four steps to clarifying the promote the quality identity

Four steps to promote the qualityof participation

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6.1 Clarifying the identity, mission and role of non-state actors

6.2 Promoting an effective tripartite dialogue

6.3 Improving coordination among non-state actors

6.4 Making creative useof capacity building opportunities

So far this guide has provided information and practicalguidance for non-state actors based on the emerging

experiences with participation. The challenge in the comingyears will be to ensure that this participation is gradually

'mainstreamed' into all aspects of the cooperation process. Non-state actors share the responsibility for making this happen, but

first they may have to do some 'homework' in order to becomecredible partners. They can also pro-actively promote innovativeapproaches to dialogue and cooperation with their government.

This chapter suggests four key steps that non-state actors cantake to promote the quality of their participation.

'In a first phase, we had to fight to be heard. Now that spacefor engagement in policy processes has been obtained, we will

have to show what we have to offer as non-state actors.' Southern African civil society representative

'The boom of participation has led to a situation in which thereare too many non-state actors with no clear role to play.'

West African civil society actor

'It makes little sense to strengthen the muscles of non-stateactors in the absence of responsive capacity at the level of

state institutions.' East African civil society actor

www.acpsec.org A User’s Guide for Non-State Actors www.ecdpm.org

New doorwaysThe Cotonou Agreement has created newdoorways for non-state actors to parti-cipate in ACP-EC cooperation, but thedoors will not open automatically. Theprocesses of enhancing participation andconstructing a new partnership betweenstate and non-state actors are still youngand fragile. Both ACP governments andthe EC on the one hand, and the non-stateactors on the other, will need to worktogether to unlock the developmentpotential of the new participatoryapproaches.

This chapter focuses on what non-stateactors can do to open up the space forparticipation and to ensure its quality. Theunderlying idea is that non-state actors do

not have to wait for the official parties totake the initiative. They themselves can bean agent for change, by stimulating in-country discussion or experimenting withnew ways of working, and in the processimprove their own credibility and impact.

Four steps to considerThe following sections suggest four stepsthat non-state actors could consider:

• clarifying their identity, mission androle;

• promoting an effective tripartite dialogue;

• improving coordination; and• making creative use of capacity building

opportunities.

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6.1 Clarifying the identity, mission and role of non-state actors

The 'participation boom' has undoubtedlyunleashed new forces and creative ideasfor generating development in many ACPsocieties. Yet the entry of a wide range ofnew actors into the development arenahas also complicated the picture. In amulti-actor policy environment, a numberof questions resurface:

• Who are these different groups of non-state actors that are now asking to beheard and supported?

• What is the basis of their legitimacy -who do they represent?

• What are their motivations - why dothey want to participate?

• What specific contributions can theymake to the development process?

• How do they perceive the division ofroles (or complementarity) betweenstate and non-state actors?

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These questions are also highly relevant inthe context of ACP-EC cooperation. TheCotonou Agreement makes it clear that par-ticipation is not simply a question of sharingout the aid 'pie'. It is also about building anew partnership between state and non-state actors, with due respect for the legi-timate role that each of them can play. It isconcerned with promoting dialogue andpublic-private partnerships in order toachieve greater development impact.

Many non-state actors in ACP countries stillhave to address these fundamental ques-tions. They are not yet properly equipped totake advantage of the new opportunitiesfor participation, or to be credible andeffective partners in policy processes.

This should not be surprising. Participationis a fairly recent phenomenon. Civil society

is a young, diverse and dynamic sector inmost ACP countries. Non-state actors, likethe states, are confronted with majorpolitical and economic transition processes taking place at national and global levels.

This may help to explain the fragility ofmany non-state actors, yet it also putspressure on them to start addressingthese 'existential' questions related totheir identity, mission and their comple-mentary role vis-à-vis the government.

How can non-state actors definetheir complementary role?A possible way for non-state actors toproceed is to initiate an in-depthreflection on these issues, both withintheir own organisation and among dif-ferent groups of non-state actors.

