LINKÖPINGS UNIVERSITET industriell utveckling Institutionen för ekonomisk och statsvetenskap Avdelningen för Words: 10, 869 SRN: LIU‐IEI‐FIL‐G‐‐09/00325‐‐SE I
The Pa
ris Declaration A Paradigm Shift At All L
evels?
Swedish Non‐Governmental Organisations’ Roles
in Development Aid Policy
Åsa Lundberg
Anna Palmgren
Supervisor: Ronnie Hjort
Bachelor Thesis in Political Science
Autumn 2008
E
organisationer och de innehar en viktig roll i området, är de intressanta att studera.
Analysen görs utifrån ett samhällsorienterat governance perspektiv som fokuserar på hur olika aktörer i samhället utformar den offentliga politiken. Perspektivet utmaningar uppfattningen om att staten ensidigt dominerar och tar hänsyn till
Abstract
In order to make development aid more efficient, a large number of donors, including Sweden, signed the so called Paris Declaration in 2005. The Declaration gives the partner countries more responsibility for their own development and aims to make he development aid provided by donor countries more measurable. It has been t
referred to as a paradigm shift within this policy area due to its far‐reaching goals.
The Declaration has consequences for all actors in the development aid community, and this thesis aims at outlining and analyzing the effects of the Declaration on the Swedish non‐governmental organisations which hold a frame agreement with the Swedish International Development Agency (SIDA). As an increasing part of evelopment aid is being channelled through NGOs and they hold an important role in d
the area, they are interesting subjects of study.
The analysis is conducted from a society‐centred governance perspective, which focuses on how different actors in society shape public policy. The perspective hallenges the view on the state as dominating unilaterally and takes into account the c
diversity of actors involved in policy‐making, such as NGOs.
The result of the study is, among other things, that the character of the relationships and interactions between Swedish NGOs and SIDA varies, and can be described as either a more traditional hierarchical model or co‐governing. Furthermore, the Paris eclaration is perceived by the NGOs as being a step in the right direction rather than paradigm s . D a hift at all levels
Key words: Development aid, governance, state, civil society, non‐governmental
organisations, Sweden, Paris Declaration, paradigm shift
Sammanfattning
För att göra utvecklingsbistånd effektivare, undertecknade ett stort antal givare, däribland Sverige, den så kallade Parisdeklarationen 2005. Deklarationen ger samarbetsländerna ett större ansvar för sin egen utveckling och syftar till att göra iståndet från givarländerna mer mätbart. Man har kallat detta ett paradigmskifte b
inom området på grund av sina långtgående mål.
Deklarationen har konsekvenser för alla aktörer inom området utvecklingsbistånd, och denna uppsats syftar till att beskriva och analysera de effekter som deklarationen har på de svenska icke‐statliga organisationer som har ett ramavtal med SIDA. ftersom en allt större del av utvecklingsbiståndet kanaliseras genom enskilda
m
organisationer.
Resultaten av undersökningen är bland annat att karaktären av de relationer och interaktioner mellan svenska icke‐statliga organisationer och SIDA varierar, och kan beskrivas som traditionellt hierarkisk, eller samarbetsbaserad (co‐governing). Vidare uppfattas Parisdeklarationen av icke‐statliga organisationer som ett steg i rätt riktning, snar t
ångfalden av aktörer i det politiska beslutsfattandet, till exempel icke‐statliga
are än et paradigmskifte på alla nivåer.
Nyckelord: Bistånd, governance, stat, civilsamhälle, icke‐statliga organisationer,
Sverige, Parisdeklarationen, paradigmskifte
Tack
Vi vill rikta ett stort tack till alla organisationer samt SIDA som tog sig tid att delta i vår studie. Utan er medverkan hade denna uppsats inte kunnat genomföras. Tack för ert oerhört generösa bidrag i form av er tid, ert engagemang och att ni så frikostigt delade med er av ert stora kunnande. Vi vill även tacka vår handledare Ronnie Hjort för ditt tålamod, samt Geoffrey Gooch för dina litteraturtips. Tack även till vänner och bekanta som var vänliga nog att låta oss bo hos dem under en vecka i Stockholm då vi genomförde intervjuerna. Slutligen vill vi rikta ett tack till våra nära och kära som stått ut med oss under våra erioder av intensivt skrivande. Ert stöd har varit ovärderligt! p Åsa Lundberg & Anna Palmgren Linköping, 8 januari 2009
Table of Contents
1 Introduction... 2
1.2 Purpose of the Study...4
4
2 Method & Material ... 5
1.3 Disposition ... 2.1 Case Study ...5 2.2 Interview Method ... 6 83 The Concept of Governance ... 8
2.3 Material ... 3.1 Introduction ...8 3.2 Globalization ...103.3 Interactions and Networks...11
3.4 Governance in Development......13
...16
4 Governance in the Development Aid Community...18
3.5 Analytical Framework ... 4.1 Interactions with the State ...184.1.1 Type of question ...18
4.1.2 Political Party in Charge of Development Aid ...19
4.1.3 The Size of the Organisations ...21
4.1.4 Concluding Remarks ...24
4.2 Roles and Co-Operation among NGOs ...25
4.2.1 CoOperation Nationally...25
4.2.2 CoOperation Internationally ...26
4.2.3 Changing Roles...27
4.2.4 Concluding Remarks ...30
eyond: What Has Happened?...31
5 Conclusion ...35
4.3 Paris and B 5.1 Structure...355.2 Process ....37
s ...38
References ...40
5.3 Outcome1 Introduction
The global development aid system is undergoing a process of reformation. One of the most recent steps is the creation of the Paris Declaration on Aid Effectiveness in 2005, adopted by a large number of donors and partner countries, including Sweden, at the High‐Level Meeting in Paris1. The background to the meeting was the
experienced need to do the work with development aid more effective through the coordination of assistance and by making the Millennium Development Goals (MDGs) more measurable2. The MDGs originate from the United Nations (UN) Millennium
Declaration, where eight different development goals were agreed upon3. Among
other things, one goal is to halve the proportion of people living in extreme poverty y 2015
b 4.
