Effective Party Assistance Stronger Parties for Better Democracy

By: Matthias Catón International IDEA PolicyPaper November 2007 Political parties play a crucial role in modern representative democracy. Despite all their imperfections, the functions they perform cannot be taken on by any other entity. Party assistance needs to focus on the functions that parties fulfil in a democratic system rather than on unrealistic expectations of how parties should work.

© International Institute for Democracy and Electoral Assistance 2007 International IDEA publications are independent of specific national or political interests. Views expressed in this publication do not necessarily represent the views of International IDEA, its Board or its Council members. Applications for permission to reproduce or translate all or any part of this publication should be made to Publications Office, International IDEA , SE 103- 34 Stockholm, Sweden. ISBN 978-91-85724-27-7 Contents

What is International IDEA? Key Recommendations 4 The International Institute for Democracy and Electoral Executive Summary 5 Assistance—International IDEA—is an intergovernmental organization that supports Introduction 6 sustainable democracy Purpose of this paper and overview 6 worldwide. Its objective is The functions of parties in a democracy 7 to strengthen democratic institutions and processes. How do parties operate in reality? 8 Analysis 10 What does International Actors in party assistance 10 IDEA do? International IDEA acts as a Types of party assistance programmes 14 catalyst for democracy building by providing knowledge Recommendations 18 resources and policy proposals Why do we need principles? 18 and supporting democratic reforms in response to specific Functions first 19 national requests. Integration is the key 20 Systematic planning and implementation 21 Tools for the project cycle 23 Areas of work IDEA’s notable areas of expertise are: Conclusions 32 • Constitution-building processes References 33 • Electoral processes • Political parties Abbreviations 35 • Democracy and gender • Democracy assessments List of tables Table 1 Functions of political parties in government Where does International and opposition 7 IDEA work? International IDEA works Table 2 Expenditure on party assistance 12 worldwide. It is based in Table 3 Matrix of party assistance target areas and Stockholm, Sweden, and has methods of delivery 14 offices in Latin America, Africa Table 4 Categories of International IDEA’s democracy and Asia. assessment 24 List of figures Figure 1 Actors in party assistance 11 Figure 2 Functional dimensions of political parties 19 Figure 3 Phases of scenario development 25 Figure 4 Sample scenario matrix 26 Figure 5 Connecting needs assessment, scenarios and party functions 27 Figure 6 Perspectives of the basic Balanced Scorecard (Kaplan and Norton, 1992) 28 InternationalInternational IDEA IDEA

Key Recommendations

Party assistance actors—donors, assistance providers and assistance partners—should 1 agree on common principles for assistance project delivery. This would make projects more effective and less vulnerable to accusations of undue interference with other countries’ democracies.

The assistance community needs to develop a tool-kit for needs assessment, monitoring of 2 implementation and evaluation of projects.

Party assistance needs to focus on the functions that parties fulfil in a democratic system 3 rather than on unrealistic expectations of how parties should work. These basic functions are: to develop consistent policies and government programmes; to pick up demands from society and bundle them; to recruit, select and train people for positions in the executive and legislature; and to oversee and control government.

The traditional field of actors in party assistance should be complemented by other actors, 4 such as Party Internationals and regional cooperation forums.

Given that direct impact measurement is difficult in democracy assistance, indirect 5 evaluation tools are needed, such as scenario development, state of democracy assessment and the balanced scorecard approach.