To guide this process of reflection, non-state actors may askthemselves the following questions:

1. What common values and principles do we adhere to?2. What mission do we want to achieve as development partners?3. To what extent do we consider ourselves as agents for social change? If so,

how do we want to play this role?4. What relationship do we have with the people/groups we claim to represent? 5. How do we define ourselves vis-à-vis the state at both central and local levels?6. How can we build our credibility as partners in policy processes? 7. How can we best demonstrate our added value?8. How can we safeguard our independence?9. How can we reconcile the desire to maintain our diversity with the need for

unity and joint action?10.What can we do to ensure the long-term viability of our organisation?


The experience of non-state actors inZimbabwe illustrates the important chal-lenges at stake. There, non-state actorsengaged in a lengthy debate to definetheir role in the development process. Thisled to the establishment of an inclusiveNon-State Actors' Forum, which then hadto address many of the questions men-tioned above (see box).

Article 2 of the Cotonou Agreement recog-nises 'the pivotal role of dialogue' in theACP-EC partnership. Further, Article 4stresses that 'non-state actors shall beinformed and involved in consultation oncooperation policies and strategies'. Incombination, these provisions have given

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The Non-State Actors' Forum (NSAF) emerged inthe context of a decentralised cooperationprogramme in Zimbabwe funded under the 8thEDF. Non-state actors were invited to organisethemselves in order to discuss with the officialparties how best to manage the programme.The Forum members quickly saw the value oftaking this process further, beyond the aidprogramme.The newly formed NSAF:

• sought to ensure, from the outset, that itsmembership was inclusive and exhaustive,including local government and privatesector associations;

• spelled out a clear vision - to promote acoordinated approach to non-state actorparticipation in local, national, regional andinternational cooperation and developmentprocesses;

• agreed on a dual mission - to provide non-state actors with a platform for dialogue andconsensus building on developmentstrategies, and to interface with publicinstitutions and policy makers; and

• elaborated a constitution that definedeligibility criteria and a set of basic principlesfor its members.

The NSAF does not want to act as asuperstructure, but to facilitate theinvolvement of all citizens through their civilsociety organisations. A pool of experts hasbeen constituted in various specialised areas ofdevelopment, which can quickly be mobilised.The Forum is now focusing not only on ACP-ECcooperation, but on overall development andcooperation strategies for Zimbabwe.

Defining identity, mission and roleThe experience of the Non-State Actors' Forum (NSAF) in Zimbabwe

EXAMPLEA

6.2 Promoting an effective tripartite dialogue

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birth to the concept of a 'tripartite dialogue' * involving the government, theEC and non-state actors in ACP countries.

As participation is something new for allparties involved, dialogue can help tobuild confidence, and ensure a collectiveeffort to search for adequate implemen-tation strategies, as well as joint learning.Such dialogue can also enhance the overallimpact of the efforts of non-state actors.There is a need to ensure a smooth andefficient tripartite dialogue at all levels -local, national, regional and global.

It is highly likely that the government orthe EC will take the initiative in estab-lishing tripartite dialogue mechanisms.However, non-state actors are not passiveplayers in this game. If properly prepared,they can influence both the nature andthe functioning of such mechanisms.

A concrete example may help to see whatall this means in practice. In the Sudan, atripartite dialogue was launched in 2002between the government, the Delegationof the European Commission and non-state actors from the north and south ofthe country within the framework of theCotonou Agreement. As described in thebox in section 5.3, one of the objectives ofthe dialogue was to prepare for theresumption of cooperation when a peaceagreement was reached. It soon becameclear that it was in the interests of allparties to agree on a set of principles thatwould guide non-state actor involvementin all areas of future cooperation (see box).

Dialogue as a multi-level challengeThe effective involvement of non-stateactors in policy dialogue processes isimportant not only at the national level(around the Country Strategy Paper and

How can non-state actors prepare themselves for dialogue?

1. Is there already a tripartite dialogue in this country on ACP-EC cooperation?2. If so, what is the focus of the dialogue?3. Is there already a relevant network of non-state actors involved in such

dialogue that we can join?4. What principles should underpin an effective dialogue?5. How is the dialogue organised?6. Who facilitates the dialogue?7. Is there agreement on the expected outcomes of such a dialogue?8. Can the dialogue be institutionalised?9. Can the dialogue be monitored?10. How can we ensure the quality of our participation?


the National Indicative Programme). Italso represents a multi-level challenge, asillustrated in table 2.