The Paris Declaration5 is one step towards achieving these goals. It asserts that
partner countries6, namely the countries that are recipients of assistance, will take
on more responsibility for their own development and that donor countries will increasingly tailor assistance after the national priorities of each partner country7.
In order to increase the effectiveness and results of aid, specific criteria were set to measure the signatories’ adherence to the aims of the Declaration. In the debate the Paris Declaration was referred to as a paradigm shift8, due to its far‐reaching goals
and ambition to allow the partner countries to lead their own development. United Nations (UN) describes the Declaration as being referred to by donors as “an
nprecedented global consensus”9.
u
1
Paris Declaration on Aid Effectiveness, 2005 2 http://www.oecd.org/document/37/0,3343,en_2649_34585_34087845_1_1_1_1,00.html#eff Accessed: 090123 3 http://www.un.org/millenniumgoals/bkgd.shtml Accessed: 090127 4
Extreme poverty is defined as living on less than 1USD per day. Odén, 2008, p. 8. 5
Hereafter, “the Declaration” always refers to the Paris Declaration. 6
This term was used in the Paris Declaration and has since become prevailing in the discussions on aid and development. 7 http://www.regeringen.se/sb/d/2581, Accessed: 080917 8 Odén, 2008, p. 7 9 http://www.un-ngls.org/site/article.php3?id_article=451 Accessed: 090123 2
Although this to a great extent is a bilateral agreement, it has implications for the whole of the development aid community, where organisations from the civil society10 form an important part. This can be seen in the fact that the amount of aid
channelled through non‐governmental organisations (NGOs) has augmented in the recent years11. In Sweden, the amount of the total aid budget distributed to NGOs
was 16, 5 % in 2007 according to the Swedish International Development Agency (SIDA)12, a proportion that in 2004 was reported as being 8 %13. The increase is a
reflection of the augmented importance of NGOs in development aid. Their co‐ operation with the Swedish International Development Agency (SIDA) and the government concerning public policies is seen as essential, due to their democratic value, their control function and not to mention their extensive experience in development issues14. Even though they are key actors in Swedish aid policy, there s to date not much research done on the subject of their potential to influence i 15. This thesis is a case study of the Paris Declaration’s effects on the roles held by the Swedish NGOs in the development aid community and whether these have changed as a result of the Declaration. A study done in 2006 attempted to identify what some of the consequences of the Declaration might be, but at this time there were still many questions around it, and it was deemed as "too early" ... "to deduce any clear consequences." 16 Therefore, a new study is needed, and the aim is to do this from a ociety‐centred governance perspective. s Governance as a theoretical concept gained ground during the end of the twentieth century in response to what was perceived as a fundamentally changed political
10
The definition used in this thesis is SIDA’s own, where civil society is defined as “an arena, separate from the state, the market and the individual household, in which people organise themselves and act together in their common interests.” SIDA, 2007a, p. 4
11
Clarke & Thomas in Huque & Zafarullah, 2006, Chapter 23 12 Statistics by SIDA, 2008 13 Odén, 2006, p. 187 14 Prop. 2002/03:122, p. 54ff 15 Odén, 2006, p. 186 16 Hauer, 2006, p. 16 3
landscape in which the state had to act17. The traditional view of the state as dominating public policy unilaterally was challenged, and instead theorists started to talk about a multitude of actors involved in and influencing policy18. In what is called the “new” governance perspective, focus lies on different societal actors, how these actors shape public policy and to what extent society is self‐steering19. This is an interesting view from which to analyze the roles of the Swedish NGOs, not least considering the special status often given to Swedish stakeholders through
rocedures such as official referral committees p 20. 1.2 Statement of Purpose The purpose of the study is to outline and analyze the roles of Swedish development aid NGOs and their relationships and interactions with governmental and non‐ governmental actors. Furthermore, the purpose is to analyze whether the organisations perceive that the Paris Declaration has constituted a paradigm shift in this policy area. The analysis of the above will be conducted from a society‐centred overnance perspective. g 1.3 Disposition First, we will describe the methods used in the study with a closer look at the case study design and the interview method as well as a short presentation of the material used. Chapter 3 will outline the starting points for the theory used and conclude by building an operational framework. Chapter 4 contains a description and analysis of the empirical material, and is divided into three parts for easier overview. In the first part we go in‐depth on the interactions between the NGOs, SIDA and the government; secondly, we examine the co‐operation and roles within the NGO community, and finally we take a closer look at the organisations’ perceptions of the effects and outcomes of the Paris Declaration. The study finishes
17
Pierre & Peters, 2000, p. 1f 18 Stoker, 1998, p. 17 19 Peters in Pierre, 2000, p. 36 20 Larsson & Bäck, 2008, p. 105f 4
in Chapter 5 with concluding comments and re‐connects to the operational ramework, thus ensuring the fulfilment of the study’s purpose. f
2 Method & Material
2.1 Case Study
This is a case study of governance within a policy area and the effects that an international agreement can have on the governmental and non‐governmental actors and their interactions. The subject of this study is the development aid policy area and the effects that the Paris Declaration may have had on the NGOs and their interactions with the Swedish state actor SIDA. A problem when conducting a case study can be to define the scope of the case, where it begins and ends21. Or put
differently, problems with the external validity22. By using the Paris Declaration as
the point of reference we were able to examine the changes before and after Sweden’s signing as perceived by the organisations. This can be seen as using two units of analysis23 to define whether a change has occurred. As the purpose of the
study was to do an in‐depth description and analysis of the roles of NGOs and relationships within a specific policy area, the case study was a natural choice. Part of the method’s strength is in that it allows a wide range of empirical material to be used24 such as interviews, texts and documents, as was done in this study. It may
not be possible to generalise the results from this study to the effects that international agreements can have on organisations in other policy areas, nor is this
he purpose. t
In the area studied certain commonly used concepts can be further problematized as they contain a tacit power relationship, as in the concepts “developed” and “developing” countries. While we are well aware that these concepts are designed by the economically stronger rather than those receiving development aid, we use 21 Yin, 2006, p. 42 22 Esaiasson et al., 2004, p. 61f 23 Esaiasson et al., 2004p. 119 24 Yin, 2006, p. 25 5
these concepts as they are widely applied and recognized in this policy area. However, when applicable we use the terms “donor” and “partner country”, the
erminology used in the Paris Declaration. t
2.2 Interview Method
The empirical material of the study consists of qualitative interviews, useful when examining people’s perceptions and a little explored field25. As far as is at all
possible, we have attempted to separate the personal opinions of the people interviewed from those of the organisation. In determining the population to include in the study we have used a strategic selection process26, due to the fact that
we had a well defined frame of selection, namely the frame organisations (“ramorganisationer”) in Sweden. Frame organisations are organisations which have signed long term cooperation agreements with SIDA, so called “ramavtal”27.