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Executive Summary

olitical parties play a crucial role develop joint principles for project needs in modern representative democ- assessment, monitoring of implementation racy. Despite all their imperfec- and impact evaluation. Such principles would tions, the functions they perform make activities more effective and efficient. cannot be taken on by any other They would allow all actors, including entity. The functions are: (1) to assistance partners, to choose appropriate Pdevelop policies and programmes, (2) to pick remedies for specific problems and they would up demands from society and bundle them also make party assistance less vulnerable to into different options, (3) to recruit and select accusations of partisanship or undue foreign people for executive and legislative positions interference. (and other positions in politics) and (4) to ex- Instead of having unrealistic, normative ercise control over government. ideas of how parties should work, their Party assistance as a field of international functions, as described above, should be at cooperation has existed since the 1950s and the centre of the new principles. The major has been expanding steadily since, both in obstacle to effective party assistance is the terms of money spent and the number of ac- difficulty of linking activities directly to tors involved. Despite this long tradition, par- their ultimate goal of enhancing democracy. Effective Party Assistance: Stronger Parties ty assistance is still very weakly systematized Indirect measurement tools are necessary to for Better Democracy and lacks coherent standards and principles overcome this inherent weakness. Such tools with regard to what projects should achieve, can be scenario development and state of how appropriate activities can be identified democracy assessment for needs assessment and how effects are to be measured. and the balanced scorecard approach for The party assistance community should implementation monitoring and evaluation.

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Introduction Purpose of this paper and overview

he purpose of the policy paper is to the desired results with an optimal input of initiate a broad dialogue among party resources. The principles are not meant to T assistance stakeholders to discuss be binding rules that determine every step, and to reach a common understanding of but to provide help and a reference point for what effective and efficient party assistance stakeholders during the process. entails. Ultimately, the goal is to lay the basis Although party assistance is an important for establishing general principles for party part of democracy assistance today, it lacks assistance and to share best practices that will systematic information and analysis, which in help stakeholders to design and implement turn can severely obstruct learning processes. effective assistance projects that are informed Only recently have a number of studies been by context-specific needs assessments. In published that map assistance activities. that sense, it is not an end in itself, but rather Mostly, these analyses conclude that assistance the start of an interactive process among providers still fail to carry out extensive stakeholders to make party assistance more assessments and evaluations. Assessment effective and relevant. and evaluation are crucial not only for We define party assistance as any type informing the design and implementation of of international assistance geared towards programmes, but also for accountability to the individual parties or the party system as a public that funds the overwhelming majority whole, with the purpose of strengthening of party assistance activities. Assistance democracy in a given country. In line with partners in party assistance programmes the Paris Declaration on Aid Effectiveness, would also benefit from more systematic we understand effective assistance in a broad information. It would enable them to identify sense that includes more than just the literal the kind of assistance they need, which they meaning of ‘producing an effect’. Specifically, could then actively seek rather then being effective assistance encompasses targeting subject to the agendas of donors or assistance assistance to different contexts, defining clear providers. As is explained below, the interests aims and related indicators, harmonizing of the assistance partners may not always be programmes to avoid duplication, in line with the requirements of democracy as and strenghtening transparency and a whole, but at the same time, any assistance accountability. activity will be of very limited use if it does The paper aims to be both a policy paper not meet a need of the assistance partner. and a discussion paper. It recommends This policy paper is directed at staff from and argues for the introduction of agreed donor agencies and assistance providers who principles, but it leaves the content of these design assistance programmes or allocate principles open to further interactions with funding. It is also directed at party assistance stakeholders and limits itself to some ideas partners who want to know more about how as a basis for discussion. It explores the way to assess their own needs in order actively to international assistance to political parties seek the assistance they need. is delivered and recommends ways in which The next two sections of this introduction assistance could be improved. The key goal describe the context and the problem; namely, is to make party assistance as effective and why political parties are important for a efficient as possible, meaning that it achieves functioning democracy, the roles they have

