This control is reinforced by watchdog institutions' financial dependence on
the executive. Furthermore, merit is often relegated to a secondary position in
the appointment of the watchdog organisation officers, while ethnicity and
personal loyalty to the appointing authority are given premium, which may
undermine effectiveness (Ferreyra, et al., 2006).

Some countries have established legislative committees, usually comprising

members of parliament, as an additional national mechanism to promote rule
of law and protect human rights. In Kenya the Government's Standing
Committee on Human Rights, created in 1996, examined prison conditions
and found widespread abuse of prisoner rights, including the murder of six
death row inmates by prison wardens in 2001. It then put pressure on the
government to effect prison and police reform, condemning the torture and
recommending that police officers receive compulsory human rights training.
The committee also investigated police officers for a pattern of shooting unarmed
civilians and subsequent cover ups. In Mali the National Assembly, rather
than a legislative committee, exercises the surveillance functions (Ferreyra, et
al., 2006).

Integral to the parliamentary process in South Africa is the system of

parliamentary committees, which have extensive legislative powers to advance
the protection of human rights and rule of law, including the ability to monitor,
investigate and inquire into programmes, budgets, organisational structure,
policies or anything else relevant to government departments. Among the
matters the parliamentary committee can monitor are the effectiveness of human
rights commissions and other watchdog organisations that protect and promote
human rights. It can set up special inquiry commissions that collect information
and report back to the members of parliament who can debate the report and
pass a resolution addressed to the government.

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The problem with parliamentary-based oversight committees is that they tend

to be ad hoc and are better suited to investigating situations than to investigating
individual complaints. Also, their membership may vary more than a regular
human rights commission.

8.5.2 The role of civil society organisations

Efforts have been made to tighten regulatory regimes on nongovernmental
organisations and restrict their operation in several African countries, including
Ethiopia, Uganda and Zambia. For example, in Uganda until recently
nongovernmental organisations operated generally quite freely and were
outspoken in their critique of the government's human rights practises, but a
new law, the Non Governmental Organisations Registration (amendment) Act,
requires them to obtain a special permit from the registration board before
they can operate. The law empowers the registration board to reject or revoke
a group's registration and imposes punishments for operating without official
approval, potentially criminalising legitimate nongovernmental organisation
activities. The space given to civil society organisations to operate varies across
countries. Often development or humanitarian-oriented organisations are far
more accepted than those venturing into advocacy on sensitive issues (Ferreyra,
et al., 2006).

Civil society and the media are broadly perceived as helping to promote
accountability on human rights and good governance in many countries. Civil
society is often considered to be more independent than official agencies to
monitor human rights violations.

However, civil society groups' lack of information gathering, weak analytical

capacities and a scarce resource base hamper their effectiveness. As a result
most civil society activities are concentrated in urban areas and have little
impact in rural areas. Fragmentation in civil society also inhibits the sharing of
expertise and information. Inadequate funding and other types of resource
deprivation undermine the effectiveness of most governance agencies, including
constitutionally independent ones (Ferreyra, et al., 2006).

8.5.3 Human rights commissions

Africa has seen a rapid increase in the establishment of human rights
commissions, including gender commissions (Reif, 2000). Nearly 30 African
countries have made provisions in their laws to establish a national human
rights commission of some sort (Human Rights Watch, 2001). Human rights
commissions serve as another check on the conduct of the state. Typically

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they are charged with hearing complaints of violations of laws; promoting a

culture of respect for rights; protection, monitoring, development and
attainment of human rights; and securing appropriate redress when human
rights are violated. In established democracies national human rights institutions
usually exercise their functions as part of a wider network of domestic
machinery, including courts and specialised tribunals.

In Malawi, for instance, the Human Rights Commission ensures that human
rights are upheld in practise throughout the country. The Malawi constitution
grants the commission "such powers of investigation and recommendation as
are reasonably necessary for the effective promotion of human rights". In
Uganda the Human Rights Commission is charged with investigating at its
own initiative or on a complaint the violation of any human rights, visiting
prisons and places of detention to assess the conditions of inmates,
recommending to parliament effective measures to promote human rights,
including the provision of compensation to victims of violations of human rights,
monitoring government compliance with international treaty and convention
obligations on human rights and researching and establishing an education
and information programme to enhance respect for human rights and educate
the public about human rights.

8.5.4 Effectiveness of the judiciary

In many African countries the judicial system is slow and expensive, and it
lacks basic infrastructure and operational materials such as courtrooms,
vehicles, computers, and writing and recording materials. It is also hampered
by poor funding and conditions of service. In addition, in some jurisdictions
the judiciary is seen as controlled by the executive, difficult to access and
slow in processing cases.

With regard to the independence of the judiciary, several countries have strived
to maintain an autonomous judicial system. In South Africa, for example, the
courts have demonstrated a fair degree of resilience and independence that
have guaranteed the effectiveness of rule of law.

8.5.5 Monitoring of human rights

In contrast with the generally positive record of ratifications of human rights,
African countries are lax in fulfilling their obligations at implementing human
rights treaties. The failure to operationalise national human rights institutions
and integrate human rights in national legal frameworks and policies is serious,

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as well as the failure to report human rights violations and to cooperate with
human rights monitoring institutions.

Activity 8.3
1. Evaluate institutional mechanisms for safeguarding and enforcing human
? rights in Africa.
2. How effective is the African judiciary?
3. Discuss the national human rights enforcement mechanisms in Africa.
4. Examine the role of civil society organisations in Africa

8.6 Summary
In this unit we have shown that one of the greatest threats to human rights in
Africa remains the extent to which human rights are clouded by uncertainty
and turbulence. One of the most important overarching actions therefore is to
support and consolidate the trend towards peace, stability and democratisation
at the country level. In this unit you have seen that as an accountability
mechanism, a national human rights institution finds it extremely difficult to
function in a country that lacks a democratic system of checks on the exercise
of power, where real independence from the ruling power is not possible and
where human rights are not respected in law or practice. By contrast,
democratic governance in a state deepens and matures as national human
rights institutions established within the state are strengthened and functional.
Our final conclusion is that there is clearly a need to make the mechanisms for
addressing human rights abuses more effective throughout Africa.

In the next unit we look at local government, decentralisation, involvement

and participation, gender mainstreaming, and capacity building and grassroots
empowerment as the major pillars of governance and community leadership.

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References
Ferreyra, A., Jahan, S., Keuleers, P., Mabsout, R., Mason, J., Mukhopadhyay,
P., Ohiorhenuan, L., Selim, N., Tamesis, P. and Taylor, N. (2006).
Governance for the Future Democracy and Development in the
Least Developed Countries. UNDP.
Hatchard, J. (1998). National Human Rights Institutions in the
Commonwealth: Directory. (3rd ed.) London: Commonwealth
Secretariat.
Human Rights Watch, (2001). Protectors or Pretenders? Government
Human Rights Commissions in Africa. New York.
Mvula, P., Kakhongwe, P. and Cammack, D. (1997). Beyond Inequalities:
Women in Malawi. Southern African Research and Documentation
Centre, the University of Malawi Centre for Social Research.
Reif, L.C., (2000). Building Democratic Institutions: The Role of National
Human Rights Institutions in Good Governance and Human Rights
Protection. Harvard Human Rights Journal 13: 1-70.
UN General Assembly, (1966). International Covenant on Civil and
Political Rights. G.A. Res. 2200A (XXl). A/6316.
UN General Assembly. (1993). National Institutions for the Promotion
and Protection of Human Rights. G.A. Res. 134. UN G.A., 48th
sess., A/RES/48/134.
U.S. Department of State, (2001). Country Reports on Human Rights
Practices 2000: Egypt. Bureau of Democracy, Human Rights and
Labour, Washington, D.C. [www.statfor example,ov/g/drl/rls/hrrpt/
2000/nea/784.htm].

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 Unit Nine

Local Governance

9.0 Introduction

The art of leadership is to act as a representative of a much larger

constituency than those who voted for you (Peter Parker, Former
Chairman of British Rail, captured in Fisher and Tees, 2005)

Local government provides a means for the ordinary citizen to take part in
public affairs at local level. Decentralised institutions like urban councils make
it easier for citizens to contribute towards what directly affects their lives and
also ensures meaningful engagement of communities in the process of
sustainable development. It is argued that administratively local governments
are the preferred forms of decentralisation because they allow for genuine
decongestion of the central government as decision making powers and control
of necessary resources are transferred to localities where they are expeditiously
exercised to deal with local problems

In this unit we look at local government, decentralisation, involvement and

participation, gender mainstreaming, and capacity building and grassroots
empowerment as the major pillars of governance and community leadership.
Governance and Community Leadership Module BSDS 304

9.1 Objectives
By the end of this unit, you should be able to:
 describe the relationship between local government and grassroots
communities
 explain the different approaches to decentralisation
 outline the concepts of participation/involvement
 discuss the concepts of gender mainstreaming, capacity building and
grassroots empowerment

9.2 Local Government and Grassroots Communities

As observed by Chakaipa (2010), the theoretical and conceptual argument
for local government is that, as the level closest to the people, it is able to
better articulate and respond to local needs. Local government is also better
placed to harness both local knowledge and effort in the execution of its
mandates. The competencies assigned to local government are not only local
in nature but have a direct bearing on the day to day lives of local communities.
Local government provides a means for the ordinary citizen to take part in
public affairs at local level. Citizens have an opportunity through their vote to
exercise a decisive influence on the general direction of local affairs. Thus the
raison d'etre for the establishment of local government by many governments
is:
 provision of services at affordable cost to local communities in a more
responsive and efficient manner;
 promotion of public participation in government as a means of enabling
and encouraging people to exercise their rights and responsibilities as
citizens; and
 to regulate the conduct of individuals and organisations in areas under
their jurisdiction (Chakaipa, 2010).
But how is local government implemented? Generally local government is
expressed as decentralisation-a form of power to the people/community.