Improving the capacity for dialogueat the global level In most ACP countries, it seems thatprogress is being made in tripartite dialogueat the local, national and regional levels. Butwhat about at the global ACP-EU level?

In the framework of the CotonouAgreement mechanisms exist for non-stateactors to be involved in policy dialogueprocesses at the global ACP-EU level. As

mentioned elsewhere, the JointParliamentary Assembly (JPA) and theEuropean Economic and Social Committee(EESC) provide opportunities to discussissues of participation. Their role is institu-tionalised in the ACP-EU dialogue. Certaincategories of non-state actors, such as eco-nomic and social partners, can participatein a structured manner in the EESC.

Other channels for tripartite dialogue atthe global ACP-EU level have recentlyemerged, including informal arrange-ments such as the Civil Society Follow-upCommittee (see box, page 87).

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In order to ensure the coherent application ofparticipatory approaches in all spheres andsectors of Sudan-EU cooperation, the followingsix principles were agreed among the differentparties involved:

Principle 1: Dialogue. Cooperation should sys-tematically be underpinned by a focused, con-structive and purpose-oriented tripartitedialogue. Non-state actors should have thefreedom to express their views, no matter howcritical.

Principle 2: Involvement of relevant non-stateactors. Non-state actors that are both directlyconcerned with the issues and able to make com-petent inputs should be involved in the dialogue.

Principle 3: Transparency. Full transparencyshould apply to all actors involved in the con-sultation at all levels.

Principle 4: Inclusive approach. The highestpossible degree of inclusion should be sought.

Principle 5: Non-partisan approach. In order tosafeguard against exclusion, discrimination ormanipulation, the parties agreed to involvenon-state actors irrespective of their race,gender, ethnicity, religion or political affiliation.

Principle 6: Accountability. All parties shouldbe accountable for commitments undertakenin the framework of the tripartite dialogue.

Principles guiding non-state actor involvement in Sudan

EXAMPLEA

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On the basis of these initial experiences withtripartite dialogue at the global ACP-EUlevel, non-state actors face many challenges:

• It is not at all easy for non-state actorsfrom 77 ACP countries to organisethemselves into effective and represen-tative structures that can participate inglobal policy talks, particularly since theprocesses of structuring at national andregional levels are still not completed.For the experience of the ACP CivilSociety Forum, see Annex VII.

• Non-state actors often lack theresources and capacities necessary toestablish networks or to engage inintra-ACP consultations.

• It is difficult for non-state actors to definecommon positions and interests that canbe articulated at the global level.

• The dialogue tends to be dominated bya few (regional) organisations, repre-senting only part of the interests ofnon-state actors.

Level Dialogue PossibleEC Funding

Local Grassroots views on the impacts of imple-mentation and strategies, to be facilitatedand voiced by intermediary organisations.Linkages with local governments.

EDF - NIP

National(77 ACPcountries)

Non-state actors get organised;interlocutors are mandated to dialoguewith official parties (NAO, Delegation ofthe European Commission) about thenational strategy and monitoring andevaluation of the cooperation.

EDF - NIP

Regional(6 ACPregions)

Regional bodies lead dialogue on policyissues, transnational programmes orinternational negotiations (e.g. trade).Non-state actors could be represented ingovernment delegations (e.g. in theCaribbean).

EDF - RIP

Global Issues-oriented policy dialogue with ACP-EC institutions. Within institutionalframework (e.g. EESC, JPA) or informal dialogue processes (e.g. Civil SocietyFollow-up Committee, intra-ACP non-stateactors with the ACP Civil Society Forum).

All-ACPfunds

Table 2: Dialogue on ACP-EC cooperation: a multi-level challenge


• Non-state actors have only limitedaccess to information on the opportu-nities for participation or on the out-comes of dialogue processes.

• Non-state actors need to define moreclearly the added value of dialogueprocesses at the global ACP-EU level (com-pared to what happens at other levels).

• Non-state actors often face overallcapacity constraints that prevent them

from making the best use of the oppor-tunities available for participating indialogue.

The message is clear: in the years to come,considerable efforts will be needed tostrengthen non-state actor involvement inglobal ACP-EU policy dialogue.

