CENTER FOR DEMOCRACY AND GOVERNANCE“...promoting the transition to and consolidation of democratic regimes throughout the world.”

DEMOCRACY AND GOVERNANCE:A CONCEPTUAL FRAMEWORK

November 1998

Technical Publication Series

Center for Democrcy and GovernanceBureau for Global Programs, Field Support, and Research

U.S. Agency for International DevelopmentWashington, D.C. 20523-3100

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ABOUT THE TECHNICAL PUBLICATION SERIESThe USAID Center for Democracy and Governance Technical Publication Series was launched in March1998. The series includes publications intended principally for USAID personnel; however, all personsinterested in the sector may benefit from the series. Authors of individual publications may be USAIDofficials and/or other individuals from the public and private sector. The Center for Democracy andGovernance reserves the right to review and edit all publications for content and format and all are subjectto a broad USAID review process. The series is intended in part to indicate best practices, lessons learned,and guidelines for practitioner consideration. The series also includes publications that are intended tostimulate debate and discussion.

A list of other relevant publications and ordering information are included at the back of this document.

ABOUT THIS PUBLICATIONThis publication describes the Center’s approach to democracy and governance assistance programs. It doesso by presenting the strategic thinking underlying the Center’s and the Agency’s worldwide involvement inthe areas of rule of law, elections and political processes, civil society, and governance. This publication isalso meant to set the foundation for other Center technical publications exploring specialized democracy andgovernance sector subject matter.

Comments regarding this study and inquiries regarding USAID's ongoing work in the area of democracyand governance should be directed to:

Information Unit Tel: (202) 661-5833Center for Democracy and Governance Fax: (202) 661-5890Bureau for Global Programs, Field Support, and Research gdg-info@rrs.cdie.orgU.S. Agency for International DevelopmentWashington, DC 20523-3100

ABOUT THE CENTERThe Center for Democracy and Governance is the U.S. Agency for International Development’s focal pointfor democracy and governance programming. The Center’s role is to provide USAID and other developmentpractitioners with the technical and intellectual expertise needed to support democratic development. Itprovides this expertise in the following areas:

C Rule of LawC Elections and Political ProcessesC Civil SocietyC Governance

For further information regarding the Center or the Technical Publication Series, please contact the Centerfor Democracy and Governance Information Unit at (202) 661-5847.

The Center would appreciate your comments as to the appropriateness and utility of this handbook. Pleasecontact the Center with any comments or suggestions.

ACKNOWLEDGMENTS

Democracy and Governance: A Conceptual Framework draws on internal USAID documents includingthe Center for Democracy and Governance Strategic Plan 1997-2002; Highlighting Democracy Trends,Issues, and Challenges, a regional trends analysis based on the Center’s annual regional reviews; andextensive strategic planning documentation from the Center’s technical teams.

Editor: Dan Turello

FOREWORD

The Center is pleased to publish Democracy and Governance: A Conceptual Framework. Its purpose is toprovide a brief overview of what we do and why we do it.

The Center for Democracy and Governance was created in 1994 to help define and provide technicalleadership to USAID’s programs in democracy and governance. Over the last four years, the Center hasundergone a tremendous process of institutional growth.

The Center has developed effective implementing instruments and can offer a range of flexible contract,cooperative agreement, and grant mechanisms to assist missions with DG programming. We haveattracted talented staff and have developed an ambitious multi-year technical leadership agenda to placeUSAID at the cutting edge of democracy and governance assistance.

Our primary objective is to help USAID officers design and implement democracy and governanceprograms that are strategic and effective. In many cases, time constraints are severe and there is a need forclear, concise information on lessons learned and best practices. In March 1998, we launched a CenterTechnical Publication Series to meet the demand for distilled technical information. Since then, we havepublished the Alternative Dispute Resolution Practitioners Guide; Civil-Military Relations: USAID’sRole; the Handbook of Democracy and Governance Program Indicators; and the USAID Handbook forFighting Corruption. (Information on how to order these publications is on the inside back cover.)

By outlining the strategic thinking underlying the Center’s objectives, Democracy and Governance: AConceptual Framework is meant to set a foundation for our Technical Publication Series and to place theAgency’s other, more specialized publications within a well-defined “big picture” strategic context.

I trust you will find this document useful.

Sincerely,

Charles E. CostelloDeputy Assistant AdministratorDirector, Center for Democracy and GovernanceBureau for Global Program, Field Support, and ResearchU.S. Agency for International Development

DEMOCRACY AND GOVERNANCE: A CONCEPTUAL FRAMEWORK

CONTENTS

I. U.S. INTERESTS AND GOALS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

II. GLOBAL TRENDS IN DEMOCRACY AND GOVERNANCE . . . . . . . . . . . . . . . . . . . . . . 3

III. USAID AND THE CENTER FOR DEMOCRACY AND GOVERNANCE . . . . . . . . . . . . . 5

IV. RULE OF LAW . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Legal Frameworks and Human Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Justice Sector Institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8Access to Justice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

V. ELECTIONS AND POLITICAL PROCESSES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Impartial Electoral Frameworks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Credible Electoral Administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Effective Oversight of Electoral Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Informed and Active Citizenries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Representative and Competitive Multiparty Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12Inclusion of Women and Other Disadvantaged Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13Effective Transfer of Political Power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

VI. CIVIL SOCIETY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Legal Frameworks to Protect and Promote Civil Society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Increased Citizen Participation in the Policy Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Enhanced Free Flow of Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16Strengthened Democratic Political Culture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17Increased Institutional and Financial Viability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

VII. GOVERNANCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Democratic Decentralization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19Legislative Strengthening . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20Governmental Integrity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20Policy Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Civil-Military Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

VIII. POSTSCRIPT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

Democracy and Governance: A Conceptual Framework 1

Expanding the globalcommunity of democracies is akey objective of U.S. foreignpolicy.