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Activity 9.1
1. Why is local government important in the management of community
? activities?
2. What is the role of local government in your community?
3. What is the relationship between local government and grassroots
communities?

9.3 Decentralisation
The concept of contemporary and good governance discussed in Unit 1 is
largely based on accompanying sub-concepts (sub-systems) in the form of
decentralisation, involvement, participation, gender mainstreaming,
empowerment, capacity building, among others.

Decentralisation may simply be defined as the transfer of power from a central

authority to local/grassroots authorities. Cheema and Rondinelli (1983) define
decentralisation as the transfer of planning, decision-making or administrative
authority from central government to its field organisations. The World Bank
(1997) states that the most important principle of decentralisation is that the
lowest level of government should provide public goods and services. The
four major forms of decentralisation are deconcentration, delegation, devolution
and privatisation (Cheema and Rondinelli, 1983). The application of any of
these forms depends on the nature of the government, local institutions and
local context, and the degree of authority to be transferred from the centre to
the periphery (Assaduzzaman, 2009).

Deconcentration is simply the transfer of authority and responsibility from the

central authority to field level agencies (Assaduzzaman, 2009). It is thus the
transfer of the workload from headquarters to field authorities without
transferring the final discretion. Under this arrangement, the local authority
enjoys and exercises a position of conferred authority. Turner and Hulme
(1997) believe that deconcentration can pursue the objective of technical
efficiency leading to greater effectiveness, but not to popular participation.
Shrestha (2000) summarised the features of deconcentration as follows:
 field agencies represent central authority at the grassroots without
autonomous status;
 there is a hierarchical power relationship between the central authority
and the field representatives;
 field agencies are not free from the central command system; and

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 field agencies have an intra-organisational pattern in their power

relationship with the central authority.
Delegation involves the creation of a local authority to plan and implement
decisions concerning specific activities within special boundaries of an
organisation without direct supervision by a higher administrative unit (Cheema
and Rondinelli, 1983). Major characteristics of delegation identified by
Shrestha (2000) are:
 delegated authorities are autonomous bodies with operational freedom;
 delegation is used as a means of removing some important functions
from normally inefficient government bureaucracies;
 delegation is occasionally used as an instrument for maintaining public
control over some highly profitable resources; and
 delegation is the entrustment of powers and authority to be exercised
by subordinate staff.
Thus, compared to deconcentration, delegation involves a transfer of power,
although ultimate power remains in the hands of a central authority. A good
example is the creation of parastatals and commissions in most developing
countries like the Zimbabwe National Water Authority (ZINWA), the
Zimbabwe Electoral Commission (ZEC) and the Grain Marketing Board
(GMB) in Zimbabwe. These semi-autonomous authorities are public utilities
responsible for water supply, elections supervision and grain distribution.

Devolution is the legal transfer of significant power, including law-making and

revenue-raising, to the locally elected bodies (Conyers, 1987). Cheema and
Rondinelli (1983) identified the following characteristics of devolution:
 powers are transferred to autonomous units governed independently
and separately without the direct control of the central government;
 the units maintain control over a recognised geographical area;
 Each unit enjoys corporate status and power, enabling it to secure its
own resources and to perform its functions;
 implies the need to develop local government institutions; and
 devolution is an arrangement of a reciprocal, mutually beneficial and
coordinative relationship between central and local government.
Thus, devolution is politically the most significant form of decentralisation, as
it provides an opportunity for effective participation of the local people in the
local level decision-making process, through the local government institutions
elected by them.

Privatisation is the transfer of some planning or administrative responsibilities

of public function of government from the government to private or voluntary

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agencies (Assaduzzaman, 2009). Organisations like for-profit organisations,

NGOs, trade associations, professional organisations, civil society, political
parties, cooperatives and other voluntary agencies shoulder responsibilities
normally performed exclusively by the government.

The above four types of decentralisation have different effects on the

organisational structure, the degree of transferred power, the amount of
people's participation and the precondition for successful implementation.
Devolution seems to be the most acceptable form of decentralisation for
optimum level of people participation and empowerment.

Activity 9.2
1. What is decentralisation?
? 2. Why is understanding the concept of decentralisation important in local
governance?
3. Evaluate the main forms of decentralisation.

9.4 Involvement and Participation

According to Lewin, as captured by Sambureni (2001: 57) 'we are likely to
modify our own behaviour when we participate in problem analysis and solution
and likely to carry out decisions we have helped make'.

In this module involvement and participation are used interchangeably. These

are processes that influence interaction and information sharing. Involvement
processes articulate a set of values that promote respect for individual
contributions and teamwork. Thus, as put forward by the UNWVLC (2008)
participation is a process through which stakeholders influence and share control
over the development initiatives, decisions and resources which affect them.

According to WWAP/UNESCO (2003) participation can also guarantee that

voices of relatively powerless groups, such as women and indigenous people,
are heard. Participation offers people the opportunity to meet their
responsibilities, as well as the opportunity to claim their rights. Key aspects of
sustainability include empowerment of local people, self-reliance and social
justice. These reflect concern about principles of equity, accountability and
transparency. One way to incorporate these principles into real-life management
is to move away from conventional forms of governance, which have usually
been dominated by a top-down approach, and professional experts in the

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government and private sector and move towards the bottom-up approach,
which combines the experience, knowledge and understanding of various local
groups and people.

Table 9.1: Levels of Stakeholder Involvement

Techniques Participation
Top-down-from experts: Listening;
Public information; Observing.
Hearings
Hybrid-Experts and decision-makers listen to Reviewing;
other opinions: Advising.
Conferences;
Taskforce;
Workshop.
Participatory-From stakeholders: Local cooperative;
Participatory rural appraisal; Joint decision-making.
Mediation.

(Source: UNWVLC, 2008)

Thus, as put forward by Frayssinet (1995: 5) "participation is fundamentally

about power: the power to make decisions affecting one's own life and the life
and development of the community, the power to say no as well as to say
yes". The result of effective participation is that people own their development
and therefore development becomes more sustainable. For people to
participate fully they have to be empowered.

9.5 Gender Mainstreaming

According to Musingafi (2008) gender and sex are two different things that
have become so closely related such that some people risk using them
interchangeably. Where sex is mainly biological and God-given, gender is
mainly psychological and cultural. The SADC regional water policy (2005)
outlines the United Nations definition of gender as follows:

Gender refers to the socially and culturally constructed roles, privileges,

responsibilities, power and influence, social relations, expectations and value
of men and women, girls and boys. There are significant differences in what
women and men can or cannot do in one society when compared to another.
In all cultures, the roles of women and men are distinct, as are their access to

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productive resources and their authority to make decisions. Typically, in most

cases, men are held responsible for the productive activities outside the home,
while the domains of women are the reproductive and productive activities
within the home. In most societies, women have limited access to income,
land, credit, education as well as limited ownership and control over these
resources.

Gender mainstreaming is one of the most important sub-concepts in the modern

governance debate. It brings in issues of efficiency and effectiveness, equity
and equality, fairness and justice, ethics and morality, among others. The
SADC protocol on gender and development (2008) defines gender
mainstreaming as 'the process of identifying gender gaps and making women's,
men's, girls' and boys' concerns and experiences integral to the design,
implementation, monitoring and evaluation of policies and programmes in all
spheres so that they benefit equally'.

Gender mainstreaming is defined by the United Nations, as captured by the

SADC regional water policy (2005), as the process of assessing the
implications for women and men of any planned action. This includes legislation,
policies and programmes in any area and at different levels. It is a strategy for
making women's as well as men's concerns and experiences an integral
dimension in the design, implementation, monitoring and evaluation of policies
and programmes in all political, economic and societal spheres so that both
women and men benefit. Gender mainstreaming ensures that all stakeholders
are co-opted in decision-making on matters that concern them. The ultimate
goal is to achieve gender equality.

Gender mainstreaming levels the uneven governance playing ground in that

the formally disadvantaged women and girls are co-opted in the decision-
making process on equal terms as their male counterparts.

9.6 Capacity Building and Empowerment

According to Musingafi (2010) the current thinking is that capacity building is
the foundation of governance, development, and subsequently poverty
alleviation. Swanepoel (in de Beer and Swanepoel, 2000) believes capacity
building has three components. The components are the acquisition by the
disadvantaged of the knowledge and skills required to produce the goods
and services which satisfy their needs, making productive resources available
to the underprivileged, and the establishment of effective and efficient

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administrative and institutional structures. Capacity building is thus equated to

empowerment.

For FitzGerald, as captured by Musingafi (2010), an individual is empowered

when she develops the ability to do things which were not previously within
her competence, and when doors of opportunity, which were previously closed,
swing open to allow access to information, influence and opportunity.

The above empowerment process is not only focused on individuals, but as

put forward by Vincent (1995: 9) "it involves family, local, regional or national
groups, one's country and the world; in other words, all aspects of society."

Activity 9.3
1. What do you understand by participation and involvement?
? 2. How important is participation in the management of community
activities?
3. What is gender mainstreaming?
4. Is gender mainstreaming important in the management of community
activities?
5. What do you understand by capacity building and empowerment?

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9.7 Summary
In this unit we have shown that local government provides a means for the
ordinary citizen to take part in public affairs at local level. Our major aim in
the unit is to demonstrate to you that local government is the ideal framework
for the governance and management of community activities as it is situated
close, if not within the grassroots.

