Formal/Informal Institutions for Citizen Engagement for implementing the Post 2015 Development Agenda. Aide Memoire

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1 UNITED NATIONS Expert Group Meeting Formal/Informal Institutions for Citizen Engagement for implementing the Post 2015 Development UNESCO Headquarters Annex, 1 Rue Miollis, Room No. 17, Paris, France October 2014 Aide Memoire A. Background and Context 17 September Lessons learned in over 13 years of implementation of the Millennium Development Goals (MDGs) show that responsiveness, transparency and accountability are necessary for formulating public polices, delivering public goods and services for sustainable development. A sustainable development agenda takes into account the needs not only of present but of future generations as well. Implementing such an agenda, in addition to responsiveness, transparency and accountability, requires inclusive approaches involving the participation of all stakeholders in the design of public policies that would impact their lives. 2. Particularly in the period after 2015 when the MDGs timeframe is up, Governments will need to examine their frameworks and practices for better engaging citizens. To this end, the report to the United Nations Secretary General, Realizing the Future We Want for All 1, clearly states that achieving inclusive economic, social, sustainable, and peaceful development is dependent on active public participation and on engaging communities and citizens in policymaking processes. 3. The Open Working Group (OWG) of Member States was established on 22 January 2013 by decision of the General Assembly to discuss the possible content of the sustainable development goals (SDGs). The Outcome Document of the OWG on SDGs -aimed at informing intergovernmental negotiations on the post-2015 development agenda- identifies 17 goals to advance the three pillars of sustainable development that is to say sustained and inclusive economic growth, social development and environmental protection. This Document 1 1

2 emphasizes the need to ensure responsive, inclusive, participatory and representative decision-making at all levels as one of the ten key elements under the goal Promote peaceful and inclusive societies for sustainable development, provide access to justice for all and build effective, accountable and inclusive institutions at all levels The traditional systems of public governance rely on institutions, including laws, rules, regulations, procedures and processes established by the State. Public institutions, which are backed through public funding and controlled by the State, are required for instance to define policies and development strategies, create laws, transform political will into results that serve the public interest and enforce the rule of law. It is therefore not surprising that capable institutions are considered as one of the focus elements for sustainable development. In particular, the OWG on SDGs calls for effective, accountable and transparent institutions at all levels But what do we exactly mean by institutions? Douglass C. North defines institutions as humanly devised constraints that structure political, economic and social interaction 4. According to this definition, they consist of formal rules (constitutions, laws, property rights) as well as informal constraints (sanctions, taboos, customs, traditions, and codes of conduct). Historically, they were established to create order and reduce uncertainty 5 of human interaction hence increasing predictability and information about past performance of concerned actors. 6. However, the presence of informal constraints can be so entrenched and powerful to compel one to say that informal institutions exist -to a different degree depending on the context- and work alongside formal ones. Informal institutions depend on ways in which every day s life in a society is organized based on values, culture, power structures and other factors that may differ depending on each specific context. They may have their own forms of discipline and convention that affect the behaviour of individuals and groups, which may or may not be aligned with those of formal organizations. Informal influences may support or subvert legislation enforcement. In other words, individuals and organizations may be following rules of behaviour in their interactions that are not defined or enforced by the State. Formal regulations can at times be circumvented by informal rules operating for private benefit rather than the public good. Formal institutions are also modified in different contexts in informal ways that are very important to understand. The same formal institution can therefore operate in a very different way in different contexts. 7. Considering the increasing scenario of shrinking resources and swelling public demand, where the formal and informal customs and practices are directly at odds, it would be very difficult if not impossible for a Government to respond effectively to public needs. Violation of the rule of law by informal settings also brings about intolerance and lack of trust among public and private actors and civil society. What is needed is a better way of designing reforms of formal institutions that take into account the informal characteristics of particular societies and 2 Open Working Group on Sustainable Development Goals, United Nations Sustainable Development Knowledge Platform, 3 Ibidem 4 Douglass C. North, Institutions, Journal of Economic Perspectives- Volume 5, Number Pages Ibid. 2