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to fulfil and the problems or weaknesses they Table 1: Functions of political parties in government and opposition typically face in new democracies. The chapter entitled Analysis deals with party assistance, Articulation Aggregation Recruitment Government Implement policies Sustain support for Fill government the types of activities, the actors and the way government positions assistance is usually carried out. The chapter Opposition Develop alternatives Gain support for Build pool of entitled Recommendations gives International change competent people IDEA’s recommendations and serves as a basis for discussion of how to make party assistance more effective. The conclusion summarizes Much has been written about parties’ the main points of the other chapters. obvious shortcomings, but no other actor could replace them. In some countries, politicians establish ‘movements’, which The functions of parties purportedly differ from parties by being in a democracy unifying forces that represent the society as a whole rather than just a part of it. In most There are four central functions of political cases, however, the movement turns out to be just a replacement for the discredited term Effective Party Assistance: parties in modern representative democracies: Stronger Parties 1. To develop consistent policies and ‘party’. Sometimes these movements try to for Better Democracy government programmes (the interest follow through with their claim of being articulation function). the sole representative of society and as a logical consequence deny all other parties 2. To pick up demands from society and the right of existence. ‘Movements’ that are bundle them (the interest aggregation set up to compete for power—as opposed to function). movements that advocate a specific cause, 3. To recruit, select and train people such as the civil rights movement in the for positions in government and the United States—are either parties in disguise legislature. or potential threats to democracy. 4. To oversee and control government. Not so long ago many people—both The first three functions feed into the two practitioners and academics—believed that fundamental roles that political parties play civil society could replace political parties. in the political process: they form the A vibrant civil society is a good thing for a government or they are in opposition. In country, but civic associations cannot play the practical terms, the significance of the role of parties unless they actually transform functions varies according to the current role themselves into parties. It is the discredited a party plays, as can be seen in Table 1. The state of many parties around the world today, fourth function varies depending on the type not only in young democracies, that led to of political system. In parliamentary systems, an exaggerated enthusiasm for civil society. where the government is elected by parliament Another reason is an alleged non-partisanship and depends on its support, this function falls of civil society organizations. However, this entirely on the opposition. In presidential is not true. Non-governmental organizations systems, where the executive is independent, (NGOs) are important for democracy, but the legislature as a whole fulfils this function. they are not by nature democratically

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mandated by anybody other than their overlap, but are not necessarily the same. Party members. What is more, they are part of the assistance has to bear in mind the relationship demand side of politics. Their demands have between the overall function of democratic to be aggregated by an institution and this parties and the goals of individual parties. institution is the party system (Doherty 2001: The objective of party assistance is to enhance 25–6). Parties are also important because democracy. In order to be effective and to they provide an institutional memory be accepted by the assistance partners, it has of policies and politics. This knowledge of to benefit all the party’s goals at the same what works and what does not is crucial time. to continuity. A political system that is characterized by individuals rather than by parties cannot provide this memory and How do parties operate in also carries the danger of bureaucratic and reality? technocratic dominance. In addition, parties aggregate policy options into bundles, as is To assess the current situation of political described in Function 2 above. parties and to understand their weaknesses The interests of a given party, its leaders and needs, International IDEA carried out an and members, are not necessarily the same as extensive Research and Dialogue programme the functions which the party should fulfil between 2004 and 2007. More than 300 in order to sustain a working democracy. Most parties in 50 countries were included in the scholars agree that parties can have a number project. Three comparative regional reports of goals. These goals are to maximize their (Salih and Nordlund 2007; Stojarová et al. vote-share, to obtain as many government 2007; Suri 2007), two sub-regional reports offices as possible and to push a specific policy (Chege 2007; Matlosa 2007) and 17 country agenda (Harmel and Janda 1994: 265–71). reports have been published so far; one While the goals are linked, there still is more regional report will follow in early considerable difference between 2008 (Adejumobi 2008). In addition, the them. For example, maximizing vote-share information gathered is stored in an online does not necessarily lead to an increased database that International IDEA makes number of government offices. In countries available on an individual basis to interested with frequent coalition governments it may be organizations and academics.1 A recent more important for a party to position itself International IDEA publication (Roncagliolo as a possible partner of another party than and Meléndez 2007) provides in-depth to win as many votes as possible. Similarly, analysis of parties and party systems in the if a party has a strong ideological agenda it Andean region. may seem natural for it to try to become big While it is not the purpose of this policy and powerful enough to be able to pursue its paper to summarize all the results from this agenda. However, some parties deliberately large endeavour, it is important to highlight choose to lose votes rather than compromise some of the key findings. Most importantly, on their agenda. there is no uniform picture that can be The functions of parties in a democratic painted. The state of party systems in young system and the goals of individual parties democracies varies considerably from country