In the next unit we look at how local authorities in Zimbabwe raise and utilise
financial resources.

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References
Anon. (2002). Governance. IChemE Assembly.
Assaduzzaman, M. (2009). Governance in practice: decentralization and
people's participation in the local development of Bangladesh. PhD
Thesis. University of Tempere.
Chakaipa, S. (2010). Local government institutions and elections. Local
government working paper series no. 4. Community Law Centre.
University of the Western Cape.
Edgar, L., Marshall, C. and Bassett, M. (2006). Partnerships: putting
good governance principles in practice. Institute on Governance:
www.iog.ca
Fisher, F. and Tees, D. (2005). Key Competencies for Improving Local
Governance. Volume 1: Quick Guide. Nairobi. UN-HABITAT.
Graham, J., Bruce, A. and Plumptre, T. (2003). Principles for good
governance in the 21st century: policy brief number 15 (August,
2003). Institute on Governance: www.iog.ca.
Jreisat, J. (2004). 'Governance in a globalizing world'. International journal
of public administration. 27 (13 & 14): 1003-1029.
Kasambira, S. Y. and Nyamuda, P. (2001). Corporate integrity and ethics:
module MBA518. Harare: Zimbabwe Open University.
Keohane, R. and Ostrom, E. (1995). Local commons and global
interdependence. London: SAGE.
Kooiman, J. (1993). 'Social political governance: introduction'. In Kooiman,
J. ed. Modern governance. London: SAGE.
Maki, H. (2008). Water, sanitation and health: the development of the
environmental services in four South African cities (1840-1920).
PhD Thesis. University of Tempere.
Musingafi, M.C.C. (2008). Single mothers empowerment through small
business development projects in Gweru, Zimbabwe: the case of
the GWAPA poverty alleviation programme. Masters dissertation.
North-West University.
Musingafi, M.C.C. (2010). Single mothers empowerment through small
business development projects in Gweru, Zimbabwe: the case of
the GWAPA poverty alleviation programme. Saarbrucken: LAP
Lambert Academic Publishers.
Musingafi, M.C.C. (2011). Project management information systems: A
handbook for managing project management information systems
is sub-Saharan Africa. Saarbrucken: LAP Lambert Academic
Publishers.
Ostrom, E. (1990). Governing the commons: the evolution of institutions
for collective actions. Cambridge: Cambridge University Press.

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Paris, R. (2006). 'Bringing the Leviathan back in: classical versus contemporary
studies of the liberal peace'. International studies review (2006) 8:
425-440.
Peters, B.G. (2000). 'Globalization, institutions and governance', in Peters,
B.G and Savoie, D.J. ed. Governance in the twenty-first century:
revitalizing the public service. Canadian centre for management
development.
Stoker, G. (1998). 'Governance as theory: five propositions.' International
journal of social science. 50 (155): 17-28.
UNWVLC. (2008). Governance and community based approaches
manual. UNWVLC.
WWAP/UNESCO. (2003). Water for people, water for life: the UN world
water development report 1. Paris: UNESCO Publishing, and New
York: Berghahn Books.
WWAP/UNESCO. (2006). A shared responsibility: the UN world water
development report 2. Paris: UNESCO Publishing, and New York:
Berghahn Books.
World Bank. (1997). World development report. Washington D. C.: World
Bank.

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158 Zimbabwe Open University

 Unit Ten

Local Governance, Financing

and Resource Mobilisation in
Zimbabwe
10.0 Introduction

If there is no oil in the lamp, the wick is wasted (Cambodian proverb,

captured in Fisher and Tees, 2005)

According to Coutinho (2010: 71) almost all local authorities in Zimbabwe

have been facing insurmountable challenges in raising sufficient funding to ensure
effective service delivery ever since independence in 1980. Most of these
challenges revolve around a failure to ensure effective financial management
systems, that results in the levying of sub-economic tariffs, failure to ensure
cost recovery on essential services, such as, water and sewer provision, failure
to recover debts owed in a hyperinflationary environment, lack of skilled and
qualified staff due to skills flight to the private sector and to the diaspora, and
generally poor financial accounting systems (Coutinho, (2010: 71).

In this unit, we look at how local authorities in Zimbabwe raise and utilise
financial resources.
Governance and Community Leadership Module BSDS 304

10.1 Objectives
By the end of this unit, you should be able to:
 identify sources of local authorities funding
 evaluate local authorities financing activities
 discuss local authorities main expenditure drivers

10.2 Financing Activities in Local Authorities

Urban local authorities, which encompass city councils, municipalities, town
councils, and local boards, are governed by the Urban Councils Act [Chapter
29:15], while rural councils fall under the Rural District Councils Act [Chapter
29:13]. These Acts empower the councils to enact by-laws that allow the
authority to raise revenue through various 'service charges made for any
services, amenities or facilities provided by council' and the 'fixing and
imposition of a supplementary charge' on immovable property in its area to
'cover the expenses incurred by the council in the administration of the area
concerned' and to impose fines and penalties for any breach of council by-
laws.

Section 96 of the Rural District Councils Act [Chapter 29:13] provides for
the imposition of a 'land development levy' on owners of rural land within the
council area, or on owners of 'mining locations situated on rural land within
the council area', or on 'licensed dealers who carry on the business on rural
land within the council area', as well as the imposition of a 'development levy
upon all persons who … are heads of household within any communal or
resettlement ward of the council'. The development levy is commonly referred
to as the 'Unit Tax'. The Act, in terms of Section 97, also empowers the
council to impose 'special levies in rural areas' to cover expenses incurred as
a result of any 'development project or service within the council area' or for
expenses occasioned by 'unusual circumstances or conditions or from an
unequal demand on services provided by the council'.

Part XIX of the Urban Councils Act [Chapter 29:15] provides for the imposition
of rates on any rateable property within a council area, or the imposition of
special rates. Section 221 of the Act [Chapter 29:15] provides for the council
to 'engage in any commercial, industrial, agricultural, or other activity for the
purpose of raising revenue for the council'.

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Rates on property and land

According to Coutinho (2010: 73); rates on property and land is the main
source of funding for most urban local authorities. However, there are
inefficiencies that prevent the effective and proper raising of revenue from this
source. Most of the issues revolve around poor databases and poor financial
accounting systems. Coutinho (2010: 73) observes that in some cases councils
are using outdated valuation rolls as a basis for determining rates.

A council is required to undertake a general valuation of all non-residential

property within its area, and a general assessment of all residential property
within its area for rating purposes. State land and government buildings are,
however, not charged any rates.

Different tariffs are applied to land and to improvements when calculating the
rates due. Supplementary valuations and assessments are done to capture
those properties not on the general valuation roll or those whose values have
been materially affected by alterations, additions or demolitions.

According to Coutinho (2010: 73), often, the councils fail to capture new
properties onto their valuation rolls through supplementary valuations, thus
losing a lot of revenue in the process. In other cases only the land is charged
rates, while the improvements are not captured or the valuations are grossly
understated.

Revenue from service delivery

Revenue from service delivery includes income from activities, such as,
provision of water, refuse removal, sewer and affluent removal, provision of
health services at various hospitals and clinics operated by councils, and so
on.

Fees charged

These fees include fees on various users of council amenities, such as, schools,
flea markets, bus termini, caravan parks, cemeteries and crematoria, parkades
and street parking, swimming pools, and so forth. Bus entry fees are earned
by both rural and urban councils.

Penalties and fines

These relate to penalties for breaches of council by-laws, such as, unapproved
developments, illegal parking, pollution of the environment, and so forth.

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However, often there are no efficient and effective systems to enforce council
by-laws and maximise collection of fines and penalties. A case in point is the
inability of councils to effectively police the street parking areas, with the
result that there is endemic violation of street parking by-laws and the Municipal
Traffic Laws Enforcement Act [Chapter 29:10], and revenue is lost in the
process.

Licence fees

These relate to license fees for items, such as, vehicle licenses, dog licenses,
hawker's licenses, shop licenses, and so forth. Again there are challenges
relating to poor enforcement and poor databases to ensure that all those who
should pay for licenses actually do so.

Supplementary charges

These are charges levied on property owners in high density areas in lieu of
property rates. The issues discussed above relating to rates apply equally to
supplementary charges.

Plan approval and development fees

Councils derive income from approving any developments within their areas
of jurisdiction, and these are pegged against the estimated values of proposed
developments.

The funds raised through this source are normally credited to an Endowment
Fund which is used for the development of on-site and off-site infrastructure
within the council area.

Revenue generating projects

Income generating projects may be an important source of income for some

councils. Most councils have set up income generating projects, such as, beer
halls, breweries, farming, and brick moulding in order to raise revenue as a
means to reduce reliance on tariffs on ratepayers. However, they are often
poorly funded, poorly managed and devoid of adequate accountability systems.
These projects then generally perform poorly, and in some cases are subsidised
from other council operations instead of them being a source of income for
councils.

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Lease of land and sale of land

This is an important source of funding for most councils. The land is either
leased to various organisations or individuals, or is sold for residential or
commercial development to private individuals or organisations. There is no
proper database of council-owned land under lease. In most cases the lease
rentals are sub-economic. Leases are often not reviewed when they are due
for review, and there is generally poor debt management.

Rentals on council properties

Most councils own properties, such as, houses and flats, as well as commercial
buildings, which are rented out. The issues discussed above on leases apply
to council owned properties that are rented out. In numerous cases the rentals
are not reviewed regularly or when reviews are due as per the lease
agreements. The rentals are often sub-economic, resulting in councils failing
to properly maintain the leased properties.