3 their initial conditions. These also entail adverse conditions such as conflict and their spill over effect that place great strains on formal institutions, often overwhelming them. 8. Increasing transparency, including access to public information, as well as accountability in public performance and use of funds by governments, coupled with genuine efforts to respond to people s real needs, helps building trust between the State and citizens. Addressing the lack of trust and encouraging citizen engagement helps achieving greater political stability and enhances accountability and responsiveness of service delivery. 9. Engaging non-state actors through both formal and informal means can help increasing trust. Informal engagement can happen for instance through some traditional forms of community-based self-government that are forums where citizens can come together to discuss issues, decide on strategies, and formulate proposals on issues of local significance 6. Yet, they work essentially outside the local government system 7. In other cases, some formal institutions may become informal over time through the particular evolution of the political system 8. It is therefore important not to lose the benefits of the informal engagement system during the reform process which is aimed at promoting formal engagement modalities. 10. Thus, understanding informal systems and their implications for reforming formal systems can help in the achievement of desired outcome and become a powerful force for change. 11. In the same way, there is a strong argument for attaining coherence between reforms of formal organizations (like political parties or government agencies) and the activities of already existing informal organizations within these societies. To this end, it is also important to assess the limits formal institutions encounter when attempting to influence and/or tap into informal systems. This could entail, for example, the need to examine the self-governance of informal systems or to improve their transparency and accountability in parallel to reforms of formal institutions. B. Mandate 12. The Division for Public Administration and Development Management of the United Nations Department of Economic and Social Affairs (DPADM/UNDESA) assists Member States in developing accountable governance systems, including fostering efficient, effective, transparent, accountable and citizen-centric public administrations and public services through reform, innovation and technology. The Division supports the United Nations intergovernmental policy deliberations by providing information on and policy-oriented analysis of the role of public administration and governance in the development process via the United Nations Committee of Experts in Public Administration (CEPA). The Committee is responsible for supporting the work of the Economic and Social Council (ECOSOC) concerning 6 Khan Mohmand, S. and Misic Mihajlovic, S. (2013). Connecting Citizens to the State: Informal Local Governance Institutions in the Western Balkans, IDS-DLGN: page 16 7 Ibid, page 6 8 Ibid, page 17 3

4 the promotion and development of public administration and governance among Member States in connection with the MDGs and the post-2015 global development agenda. 13. The United Nations General Assembly and ECOSOC, through their numerous resolutions on public administration and development, provide the mandate for DPADM to foster good governance and sound public administration by promoting transparency, accountability, corruption prevention and citizen engagement 9. The most recent of these resolutions, namely ECOSOC 2013/23 of 29 October 2013, emphasizes the need to promote public trust and accountability by providing access to information, fostering the use of open government data in public institutions and publicly funded organizations and optimizing citizen engagement ( ) 10. The resolution also requests the Secretariat to increase the scope and depth of its capacity-development activities with the aim of better assisting countries, according to their specific contexts and needs, in strengthening participatory governance ( ) 11. C. Objectives of the Expert Group Meeting 14. This Expert Group Meeting (EGM) aims to: Examine ways in which governments can address increasingly complex issues through more effective collaboration with non-state actors Examine how formal and informal institutions interact in the context of citizen engagement to identify the implications, challenges and opportunities this poses for development management Analyse the pressures and mitigation measures on formal and informal systems resulting from conflict and its spill over effects Provide recommendations on ways to achieve greater coherence between formal and informal citizen engagement in development management. 15. The ongoing post-2015 discussion among development stakeholders can benefit from information, better insight and proposals on improving service delivery through engaging non- State actors and addressing challenges while leveraging opportunities provided by informal institutions for citizen engagement. D. Thematic Focus of the Expert Group Meeting 16. This EGM intends to examine ways in which governments can address increasingly complex realities, including those resulting from conflict, by leveraging opportunities for collaboration with non-state actors. This requires moving from imperfect or tokenistic forms of participation to effective ones. It requires stimulating shared ingenuity and resources between the public sector, the private sector and civil society to define policies aimed at addressing people s needs. It requires greater public engagement for improving service delivery, monitoring and evaluation. It also necessitates finding appropriate incentive systems to ensure 9 United Nations, Department of Economic and Social Affairs, Division for Public Administration and Development management, 10 United Nations, E/RES/2013/23, 29 October Ibid. 4