During this process we contacted all of the 15 frame organisations via email, and then proceeded to contact them by telephone to inquire whether they would be interested in participating in the study. Out of the 15 frame organisations, we
anaged to set a time and date with 8 of the organisations plus SIDA. m
The choice of location was mainly decided by the people interviewed and in all cases except two the interviews were conducted at the organisations’ head offices in Stockholm. One interview took place at a café, chosen by the person interviewed. This posed some problems due to background noise and disturbances, but nonetheless had a small impact on the audibility of the recording. The other interview took place at the interviewee’s home. As is common when doing a study based on interviews, the character was a mix of informant and respondent28. The
emphasis, however, was on the respondent part, as focus was on the organisation’s views and experiences. 25 Esaiasson et al., 2004, p. 281 26 Esaiasson et al., p. 287 27 SIDA, 2007b, p. 10f 28 Esaiasson et al., 2004, p. 280 6
The interview guide was constructed with a number of open and more structured questions29, where we have attempted to both ensure flow in the conversation
(dynamic level) and that the purpose of the study will be fulfilled (thematic level) 30.
The guide was developed upon the analytical framework and the three main theoretical concepts used in the study, namely structure, process and outcomes. Although the guide proved to be somewhat extensive, with a number of questions of similar character, this did not pose a problem during the interview as it was mainly used as a supporting document. It also had the advantage of ensuring that the
hemes of the study were covered. t
Each interview lasted about an hour. During one interview a technical problem occurred with the recorder. As a result it did not capture the entire interview; however this did not greatly diminish the value of it. Another problem was that not all of the people interviewed had been at their respective positions long enough to be able to make comparisons of the situation prior to and after the Paris Declaration. In the collection of data there was the occasional difficulty in ensuring an exact transcript, however this only occurred with a few words hence the reliability31 of
he study must be deemed to be good. t
The empirical material was structured into thematic categories, reflecting the topics of the study. For the concluding analysis the material was structured according to the operational framework, that is, being defined as either structure, process or outcome. These categories were chosen as they draw upon the theoretical framework and were deemed to be mutually exclusive and able to capture the scope of the various ways in which NGOs interact with government. The analysis was of he descriptive kind 32. t 29 Yin,, 2006, p. 117f 30 Esaiasson et al., 2004, p. 290 31
Yin,, 2006, p. 55 ; Esaiasson et al., 2004, p. 67 32
Esaisson et al., 2004, p. 234-235
2.3 Material
Within this policy area there is an extensive amount of documentation to be found, which, for the purpose of our study, result in the need to narrow down the scope and choose the most central material. The Paris Declaration has been studied as it is the point of reference for the study. Proposition 2002/03:122 (Politik för Global Utveckling, PGU) is the most recent Swedish policy document in the development aid area and was adopted in 2003. This policy document indicates the goals and purpose of Swedish development aid and is therefore essential as background material in this study. Other documents of relevance are SIDA’s main policy documents for support to the civil society, as well as the international civil society’s statements in response to the High Level Meeting in Accra 2008, which was a follow‐ up to the adoption of the Paris Declaration in 2005. For further information and understanding of the area, we have used two studies by Bertil Odén, fil. lic. in Peace‐ and Development Studies, and Huque & Zafarrullah’s book “International Development Governance”. When choosing the material for the theory, we have chosen theorists who have written extensively on governance issues, such as Jon
ierre, Jan Kooiman and Gerry Stoker. A mix of books and articles has been used. P
3 The Concept of Governance
3.1 Introduction
The notion of “governance” is used in various contexts with different meanings. When talking about governance it is easy to get confused, since governance signifies not only one perspective or description of reality, but several. It is both a tool with which to analyze society, and a model to use when empirically describing structures of decision‐making33. It can also be a highly normative concept, as in the World
Bank’s use of the term “good governance”, often used when referring to the development of poor countries. Governance here entails a number of normative conditions which are seen as constituting sound developing policy34. Governance is 33 Pierre, 2000, p. 3 34 Hewitt de Alcántara, 1998, p. 105ff 8
a more inclusive concept than “government” and has, as Kooiman et al. puts it, become a catchword in the social sciences as well as in the policy world”
“ 35.
Governance as a theoretical perspective is useful when examining processes of governing and changes in these. B. Guy Peters, in Pierre (2000), sees two main approaches within this theoretical framework. In the traditional, state‐centric approach, questions are raised over the capacity of the government to steer the society and the economy. The other main approach is more society‐centred and focuses on how the government interacts with different actors to reach policy decisions and outcomes, as well as to what extent society is self‐steering36. He calls this “old” and “new” governance. The approach used in this study will be that of a society‐centred, “new” governance perspective. It will also lean upon the concept of “interactive governance”, developed mainly by Jan Kooiman37, where governance is seen as a set of interactions between different actors in policy‐making as well as the tructures constraining those interactions s 38.