Proceeds from natural resources

This is an important source of revenue for most rural authorities and relates to
natural resources, such as, royalties on minerals within their areas of jurisdiction
or hunting concessions within their areas. These natural resources include,
minerals, whether precious or base minerals, wildlife, woodlands, sand, and
so forth, and are often exploited by private individuals and corporates, while
council imposes royalties or permit fees for their exploitation.

Interest on investments

Income from investments can be an important source of income for councils,

but because of lack of liquidity within the councils the contribution from
investment income is very minimal.

Activity 10.1
1. Evaluate local authorities financing activities.
? 2. What do you think is the major impediment to raising funds in local
authorities in Zimbabwe?
3. How does a local authority raise funds in Zimbabwe?

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10.3 Sources of Funding of Local Authorities

Local authorities have been receiving direct funding from central government
in various forms over the years. They have also been receiving funding from
the Reserve Bank of Zimbabwe in order to assist in ensuring that there is
continued service delivery especially on water and sewerage provision. The
funding is provided by central government in the form of long term loans and
grants.

Loans from other non-government sources

Local authorities have in the past received funding from sources, such as, the
World Bank for infrastructure (water and sewerage) and for equipment, such
as, computers and vehicles. Councils have also been receiving direct assistance
from organisations, such as UNICEF and the UNDP to mitigate the effects of
the recent cholera outbreak that has affected almost all urban centres and
many rural centres in Zimbabwe.

Borrowing powers

The Urban Councils Act [Chapter 29:15] and the Rural District Councils Act
[Chapter 29:13] set conditions to be met where councils seek to borrow
from any source. They may only borrow for:
 the acquisition or construction of permanent works or undertakings;
 the acquisition of immovable property or any interest therein;
 the making of advances authorised by the Act;
 the payment of compensation;
 the liquidation of the principal monies owing on account of previous
borrowings;
 the relief of general distress occasioned by some calamity in the council
area; or
 the acquisition of plant, equipment, vehicles and the like.
All borrowings should be authorised by the Minister responsible for local
government. The council is also required to insert a public notice of its intention
to borrow in a newspaper stating the reasons for the borrowing and the amount
thereof. The ratepayers are entitled to object, and the council shall take those
objections into account when submitting their application to the minister.

In addition to borrowing from the state, the Local Authority Pension Fund, a
Municipal Provident Fund, a Municipal Medical Aid Fund, or a local authority,
a council may also, with the consent of the minister responsible for finance,

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issue stock, bonds, debentures, or bills, or borrow from any other source
including, registered financial institutions, foreign governments, institutions or
individuals.

The council may also make short term borrowings by means of a 'bank
overdraft or short term loans from any person for the purpose of temporary
financial accommodation', provided the borrowing is not applied towards the
payment of salaries 'of any permanent employee of the council unless the
minister has authorised' the council to do so.

Both urban and rural councils may borrow, and use the assets of the council
to secure the loans. The government only stands as a guarantor when council
raises municipal bonds, or where the minister responsible for finance has issued
any such guarantee. Banks are generally reluctant to provide long term finance
to councils due to the perceived high risk associated with local authorities.
However, short term bridging finance through bank overdrafts is generally
available to most councils.

Activity 10.2
1. Identify the major sources of local authorities funding.
? 2. How can local authorities raise funds?

10.4 The Main Expenditure Drivers

The main expenditure drivers for local authorities include salaries, water
chemicals, repairs and maintenance, and electricity.

Salaries

The government has prescribed that salaries and wages should constitute not
more than 32 percent of total recurrent expenditure. However, councils have
been spending most of their income on salaries and wages with some of them
spending as much as 75 percent of total expenditure as salaries and wages.

Water chemicals

The water account generates the most income for most urban councils, and
besides the salaries bill for this account the other main cost item is water
chemicals. The raw water of cities, such as that of the City of Harare, is so
poor that they have to spend heavily on water chemicals, some of which are

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imported. The water account does show a surplus in most urban councils and
it normally supports expenditure on social services, such as, schools, clinics,
and public amenities.

Repairs and maintenance

Repairs and maintenance are key cost drivers for most councils given the fact
that most of them are operating with very old equipment and plant. The
sewerage and water reticulation systems of most councils are now very old,
having been installed before independence in 1980. There are constant
breakdowns at the water and sewerage plants, which drives up the repair
bills. The road network is also in a sorry state and there is need for continuous
repairs and maintenance.

Electricity

Electricity is a major expense for most councils, especially the urban councils,
that need to use it at their water works and at the sewerage works.

10.5 Do Local Governments Adopt Their Own

Budgets?
Local authorities are required by law to craft their own budgets, and are
required to follow certain procedures in accordance with the relevant laws.
The procedures to be followed on the crafting of budgets or estimates are
provided for under section 288 of the Urban Councils Act [Chapter 29:15]
and section 121 of the Rural District Councils Act [Chapter 29:13]. Rural
councils as well as urban local authorities are required to 'make available
three copies of such estimates within two months of their approval by council
to the minister for his information'.

While the legislation does not require that the budget is approved by the
responsible minister, the minister through various circulars prohibits urban local
authorities from applying certain levies, such as, supplementary charges without
his approval. This inhibits the efficient collection of revenue by the urban
councils, especially given the delays experienced in the approval process.

The legislation does not, however, prescribe the process to be followed in

crafting the budget, and leaves the entire responsibility of preparing the budget
in the hands of the council's finance committee and approval by the council.
The public and all other stakeholders are allowed to 'inspect' the estimates,

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but there is no provision for them to make their input in the budget formulation
process. The minister has, however, directed that, in the interest of participatory
democracy, the councils should hold consultation meetings with ratepayers,
and take into account their concerns when formulating the budget. The
ratepayers are also allowed to make objections to the budget that is approved
by council, and council should take into account those objections before tabling
the final budget estimates.

It is, therefore, illegal for any council to operate without an approved budget
or supplementary budget. A council may not incur any expenditure that is not
budgeted and expected council revenues should cover all expenditure.

Due to poor financial and accounting systems there is often no proper

monitoring of budgets, and cost overruns are often not properly regularised
through supplementary budgets as required by law. The council is prohibited
from expending any monies "unless such expenditure has been covered by
estimates or supplementary estimates approved in terms of the Act".

At a practical level the deficiencies identified above result in:

 poor service delivery due to lack of funding, for example, poor or non-
existent provision of portable water and poor refuse removal and sewer
systems resulting in disease;
 lack of adherence to the relevant laws and poor accountability at the
local level;
 loss of skilled personnel due to poor remuneration, resulting in poor
service delivery and poor financial accounting systems (Very often the
councils are not audited in time and issues raised by audits are never
rectified due to poor accountability regimes); and
 because of the poor financial reporting regimes and poor corporate
governance structures that result in weak internal control systems, many
cases of fraud, theft of council property, and abuse of council assets
within councils in Zimbabwe.

Activity 10.3
1. Examine the main local authorities expenditure drivers in Zimbabwe.
? 2. Do local governments adopt their own budgets in Zimbabwe?
3. What is the role of the responsible minister in the local authorities
budgeting process in Zimbabwe?

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10.6 Summary
In this unit, we looked at how local authorities in Zimbabwe raise and utilise
financial resources. Local authorities in Zimbabwe raise money through rents
and rates, levies, service charges, revenue generating projects; sale of land
and many other related activities.

In the next unit we look at the concept of community based natural resources
management (CBNRN) with special focus on experiences in Zimbabwe.
CBNRN is a mechanism of involving residents in the governance of their
community.

References
Coutinho, B. (2010). 'Sources of local government financing. In De Visser,
J., Steytler, N. and Machingauta, N. (eds). Local government reform
in Zimbabwe: A policy dialogue. Bellville: Community Law Centre.
University of the Western Cape. Pp. 71-86.
Fisher, F. and Tees, D. (2005). Key Competencies for Improving Local
Governance. Volume 1: Quick Guide. Nairobi: UN-HABITAT.
Rural District Councils Act 1996 [Chapter 29:13].
Urban Councils Act 1996 [Chapter 29:15].

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 Unit Eleven

Community-Based Natural
Resources Management
(CBNRM)

11.0 Introduction

In this unit, we discuss the concept of Community Based Natural Resource

Management (CBNRM), focusing on its background, definitions and principles
guiding the implementation of CBNRM in Zimbabwe. The unit further explores
experiences gained or lessons learned and challenges and opportunities met
from the establishment of vibrant Community Based Organisations (CBO's)
in Zimbabwe.
Governance and Community Leadership Module BSDS 304

11.1 Objectives
By the end of this unit, you should be able to:
 define the concepts (a) Natural Resource Management, (b) Community
Based Natural Resource Management, (c) sustainable development
 discuss principles guiding CBNRM
 justify the establishment of CBNRM in local communities
 examine the strategies used to support CBNRM at both national and
local levels
 analyse challenges and opportunities of establishing CBO's in
Zimbabwe; and
 discuss benefits of implementing CBO's in Zimbabwe with reference to
SAFIRE MITI programme and Mahenye CAMPFIRE Project

11.2 Background to CBNRM

In many African countries, Zimbabwe included, CBNRM grew out of attempts
to find new solutions for the failure of top-down approaches to conservation.
The approach was based on the idea that communities residing adjacent to
game reserves would derive benefits from wildlife in order to motivate them
to look after the resource and reduce human-animal conflict. The difference
with CBNRM is the starting point-with recognition that local communities
must have direct control over the utilisation and benefits of natural resources
in order to value them and desire to utilize in a sustainable manner. This implies
finding ways of increasing participation of rural communities in resource
management for it is a fact that rural communities have a more intimate
knowledge of their localities than state agencies. They too have a greater
stake in managing resources sustainably as their livelihoods depend on it.
CBNRM, thus, as a construct, emerges as a conservation and rural
development strategy, involving community mobilisation and organisation,
institutional development, comprehensive training, enterprise development,
and monitoring of the natural resource base (Malo, Odera, and Ochuodho,
2007).