I. U.S. INTERESTS ANDGOALS

The United States Government works toencourage democracy in developing nationsthroughout the world on the basis of the idealsof liberty, personal and civic freedom, andgovernment of, for, and by the people—valueson which the United States was founded andwhich gird the social and political life of ournation. As U.S. Secretary of State MadeleineAlbright stated to the Senate Foreign RelationsCommittee in January 1997, “We will continueto promote and advocate democracy because weknow that democracy is a parent to peace, andthat the American Constitution remains the mostrevolutionary and inspiring source of change inthe world.” 1

Furthermore, while civil and political libertiesare intrinsically valuable, the commitment toencourage democratic governance is alsostrategic. Promoting democracy serves vital U.S.national interests, and expanding the globalcommunity of democracies is a key objective ofU.S. foreign policy. Democratic governments2

are more likely to advocate and observeinternational laws and to experience the kind oflong-term stability which leads to sustaineddevelopment, economic growth, and

international trade. Countries that areexperiencing economic growth and are activelyengaged in trading relationships are less likely toengage in acts of war.

In addition, the growing phenomenon of failedstates is a profound area of concern for theUnited States. A lack of democratic institutionsis a common factor among nations that havesuccumbed to crisis. Too often, these countriesdo not have the institutional capacity necessaryto avoid escalating violence. The United Stateshas a compelling national interest to prevent andavert crises before they occur. When potentialcrises erupt into genuine emergencies,mobilization of the U.S. military and theprovision of humanitarian assistance becomecomplex and costly, and economic interestsusually suffer. Successful transition anddevelopment out of a closed system vastlyimprove a country’s ability to manage divisionand conflict.

As articulated in the Clinton Administration'sNational Security Strategy of Engagement andEnlargement:

...The core of our strategy is to helpdemocracy and free markets expand andsurvive in other places where we have thestrongest security concerns and where wecan make the greatest difference....Thus,we must target our effort to assist statesthat assist our strategic interest....We mustfocus our efforts where we have the mostleverage. And our efforts must be demanddriven—they must focus on nations whosepeople are pushing for reform or havealready secured it. 3

U.S. Senate, U.S. Secretary of State Designate1

Madeleine Albright speaking to the Committee onForeign Relations, 105th Congress, 1st Session(January 8, 1997).

See also United States Strategic Plan for The White House, A National Security Strategy2

International Affairs (Washington, DC: U.S. of Engagement and Enlargement (Washington, DC:Department of State, 1997). U.S. Government Printing Office, 1996): 33.

3

Democracy and Governance: A Conceptual Framework 3

In the vast majority ofcountries, both economic andpolitical power remainconcentrated in the executivebranch, with little genuineoversight by other branches ofgovernment.

II. GLOBAL TRENDS INDEMOCRACY ANDGOVERNANCE

With regional and country conditions in constantflux, it is a great challenge to understand andaddress the complex political environment foundin transitional and democratizing regimes. Everycountry presents a specific set of circumstancesand opportunities. However, some trends areevident in numerous countries. Delineating thesebroad trends helps describe some of the globalchallenges of promoting democratic governance,as well as some of the assumptions on which theU.S. Government bases its work. The number of democratically electedgovernments worldwide continues to grow,but many countries have made incompletedemocratic transitions. The consolidation ofdemocracy is a lengthy process, and numerousobstacles remain. Fareed Zakaria notes the riseof "illiberal democracies" (Foreign Affairs,November-December 1997). A more accuratedescription may be that many democratizingcountries have made partial or incompletetransitions, demonstrating some—but notall—fundamental aspects of a democraticpolitical system.

Most newly established democracies exhibitlimited competition within their politicalsystems. In the vast majority of countries, botheconomic and political power remainconcentrated in the executive branch, with littlegenuine oversight by other branches ofgovernment. Elections rarely offer citizens a realchoice among clearly differentiated platformsand policies. Many of the institutions considered key todemocracy have yet to function effectively. Inmany countries, weak judicial systems are stilltoo susceptible to political influence and lack thecommitment and capacity to make rule of law areality. While many countries are embracingdecentralization, often local governments do not

have the authority or the means to provide ameaningful opportunity for citizen participation.

Nongovernmental actors continue to play acritical role in pushing for political reform.While more developed in some countries thanothers, civil society organizations and the mediaare providing oversight and scrutiny ofgovernment actions in many countries aroundthe world. Nonetheless, many governments seeincreasing capacity of the nongovernmentalsector as a threat, and continue to supportrestrictions on the media and civil society.

Expanding democratic participation andbuilding a democratic culture is a long-termprocess. Despite many encouraging trends, mostcitizens still consider their political systems tobe distant and unresponsive to their daily needs.Even in regions such as Latin America wheredemocratization has progressed, most citizensfeel disenchanted and isolated by theirgovernments, lacking meaningful access tojustice systems or to governmentaldecision-making processes. Additionally,endemic corruption has a corrosive effect onpeople's confidence in both public and privateinstitutions.

Linkages between democratization andeconomic growth have become increasinglyimportant. To remain viable, new democraciesmust improve the management of nationaleconomies and expand the provision of essentialservices. At the same time, sustainable economic

Democracy and Governance: A Conceptual Framework4

growth requires not only economic restructuringbut also governmental reforms to improvetransparency and accountability.

The disparities between urban and ruralpopulations present an enormous challenge inthe political, economic, and social spheres ofdeveloping countries. This is particularly truein the governance area, where efforts tostrengthen democratic local governance have adifficult time achieving strategic (i.e., national)impact.

Women have been at the forefront ofdemocratization movements in manycountries. However, this involvement has notnecessarily resulted in increased politicalopportunities for women in new democracies. The inclusion of women's rights in newconstitutions, the setting of targets for women'srepresentation in legislative bodies, and theestablishment of links by women's advocacyorganizations, both with elected officials andwith the population at large, are evidence ofchange. Yet obstacles remain. For example,many women still lack the training and skills tomake them more effective politically.