1 See http://www.political-parties.org

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to country and usually not all parties share creates a situation in which people are the same weaknesses within a country. On the supportive of democracy as a whole but far less one hand, extreme volatility—changes in vote enthusiastic about political parties. shares from one election to another—is a ma- In Central and Eastern Europe, limited jor problem in many young democracies. In institutionalization is one of the main essence this means that parties are incapable problems with political parties. Parties are of developing stable relationships with society. not sufficiently rooted in society, resulting On the other hand, some countries, mainly in relatively high levels of volatility as voters in Africa, experience very low volatility to the switch parties between elections or parties extent that one party dominates the political switch their ideologies. process over a very long time without any real- In many countries, parties tend to be istic chance of the opposition gaining power. weakly organized, lack a coherent In Africa, party programmes seem ideological platform and be set up around increasingly detached from citizens’ concerns personalities rather than stable structures. As and seem to lack creative, context-specific a consequence, new parties appear constantly, answers to the countries’ problems. This others disappear and there is a great deal failure, in turn, creates voter apathy and low of change both in political personnel and Effective Party Assistance: Stronger Parties turnouts in some areas of the continent. In in political positions. In Latin America for Better Democracy terms of the structure of the party system, we there has recently been a rise of (neo-) observe two contradictory trends in Africa. populist politicians who openly voice their There is an increasing fragmentation in many contempt for the institutions of representative countries, while in others two-party systems democracy. Research confirms that the or dominant party systems consolidate. dissatisfaction of the population with political International IDEA’s research has identified parties increases the chances of newcomers two main challenges to political parties in outside the established parties winning Africa. One is the area of party financing. elections. In the last five presidential elections Corruption within parties is widespread in each of the five Andean countries2, almost and it is hard to imagine how these parties half the votes went to independents or to are supposed to be the foundation of stable, candidates who ran for newly formed parties responsible governments. Therefore, in order (Mainwaring et al. 2006: 22). to achieve good governance at the state To sum up, parties can have two fundamental level, the area of party financing needs to weaknesses. One is a lack of organizational be tackled. The other area is the problem of coherence and institutionalization, the other leadership succession within African parties, is a lack of programmatic substance. If parties which can often lead to severe crises. fail to perform in both areas, they will not In South Asia, International IDEA’s be able to get much traction. However, there research shows that the spread of democracy are also cases where parties are weak in one has surprisingly gone hand in hand with more aspect, but strong in another. In terms of dem- authoritarian parties where the influence of ocratic consolidation, this can be problematic leaders rises. Furthermore, while people’s when pro-democratic parties are strong expectations of political parties grow, the on programmatic issues and weak on organi- parties’ ability to deliver remains low. This zation, while other, formerly authoritarian