11.3 Definition of Terms

As we try to make you understand the concept CBNRM, you should take
note that CBNRM is a wide concept that involves a long process, several
disciplines and may be interpreted in many ways depending on the community

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or context. As a result, arriving at a clear- cut definition is difficult; hence, it is

wise to choose definitions that are encompassing, broad and inclusive. Now
let us consider the following definitions of CBNRM, beginning with what we
understand by Natural Resource Management (NRM).

NRM refers to the management of natural resources such as land, water, soil,
plants and animals, with a particular focus on how management affects the
quality of life for both present and future generations. In other words, NRM
deals with managing the way in which people and natural landscapes interact.
It brings together land use planning, water management, biodiversity
conservation, and the future sustainability of industries like agriculture, mining,
tourism, fisheries and forestry (NSW Government, 2005).

This definition recognises that people and their livelihoods rely on the health
and productivity of our landscapes, and their actions, as stewards of the land,
play a critical role in maintaining this health and productivity.

NRM is also congruent with the concept of sustainable development - a

scientific principle that forms a basis for sustainable global land management
and environmental governance to conserve and preserve natural resources
(Ostrom, Schroeder and Wynne, 1993).

With this background, we can now answer the question "What is CBNRM?"

11.3.1 What is CBNRM?

Thakadu (2005) explains the concept CBNRM as an approach that combines
conservation objectives with the generation of economic benefits for rural
communities. The three key assumptions being that:
1. locals are better placed to conserve natural resources
2. people will only conserve a resource only if benefits exceed the costs
of conservation
3. people will conserve a resource that is linked directly to their quality of
life
In addition to the above definition, CBNRM NET (2001:1) explains CBNRM
as the management of natural resources under a detailed plan developed and
agreed to by all stakeholders. The approach is community based in that the
communities managing the resources have the legal rights, the local institutions,
and the economic incentives to take substantial responsibility for sustained
use of these resources. Under the natural resource management plan,
communities become the primary implementers, assisted and monitored by

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technical services. As such, CBNRM (2000:1) continues, CBNRM is

characterised as follows:
 It addresses both human and natural resource issues, such as the long-
term benefit of present and future generations given the inefficiency of
state management and objectives such as equity, poverty alleviation
and empowerment of marginalised user communities;
 CBNRM as a strategy reflects in social and policy terms the parallel
nestedness and connectedness of organisms, species, associations and
ecosystems in the natural universe and the interdependence between
micro and macro levels;
 CBNRNM starts with communities as a focus for assessing natural
resource uses, potentials, problems, trends and opportunities and for
taking action to deal with adverse practices and dynamics, with
cooperation and support from other actors linked horizontally (for
example, other communities) and vertically (for example, higher level
or external entities, such as local or district governments, regional bodies,
government agencies, non-governmental organisations (NGOs),
universities, or other organisations that have an interest in resource
conservation and management);
 While in the past NRM was seen as the domain of either state sector
institutions endowed with appropriate authority, expertise and other
resources, or private sector institutions pursuing individual economic
interests and benefits, CBNRM operates mostly in a middle sector of
organisations such as user groups, community management committees,
local councils, producer co-operatives and similar institutions, though it
works best when there are complementary, supportive public and private
sector activities;
 While management by a central government agency will not qualify as
CBNRM, any organisation, governmental or other, either on its own or
in combination, can undertake CBNRM. CBNRM is management at
the local, community level; and
 CBNRM is the management of natural resources under a detailed plan
developed and agreed to by all concerned stakeholders. The approach
is community-based in that the communities managing the resources
have the legal rights, the local institutions and the economic incentives
to take substantial responsibility for sustained use of these resources.
Under the natural resource management plan, communities become
the primary implementers, assisted and monitored by technical service
providers;
 Furthermore, and according to the Danida Technical Note (2007:2),
the concept of CBNRM is related to a variety of terms, including

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participatory, community, collaborative, joint and popular resource

management. These concepts are often used interchangeably, but may
also be used with the intention to emphasise specific characteristics of
related approaches. Thus, the concept of CBNRM tends to be
associated with approaches where the focal unit for joint natural
resource management is the local community. Sometimes it has also
been applied to designate approaches where local communities play a
central but not exclusive role in natural resource management (Rotha,
2005);
 In practice, CBNRM is mostly about ways in which the state can share
rights and responsibilities regarding natural resources with local
communities. At one end of the scale is community participation in
protecting, for instance, a national park, without actually involving them
in park management. At the other end of the scale is a complete
handover of ownership of land and natural resources from the state to
communities. Between these two extremes are joint management
models, where representatives of the state , acting within the terms of
negotiated contracts, manage a state- owned natural resource ( for
example, a lake or forest reserve) together with one or several
communities;
 Some advocates of CBNRM have assumed communities to be small
spatial units, with homogenous social structure and shared norms. In
fact, this is rarely found in the real world. Communities, according to
Agrawal and Gibson, (1999), are rather characterised by dynamic
relations of:
i. multiple and somewhat conflicting interests,
ii. different actors attempting to influence decision-making, and
iii. internal as well as external institutions shaping decision-making processes
Depending on the actual relations within a particular group of people, their
knowledge and the conditions according to which they can make decisions,
local communities may sometimes, but not always, be the most 'appropriate'
unit for natural resource management;
 Finally, CBNRM NET (2000:2) further clarifies the meaning of
CBNRM by pointing out that CBNRM also refers to the collective use
and management of natural resources in rural areas by a group of people
with a self- defined, distinct identity, using communally owned facilities.
For this reason, the aims of CBNRM are to;
i. obtain the voluntary participation of communities in a flexible programme
that incorporates long-term solutions to problems arising from the use
of natural resources;

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ii. introduce to natural wildlife resources a new system of group ownership

and territorial rights for the communities resident in the target areas.
The management of these resources should be placed under the custody
and control of resident peoples;
iii. provide appropriate institutions under which resources can be
legitimately managed and exploited by local people for their own direct
benefit. These benefits can take the form of income, employment, and
production of meat; and
iv. provide technical and financial assistance to communities that join the
programme to enable them realize their objectives.
An observation from the above aims shows that the focus on CBNRM is not
merely the wise management of natural resources. As important, if not more
important, is the need for community development, local self-government and
the creation of local institutions for the management of common property
resources.

Activity 11.1
1. In your own words, explain the following concepts (a) natural resource
? management (b) community based natural resource management (c)
sustainable development.
2. Describe the characteristics of CBNRM.
3. Distinguish natural resource management from community based natural
resource management
4. Assess the aims of CBNRM in relation to local communities' ability to
manage their own resources.

11.4 Principles Guiding CBNRM

In almost every situation where CBNRM is operating, there are principles
that guide its establishment and implementation. According to the Danida
Technical Note (2007:2) the conservation and management of natural resources
should adhere to the following principles:
 good governance;
 community empowerment;
 social justice;
 gender equity; and
 democratisation;

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In addition to the above principles, CBNRM also hinges on the premise that:
 all citizens share an interest in conservation of natural resources as their
livelihoods are intricately attached to natural resources;
 the people best placed to conserve and manage the resources are those
living with the resources;
 the people having more to lose are those living with or closest to natural
resources and therefore given proper tools and incentives are the most
likely to effectively conserve the natural resources;
 for sustainable and effective natural resources management, benefits
derived from management must of necessity outweigh the costs of
conservation;
 for communities to effectively take over control and management of
natural resources for sustainable utilization and derive tangible benefits,
an enabling environment must be created (support and empowerment);
and
 people will only conserve and manage what they perceive to contribute
positively to their quality of life (Thakadu, 2005:2).

Activity 11.2
1. Examine the basic principles that guide the establishment and
? implementation of CBNRM.

11.5 The Importance of CBNRM to Local

Communities
CBNRM can be considered a management strategy aiming to reduce poverty,
conserve natural resources and promote good governance and decentralisation,
in a single process. The Danida Technical Note (2007:2) points out that the
close link between the three objectives of poverty reduction, resource
conservation, and good governance is increasingly acknowledged by various
international and national actors, including development practitioners as well
as conservationists, and reflected in many countries' development strategies.
Now let us briefly examine the link between each of the three objectives.

According to the Technical Note (2007:3), the objective of poverty reduction

is closely linked with natural resource conservation, because poor people in
developing countries depend on natural resources for their livelihoods. It is
therefore important to ensure sustainable management of these resources.

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Effective and equitable natural resource management and conservation, on

the other hand, require genuine involvement by the social actors who depend
on the resource. Involvement of poor people on the natural resource
management is often best achieved through decentralisation of authority over
the resources, and this cannot be approached in isolation from the need to
promote good governance.

In simple terms, governance means the process of decision-making and the

process by which decisions are implemented (or not implemented). In recent
years, requirements to the political and administrative system of being
democratic, responsive, effective and so on, have increasingly been
conceptualised as important elements of good governance (Danida, 2004d).