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The Civil Society Follow-up Committeewas set up at the end of a conferenceorganised under the Belgian Presidencyof the EU in July 2001 to discuss theparticipation of non-state actors in ACP-EC cooperation. The idea was to establishan informal channel through which theparties involved could follow up on thedialogue and exchange experiences. Thecommittee has met several times so far.

The committee focuses its dialogue onprogress in implementing the provisionsof the Cotonou Agreement with regardto non-state actor participation. Itprovides an opportunity to discuss newpolicy documents, to take stock ofstructured processes of involving non-state actors in different countries andregions, and to reflect on how best to

associate civil society in theupcoming trade negotiations.

The committee is intended to provide an informal space for dialogue andexchange of information and practicalexperiences. As an informal, ad hocstructure, the committee does notpretend to be a representative body,or to have any decision-making role.

The participants in the meetings of theFollow-up Committee have includedrepresentatives of the ACP Secretariat,the Belgian Ministry of DevelopmentCooperation, ACP and European civilsociety organisations, the Economic and Social Committee, the EuropeanCommission, and the EU Presidency.

The Civil Society Follow-up Committee

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Coordination among non-state actors iskey to enhancing the quality of partici-pation in ACP-EC cooperation. In par-ticular, improved coordination could:

• facilitate ongoing processes of infor-mation sharing, dialogue and consul-tation among non-state actors at alllevels;

• strengthen the collective voice andimpact of non-state actors in defendingtheir common interests in dialogue withofficial parties;

• ensure that non-state actors with spe-cific skills and competencies areinvolved in the processes of pro-gramming, implementing and evalu-ating the CSP and the NIP; and

• enhance the inclusion of differentgroups of non-state actors.

RisksThere are also some risks attached to non-state actor coordination, however. Muchwill depend on the process followed tocreate coordination structures. In someACP countries, non-state actor coordi-nation has been negatively affected by:

• top-down approaches, leading to theestablishment of non-representativestructures that tend to be disconnectedfrom most non-state actors, especiallythose working at decentralised local levels;

• the politicisation of coordination struc-tures;

• in some cases, the coordinationstructure has been 'hijacked' by indi-viduals seeking to position themselvesfor their own personal gain;

• power battles between different groupsof non-state actors; and

• the pressure from official parties to dealwith a single body representing all non-state actors, which may lead to the creation of an artificial, non-viablestructure that does not respect the rich diversity of the groups it claims torepresent.

Non-state actor coordination has taken avariety of forms in different ACP countries,reflecting national dynamics and thenature of the relations between differentgroups of non-state actors. The diagramillustrates four possible scenarios.

6.3 Improving coordination among non-state actors

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Different groups of non-stateactors have developed atradition of working togetheron sector issues.They maydecide to join forces toparticipate in EC-supportedsectors, such as education.

In some ACP countries, non-state actors may decide tocreate a new umbrellastructure to work exclusivelyon ACP-EC cooperation, eitherby playing a coordinating roleor by providing services tomembers (e.g. a CotonouPlatform or Forum).

Non-state actors choose tocreate a forum to promoteparticipation across theboard (at different levels andtowards the donor com-munity as a whole).Participation under theCotonou Agreement is addedto the forum's agenda.

Loose consultations can takeplace between a wide rangeof non-state actors sharing acommon interest or expertisein a certain theme. The coordi-nation is not institutionalisedor linked to a specific cooper-ation framework, but can bemobilised for Cotonou issues.

Voluntary coordinationbetween existing networks

in EDF-supported sectors

Coordination structure with a mandate confined to

Cotonou issues

Forum of non-state actorscovering all relevant policies

(including Cotonou)

Ad hoc collaborationbetween thematic networks

on Cotonou issues

Sector-basedcoordination

Coordination throughcommittees focusing on

ACP-EC cooperation

Coordination through anumbrella platform

Coordination through athematic network

Figure 4: Possible scenarios for non-state actor coordination

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6.4 Making creative use of capacity building opportunities

Capacity building is probably the mostimportant 'key' to unlock the potential ofthe Cotonou Agreement as far as non-state actors are concerned.