“Government”, in the traditional view, is thought to be able to easily control and steer the different sectors of society. Government is usually understood as referring to “the formal and institutional processes which operate at the level of the nation state to maintain public order and facilitate collective action.”39 Governance
challenges this view on government as the ultimate centre of political power and governing capacity. Governance entails a wider perception of the process of defining policy and directing its outcomes. It takes into account the role played by actors such as corporations and markets, the civil society and international organisations40.
Without making a statement or judgment about where power is or should be
35 Kooiman et al., 2008(7:1), p. 2 36 Peters in Pierre, 2000, p. 36 37
Kooiman in Pierre 2000, Kooiman et al. 2008 38 Kooiman 2008(7:1), p. 3 39 Stoker 1998, p. 17 40 Pierre, 2000, p. 1ff 9
executed, using governance theory offers a means to understand the processes of overning from a wider perspective than that of government g 41. Today, the key concerns are about the role of the state in society. The globalization of the economy and the influence of international organisations like the European Union (EU) have deprived the state of some of its traditional capabilities to govern42. From a bottom‐up perspective, the governance literature sees a growing influence of policy networks, the private sector, and the civil society. This raises questions about the shape of the present liberal democracy, about legitimacy, accountability and civic participation43. In short, what governance does is “provide a framework
for understanding changing processes of governing”44. This chapter will go on to
examine more closely some different uses of governance and their possible consequences, and finish by shaping a framework used in the analysis of the empirical material.
3.2 Globalization
The globalization perspective typically suggests, as mentioned above, that various market processes and the establishment of transnational organisations of the last decades, have hollowed‐out the state from above. Pierre states that state‐centred control “appears to account for less and less of contemporary patterns of power and authority in an era of globalization”, but goes on to say that this is highly contested, and concludes: “… what we are observing is less the decline of the state and more a rocess of state transformation.” p 45 The starting point for the thesis usually is the deregulation of the financial markets of the 1980’s, which set in motion a restructuring of both domestic and international 41 Pierre, 2000, p. 3 42
Pierre & Peters, 2000, p. 14ff 43 Ibid 44 Stoker, 1998, p. 18 45 Pierre 2000, p. 5 10
economic system46. This puts considerable limits to political control over the
economy. Additionally, the world is increasingly characterized by its transnational interdependencies which can be seen in multilateral and bilateral agreements, the creation of regional blocks of co‐operation around trade and legal matters. This trend toward globalization is also manifested in the power that large intergovernmental organisations such as the World Trade Organisation (WTO) and the Organisation of Economic Co‐operation and Development (OECD) exercise over states47. This has profound implications for governance. As transnational
organisations, agencies, companies and other actors have a greater influence in national matters, the states sovereignty has become somewhat eroded as a result48
nd removed some of its governing powers. a
On the other hand, the state’s linkages upwards can also be seen as a way to reassert control. Evans has argued that nation states are embedded in the international system, and that the power the state has is to some degree depending on its role in the international economic system49. By this, states can strengthen their governing
capacity rather than weaken it. Pierre and Peters concludes by saying that this embeddedness “at once constrains and empowers the state”50. To say that states
have lost their capacity to steer because of globalization would be rushing into conclusion, but it is also important to recognize that these issues do have impact and orces the state to adapt. f 3.3 Interactions and Networks When conceptualizing the workings of the state and different societal actors, from a society‐centred, “new” governance perspective, Kooiman among others have developed a framework based on the interactions which take place among actors. Kooiman takes his departure from the insight that the boundaries between the
46 Ibid 47
Pierre & Peters, 2000, p. 16. 48
Pierre 2000, p. 1ff 49
Referenced in Pierre & Peters, 2000, p. 47f 50
Pierre & Peters, 2000, p. 48
public and private sectors are increasingly blurred and that many actors other than the state are involved in governing the society51. However, this has generally more
to do with changing roles and a “reshuffling of government tasks” than a shrinking government52. In this, no single actor has the sufficient resources to govern
nilaterally and therefore needs to interact with other actors53.
u
Interactions consist of a structural element and a process element, where the structure refers to the frameworks within which actors work, such as laws, rules, agreements, and material possibilities, which both “limit or widen their action potentials”54. Process, on the other hand, refers to the actions themselves, “the
outcome of the capacity of social actors to act”55. To conceptualize this further,
Kooiman talks about different “modes of governing” and identifies three main levels: Hierarchical governing, co‐governing and self‐governing56. Hierarchical governing is
the conventional way to look at governance and the most formalized of the three modes. Hierarchical refers to one actor being in command, traditionally the government governing society in a top‐down model57. Co‐governing, then, focus on
a mix of vertical and horizontal relations, but where horizontal relations with a degree of equality between actors are dominant. Self‐governing, lastly, refers to what extent entities in society govern themselves, without any influence from the
utside.
o 58
A common conceptualization of co‐governing between the state and private actors ‐ including non‐profit or volunteer organisations – is to see it as partnerships or networks. It is suggested that these then can be self‐governing, resisting 51 Kooiman, 2008(7:1), p. 3 52 Kooiman in Pierre, 2000, p. 139 53 Ibid, p. 142 54 Kooiman, 2008(7:1), p. 3 55
Kooiman in Pierre, 2000, p. 143. For Kooiman among others, outcomes are a part of the process level of governance. In this study we have chosen to highlight this especially, in order to analyze whether there has occurred a paradigm shift in the outcomes of the policy area.