The sequencing of democracy programmingcontinues to be hotly debated. Providingassistance to government institutions, in theabsence of the political will necessary for thoseinstitutions to function effectively, has comeunder question in recent years.

Democracy and Governance: A Conceptual Framework 5

Democracy and governanceprogramming has become anintegral component of USAID’ssupport for sustainabledevelopment.

The Agency uses fourcategories to describe itsdemocracy and governanceactivities—rule of law, electionsand political processes, civilsociety, and governance.

III. USAID AND THECENTER FORDEMOCRACY ANDGOVERNANCE

Shortly after taking office, the ClintonAdministration identified "building sustainabledemocracies" as one of USAID’s goals. TheCenter for Democracy and Governance wasestablished in 1994 as a focal point for realizingthis objective. The Center’s role is to providetechnical and intellectual leadership to USAID’sdecentralized mission-based structure. It does soby developing the tools and methodologiesneeded to support democratic development.

Democracy and governance programming hasbecome an integral component of USAID’ssupport for sustainable development. TheAgency believes that democratic institutions arekey to a well functioning government, and thatthere are direct links among democraticinstitutions, good governance, and sustainabledevelopment. This places democracy andgovernance programming within the context ofan integrated development agenda. Success inthe other core areas of USAID's sustainabledevelopment agenda (economic growth;population, health, and nutrition; environmentalprotection; crisis and disaster prevention andresponse; and human capacity development) isinextricably linked to democratization and goodgovernance. Seventy percent of USAID fieldmissions have identified strategic objectivesrelated to democracy and governance.

The Agency uses four categories to describe its

democracy and governance activities—rule oflaw, elections and political processes, civilsociety, and governance. This conceptualframework is described in depth in the sectionsto follow.

The conceptual framework is not meant toreduce democracy and governance programmingto isolated building blocks. The democratizationprocess is much more complex and organic. Rather, by describing the four components theAgency deems critical to democraticgovernance, the framework offers a commonvocabulary and serves as a lens through which adeveloping country’s political environment isanalyzed and evaluated.

When implementing activities, categories are notalways discrete. Many of the Agency’s activitiespertain to more than one of the areas described.For example, most Agency activities make it apriority to empower women, their increased rolebeing integral to democratic development; analternative dispute resolution program mayrelate to civil society as well as to the rule oflaw; and an anti-corruption initiative necessarilyinvolves economic as well as political reform.

Given limited resources, the Agency must oftenmake strategic decisions on how and where toinvest limited assistance funds. While somepolitical transitions may require rapid responses,a comprehensive assessment of the politicalsituation in a country precedes implementationof long-term democracy programs. The Centerhas developed a strategic assessment frameworkthat offers an approach for analyzing country-specific political conditions and crafting targeted

Democracy and Governance: A Conceptual Framework6

program strategies.

USAID’s collaboration with other U.S.government agencies, nongovernmentalorganizations, and other bilateral andmultilateral donors is described more fully inSection VIII.

Democracy and Governance: A Conceptual Framework 7

Respect for the rule of law anda well-developed justice systemare underpinnings of ademocratic society and amodern economy.

IV. RULE OF LAW

Respect for the rule of law anda well-developed justice systemare underpinnings of ademocratic society and amodern economy. Effective ruleof law resolves conflicts andfosters social interaction in

accord with legal norms and widely acceptedsocietal values. It also enhances predictability,equitable treatment, and a respect for basichuman rights; provides services in accord withsocietal demand and expectations; and helpscurb the arbitrary exercise and abuse of powerby other branches of government, elites, andother privileged groups. In all these regards,justice sector institutions must perform theirfunctions effectively. At the same time theiroperations must be transparent, accountable, andin compliance with the law.

In many states with weak or incipientdemocratic traditions and underdevelopedeconomies, the processes and institutions whichare necessary to uphold the rule of law areincompletely evolved and ineffective. Often,their legal framework does not correspond tosocial reality and contemporary needs.Customary and informal practice may causefurther deviations, so that legally establishedrights are not recognized, inequitable treatmentis the “rule,” and actions and decisions respondto partisan, particularistic, or pecuniary interests.The lesser relevance of formal law andinstitutions is often accompanied by the limitedavailability of justice sector services so thatlarge masses of the population must rely onunofficially recognized alternative mechanismswhich often have their own nondemocraticbiases. When these conditions prevail, the ruleof law, democratic reform, and sustainableeconomic development are all very difficult to advance.

Just as there are many ways of defining rule oflaw sector elements and problems, there are alsonumerous ways of developing rule of law

programs. The Center supports work in rule oflaw in three areas:

C Improving outdated or otherwise inadequate legal frameworks and codifying human rights.

C Strengthening justice-sector institutions.C Increasing citizens’ access to justice.

The relative importance of these factors in agiven country depends upon its cultural andhistorical legacy and other contextually definedconditions.

The Center also notes the importance of buildingconstituencies for sectoral reform. Reform inany of the three areas outlined above is apolitical process and requires political support tosucceed. Despite the many complaints aboutjustice systems, and the often very clear pictureof what needs to be fixed, reform programs arefrequently stymied by a lack of effective localbacking. When push comes to shove, vestedinterests, powerful opposition, or the sheerweight of inertia and fear of the unknownprevent all but the most minimal advances. Likethe particular problems, the political obstaclesvary from country to country, but in all cases,the common challenge is to generate broadinterest, coordinate the actions and concerns of avariety of political actors, reach consensus on acommon plan of action, and maintain supportthrough its implementation.

Legal Frameworks and Human Rights

Democracy and Governance: A Conceptual Framework8

When a nation’s constitution, its organizational, sometimes essential if legal and justice systemsprocedural, and substantive laws, and its are to contribute to broader political andregulations are inadequate to its needs, economic development. promoting the rule of law often requires majorreform of the country’s legal and regulatoryframework.