Decentralisation is often seen as an important means to foster and nature the

important elements of good governance in developing countries. Policy-makers
and researchers recommend decentralised natural resource management for
many reasons. Some of them are that:
 local people are likely to identify and prioritise their environmental
problems more accurately than centralised organisations;
 resource allocation is more efficient and transaction costs lower when
decisions are taken locally, so that state expenditure on management
can be reduced, while resource conservation is improved;
 local groups are more likely to respect decisions that they have
participated in taking;
 monitoring of resource use is improved, and
 marginalised groups gain greater influence on local policy (Danida
Technical Note, 2007:3)
However, as the Danida Technical Note (2007) observes, the three objectives
of poverty reduction, natural resource conservation and good governance
are not always mutually supportive, and CBNRM is not always a realistic
option. Depending on how it is pursued, conservation of natural resources
can even be contrary to poverty reduction. A community may, for instance,
have to reduce or completely stop their extraction of a particular natural
resource in order to gain authority over it and to maintain its productive potential.
This will have at least short- term negative impacts on households whose
livelihoods depend mostly on products from this resource, unless they are
compensated for their (short-term) loss. Likewise, in situations where strong
political or commercial interests are against decentralised natural resource
management, CBNRM may not (yet) be politically feasible.

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Activity 11.3
1. Justify the importance of CBNRM to local communities.
? 2. Evaluate the implementation of CBNRM by local communities.

11.6 Challenges and Opportunities of CBNRM

While a community may be viewed as a group of people bound together by
social and economic relations based on shared interests, for CBNRM,
application denotes groups of people with varied socio-economic interests in
conservation and living within a legally defined geographical area. The
organisation formed, a Community-Based Organisation, is an entity
representing the community's interests, capable of making and implementing
decisions. As such, it will be naive to think that the establishment and
implementation of CBO's would be smooth sailing and a self-sustaining success.
To this effect, local communities engaged in CBNRM face a number of
challenges engendered by:
 multiple and somewhat conflicting interests of people involved;
 different actors attempting to influence decision-making;
 internal as well as external institutions shaping decision-making
processes;
 lack of political will on the part of actors, that is, with government fearing
loss of control of its resources and local communities resisting change;
 lack of professional skills on the local implementers; and
 lack of funding, particularly caused by perceived differences between
government goals and those of donor funding institutions (Malo, Odera,
and Ochuodho, 2007).

Activity 11.4
Critically analyse the challenges faced in the implementation of CBNRM
? by CBO's in Zimbabwe.

11.7 Empowering and Supporting Vibrant CBNRM

Programmes
So far we have dealt with the concept of CBNRM and are now confident
that it can be implemented in various CBO's with the aim of reducing poverty
and conserve natural resources. However, the question that we need to address

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is how to support and empower community based organisations to effectively

manage their natural resource management programmes once they are
established in their own local areas. Danida, Technical Note (2000) summarises
the ways and means by which CBNRM can be empowered and supported.

11.7.1 Providing economic incentives and ownership at

community level
Economic incentives for people to protect and invest in a particular natural
resource are closely associated with their enforceable rights, as well as the
terms of trade prevailing for resulting product flows. Owners and proprietors
have the strongest incentives to invest in and maintain a resource, because
they hold the right of excluding others from capturing the benefits of their
investments.

Furthermore, community control over a substantive portion of the values

generated by managing the resource also forms a crucial part of the economic
incentives established through CBNRM. Accordingly, these should not be
undermined by undue restrictions on trade or excessive taxation of CBNRM
products. Payments to communities from society at large for environmental
services accruing from CBNRM could also form a relevant part of the
economic incentive structure, especially if cases where national and international
environmental concerns results in tight limitations of product extraction.

11.7.2 Promoting poverty reduction at local levels

It is crucial that governments establish a fair and equitable distribution of costs
and benefits so that all community members, within a reasonable time horizon,
experience a net gain, or at least a zero loss. In addition, the natural resource
to come under community-based management should preferably not be at
such a point of deterioration that organising its use brings few or no net
advantages to community members. However, advantages should not be
assessed in financial terms only. Safe seasonal access to land and water can
be fundamental for sustaining livelihood practices.

11.7.3 Providing external technical and financial help

To further provide more supportive initiatives, CBNRM must include external
technical and financial help to support the resource improvement and local
livelihoods. If in contrast, a resource is utilised far below its productive capacity,
local people might not bother to establish CBNRM because the costs of

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doing so would outweigh the benefits. This could, however, change rapidly if,
for example, a bridge is built and powerful external agents suddenly gain access.
In such cases, information campaigns, local capacity building, agitation by
civil society organisations and protection by the state, are likely to be crucial
prerequisites for establishing CBNRM before the resource is raided.
Assistance in marketing products may also help to make CBNRM
economically feasible and attractive for local communities.

11.7.4 Supporting resource conservation

Resource conservation requires the harvest not to exceed increment over the
long term. This calls for reasonably accurate knowledge about the extent and
growth of the resource, as well as reliable recording of harvest volumes.

11.7.5 Providing regular monitoring

The implementation of CBNRM requires regular monitoring. There are a
number of methods that can be used to update information on monitoring.
The following are some of them:
 Gathering information on the progress of implementation through the
media and through structured data collection. Both are important and,
ideally, should be used to adjust the policy, legislative framework and
implementation strategies in order to correct failures and sustain and
enhance positive effects of CBNRM;
 Using independent research centres and organisations such as NGO's
and university departments to assess the degree to which CBNRM is
achieving its stated objectives of poverty reduction, resource
conservation and good governance;
 Using interviews with random samples of communities as well as simple
participatory technical inventories to assess the effects of CBNRM on
resource conservation;
 Using interviews with households in random samples of communities
and analysis of community records to assess the effects of CBNRM on
governance. The purpose should be to document the development in
decision-making processes and resulting cost-benefit sharing; and
 Analysing policies, laws, directives, administrative procedures, progress
reports and accounts to assess the effects of CBNRM on governance.
The objective is to document whether governments (local and national)
are (i) consolidating CBNRM or rather re-centralising resource
management through directives or amendments to functional resource
legislation, (ii) promoting or delaying implementation of CBNRM on

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the ground and, (iii) actually spending resources on promoting CBNRM

(Danida Technical Note, 2000).
Thus, given the various models of empowering and supporting CBNRM in
local areas, we can see that CBNRM is rather a development process and
constant power struggle. Even after years of implementation, donors are still
likely to have a mission in promoting CBNRM as part of national programmes.
Lessons learnt are important for the new agenda of community-based
adaptation to climate change. Donor assistance may take the form of
programme-based assistance or as earmarked support for monitoring and
research that deliver credible and easily accessible information. Checks and
balances can be supported through civil society as well as the media. Finally,
the private sector plays a key and potentially beneficial role in the harvest,
transport and marketing of CBNRM products.

11.8 Experiences of CBO's in CBNRM in Zimbabwe

Grundy and Breton (1997) note that Zimbabwe's first experiences into the
field of CBNRM came in the late 1980's with the CAMPFIRE (Communal
Areas Management Plan For Indigenous Resources) programme. Initiated
by the Zimbabwe Department of Natural Parks and Wildlife Management,
this programme sought to decentralise the management of natural resources,
particularly wild life, to rural communities. Lauded internationally for its
successes in enabling countries to derive a sustainable livelihood from the
wild life management, the programme has achieved a great deal in terms of
setting the stage of CBNRM in Zimbabwe. But many of Zimbabwe's communal
areas are devoid of wild life, and the search is now on for other natural resources
that can profitably and renewably commercialised.

Through this search, many organisations among which are NGO's, government
departments and universities, have implemented and supported many CBO's
programmes in Zimbabwe. We are going to look at two such programmes,
which are the Managing our Indigenous Tree Inheritance (MITI) programme,
implemented by the Southern Alliance for Indigenous Resources (SAFIRE);
and the Mahenye CAMPFIRE programme implemented by the CAMPFIRE
Association of Zimbabwe. However, before we look at these two case studies,
let us briefly examine what we mean by Community-based Organisation.

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11.8.1 The characteristics of a CBO

According to Chechetto-Sales and Geyer (2006), a community-based
organisation is an organisation that provides social services at the local level.
It is a non-profit organisation whose activities are based primarily on volunteer
efforts. This means that CBO's depend heavily on voluntary contributions for
labour material and financial support. As such, the characteristics of a CBO
are as follows:
 it is non-profit;
 it relies on voluntary contributions;
 it acts at the local level; and
 it is service oriented.
With this understanding let us now examine the objectives and the activities of
the SAFIRE MITI programme and the Mahenye CAMPFIRE programmes
in Zimbabwe.

11.8.2 The SAFIRE MITI Programme

SAFIRE is a Zimbabwean NGO dedicated to the development of rural self
sufficiency through the improved management of natural resources in communal
and resettlement farming areas. According to Gujadhur (2000), SAFIRE has
recently launched a new initiative that seeks to extend the scope of CBNRM
in Zimbabwe to other natural resources called MITI (Managing our Indigenous
Tree Inheritance). This programme seeks to build on the achievements of
CAMPFIRE, and to promote economic development in rural areas that is
based on sustainable and productive use of natural resources. It has, as its
primary focus, woodlands and trees, these being one of the dominant natural
resource types throughout the country.