56
Ibid, p. 147ff 57
Pierre & Peters, 2000, p. 15 58
Kooiman in Pierre, 2000, p. 146
government steering and developing their own policies; in other words, possess to a high extent autonomy from the state and as such are not either accountable to the state59. The work on networks also suggests, though, a power dependency situation
for the actors involved. Stoker distinguishes between three forms of partnerships between different levels of government, local government, private actors and the voluntary sector. The principalagent relation involves one dominant actor (the principal) hiring another (the agent) to carry out a particular task. The inter organisational relationship has a higher degree of mutual involvement, where organisations negotiate and blend together their capabilities to reach their goals. Finally, the systemic coordination form goes even deeper, by developing a shared vision and strategy between organisations and by this forming a self‐governing
etwork.
n 60
To understand the interactions taking place, Kooiman has also introduced the concept of “governing orders”61 and he identifies three levels. In the first‐order
governance, day‐to‐day interactions to solve problems and create new opportunities occur. At the second‐order level, what are in focus are reconsiderations and adaptations of the institutional arrangements in which the first‐order governing take place. The meta or third level, finally, is about the guiding principles that “feeds, binds and evaluates the governing exercise”62. 3.4 Governance in Development Theories on development tend to use, or at least mention63, the World Bank’s 1989
definition of governance as “the exercise of political power to manage a nation’s
59 Rhodes in Pierre 2000, p. 61 60 Stoker, 1998, p. 22 61 Kooiman in Pierre 2000, p. 154 62 Kooiman, 2008(7:1), p. 7 63 Hirst in Pierre, 2000, p. 14 13
affairs” or its 1992 definition: “the manner in which power is exercised in the anagement of a country’s economic and social resources of development” m 64. The governing of development politics is a policy area which has undergone great change the last few years and the governance perspective is valuable in that it can provide a framework for understanding this change.65. This change can be seen in
the usage of the concept of governance itself, a concept which emerged in international relations in the late 1980s66 and was prior to that rarely heard of
within the development community67. In today’s development praxis, “good
overnance” has become the acknowledged mantra
g 68.
Until the end of the 1960s the overarching theoretical framework within which development research was carried out, was influenced by the notion that the developing countries, by following the same path that the advanced countries had taken, would reach similar development levels69. Development came, during this
eriod, to be equated with economic growth measured in GDP
p 70.
In the 1970s the focus moved toward structural change71and resulted in integrated
programs aimed at developing the countryside, sector programs and supporting import72. However the “conditionality”, meaning conditions at macroeconomic
level73 tied to development aid, increased, as well as the dependency on
evelopment support. d
64
Zafarullah & Huque, 2006, Chapter 2 65 Stoker, 1998, p. 18 66 Smouts, 1998, p. 81 67 Hewitt de Alcàntara, 1998, p. 105 68
Zafarullah & Huque, 2006, Chapter 2 69
Odén, 2006, p. 140f 70
Zafarullah & Huque, 2006, Chapter 2 71 Odén, 2006, p. 140 72 Ibid, p. 153 73 Ibid, p. 155 14
The belief in neo‐liberalism characterized the 1980s and with it came the privatization of previously stately owned enterprises, financial liberalization, deregulation and corporatization of public utilities. These neoliberal measures were propagated and adopted by the IFM, the World Bank and other aid and lending institutions and they resulted in a weakening of the state in the developing countries. Furthermore, these measures came to be the basis for governance structures and practices in all aspects of the development policy process, from its
nitial formulation to its implementation and final appraisal.
i 74
The undue emphasis on economic growth and GDP growth as a measure of development produced adverse consequences for the people as little attention was paid to poverty, malnutrition, inadequate education, unemployment and other problems. In the early 1990s the human element came to be the focal point of the development discourse and human prosperity the target of development. Economic growth was no longer seen as an end in itself, but as an instrument to achieve
evelopment.
d 75
In Sweden, the goal that development aid should diminish poverty was set in a governmental proposal in 1962 and has not changed since. However, the wording may have changed, as well as the rhetoric and the policies and guidelines, partly as a result of international influences, such as those described above. In 1968 the development aid policies came to include independence, in 1988 the environment was added as goals and in 1995; gender equality was inserted to the list of goals 76. In 2003, the most recent development aid policy was adopted; “Gemensamt Ansvar ‐ Svensk Politik för Global Utveckling”. This time the goal is to contribute to a fair and sustainable global development77. The new policy had an aim to create coherence between different policy areas so that they would all contribute to development78. 74
Zafarullah & Huque, 2006, Chapter 2 75 Ibid 76 Odén, 2006, p.171ff 77 Prop. 2002/03:122, p. 19 78 Odén, 2006, p. 194f 15
Furthermore, the co‐operation between actors such as the civil society organisations and the private sector is seen as important and a will to increase the collaboration is expressed79.
Traditionally, the government of Sweden applies a model in policy‐making often called corporate pluralism80. In this model, interest groups are seen as both
legitimate actors in defining policy, as well as means for the government to execute a specific policy objective. Stakeholder participation is seen as vital for the democracy, and they are invited explicitly to give their views, not least by being part of referral processes and advisory committees81. Sweden stands out here, with this
“unusually close collaboration between the state and major interest organisations in the preparation as well as the implementation of public policies”82. This is the
background upon which the analysis of the aid community in Sweden starts. In much of the governance literature, a close partnership between civil society and the state is a fairly new phenomenon, but in Sweden this has been a rule more than an exception. In the aid politics especially, civil society organisations are given an outstanding role in that they both act as referrals in creating policy as well as performers of this policy, and at the same time, “watch dogs”83 who are to see to
that the government fulfils the agreed‐upon directions and targets.