Many developing countries inherited antiquatedlegal structures from colonial powers. Often,these structures are inconsistent withcontemporary social and economic realities. Inmany cases, constitutionally recognized humanrights guarantees are not duplicated in thesecondary laws which effectively governsectoral operations. Sectoral operations are alsoimpeded by laws defining basic organization inways which entrench inefficiencies, facilitate orencourage corruption, and undermineinstitutional mandates. Outdated laws ofteninhibit commercial transactions and prohibit theadoption of modern technologies and practices.Countries with non-Western or plural legaltraditions face the additional challenge ofaccommodating indigenous values in a nationallegal framework which is adequate to thedemands of a globalizing society and economy.

Improving legal frameworks commonly involvesthree areas of concern. First among these is theframework itself, which is the basis of the socialcontract between the governors and thegoverned. It provides a blueprint for theinstitutions, processes, and rules by which thegovernment functions; it defines citizens’ rightsand responsibilities; and it establishes therelations among the branches of government.Whatever the quality and adequacy of the initialblueprint, over time some aspects may requirealteration because society or its needs and valueshave themselves changed. A second concern iswith legislation that often establishes thedetailed organization and procedures of courtsand other sectoral institutions in patterns thatconflict with changing standards of efficacy andefficiency. A final concern is with substantivelaws that often conflict with basic human rightsprinciples, societal preferences, or the efficientconduct of valued activities. In short, while legalchange is not the only element of reform, it is

Justice Sector Institutions

Effective, equitable, and transparentadministration of justice requires efficient andeffective institutions. In most countries, thejustice sector comprises several interdependentinstitutions—the judiciary, the prosecutors, theinvestigators and police, public defenders, andthe private bar. To function fairly andeffectively, all actors must be knowledgeable ofand operate under the same interpretation oflaws and practices.

However, in most countries transitioning todemocracy, the system is out of kilter. It suffersfrom a lack of integration, uneven development,and often incompatible institutional mandatesand traditions. In addition, simple ignorance orinformal practices may further distortperformance, for example, undermining eventhose human rights principles and guaranteesofficially recognized in the legal framework.

Ironically, in many countries, justice officialsmay be among the most common abusers ofcitizens’ rights. Public sector professionalsincluding judges, prosecutors, public defenders,and police throughout much of the developingworld suffer from inadequate training, lowsalaries and insufficient resources, inadequateorganizational structures, and varying, but rarelysufficient, degrees of independence from otherbranches of government. The resultinginefficiency in the courtroom; lack of adequatecapacity for prompt, fair, impartial, andcompetent investigation, prosecution, andhandling of civil and criminal cases; andinadequate availability of counsel in indigentcriminal cases undermine citizen confidence.

In some circumstances, solutions to theseproblems require the introduction of newinstitutions—human rights ombudsmen or

Democracy and Governance: A Conceptual Framework 9

complaints offices for dealing with judicial and denial of the right to own property deny themadministrative abuses. In other instances USAID legal standing. Access is also often denied toprogramming is designed to ensure that judicial religious, linguistic, and ethnic minorities asactors gain the necessary skills and resources to well as to poor and disadvantaged populationsfulfill their mandate successfully in a reformed that lack information about their legal rights andlegal system. the financial means to cover court and other

Access to Justice

Equal access to justice—which ensures that allindividuals are able to seek and receive redressfor their grievances with other private partiesand with state officials or organizations—continues to elude most developing societies. Inmany countries, years of colonialism and brutaldictatorship have robbed individuals of anyexpectation of fair treatment by governmentalinstitutions. Often there is little understanding orinformation about rights and how to use thejustice system to defend them.

Inadequate capacity of the courts and resultingcase backlogs frequently mean that justicedelayed is justice denied. In addition, judicialineptitude, neglect, and corruption fuel apervasive lack of confidence and discouragereliance on the formal justice sector. In mostcases, the problem of access is furthercomplicated by changes in the quantity andquality of demand for services. Social changeproduces both a greater number and a greatervariety of conflicts among diverse groups ofcitizens with varying needs and resources.Responding to them adequately requires moreand differently organized services.

Discriminatory provisions, often well-hidden inthe legal framework, sometimes providedifferent grounds for using a court or mediationprogram based upon whether the applicant is aman or woman or is from a different religious,ethnic, or linguistic group. The uniform andoften "legal" denial of access to the justicesystem for women is a constant challenge. Inaddition to women's inferior standing in most ofthe developing world—particularlyinstitutionalized in many traditionalsocieties—women's lack of access to capital and

legal fees.

USAID works with host country actors todevelop mechanisms to promote equal access toformal and informal systems of justice, as wellas to develop legislative regulations andbudgetary provisions for legal defense anddispute resolution.

Democracy and Governance: A Conceptual Framework 11

A country can not be trulydemocratic until its citizenshave the opportunity to choosetheir representatives.

V. ELECTIONS ANDPOLITICAL PROCESSES

Free and fair elections areindispensable to democracy.Although other elements ofdemocracy can develop beforecompetitive elections are held,a country can not be trulydemocratic until its citizens

have the opportunity to choose theirrepresentatives. As a co-editor of the Journal ofDemocracy noted recently, “countries that holdfree and fair elections are overwhelmingly moreliberal than those that do not, and countries thatprotect civil liberties are overwhelmingly morelikely to hold free elections than those that donot.” 4

Elections can be a primary tool to help forcepolitical openings and expand politicalparticipation. In recent years, elections havebeen a principal vehicle for democratization, asauthoritarian governments have frequently fallento democratic forces. Electoral campaigns alsotend to foster political liberalization. For anelection to be free and fair, certain civil liberties,such as the freedoms of speech, association andassembly, are required. Elections offer politicalparties and civic groups an opportunity tomobilize and organize supporters and sharealternative platforms with the public. They alsoserve to encourage political debate.