The MITI programme has been initiated in five Districts along Zimbabwe's
eastern border with Mozambique: Rushinga, Nyanga, Chimanimani, Chipinge
and Chiredzi. These districts cover a wide range of natural resource
environment, population density, and agro- eco-logical potential, between
them representing a large proportion of the variation found in Zimbabwe's
communal farming areas; and thus, enhancing the chances of replicability of
the programme elsewhere (Grundy and Breton,1997).

a) Objectives of the MITI Programme

The programme's overall goal is the economic development of the communal

and resettlement farming areas based on sustainable, productive use of natural

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resources, with a primary focus on woodlands and trees. To attain this goal,
the programme has the following objectives:
 increasing food security through improved use and management of
natural resources;
 strengthening the local natural resource management institutions;
 improving in both community and district councils' abilities to plan ,
manage and execute environmental management activities;
 increasing participation of women and the disadvantaged in rural
development; and
 raising awareness of environmental issues at all levels including nationally.
However, it is not expected that all the objectives will be achieved in all districts.
The distribution, volume and content of activities in each district will be
determined by the opportunities, constraints and apparent success of project
activities in a district. In some cases, there are challenges that militate against
the successful accomplishment of the programmes. Here are some of them.

b) Challenges Met in the MITI Programme

 Communities may resist undertaking CBNRM programmes if they are
not granted genuine proprietorship over resources. Proprietorship over
resources gives them access to; and rights to utilise resources in a way
they may determine; realise full benefits from their use; and have the
ability to determine the distribution of such resources.
 There may be conflicts over utilising the resource between sub-groups
within the same community caused by differing values placed on a
common property resource.
 Non-payment of loans in a climate dominated by donor funds stifles
development.
 Economic viability is dependent on the richness of the resource base
and the demand for woodland products. Hardwoods are also high value,
but within woodland types found in communal areas, these are rare
and slow growing.
 In general, communities lack the technical and entrepreneurial skills to
maximise returns from a resource and have limited capital investment
capacity and access to markets.
In light of the above challenges, SAFIRE has:
 Established district level loan and grant funds. These financial resources
are lodged directly with the Rural District Councils (RDC's), but are
invested in the communities on SAFIRE's behalf. Benefits visibly accrue
to the individual communities and not to the RDC.

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 Facilitated communication between communities, councillors and RDC

staff, and developed skills required in each group to manage a finite
resource for financial gain.

Activity 11.5
1. In your own words, explain the concept 'community-based organisation.
? 2. Critically analyse the benefits of the SAFIRE MITI programme to the
local communities.
3. Examine the challenges and solutions experienced by the communities
engaged in the SAFIRE MITI programme.

11.8.3 A Case Study: Mahenye CAMPFIRE

The CAMPFIRE programme in Zimbabwe came about as a result of clashes
between a tribal community that was moved off its land in 1966 to make way
for a wildlife reserve called Gonarezhou National Park, and the Department
of National Parks. This move created conflict between the government and
the local communities who showed the need to control their own wildlife
resources. Government's response to the community's initiatives to control
their own wildlife resources led to policy changes which, according to ART
(2002:3), provided for:
 devolution of state control over wild life to the locals through district
councils;
 devolution of decision making from the state to the local level;
 devolution of costs and benefits from the state to the local level leading
to internalisation of costs and benefits at the local level;
 institution building at the community level, community empowerment
and community participation; and
 market access for wildlife products.
This community is today known as the Mahenye community and is situated
just outside Ghonarezhou. It is also regarded as Zimbabwe's finest example
of a CAMPFIRE programme, which is all about ensuring that wildlife and
rural communities can coexist, something, which definitely wasn't happening
20 years ago.

a) Benefits of the CAMPFIRE Project to the Mahenye Community

The Mahenye CAMPFIRE project generated a number of activities that

benefited the community. The following are some of the benefits accrued to
the local people of Mahenye (Murphree, 2000).

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1. Poverty reduction

Under the CAMPFIRE project, proceeds from wildlife accrued to the

communities. Job opportunities for locals and revenues from tourism have
increased local incomes considerably. The distribution of money from tourism
resulted in a positive change of community attitudes to wildlife and of parks
officials toward community members.

2. Development of infrastructure

CAMPFIRE project brought about improved health sanitation and better

communication. This means projects developed with CAMPFIRE revenue
include electrification and piped water, classrooms and teachers' houses, two
grinding mills and a clinic. These projects have contributed to the general
welfare increase in the local community. In addition, the construction of tourist
lodges in the community led to improved road transport. The people of
Mahenye are also building a range of community capacities that are enabling
them to confront political and economic exclusion.

3. Benefits to the environment

The CAMPFIRE project gave the local communities custody and the
responsibility to manage wildlife and tourism activities in the area. The project
encouraged conservation of wild life that included the near elimination of illegal
poaching activities and the reservation of 15000 hectors of wildlife conservancy
in which trophy hunting and eco-tourism took place.

4. Policies and coalition for change

The Chipinge District was the first council in Zimbabwe to commit itself to the
principle that revenues from wildlife and tourism should go to the local
communities. Under the Mahenye CAMPFIRE project, the local people began
to see the park as a reservoir of wealth and became protective of their newly
found natural asset. The CAMPFIRE project is now a big and successful
movement in Zimbabwe, involving 37 Rural District Councils. The project is
an important driver for rural development in the country and can serve as an
example for other community- based natural resource management initiatives
in the southern African region.

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b) Factors that have contributed to the success of the Mahenye

CAMPFIRE Project

ART (2002) has summarised the factors that have contributed to the success
of the Mahenye CAMPFIRE programme as follows:
 social cohesiveness and energy that the community is fortunate to
possess;
 empowerment of locals that led to commitment and enthusiasm of the
community;
 building local capacities and partnerships with external shareholders
that led to Mahenye's efforts to enhance and leverage its human natural
resources and financial assets for long term community benefits;
 gaining proprietorship over wildlife resources that provided the
instrumental incentive for a broader set of land and resource-use planning
initiatives; and
 the disbursement of tourism payouts which played the vital symbolic
role of reinforcing the idea that wildlife belongs to the collective
community at the same time as it benefits individual households.
c) Challenges facing Mahenye CAMPFIRE Project

ART (2000) also notes the challenges facing Mahenye CAMPFIRE project.
The following are some of them.
 Within the CAMPFIRE project, there are problems regarding the
employment of women and locals. Staff from outside Mahenye tends
to be better educated and trained than locals.
 Managerial positions at the tourism lodges are mainly occupied by
outside staff. To increase the benefits of the project for local
communities, local employment opportunities need to be improved.
 Lack of appropriate authority of government at ward and village levels
also presents some problems. Currently, the wards and villages that
manage a lot of the wildlife do not have full rights of proprietorship. A
government authority at the ward level would empower local
communities to enter into contracts with private sector (tourism)
enterprises. Tourism related revenues would then go directly to the
community instead of to the District Council. The Council now takes
some of the wildlife money claiming that it provides roads, and other
forms of infrastructure. But these developments do not always occur,
and the Mahenye community feels the money could be put to better
use if it remained at the ward level.

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 Mahenye's financial resources hinge upon the lodge owners' success in

marketing the area as a vibrant tourist destination. Thus, over-reliance
on tourism and limited diversification of income sources increases the
communities' vulnerability to external shocks. Therefore alternative
income sources need to be developed to decrease the current
dependence on the tourist dollar.
 Persisting environmental challenges in Zimbabwe that include land
degradation in the form of deforestation, soil erosion and river siltation
can reduce environmental productivity and real income of the
households leading to increases in poverty. This means, environmental
policies, to reduce degradation, are therefore required.
In view of what we have learnt so far about the Mahenye CAMPFIRE
programme, we should now realise that the Campfire programme, which took
institutional shape following the experience with a small community, is now a
big and successful movement in Zimbabwe. There are now 37 Rural District
Councils (RDC's) involved in the programme in the country. Campfire is now
an important driver for rural development in the country.

Activity 11.6
1. Discuss the impact of government policy changes in response to the
? local communities' initiatives to control their own wildlife resources.
2. Critically analyse the benefits of the CAMPFIRE project to Mahenye
Community.
3. Evaluate factors that have contributed to the success of the Mahenye
CAMPFIRE project.
4. If you were one of the Mahenye community members, what solutions
would you suggest in solving problems that face the CAMPFIRE
project.

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11.9 Summary
In this unit, we have looked at the concept CBNRM based on the principles
of good governance, community empowerment, social justice, gender equity
and democratisation in the use and management of natural resources in the
rural communities of Zimbabwe. We have also noted that Zimbabwe embraced
CBNRM as a rural development strategy based on the devolution of some
level of control over the resources to local communities. Two case studies of
the CBO's implementing CBNRM, that is, SAFIRE MITI programme and
the Mahenye CAMPFIRE programme for the conservation of wild life have
been discussed. Both programmes have the major objectives of empowering
communities, conserve natural resources, reducing poverty and sustaining
livelihoods of rural people in their communities, amid challenges of lack of
proper conservation technical skills and unreliable funding. Finally, the lesson
that we draw from the unit is that CBNRM is a vital experience, and if properly
planned and implemented, it can sustain the lives of hundreds of people living
in rural areas endowed with natural resources such as wildlife and woodlands.
Many countries can also draw this lesson from Zimbabwe.

In the next appendix we close the discussion in this module by summarising

the speech by the Minister of Local Government, Rural and Urban
Development in Zimbabwe, Dr. I. Chombo, at the official opening of the
Policy Dialogue on the Future of Local Government in Zimbabwe, held at
Holiday Inn, Harare, on 3 November 2009.