2 Bolivia, Colombia, Ecuador, Peru and Venezuela.

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Analysis

parties lack a programmatic platform but act his chapter analyses party assistance. The first section deals in a very organized way. As a consequence, the with the different actors in the field, and the second section party system may be unresponsive to society’s T analyses the different types of programmes and activities that preferences (Carey and Reynolds 2007). are carried out as party assistance. The last section in this chapter Most research on the state of party systems discusses how needs assessments are carried out and how activities in newly democratized countries, including are evaluated. International IDEA’s Research and Dialogue There are very few studies, either academic or non-academic, on programme, presents a great variety of party assistance, let alone comparative analyses. Burnell (2000) deals situations. A careful, context-sensitive analysis with democracy assistance in general. Carothers (2006) is the first is crucial for any kind of party assistance comprehensive, comparative analysis exclusively dedicated to party activity. assistance. Burnell (2006) also deals with party assistance together Despite the different situations, the with an analysis of party systems in different regions and countries research nevertheless shows that political and a recent book by Burnell (2007)—published by International parties are part of the problem in most IDEA and Sida—assesses how democracy support is evaluated. In countries where democracy is perceived by the addition, there are some studies that map party assistance activities population not to be working satisfactorily. in a certain region, such as a report commissioned by the Olof This is not surprising given the central role Palme International Center on democracy assistance activities in the played by parties in the democratic process Balkans and the Black Sea region (Erhardy 2006) and a mapping and it emphasizes that party assistance must exercise by International IDEA in Central America (Umaña Cerna be a central field of democracy assistance. 2007). Although these studies vary in focus and depth, the Unsatisfactory performance by political conclusions they come to are remarkably similar. Party assistance parties is not only a problem that affects generally lacks precisely defined objectives, high quality project newly democratized countries. In most management and proper measurement. established democracies political parties and politicians are held in very low esteem by their citizens and most parties do not fully comply Actors in party assistance with the idealistic model that is often used to assess parties in young democracies. In other Party assistance is a field with many different actors. The first basic words, few parties in Western countries are distinction when talking about actors in party assistance is among completely transparent, internally democratic those who receive the assistance (assistance partners), those who and centred around issues rather than deliver it and those who fund it. Sometimes two of these categories persons. fall together, such as when an implementing organization also While it is important for the proper provides the funds. Each of these groups has different interests functioning of democracy to pinpoint crucial and follows a different approach when deciding where and how to weaknesses of political parties in young proceed. democracies and to find ways to overcome Primary partners in assistance programmes are, of course, them, it is equally important not to fall for political parties. However, the exact target within parties can vary idealistic expectations. Often, these are greatly. Programmes can be geared towards party officials, leaders, ideal types: they may serve as a beacon, as the youth, etc. In addition, activities can deal with only one party something to orient oneself by, but not as a or with a number of them, for example when the aim is to foster model that one is likely to adopt fully. ■ dialogue and understanding. Depending on the objective of an activity, assistance partners can also be civil society actors, the

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media, government officials and electoral Figure 1: Actors in party assistance management bodies (EMBs). As can be seen from Figure 1, providers are usually the link between donors and Assist. Assist. assistance partners. Direct donor–to– Donors assistance partner contacts are far less providers partners frequent.

Assistance providers There are four types of assistance providers: partisan NGOs, multi-partisan NGOs, non-partisan NGOs and intergovernmental organizations. ‘NGO’ is used in a broad sense Democratic Friedrich Ebert Foundation here and includes all not strictly governmental (FES) and the Christian Democratic Konrad organizations. Most of these NGOs, however, Adenauer Foundation (KAS), started receive all or almost all of their funding working with political parties in the 1950s. directly from public sources. The distinction Today, they have an annual budget of more Effective Party Assistance: Stronger Parties between ‘partisan’, ‘non-partisan’ and ‘multi- than EUR 100 million. It should be noted, for Better Democracy partisan’ is blurred as some organizations however, that not all of this is allocated to engage in different types of activities, some of party assistance. The German foundations, which may be partisan while others are multi- like most other European party foundations, partisan. The German political foundations have a broad mandate. They work both attach great importance to the fact that they within their country and abroad on a wide are not party foundations, but only ‘party- range of topics from democracy promotion related’. to participation and policy development. Even openly partisan organizations often The amount of money they receive from have multi-party projects. There are a number the government depends on the size of their of reasons for this. Some types of activity, parliamentary representation. FES and KAS such as dialogue programmes, obviously do currently receive about one-third of the total not make sense on an individual fraternal amount each and the rest is split among the party basis. In many countries the European other four foundations (Erdmann 2006: 183). party foundations cannot find appropriate Funds are made available upon application to counterparts, because parties align along the Ministry for Development Cooperation. different cleavages and not in the clusters of Van Wersch and de Zeeuw (2005) count the Western party families. 32 European foundations active in party The actors with the longest experience in assistance, which are all affiliated with, or party assistance are party foundations that close to, a political party. The only exception operate mainly on a fraternal basis, meaning in this group is the Netherlands Institute for that they support their counterparts in other Multiparty Democracy (NIMD), which is countries. The German party foundations multi-partisan. Most of these foundations are were the first to enter the scene of party very small in terms of their budget. Only assistance. The two biggest, the Social one in four has a budget of more than