Elections are also increasingly seen as a deviceto resolve conflict following years of civil war.Armed movements have often agreed to putdown their weapons in exchange for theopportunity to contest power in fair elections.More often than not, such elections have helpedto end civil wars and produced, if notdemocracies, more representative politicalinstitutions and more open political systems.

Many countries throughout the developingworld have yet to hold credible competitiveelections. Some countries have held a series ofwidely accepted elections, but have failed todevelop representative political institutions. Alltoo often, political parties in countries across theglobe are viewed as distant, elite organizationsunable or unwilling to articulate or representmost citizens’ concerns. Women and ethnic andreligious groups are often excluded frompolitical participation. Even when successfulelections are held, newly elected officialsfrequently need training and other support toeffectively fulfill their roles as representatives ina democratic system.

In countries where an election could help spur oraccelerate a transition to democracy, theinstitutional capacity to carry out elections isoften weak. Election commissions may not yetexist or they may lack the technical capacity orpolitical will to administer a fair election.Electoral laws may be antiquated and requiremajor revisions. Legislators drafting a new lawmay lack sufficient knowledge of electoralsystems and practices.

The Center has identified seven elements thatare essential to fair elections and politicalprocesses:

C Impartial Electoral FrameworksC Credible Electoral AdministrationC Effective Oversight of Electoral ProcessesC Informed and Active CitizenriesC Representative and Competitive Multiparty

SystemsC Inclusion of Women and Other Disadvantaged

GroupsC Effective Transfer of Political Power

Marc Plattner, “Liberalism and Democracy:4

Can’t Have One Without the Other,” Foreign Affairs(March/April 1998): 173.

Democracy and Governance: A Conceptual Framework12

Impartial Electoral Frameworks

The electoral framework refers to thoseconstitutional provisions, laws, regulations, andinstitutions that govern electoral processes.Although not a sufficient condition in and ofitself, an impartial electoral framework is In many countries, citizens are likely to benecessary for free and fair elections and electoral unaware of their rights and responsibilities asprocesses. Impartiality may take a number of voters and political participants. They may beforms, but is generally recognized by a broad unfamiliar with the mechanics of voting or thepublic acceptance of the electoral framework. range of parties and candidates from which theyImpartiality is therefore best served by can choose. Independent civic groups, if anyencouraging a substantive and inclusive debate exist, often lack the resources and know-how toon the electoral framework. educate citizens and lobby for democratic

USAID supports the provision of technicalexpertise to election officials, legislators, and Civic education programs aim to develop anexecutive branch officials to assist with informed citizenry by introducing citizens to thedesigning efficient and transparent electoral key aspects of democratic political processes.systems. Generally, voter education programs are

Credible Electoral Administration

The credibility of an electoral process dependsin large measure on the capacity and impartialityof election officials. USAID assists electionofficials with managing the multiple aspects ofan electoral process, including voter registrationand ballot counting.

Effective Oversight of Electoral Processes

Election monitoring is key for effectivelyoverseeing electoral processes. Electionmonitoring is designed to reduce theopportunities and incentives for electoral fraud;identify and address problems with the electoralprocess; and legitimize a peaceful transfer ofpower. USAID supports monitoring carried outby three types of actors:

C Political parties that deploy pollwatchers onelection day.

C Nonpartisan citizens’ organizations that activities that encourage representative andmobilize election monitors and may also make competitive multiparty systems. Representativeuse of complaint mechanisms where they have systems share the following elements: the standing to do so.

C International monitors who evaluate acountry's electoral framework and processes,comparing them to international standards.

Informed and Active Citizenries

reforms.

specifically focused on upcoming electoralevents. Voter education programs to develop aninformed electorate are a time-specificapplication of civic education. In addition, votermobilization efforts carried out by civil societyorganizations or political parties seek to activatecitizens to participate in political and electoralprocesses.

Representative and Competitive MultipartySystems

In many developing countries, political partiesare often personality-based organs that lack theorganizational capacity to campaign nationwide,present ideologically compatible candidates, andrecruit and train pollwatchers. When newgovernments take office, they are often ill-prepared to staff, administer, and overseegovernment agencies. An election serves little purpose if the resulting government can not atleast partially meet voters' expectations.

USAID supports political party training

Democracy and Governance: A Conceptual Framework 13

C Parties that demonstrate commitment to USAID provides post-election assistance totransparent, inclusive, and accountable political parties and newly-elected anddemocratic political processes. appointed political leaders. Assistance in this

C Parties that adopt institutional structures thatenable them to reflect the interests of those C Activities to bring together newly-electedthey choose to represent, and to compete officials through training workshops oneffectively in periodic elections at all levels. effective political representation.

C Parties that enjoy the confidence of citizens, C Political party training for effective party orencourage citizen participation, and reinforce coalition governance in the legislature as wellthe legitimacy of democratic governance. as for constructive political opposition.

Inclusion of Women and OtherDisadvantaged Groups

A disadvantaged group is any group that hashistorically been excluded from fair participationin a country’s political processes. Theimplication is that when inclusion is realized, theinterests advocated by women anddisadvantaged groups will be fully taken intoaccount. USAID activities to support theinclusion of women and other disadvantagedgroups include:

C Working to build direct representation ofwomen and members of disadvantaged groupsin political party organizations.

C Promoting voter education and mobilizationactivities targeted specifically at women andmembers of disadvantaged groups.

C Promoting the direct participation of womenand members of disadvantaged groups in theadministration and oversight of elections.

Effective Transfer of Political Power

Peaceful and efficient transfers of politicalpower facilitate smooth transitions in democraticgovernment. This essential element is especiallyimportant in political environments in whichnew individuals, groups, or political parties arecoming to power in the legislative or executivebranches of government at the national, regional,and local levels.

area includes:

Democracy and Governance: A Conceptual Framework 15

It is through the advocacyefforts of civil societyorganizations that people aregiven a voice in the process offormulating public policy.