3.5 Analytical Framework
When creating the analytical framework for the study, we have drawn upon the governance theories described above. The analysis will take its departure in the concepts of interactions, civil society, globalization and development. The purpose is to outline how these concepts relate to the empirical material and thus implying a paradigm shift. As a structural overview, we have chosen to base the analysis on
79
Prop. 2002/03:122, p. 75ff 80
Pierre & Peters, 2000, p. 35 81
Larsson & Bäck, 2008, p. 108 82
Rothstein in Politics & Society, 2001(29:2), p. 208 83
The popular term within the aid community, used when describing the role of civil society as following-up public policy and making sure that governments fulfill their responsibilities.
structure, process and outcomes. This model can be found with many theorists on overnance
g
84.
Structure refers to institutional arrangements as described under section 3.2. For Pierre & Peters, institutional arrangements are crucial in determining what role an actor can play in governance85. Questions that we seek the answer to under this
section are therefore as follows: What are the rules and other institutional arrangements that define the work of the organisations? In what way do rules and policies of the government, SIDA and international agreements shape the organisations’ ability to act? What is the impact of the EU, IMF or other international
ctors? a
With process we mean the actions that take place between actors; these are at the same time defined and constrained by the structural level86. This is largely about
how the work is conducted in practice, from day‐to‐day decisions to discussions about goals and outcomes, or with Kooiman’s words: The different “modes of governing” and “governing orders” which exists between actors87. How does one
best describe the governing mode between the aid organisations and SIDA or the government – hierarchical, co‐governing or self‐governing? In what way is the dialogue conducted between the actors and to what extent do organisations participate as policy‐creators, performers or “watch dogs”? How active are the
rganisations on the international level through such as civil society networks? o
Outcomes refer to the changes in the results of the policy area. Do the organisations work in a different manner in the partner countries? Do they adhere to the criteria of the Paris Declaration? Have there been any changes in the role that the organisations play as an actor in development aid? Do the organisations themselves experience a shift in the area?
84
Pierre & Peters 2000, Stoker 1998, Kooiman 2008(7:1) 85
Pierre & Peters 2000, p. 22 86
Kooiman in Pierre 2000, p. 143 87
Ibid, p. 146ff
Taken together, this analytical framework will be used when describing the Swedish development aid community, and examining whether a paradigm shift has occurred, hus fulfilling the purpose of the study. t
4 Governance in the Development Aid Community
4.1 Interactions the StateThe interactions within the development aid community in Sweden can best be described as a mixture of hierarchy and networks, something which also affects the Swedish organisations ability to influence structure and politics. Which part of this mixture that is the most prominent changes with different factors. Three dominant factors are the type of question at hand, the political party responsible for development aid questions and the size of the organisation. with 4.1.1 Type of question SIDA perceives that when it comes to the strategies, how to implement policy, most of the feedback from NGOs is included or at least considered88. This perception is
shared by Forum Syd89. When the Swedish policy for global development (PGU –
Svensk Politik för Global Utveckling) was to be created, a parliamentary committee called Globkom was put together. In the policy preparation process, organisations sometimes participate90 and this was such an occasion. Even organisations which
were not part of the actual reference group/committee, such as Afrikagrupperna, felt they were involved in the process, through the frame organisations91. The
creation of PGU can, due to its high degree of mutual involvement, therefore be considered an interactive process during which the relationship between SIDA and he NGOs was an inter‐organisational one. t 88 Interview, SIDA, p. 4 89
Interview, Forum Syd, p. 11 90
Larsson & Bäck, 2008, p. 104 91
Interview, Afrikagrupperna, p. 3
A new strategy for the NGO funding is in the process of being created. Several of the NGOs seem to perceive that this policy is being rushed through92. One part of the
suggested policy is that the funding for information will, in the future, be separated from the NGO funding. This will open up for other actors, such as local authorities and private companies, to apply for these funds, which when they constitute a part of the NGO funding, could only be applied for by the NGOs. Diakonia fears that this will result in large cut‐downs in funding for the NGOs, as other actors will compete for the same allocation of money93. As is due process with changes in policy and
new strategies, it was said that NGOs should be consulted on this suggested policy, but, according to Magnus Walan, at the Department for Politics and Public Opinion at Diakonia, this only happened in a very limited way and the time given to respond was limited to two working days and one weekend94. The discussions held related
to the goals for the funding rather than the funding itself. In a governance perspective the discussions about goals can be interpreted as meta‐order governance, which are the guiding principles. In contrast, the second‐order governance, funding itself, which determines the ability to act, is left out. The organisations received the NGO strategy on the 28th of August and were told to reply
with comments no later than the 9th of September, according to Magnus Walan. All
in all this gave the organisations four working days to read, discuss and put together a response95. Forum Syd agrees with the view that the time for the referral process
is too short96. The limitations were of the hierarchic type where the government set
the frames followed by even narrower ones from SIDA. In this interactive policy process the relationship can be labelled hierarchical.