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EUR 10 million per year and half have a promotion. In 2005 the annual budget of the budget of less than EUR 1 million (van NDI was EUR 77 million and the annual Wersch and de Zeeuw 2005: 10–12). Given budget of the IRI was EUR 57 million the broad range of activities, only a fraction (Carothers 2006: 79). Although the US of theseresources goes to party assistance. foundations can certainly be described as Most donors and assistance providers do not partisan by International IDEA’s definition, disclose how much they spend specifically on their approach has always been more party assistance, so resources spent on these multi-party than that of most European activities can only be estimated. foundations. Most other party foundations The German foundations dominate the are rather small. The only ones with annual field, as they account for roughly 90 percent budgets for party assistance of more than of the overall budget of party foundations EUR 1 million are the Swedish Social in Europe. The only other foundations that Democratic Olof Palme International Center match this size are the two United States (OPIC) and the Spanish Socialist Pablo foundations, the National Democratic Iglesias Foundation (FPI). Institute (NDI) and the International Estimates of how much of their budgets Republican Institute (IRI). Both these were the foundations spend on party assistance established in 1983 and they are loosely activities can be found in Table 2. Reliable affiliated with the Democratic and the figures are difficult to obtain. Many Republican parties, respectively. In contrast programmes serve more than one purpose to the European foundations they work and the organizations do not always publish exclusively abroad and focus on democracy detailed budget breakdowns. Carothers (2006: 85) estimates that the German foundations spent somewhere between EUR Table 2: Expenditure on party assistance 30 million and EUR 60 million in 2004 on

Organization Overall budget Party assistance Share of party assistance activities. The considerably in EUR in EUR total higher percentages for party assistance budget activities that are shown for the NDI and NDI 77,000,000 26,950,000 35% FES 123,500,000 24,700,000 20% IRI compared to the German foundations IRI 57,000,000 24,510,000 43% are partly owing to the fact that the latter are KAS 102,900,000 20,580,000 20% engaged in a wide range of domestic political HSS 42,700,000 8,540,000 20% activities. Expenditure on these activities is FNSt 40,000,000 8,000,000 20% included in the overall budgets. HBS 37,200,000 7,440,000 20% Non-partisan NGOs in the field of party NIMD 6,800,000 6,120,000 90% assistance are relatively new. The NIMD was WFD 6,200,000 4,030,000 65% founded in 2000 and now has an annual OPIC 12,500,000 3,750,000 30% budget of slightly less than EUR 7 million. RLS 9,000,000 1,800,000 20% The Norwegian Centre for Democracy IDEA 11,000,000 1,650,000 15% Support was founded in 2002 and Demo FPI 2,300,000 1,150,000 50% Finland in 2006. These three organizations Total 528,100,000 139,220,000 n.a. have in common the fact that they bundle the democracy promotion activities of the Source: van Wersch and de Zeeuw (2005), Carothers (2006), International IDEA. Estimations for FES, FNSt, RLS and HSS based on data from KAS and HBS. All data are from 2004, except IRI and NDI (2005) and International IDEA (2006)