VI. CIVIL SOCIETY

The hallmark of a democraticsociety is the freedom ofindividuals to associate withlike-minded individuals,express their views publicly,openly debate public policy,and petition their government.

“Civil society” is the term that best describes thenongovernmental, not-for-profit, independentnature of the organizations that allow for thistype of broad citizen participation.

It is through the advocacy efforts of civil societyorganizations (CSOs) that people are given avoice in the process of formulating publicpolicy. Organizations including human rightsgroups, professional associations, religiousinstitutions, pro-democracy groups,environmental activist organizations, businessassociations, labor unions, media organizations,and think tanks play a vital role in educating thepublic and the government on important localand national issues.

Many civil society organizations take oncontroversial issues. They champion women'srights, ferret out government corruption andimpunity, and spotlight business practices thatare exploitative of labor and the environment.Their presence and activities help assure thatgovernment and citizens comply with the rule oflaw.

However, in many developing countries, CSOs’active role makes them a target of repression andharassment. In many cases, citizen and business

groups are fearful of government reprisal if theyare seen to be a source of support for reformistadvocacy organizations. Repressive practicescan range from outright banning of CSOs tomore subtle measures, such as complex andcostly registration requirements, or laws thatforbid tax exemptions for the nonprofit sector.The lack of a supportive enabling legal structureprevents many civil society advocacyorganizations from attaining a strong financialbase and extensive public backing.

Sometimes, in traditional cultures that valuecontributions to charities but not to publicinterest causes, it is a challenge to overcomepublic apathy toward advocacy organizations. Insome cases, this apathy is a condition fosteredby authoritarian governments intent onmarginalizing the role of the public in the life ofthe polity. The result is that many citizens havenot developed the knowledge, skills, and senseof political efficacy associated with civiccompetence. Also, political leaders sometimesexploit ethnic and tribal tensions, creatingconditions of political intolerance and distrustand thus limiting the social capital and politicalculture required to support democraticinstitutions and practices.

The Center places particular significance on therole of free and independent labor unions as animportant sector of civil society. In manydeveloping countries, the ability of the laborsector to organize freely and voice its supportfor political and economic liberalization is heldin check by restrictive laws and regulatorypractices. The absence of a vital labor sector hasa number of adverse consequences. First,workers are often left to function underexploitative conditions, working excessive hoursin extremely unhealthy work environments andwith sub-livelihood wages. In many instances, amajority of these workers are young women andchildren who are frequent victims of violenceand harassment in the workplace. Second, in theabsence of income growth in the labor sector,consumer-market demand stagnates, deprivingboth in-country commercial producers and U.S.exports of potential markets and thus

Democracy and Governance: A Conceptual Framework16

undermining broad-based economic growth.

In general, the Center’s civil society strategyfocuses on strengthening those organized andprogressive elements of civil society that arepressing for reform and seeking to initiate andconsolidate the transition to democraticgovernance. The Center has identified fiveelements essential for civil society development:

C Legal Frameworks to Protect and PromoteCivil Society

C Increased Citizen Participation in the PolicyProcess and Oversight of Public Institutions

C Increased Institutional and Financial Viabilityof Civil Society Organizations

C Enhanced Free Flow of InformationC Strengthened Democratic Political Culture

Legal Frameworks to Protect and PromoteCivil Society

A vibrant civil society capable of monitoringgovernment power and contributing to publicdecision-making cannot develop without asupportive legal regulatory environment.

Laws to protect the freedom of association;simple, timely, and transparent nongovernmentalorganization (NGO) registration procedures; andfavorable tax policies for the nonprofit sector areall necessary for a supportive environment.

Sometimes, constitutional revisions may berequired to assure the right to petition, for recalland referendum, and for public hearings. Also,changes in institutional mandates may benecessary to strengthen the role of legislatures,political parties, courts, and the media, and toopen these avenues of participation to widerpublic access.

The legal enabling environment is becoming animportant focus as USAID increasingly looks tocivil society to help achieve goals in democracyand governance as well as in other sectors.

Increased Citizen Participation in the PolicyProcess and Oversight of Public Institutions

Civil society often provides the only viableopening for restructuring power and formulatinga democratic social contract. Increasing citizenparticipation in the policy formulation process isa key role for civil society. It includes:

C Representing the interests of citizens. C Articulating citizen interests to decision

makers.

C Influencing policy decisions based onrepresented interests.

C Exercising oversight to ensure governmentand citizen compliance with adopted policies.

Civil society organizations need institutionalcapacity and an understanding of appropriateprocedures, as well as access to relevantinformation, to carry out these functions. A largeproportion of USAID’s democracy andgovernance funding goes to activities in thisarea, especially in countries where governmentwill and capacity for reform are weak.

Enhanced Free Flow of Information

The ability to access and publicize informationis a fundamental need of a politically active civilsociety. A free media is the primary vehicle forstate and society to communicate their interestsand concerns, therefore, a plural array ofnongovernmental, independent informationsources including print and broadcast media andincreased access to Internet connections isessential.

The media serve as a watchdog for governmentand for civil society itself. For this reason thepress frequently has few friends and is often thetarget of severe government censorship andcontrol. Often, defamation and libel laws, aswell as broadcast and press laws, are designed tomaintain government controls rather than protect

Democracy and Governance: A Conceptual Framework 17

the media industry.

Reform of the legal and regulatory structuresneeded to support the growth of a vigorousmedia sector is fundamental. Access toinformation can also be reinforced by improvinginvestigatory reporting and by strengthening thefinancial and management systems of mediaentities.

Strengthened Democratic Political Culture

Civil society can not play its role effectivelywithout the participation of a broad range ofcitizens. Civic education is the most commonmethod of promoting a more democraticpolitical culture, and USAID has a long historyof programming in this area. A wide range ofinnovative educational methodologies is utilizedin these activities, including in-school educationfor children, adult education, the use of massmedia, and more activist approaches involvingcitizen participation in community developmentinitiatives.