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References
Africa Resources Trust. (2002). The Mahenye Community Conservation
Initiatives: Best practice case study in community conservation.
Africa Resources Trust.
Agrawal, A. and Gibson, C. (1999). Enchantment and Disenchantment: The
Role of Community in Natural Resource Conservation. In: World
Development Vol. 27, No. 4 pp 629-649.
Chechetto, S.M. and Geyer, Y. (2006). Community -Based Organisation
Management: A handbook series for the Community-based
organisations. Pretoria: IDASA.
Danida. 2004. Danida support to good governance: Some issues and
challenges regarding analysis and planning. Technical Advisory
services Danida, October, 2004.
Danida Technical Note. (2007). Community-Based Natural Resource
Management. Ministry of Foreign Affairs of Denmark, Technical
Advisory Services.
Grundy, I. and Breton, G.L. (1997). The SAFIRE MITI Programme-A New
Approach to Natural Resource Management in Communal Areas
of Zimbabwe, RDFN Paper 22e. Winter 1997/98.
Gujadhur, T. (2000). Organisations and their Approaches in Community
Based Natural Resource Management in Botswana, Namibia,
Zambia and Zimbabwe, Botswana, IUCN.
Malo, M., Odera, J. and Ochuodho, T. (2007). Challenges and
Opportunities in community -based dryland natural resource
management. National Museums of Kenya, Regional Programme on
Sustainable Use of Dryland Biodiversity.
Murphree, M.W. (2000). "The lesson from Mahenye." In Endangered
Species, Threatened Convention. Hutton, J. and Dickson, B. (ed).
Earthscan Publications.
NSW Government (2005). Standard for Quality Natural Resource
Management. Sydney, NSW Natural Resources Commission.
Rotha, K.S. (2005). Understanding key CBNRM Concepts. In K.S. Rotha
et al. (eds). (2005). The Development of Community Based Natural
Resource Management (CBNRM) in Cambodia.
Thakadu, O.T. (2005). Success factors in community based natural resources
management in northern Botswana: Lessons from practice, Natural
Resources Forum. 29 (3) p199-212.

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APPENDIX A
MINISTER'S VIEWS ON LOCAL GOVERNANCE AND
COMMUNITY LEADERSHIP DEVELOPMENT IN ZIMBABWE

A.0 Introduction
In this appendix we present an abridged version of the speech by the Minister
of Local Government, Rural and Urban Development in Zimbabwe, Dr. I.
Chombo, at the official opening of the Policy Dialogue on the Future of Local
Government in Zimbabwe, held at Holiday Inn, Harare, on 3 November 2009.
Our major aim in this appendix is to demonstrate that policy makers themselves
are not only aware of contemporary concepts of public governance and
community leadership, but they understand them and know what is required
of them for development to occur.

A.1 Learning Objectives

By the end of this appendix, you should be able to:
 identify challenges and opportunities for governance and community
? leadership in Zimbabwe from Dr. I. Chombo's speech on Local
Government in Zimbabwe.

A.2 Dr. Chombo's Speech

Honourable members of the Government Portfolio Committee,
- President of the Chiefs Council,
- Our guests from Western Cape University,
- ZILGA Representative,
- Resource persons,
- Combined Harare Residents Association,
- Ladies and gentlemen
I wish to heartily welcome you to this critical policy dialogue forum which
focuses on the future of local Government in Zimbabwe. I extend a special
welcome to our colleagues from the Community Law Centre at the University
of Western Cape in the Republic of South Africa. Their diverse experience
and insight will undoubtedly enrich our theory and practice in Zimbabwe.

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As we seek to discuss the future of Local Government in Zimbabwe it is

perhaps expedient for me to share with you in summary from some of the
critical tenets of Zimbabwean Local Government system which admittedly
evolved over time, since the pre-colonial era.

The Local Government system in Zimbabwe which is a Unitary State is

predicated on a decentralised mode of governance premised on the virtues of
the principle of subsidiarity. However, the extent to which the system is
decentralised is subject to debate as decentralisation is a process, not an
event. In terms of the legal framework, the following Acts define the modus
operandi of the Local Government sector:
 Provincial Councils and Administration Act;
 The Regional Town and Country Planning Act;
 The Urban Council Act;
 The Rural District Councils Act; and
 The Traditional Leaders Act.
The aforecited legal instruments introduced and some of them subsequently
amended in the post independence era, empower the Local Government
institutions to carry out their mandate. The Acts among other issues define the
mandate of Local Governments and in the process define the legal and
functional relationships between and among the various actors in Local
Government, who in essence are the key enablers to development, to the
extent that the same have to proffer safe landing to all development initiatives.

Key among the local institutions are the Rural District Councils and Urban
Councils charged with the mandate to deliver service, as well as promote
general development in their areas. In the context of decentralisation, local
authorities bring communities close to the decision making process, on local
development initiatives, thereby inducing the indispensable sense of ownership
and hence sustainability of such development endeavours. These local
communities ought to participate in the design, programming, implementation,
monitoring and evaluation of sub-national development undertakings.

However, the nature and extent of their participation is a matter that discussants
can interrogate.

Central Government must of necessity nurture a conducive environment that

enables local authorities to optimally tap into the local resources, material,
capital and human. Furthermore, central government should deploy such
resources at its disposal to bolster local authorities; provided there is an enabling
fiscal framework.

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Without pre-emptying the dialogue deliberations, it is imperative that we

continuously examine the appropriateness of our local government legislative
framework and administrative practices, in as far as these impact on the efficient
and effective functionality of institutions of delivery. We need to reengineer
our councils and indeed other local institutions in a manner that empowers the
same to discharge their mandate in the ever changing environment. There is
merit in motivating a process that seeks to:
 yield a legislative framework that is internally coherent and consistent;
 generate a robust and responsive management architecture;
 enhance democratic participation of the public in the governance and
development arena so as to engender transparency and accountability;
 proffer and operationalise fiscal policy framework that anchors the local
authorities in terms of funding;
 create a visible operational chemistry among Government, traditional
leadership institutions and local authorities;
 unlock the potential resident in the local government sector;
 enhance the profile of local government through contitutionalisation and
definition of the benefits attendant thereto;
 develop the capacity of various social transformations in order to inform
their participation in the local government arena; and
 create space for collaborative effort between the public, private sectors
and civil society.
As we acknowledge the environmental constraints that beset councils, it is
important to note that the current macro-economic dispensation has made it
very difficult for the local government sector in Zimbabwe to function full
throttle as evidenced by the general decline of municipal service delivery and
capital development.

I am happy that currently there is a global trend towards mainstreaming the

local government agenda, a development which Zimbabwe unreservedly
embraces.

At continental level, events point to the imperative of enhancing the local

government faculty. Indeed the launch of the United Cities and Local
Government of Africa (UCLGA) is an eloquent testimony to this commitment.
The United Cities and Local Government of Africa is an organisation that
gives effect to a resolution of the Third Africities Summit to establish a Pan
African Local Government organisation. UCLGA was launched in May 2005
in Pretoria, South Africa. One of the objectives of the organisation is to become
an organ of the African Union (AU). To this end, a memorandum was delivered
to the Chairperson of the AU in November 2005 calling for the AU's

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endorsement of the principle of establishing local government, legislatively or

constitutionally, as a distinct but subsidiary sphere of government. UCLGA
also seeks the endorsement of the AU for the development and adoption of
an African Charter, charting the devolution of appropriate authority,
responsibility and accountability to local governments of the continent.

Decentralisation and local government have been on the agenda of the Southern
African Development Community since 1999. In that year, the SADC Local
Government Ministers Forum was launched, the objectives of which included
regional cooperation and information sharing, encouraging the adoption of
constitutional frameworks that promote effective local governance,
infrastructure investment and sustainable service delivery, and the incorporation
of local government as a sector into SADC's formal structures. At the Ministers'
meeting in November 2003, important resolutions were adopted as well as a
high level action plan. Key resolutions encouraged member states to enhance
local government institutional systems through, inter alia, the promotion of
participatory development and democracy, the formulation of integrated
development planning methodologies, the promotion of people-centred local
economic development, the clarification of the role of traditional authorities,
and the decentralisation of powers, functions and resources to the different
levels of government. In implementing the high level action plan, local
government is now a formal sector in SADC and recently a SADC Local
Government Desk was opened. Some of the tasks that will follow, include the
development of a SADC Charter of Local Self-Government and the
strengthening of organised local government.

Inevitably much of the work and policy directions of SADC will be informed
by the fast developing practice of local government in member states. The
reform of local government throughout the SADC region is premised on the
promotion of decentralisation and "autonomy", seeing local governments as a
powerful instrument of service delivery and making local government an
important agent of stimulating development. A recent study established the
following stumbling blocks vis-a-vis attainment of effective decentralisation:
 The relationship between central and local government often remains
inadequately defined. While the language of the decentralisation policies
alludes to real devolution of powers, in law and practice, local authorities
largely remain local agents of the central government without much space
to manoeuvre;
 Lack of resources and absence of an adequate and sustainable funding
base weaken local authorities as organs of the state;

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 While the tax base of local government remains small, central government
transfers remain the main source of income, particularly for development
projects;
 human and material capacity constraints severely impede local authorities
in performing their development role; and
 Central and local governments do not necessarily enjoy a shared vision.
This seminar presents an ideal forum for exchange of ideas that characterise
the neighbourly relationship between Zimbabwe and South Africa. In many
respects, our institutions of local government stem from a common history of
colonial local institutions. In addition, both countries work in the same common
law tradition and are transforming this tradition with their respective
constitutions.

Furthermore, our countries have a number of challenges in common. Firstly,

the urban/rural divide is a particularly important theme, linked to the difficulty
of the creation of self-sustaining local authorities in rural areas. Secondly, we
both face critical skills shortages in the public sector. Thirdly, harmonising
traditional leadership and democratically elected leadership remains high on
the agenda in both countries. Fourthly, the ability of our cities to absorb and
deal with challenges resulting from rapid urbanisation is an area of concern.

A.3 Conclusion
This seminar will address six critical themes surrounding local government,
namely local government functions, local government elections and institutions,
supervision of local government, local government financing and the role of
traditional authorities. I wish you well in your deliberations.

Activity A.1
1. From Minister Chombo's speech identify challenges and opportunities
? for local governance and community leadership in Zimbabwe
2. What are the implications of Chombo's observation that 'the extent to
which the system is decentralised is subject to debate as decentralisation
is a process, not an event' in understanding local governance and
community leadership in Zimbabwe?

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