4.1.2 Political Party Charge of Development Aid
The organisations do not doubt that many of the changes in policy that the development aid community has encountered the last few years would have come
in
92
Interview, Kooperation Utan Gränser, p. 18, Diakonia p. 1-2 93
Interview, Diakonia, p. 2 94
Ibid, p. 1 95
Interview, Kooperation Utan Gränser, p. 18 96
http://www.forumsyd.org/templates/FS_ArticleTypeA.aspx?id=5743 Accessed: 090106
regardless of government. However, Naturskyddsföreningen, Forum Syd and Diakonia all bring up Moderaterna’s lack of popular movement background as a reason for, what they perceive is, a different view on development aid97. The other
political parties in today’s coalition government, all share that background with solidarity organisations such as Naturskyddsföreningen, Latinamerikagrupperna, Afrikagrupperna and a few others98. Certain organisations have closer bonds with
some political parties than others and perform a form of quiet diplomacy99. Joakim
Olsson, administrator at Kooperation Utan Gränser, describes it as a constant balancing act, which political party to approach. Approaching the political opposition parties may not be the most effective way to go about it as those parties will use the information received for their own political purposes, which in turn will make the government reluctant to listen100. The above can be interpreted as
examples where the actors and their interactions have a mutually determining effect n each other o 101. The various relationships which the organisations enjoy with the different political parties also affect the course of action chosen to influence the making of policy or decisions in Sweden. This can be seen as an example of the actual interactions occurring between the actors at the process level in governance102. There is a vast
selection of ways to approach the political parties103. The organisations have an
opportunity to communicate their opinions and concerns regarding strategies or policies being developed or implemented and to participate at meetings and obtain information. LO‐ TCO perform their work in influencing policy mainly through the foreign ministry by writing to the ministry in question, replying to their official letters and, in this way, pointing out things they perceive as important to include in
97
Interviews, Forum Syd p. 15, Naturskyddsföreningen p. 14, Diakonia, p. 12 98
Interview, Naturskyddsföreningen, p.14 99
Interview, Kooperation Utan Gränser, p. 12 100 Ibid, p. 13 101 Kooiman in Pierre, 2000, p. 144 102 Kooiman 2008(7:1), p. 3f 103
Interview, Kooperation Utan Gränser, p. 12
the policy or to pay attention to104. Plan Sweden participates in debates and
networks, sometimes together with other frame organisations, where they try to nfluence SIDA in different policy questions i 105. 4.1.3 The Size of the Organisations Regardless of size, all the frame organisations meet with the manager for the civil society team at SIDA on a regular basis. In addition to that, the organisations also meet with the general director of SIDA once or twice a year to discuss questions of method or specific issues. However the size of the organisation may have a bearing on its possibility to determine its own agenda 106, as well as the funding raised by the organisation itself. The funding that SIDA is willing to give the NGOs is dependent, partly, on how much money the organisation can raise, as the organisation needs to provide 10% of the total amount that it seeks funding for107. Size and funding policy are material limitations at the structural level which influences the interactions that he organisation can participate in. t
Independent of size, the NGOs in Sweden perceive themselves as enjoying a relatively large freedom108 in choosing which kind of actions they do and in their
relationship with SIDA and the Foreign Ministry, compared to, for example, Denmark. LO ‐ TCO state that they do their job on their own premises, in accordance with their own values and are allowed to do what they want to do, while at the same time remaining in accordance with specific directives from SIDA109. LO – TCO and
Latinamerikagrupperna perceive this to be the point of frame organisations and upport of civil society s 110. 104
Interview, LO-TCO Biståndsnämnd, p. 4 105 Interview, Plan, p. 3 106 Interview, Latinamerikagrupperna, p. 7 107 Interview, SIDA, 2007, p. 25 108
Interviews, LO-TCO Biståndsnämnd, p. 5-6; Kooperation Utan Gränser, p. 14; Latinamerikagrupperna, p. 5
109
Interview, LO-TCO Biståndsnämnd, p. 5-6 110
Interview, Latinamerikagrupperna, p. 5; LO-TCO Biståndsnämnd, p. 5-6
At the same time however, LO – TCO and Latinamerikagrupperna acknowledge that alongside their own regulations, guiding principles and priorities, the documents that very much determine their work is their application for funding made to SIDA, in that it describes the work planned for the following year, including all the
rojects, comprehensive texts on goals and plans for their future operation
p 111.
Forum Syd is the largest non‐governmental development aid organisation in Sweden with over 200 member organisations112 and has a somewhat special status.
It not only acts as a frame organisation, performing development work in its own name, but is also a distributer of development aid to its members and support and follow up on the members’ development work, to ensure that it holds a quality in line with SIDA requirements. In addition to these two roles as actor in the development business and as distributor, the organisation is also active in influencing public opinion and helping member organisations improving their methods and knowledge in global development questions. In the role as distributor of development aid, Inger Björk, Secretary‐General of Forum Syd, describe the demands as strict and the guidance as strong from SIDA113. The relationship
between the member organisations and Forum Syd is to a certain extent that of power‐dependency. As Forum Syd perceives the steering from SIDA to be especially strong when performing the role as distributer and guarantor, the relationship between the agency and the organisation has, in these matters, the character of being hierarchical. On the other hand, due to their sheer size and special status, Forum Syd also perceive themselves as having right to be consulted in the making of new policies114, a description which is more in line with a co‐governing relationship.
Depending on which role the organisation takes on in it’s interaction with SIDA, this has an outcome on the character of the interaction. This is an example of where “actors and interactions mutually determine each other.”115
111
Interview, LO-TCO Biståndsnämnd, p. 5; Latinamerikagrupperna, p. 5 112
Interview, Forum Syd, 2007, p.2 113 Ibid, p. 1 114 Ibid, p. 15 115 Kooiman in Pierre, 2000, p. 144 22
In terms of funding received 2008, Naturskyddsföreningen is the third smallest recipient of development funds after Plan, which has recently just become a frame organisation, and Latinamerikagrupperna who will cease to be one. Naturskyddsföreningen perceives their ability to influence national development aid policy as quite limited, but feel that when it comes to influencing the manner in which policy is implemented they have a rather good ability to make their voice heard116. They perceive SIDA to be interested in achieving a good result and willing
to listen117. Naturskyddsföreningen describes the workload involved in reporting on
and applying for funds for the development work achieved previous year/s, or to be conducted for the year/s to come, as part of the reason they haven’t been able to become as involved in the processes surrounding Accra and the Paris declaration, as they may have wanted118. From a governance perspective, these material or
esource limitations are of the structural kind. r
Latinamerikagrupperna is the smallest frame organisation and has been very affected by policy changes from SIDA. UBV, Utbildning för Biståndsverksamhet, as the organisation was called prior to its change of name earlier this year119, used to
be an organisation that primarily sent volunteers to Latin America. Initially these volunteers went without any financial aid, but could in time apply for, what was then called, “volontärschablon”, a flat rate financial aid for volunteers. This aid came to be more and more questioned and criticized which resulted in changed criteria and requirements for the aid. These changes had an impact on UBV/Latinamerikagrupperna’s work and ability to send volunteers. From a governance perspective, this can be described as limitations at the structural level. Furthermore, these limitations had an affect at the process element of the interaction, as it had an outcome on the organisations ability to act. Alongside these changes in policy an internal debate was also under way as to what areas of 116 Interview, Naturskyddsföreningen, p.16 117 Ibid 118 Ibid, p. 9 119 http://ubv.se/gor/736 Accessed: 081228 23
development work that Latinamerikagrupperna was best equipped to perform and how to meet the changing needs of the people in south with whom they co‐operated. This resulted in a process initiated 2002 to redirect the work of the organisation,
alled Operation Tinku
c 120.