Other important communication channels alsomay be relevant. The use of media incombination with civic education and thepromotion of linkages between civic advocacyorganizations and government institutions aretwo examples.

Increased Institutional and FinancialViability of Civil Society Organizations

Sometimes, civil society organizations need tostrengthen their institutional and financialstructures to achieve their purposes. This maymean introducing democratic features to theirmanagement; strengthening administrativeprocedures such as strategic planning,monitoring, and evaluation systems; andcomplying with auditing standards. In addition,improved fundraising techniques are necessaryto diversify and stabilize the financial base ofthe civil society sector and ensure itssustainability.

Democracy and Governance: A Conceptual Framework 19

...the process of governing isultimately most legitimatewhen it is infused withdemocratic principles such astransparency, pluralism, citizeninvolvement in decision-making, representation, andaccountability.

VII. GOVERNANCE

Many citizens of developingcountries recognize theintrinsic value of democracy(e.g., elections, human rights,and representation).However, they are alsoconcerned with a

government’s ability to function. In general,governance issues pertain to the ability ofgovernment to develop an efficient and effectivepublic management process. Because citizenslose confidence in a government that is unable todeliver basic services, the degree to which agovernment is able to carry out its functions atany level is often a key determinant of acountry’s ability to sustain democratic reform.

The Center is particularly concerned withdemocratic governance—that is, the politicaldimensions of the public management process.The Center believes the process of governing isultimately most legitimate when it is infusedwith democratic principles such as transparency,pluralism, citizen involvement in decision-making, representation, and accountability.

Governance issues have grown in importancedue to worldwide and regional trends and U.S.foreign policy interests. Corruption isincreasingly recognized as a constraint to bothbuilding democratic societies and stimulatingeconomic development in all regions. Efforts to

prevent and control it are emerging. The trendtoward decentralization continues around theworld driven by several dynamics (including thefailure of central governments to meet citizenneeds). Local and sub-national governments areincreasingly becoming the locus for decision-making and provision of government services.As democracy expands and deepens, legislativebodies must become independent power centerswith stronger links to constituents. The waypolicies are made and implemented continues tobe crucial to development. Increasing emphasisis being given to making the process morevisible, transparent, accountable, andparticipatory. Finally, though the power andpolitical influence of militaries vary widely,improving civil-military relations is an issue inall regions.

The Center organizes its governance work infive areas:

C Democratic DecentralizationC Legislative StrengtheningC Governmental IntegrityC Policy ImplementationC Civil-Military Relations

Democratic Decentralization

In countries worldwide, the devolution of powerto local units of government is changing thedistribution of authority and is increasing thepotential for deepening democracy. With powermore diffused and the creation of multiplechannels for citizen involvement, reversion to centralized authoritarianism becomes moredifficult. Also, government responsiveness maybe improved as the locus for decision-makingmoves closer to those affected by it.

However, countries undertaking decentralizationface challenges such as the aggravation ofregional disparities or ethnic tensions. Often,oversight mechanisms such as a national presscorps, comptroller general offices to carry outaudits, or legislative checks and balancesestablished at the national level have not been

Democracy and Governance: A Conceptual Framework20

instituted locally. Many local governments do such as analyzing budgets, holding hearings, andnot have the experience and capacity to carry out communicating with the public. Attention is also new functions and respond to citizen demands. given to the political system in which aSometimes, lack of authority over resources legislature operates and to the degree of politicalmakes local officials reluctant to raise citizen space available for developing its role.expectations by creating mechanisms for citizenparticipation. In fact many local officials findthat involving citizens is time consuming, costly,and results in conflict. In other instances,following transitions from authoritarian regimes,local elites wish to retain centralized control,and local officials may be reluctant to increasetransparency if they think it will limit theirpersonal control of resources. USAID works with national governments toevaluate whether decentralization can strengthentheir democracies and, where appropriate, toimplement decentralization programs. TheAgency supports interaction between local andnational level officials. At the local level,programming includes promoting town meetingsto enhance citizen participation; supportingnational municipal associations to promote localreform; training mayors and councilors toimprove management; supporting public-privatepartnerships to strengthen service delivery; andencouraging municipalities to find new sourcesof finance.

Legislative Strengthening

As the primary arena for citizens to express andpursue their needs and interests, the legislature isa critical element of a democratic system.However, in many democratizing countries,legislative institutions are new, legislators areinexperienced and unused to their roles andresponsibilities, and the jurisdiction of the legis-lature vis-á-vis the other branches ofgovernment (particularly the executive) is notsufficiently defined. This means that legislaturesare unable to effectively serve as fora for publicdebate, makers of laws, and providers of execu-tive oversight.

USAID programming in this area focuses ondeveloping the technology and techniquesnecessary for performing legislative functions

Governmental Integrity

Some connections between corruption anddevelopmental problems are clear and direct.When political figures and their associates divertaid and investment capital to off-shore bankaccounts, poor nations become poorer. Whenpolitical, bureaucratic, and judicial processes areput up for rent, civil liberties and property rightsare endangered. In both instances, political andeconomic benefits are likely to flow to the few,while the costs are extracted from society atlarge—most often, from the powerless.

Tangible and immediate damage fromcorruption can be significant. Other effects areintangible, collective, and long-term. Over thelong-term, corruption can erode the legitimacyof government and undermine democratic valuesincluding trust, tolerance, accountability, andparticipation. Corruption can also increaseuncertainty in the commercial environment, thusdepressing private investment. Reducedcompetition; lower compliance withconstruction, environmental, or otherregulations; increased budgetary pressures ongovernment; and organized crime networks areamong other results of corruption.