During the consultations to produce thisguide, non-state actors pointed out that

the overall purpose of capacity buildingshould be to enhance their participationin all areas of ACP-EC cooperation, and notjust project implementation. In order torealise this ambitious agenda, non-stateactors will need to devise and adopt cre-ative approaches to capacity building.

What makes coordination effective?

Developing representative, democratic and capable coordination structures will taketime. The non-state actors involved will need to go through a dialogue process amongthemselves, in the course of which they will need to address many questions, including:

1. What coordination structures already exist?2. Do these existing bodies have the legitimacy and capacity to ensure

coordination?3. Is there a need to create a new structure?4. What groups of non-state actors should be included in the coordination structure?5. What should be the governance principles of the coordination structure?6. How can a balance be achieved between the need for centralisation (to ensure

effective coordination) and decentralisation (to ensure the legitimacy and viabilityof the strucure)?

7. How can responsibilities be shared among non-state actors with different roles,competencies and added value?

8. What are the best ways of sharing information in a regular and cost-effective wayamong non-state actors?

9. How can the autonomy, democratic development and sustainability of the coordi-nation structure be ensured?

10. What can be done to ensure coherence between the coordination efforts of non-state actors in the framework of ACP-EC cooperation and in other key processes(such as the Poverty Reduction Strategy Papers)?


How can creative approaches tocapacity building be developed?Non-state actors can play a major role inpushing forward innovative approaches tocapacity building that go far beyondproject implementation or traditionalmodalities such as training or technicalassistance.

The success of some platforms as theNon-State Actors' Forum (NSAF) inZimbabwe, can be attributed to the cre-ativity they displayed, throughout theprocess, in coming up with new ideas on

how to build sustainable capacity. Forinstance, in the initial years of theZimbabwe Decentralised CooperationProgramme (ZCDP), which formed thebedrock for the emergence of the NSAF, animportant part of the budget wasreserved for capacity building at differentlevels (district, regional, national). Ratherthan establishing a traditional 'ProjectManagement Unit' (PMU) to run the pro-gramme, it was preferred to put in place a'Technical Facilitation Unit' (TFU) with amuch broader mandate than managingthe resources (see box).

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A key objective of the Zimbabwe DecentralisedCooperation Programme (ZDCP) was to putnon-state actors largely in the driving seat inmanaging the programme. Yet this is not aneasy undertaking to achieve in practice. Thereare complex financial accountabilityrequirements to be respected. Non-state actorsmay lack the capacities to take a leading role inthe initial stage.

To this end, ZDCP decided to set-up a 'TechnicalFacilitation Unit' (TFU) as an overall supportmechanism for the non-state actors involved.With regard to accountability, the TFUfunctions like a traditional 'ProjectManagement Unit' (PMU). It is in charge offinancial management and ensures that the

programme is implemented according to EDFprocedures. But in addition to this, it isexplicitly mandated to act as a 'processfacilitator' or an enabling structure at theservice of non-state actors. Individual staffmembers are responsible for:

• carrying out capacity building activities fornon-state actors;

• facilitating dialogue between differentactors at local and national level

• ensuring joint learning;• communicating the outcomes of the ZDCP to

all stakeholders (government, the EuropeanCommission, non-state actors); and

• helping non-state actors to buildrepresentative structures.

The role of the Technical Facilitation Unit (TFU) in Zimbabwe

EXAMPLEA

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In order to define a comprehensive and audacious capacity building agenda, non-state actors should consider the followingquestions

1. What are the most relevant strategic priorities for capacity building?2. What can be done to avoid a fragmented approach to capacity building, such as

providing ad hoc project support to a myriad of individual organisations?3. What is the most efficient and effective way to develop the capacities needed for

dialogue and advocacy?4.What new capacities are required to operate in a multi-actor environment,

including the capacity to enter into public-private partnerships, based on a divisionof tasks?

5. What roles can certain categories of non-state actors play in facilitating or pro-viding capacity building services?

6.How can capacity building objectives be mainstreamed in all cooperation pro-grammes and projects?

7. What will it mean in practice to strengthen the 'emergence of an active andorganised civil society' as a whole?

8.What can be done to reinforce the sustainability of investments in capacity building?

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