In addition this, new criteria has been stipulated for those organisations which wishes to hold the status as a frame organisation. One criterion was that the organisation is a nationwide organisation, something which Latinamerikagrupperna isn’t. This resulted in a loss of the frame organisation status which will come into effect soon and they will instead be a member organisation of and represented by Forum Syd121. This is another structural limitation that had an impact on the
process, as Latinamerikagrupperna’s ability to influence will now be limited to their embership in Forum Syd.
m
4.1.4 Concluding Remarks
There is praxis of having a co‐ordination meeting prior to changes in policy or strategy122. Despite this, several of the organisations describe the circumstances
under which this is done as rather limiting in character due to the lack of time given to respond or take part in the process123. So, while there may be a formal procedure
at the structural level for the NGOs to take part in the making and shaping of policy, in reality this opportunity to influence at process level may be very limited. Furthermore, it is perceived that in the end it is the government’s decision and large parts of a policy may at this point be changed or deleted124. In addition, some of the
meetings held with SIDA are perceived to have too much the character of being pure information meetings where it is difficult to create dialog125. This may be
interpreted as part of what Jan Johansson (1992) argues is a shift in the usage of
120 Interview, Latinamerikagrupperna, p. 1 121 Ibid, p. 2-3 122 Interview, SIDA, p. 4-5 123
Interviews, Latinamerikagrupperna p. 5, Afrikagrupperna, p. 4, Kooperation utan Gränser, p. 18 124
Interview, Latinamerikagrupperna, p. 6 125
Ibid
commissions “from knowledge production and achievement of consensus to become n instrument for the Government to exert control over the policy process.”
a 126
Another trend that organisations experience is increasing demands127. Part of the
explanation for this can be due to what happened in 2007 when Riksrevisionen made an extensive audit where irregularities or a lack of paperwork, was discovered. In the end it boiled down to being three projects where this was the case128.
According to Inger Björk at Forum Syd it boiled down to 14, 000 SEK which could not be accounted for129 When the scandal hit the papers it was perceived that
conformity to established rules was lacking. The typical mode of governing interaction between state and organisations is through intervention systems, laws and policies are the most predominantly used means of governing130. The critique
that followed led to an increase in the demands made on the NGOs and their reporting back to SIDA. Forms of legal and administrative regulations are, according to Kooiman, closely linked with the type of involvement that is performed within
ierarchical governing h 131. 4.2 Roles and CoOperation among NGOs 4.2.1 CoOperation Nationally
The co‐operation between the NGOs in Sweden can best be described as what Kooiman calls “co‐ordination” at a “meso level of societal interaction”
132, where the
organisations have expressed arrangements such as the regular meetings between the managers of the frame organisations, the so called “ramchefsmöten”. These meetings occur two or three times per autumn and spring. At these meetings a type of “horizontal” governing occur as the organisations describes the meetings as
126
Larsson & Bäck, 2008, p. 105 127
Interviews, Kooperation Utan Gränser, p. 1,3,6, Forum Syd, p. 1 128
Allegretto Revision AB, 2008 p. 16f 129
Interview, Forum Syd, p. 9 130 Kooiman in Pierre, 2000, p. 151 131 Ibid 132 Ibid, p. 148 25
forums for discussion133, exchange of information and an opportunity to develop
joint statements134. While the meetings occur frequently, the form can differ.
Sometimes it is just the managers present, on other occasions SIDA or the foreign inistry invites the managers to a meeting, or vice versa
m 135.
Meetings of this kind are also held on a more ad hoc basis, for urgent matters, “brandkårsmässiga uttryckningar”136 or informal co‐operation around opinion
building activities and co‐ordination137. The organisations have different levels of
ommitment, to a certain extent dependent on the question or policy at hand c 138. 4.2.2 CoOperation Internationally The organisations’ international work has been an important part for a long time. Participating in civil society networks is an essential ingredient, both on the national and the global level. To a large extent the cooperation is dependant upon the question at stake, whether it is trade agreements, tied aid or environmental problems. Inger Björk describes international networks as crucial for the organisation’s work in influencing public opinion139. Networks such as Concord
Europe, ActionAid, Eurodad and Afrodad, where many of the Swedish organisations are members140, specialize in different areas and through them the organisations
can exchange information and experiences, keep up and participate in the international debate and perform joint campaigns141. Networks can be more or less
structured, and sometimes take form as a campaign where certain issues are brought up. An example of this is the network that Diakonia form a part of: Countdown To Copenhagen, where civil society organisations from different
133 Interview, Naturskyddsföreningen, p. 6 134 Ibid, p. 15, Diakonia, p. 5 135 Interview, Naturskyddsföreningen, p. 15 136
Interview, Kooperation Utan Gränser, p. 16 137
Interviews, Diakonia, p. 5, Latinamerikagrupperna, p. 3 138
Ibid, p. 6 139
Interview, Forum Syd, p. 21 140
Interviews, Diakonia, p 7f, Naturskyddsföreningen, p. 4, Kooperation Utan Gränser, p. 8 141
Interviews, Diakonia, p. 7, Forum Syd, p. 21