USAID missions are developing targeted programs to fight corruption. The Agency workswith civil society groups to mobilize demand forreform as well as with government officials todesign and implement specific anti-corruption strategies.Policy Implementation

Failure to implement democratic, sectoral, oreconomic policies, resulting in the ineffectiveuse of development resources, is a commoncause of disappointment with democratization.Often, policy implementation is difficult. Newpolicies entail changed roles, incentives,

Democracy and Governance: A Conceptual Framework 21

benefits, and costs for multiple organizations civilians in and out of government to increaseand individuals. Different ways of doing their expertise on national security and militarybusiness must be accommodated and conflicts of issues so they are informed, capable ofinterest resolved. The process must be managed interacting as peers with their militaryto bring about the multiple changes required to counterparts, and able to perform their decision-make policy operational and sustained. making and oversight functions effectively. Sometimes, when impediments to change aresocial, cultural, historical, and political,promoting policy reform poses intractableproblems for country leaders and managers.

Organizations in developing countries rarely have ready access to technical support for themanagement of development change. USAIDassistance with policy implementation canprovide leaders and organizations withopportunities to positively influence the waybasic decisions are made and implemented.

Civil-Military Relations

The role of the military and its relationship togovernment policymaking are central to acountry’s democratization. Countries with recenthistories of authoritarian rule face particularlyonerous challenges in making their militaryestablishments politically neutral and subject tothe types of control necessary for meaningfuldemocracy. Civilian government officials,including legislators, often do not have thebackground and training necessary to performtheir military oversight roles effectively or todevelop the respect of military counterparts.

In most developed nations the military’s missionis primarily external. However, less developednations do not universally accept this view.Often, constitutions mandate that militaries playan internal security role, and frequentlymilitaries are used to perform civic actionprograms, from building roads to providing ruralhealth care, to engaging in police activities. Butall too often such an armed presence has goneawry to become the source of repression, humanrights violations, and corrupt practices.

USAID programming in civil-military relationsaims to encourage dialogue between civilian andmilitary actors. In addition, USAID works with

Democracy and Governance: A Conceptual Framework 23

VIII. POSTSCRIPT

When making programming decisions, USAIDworks closely with other U.S. governmentagencies and bilateral and multilateral partners.Numerous U.S. government agencies areinvolved in promoting democratic initiatives onmany fronts. These include the U.S. Departmentof State (DOS), the U.S. Information Agency(USIA), the Department of Justice (DOJ), andthe Department of Defense (DOD). Theseagencies work to coordinate with each other atall levels.

In addition to U.S. government agencies, severalquasi-governmental and nongovernmentalimplementing organizations work to promotedemocracy in developing countries. TheNational Endowment for Democracy (NED), forexample, is a nonprofit institution which isfunded directly by the U.S. Congress to promotedemocracy overseas. NED supports grassrootsorganizations through discrete activities of shortduration and limited purpose. Its aims includestrengthening representative political parties, afree-market economy, independent trade unions,and a free press.

The Center collaborates closely with three ofNED's "core grantees," the National DemocraticInstitute for International Affairs (NDI), theInternational Republican Institute (IRI), and theAmerican Center for International LaborSolidarity (the Solidarity Center). Each of theseorganizations receives support through the NEDand through grant monies from USAID. TheCenter also has awarded grants to the AsiaFoundation (TAF), the International Foundationfor Election Systems (IFES), the InternationalDevelopment Law Institute (IDLI), and Transparency International (TI).

Among the multilateral donors, the majorplayers in governance support are the WorldBank and the United Nations DevelopmentProgram. Both emphasize the links between"good governance" and economic developmentin matters of DG programming. Their emphasis

on governance is one that draws heavily onpublic management, information andcommunication theory, and the idea ofencouraging government structures that manageresources efficiently. The Inter-AmericanDevelopment Bank and the Asian DevelopmentBank are becoming increasingly involved inlegal reform.

Bilateral donors often emphasize "democracy"as well as "governance," basing their strategieson the 1948 Universal Declaration of HumanRights, along with other international documentsand accords. The Canadian InternationalDevelopment Agency, the British OverseasDevelopment Agency, and the governments ofNorway, Sweden, Denmark, Germany, andJapan are among the many entities involved andworking with NGOs, voluntary associations,religious organizations, and local and nationalgovernments to promote democraticdevelopment around the world.

Given the range of multilateral, bilateral, andnongovernmental actors involved in democracyand governance assistance, ongoing dialogue torefine objectives and methodologies is key toimproving programming and using resourceseffectively.

Among donor coordination mechanisms, theDevelopment Assistance Committee of theOrganization for Economic Cooperation andDevelopment (OECD/DAC) provides a forumfor consensus-building among donors onprinciples relating to democracy, human rights,good governance, public participation, andexcess military expenditures. DAC positionpapers reflect a donor consensus thatachievements in economic and socialdevelopment are not sustainable withoutaccountable, representative, and participatorypolitical institutions.

The Center hopes this publication, andpresentation of its conceptual framework,contributes to the ongoing dialogue andunderstanding among donors regarding the roleof democracy and governance assistance within

Democracy and Governance: A Conceptual Framework24

a broad development agenda.

OTHER TECHNICAL PUBLICATIONS FROMTHE OFFICE OF DEMOCRACY AND GOVERNANCE

PN-ACB-895Alternative Dispute Resolution Practitioners Guide

PN-ACM-001Case Tracking and Management Guide

PN-ACC-887Civil-military Relations: USAID�s Role

PN-ACH-305Conducting a DG Assessment: A Framework for Strategy Development

PN-ACH-300Decentralization and Democratic Local Governance Programming Handbook

PN-ACD-395Democracy and Governance: A Conceptual Framework

PN-ACC-390Handbook of Democracy and Governance Program Indicators

PN-ACE-070A Handbook on Fighting Corruption

PN-ACF-631Managing Assistance in Support of Political and Electoral Processes

PN-ACE-630The Role of Media in Democracy: A Strategic Approach

PN-ACF-632USAID Handbook on Legislative Strengthening

PN-ACE-500USAID Political Party Development Assistance

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