5 accountability concerning the use of public funds. This will require enhanced awareness and capacity of public servants to understand the challenges and opportunities offered by formal or informal institutional arrangements. Formal and informal engagement of non-state actors will be critical to assist monitoring how SDGs are implemented and resources channelled in each specific context, in particular in the more adverse environments that are affected by war and its negative ramifications on development. 17. Guiding questions include the following: The Rio+20 outcome calls for enhanced participation. In which domain does the public mostly participate? Is there practical evidence that participation improves development outcomes and in which area? What types of informal citizen engagement institutions exist and work alongside formal ones? What are their respective advantages and disadvantages? Through which formal and informal arrangements are citizens informed, consulted and engaged in decision-making? What lessons can be learned in terms of citizen engagement in decision making around the world? What has been the progress in engaging citizens through informal systems? What are the challenges of this type of engagement and how do they compare with the challenges of engagement through formal systems? How have existing informal systems helped or hindered or modified the operation of formal systems of participation and accountability in different contexts? What is the current state of research/mapping of formal/informal institutions? Are there any studies that can help enhance awareness and knowledge of public servants in this domain? How can possible benefits of informal systems be tapped while reforming formal systems? What are the limits formal institutions encounter when attempting to influence and/or tap into informal systems? Why ignoring the context of informality may slow down development? Are informal systems a resilience mechanism or an obstacle to governance reform in post-conflict settings? Has the existence of informal settings/rules been taken into account in the conceptualization of the post-2015 Development? How can coherence between formal and informal institutions be enhanced? Are there any successful practices? What specific opportunities exist at the local level and what framework should be provided by national policies in this regard? Can ICT help in breaking down barriers between formal and informal ways of engaging citizens? How is it possible to ensure maximum inclusiveness? How can crowd involvement equally reach male and female citizens and other social groups in addition to the youth? What further demand exists for research and capacity building? 18. For further information on the event, including the programme, please see: 5

6 E. Participants 19. Attendance to the EGM will be per invitation only. A roster of international experts was compiled for the EGM. The roster includes practitioners and researchers, government officials, as well as officials from international and civil society organizations and the private sector. 20. The outputs of the EGM will be: F. Outcomes and Outputs An analytical report -produced at the end of the meeting- containing papers prepared by experts and summarizing deliberations, conclusions and recommendations of this event. The draft report will be circulated for comments among all participants. The final report will be published and disseminated using online networks. Enhanced knowledge and shared information for all participating experts on ways in which governments can better address post-2015 sustainable development challenges by taking into account the context of informality and leveraging opportunities for collaboration with non-state actors. This output will serve as content contribution to the United Nations Public Administration Country Studies (UNPACS). G. Venue and Dates 21. The EGM will take place at the United Nations Educational, Scientific and Cultural Organization Headquarters Annex, 1 Rue Miollis, Room No. 17, Paris, France from 20 to 21 October H. Organization 22. DPADM/UNDESA will provide a consultant who will submit a background paper as an initial reference for deliberations among the participating experts. The consultant will also prepare a report, after the EGM, summarizing the collective discussions and the main conclusions and recommendations of the meeting. DPADM/UNDESA has invited other key organizations within and outside the United Nations to partner in the organization of this EGM. The United Nations Educational, Scientific and Cultural Organization will provide the venue for the EGM as well as substantive, logistics and administrative support. The Economic and Social Commission for West Asia (UNESCWA) and Organisation for Economic Co-operation and Development (OECD) will provide substantive support and will contribute to cover travel costs, daily allowances and other expenses for the participation of experts. 6

7 For information please contact: UNDESA/DPADM Ms. Elia Armstrong, Chief, Development Management Branch Ms. Valentina Resta, Senior Governance and Public Administration Officer Ms. Elvira Cachola, Programme Assistant UNESCO Mr. Indrajit Banerjee, Director, CI/KSD Mr. B.R. Neupane, Programme Specialist Ms. Fatma-Zohra Bekhiti-Hales, Programme Assistant, Knowledge Societies Division Communication and Information Sector Ms. Aruni Senaratne, Project Intern 7