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major political parties in their countries. Donors The UK-based Westminster Foundation for The largest proportion of financial resources Democracy, created in 1992, also belongs to for party assistance activities—as is the case the group of multi-partisan NGOs, although for democracy assistance in general—comes it funds activities that are run by the political from public sources. Funds are provided parties or by other non-profit organizations either directly by governments through their rather than implementing projects itself. It foreign ministries or development ministries, could therefore also be characterized as a or through donor agencies. specialized donor organization. The NDI and the IRI were established with In Australia, democracy promotion is car- funding from the National Endowment for ried out by the non-partisan Centre for Democracy (NED), which still continues to Democratic Institutions (CDI), which was provide about 10 percent of the organizations’ founded in 1998 and receives most of budgets as a core allocation. The rest of their its budget from the Australian Agency for resources now come from the United States International Development (AusAID). Agency for International Development Recently, the two main Australian parties— (USAID), the United States State Department the Australian Liberal Party and the Austral- and a number of foreign donor agencies. Effective Party Assistance: Stronger Parties ian Labor Party—have established their own Sweden grants money to the party for Better Democracy international programmes that are funded foundations through the Swedish directly by the government, currently with International Development Cooperation AUD 1 million (EUR 590,000) each per year, Agency (Sida). The German foundations also under the Australian Political Parties for receive most of their funds from the state. Democracy Program. The FES reported 91 and 92 percent of its Finally, there are a number of inter- proceeds came from public sources in 2004 national organizations working in the field. and 2005, respectively. The second biggest International IDEA is the only one with an foundation, the KAS, reported a share of 94 exclusive mandate for democracy promotion. percent for 2004 (figures calculated from It was founded in 1995 and currently has 25 the foundations’ statements of accounts). member states. Its annual budget is around Other development agencies that fund party EUR 11 million (2006), of which some assistance projects are the Spanish Agency for 15 percent is spent on party-related activities, International Cooperation (AECI), the British ranging from direct work with parties in the Department for International Development field to the generation and dissemination of (DFID) and the Canadian International comparative knowledge. Other international Development Agency (CIDA). In addition organizations engage in party assistance as to national governments there are some one aspect of their activities, among them the international or regional donors that have Organization for Security and Co-operation started to finance party assistance projects, in Europe (OSCE) through its Office for such as the Inter-American Development Democratic Institutions and Human Rights, Bank (IDB). It is therefore important to the United Nations Development Programme note that even the non-governmental actors (UNDP) and the Organization of American depend almost exclusively on public funding. States (OAS).

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Other actors five methods of delivery (shown vertically). Party Internationals, the loose associations of It is not always possible to make a clear-cut like-minded political parties, are also actors in distinction between the fields, but it gives a the field. They do not usually carry out fully fairly good approximation of where a specific fledged programmes themselves, but instead activity is located. work as an occasional catalyst or organizer of conferences and dialogues. Target areas A large part of party assistance is aimed at helping parties to become effective by Types of party assistance enhancing internal party organization. programmes During pre-election periods this essentially means help with campaigning. This can easily Generally, party assistance attempts to be carried out by specialist consultants who strengthen either an individual party or the cover specific aspects of a campaign, such party system as a whole. Often, assistance as strategy development, messages, voter is driven by an idealistic notion of what targeting, advertising and get-out-the-vote parties should look like, without much activitities. Although campaigning is very reference to how they work even in established political and sensitive, the technical nature democracies. As Thomas Carothers puts it, of the activities involved and the clearly ‘party aid seeks to help build parties that are defined time-frame and objectives make competently managed, internally democratic, campaign assistance straightforward to well-rooted in society, law-abiding, financially implement. Campaign assistance is mostly transparent and adequately funded, done by partisan organizations because it ideologically defined, inclusive of women and is not something that can easily be shared youth, effective at campaigning and capable with competing parties, apart from very of governing effectively’ (Carothers 2006: 97). general introductory training sessions on Two dimensions describe the different campaign communications. This type of party assistance activities: the target area and assistance comes down in the end to paying the form of delivery. This results in a two- for a professional service that the party could dimensional space within which to map also buy itself, provided that it has enough party assistance activities with five target resources. areas (shown horizontally in Table 3) and Organizational assistance also covers

Table 3: Matrix of party assistance target areas and methods of delivery

Target area Internal party Inter-party Parties and Party regulation International organization relations society party assistance

Method of delivery Training/capacity building Dialogues Knowledge resources Policy advice/Consulting Direct financial contributions

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other aspects of the internal functioning of ing countries. Rather than bringing together political parties. Among these are: (a) efficient party people from developing countries with internal communications, (b) accounting, party people from a Western country with (c) fundraising, (d) establishing a working completely different backgrounds, South- structure for the party, (e) dealing with the South exchange facilitates the sharing of expe- media and (e) membership recruitment and riences among people who have recently gone membership relations. through similar experiences. A slightly different, albeit important, assist- Parties and society includes all activities ance activity is to help parties develop coher- that aim to increase the participation of ent policies. Given the frequent lack of sound women, youth and minorities in and through programmatic platforms that can be observed political parties. These projects have become in many parties in young democracies and the much more frequent in the last two decades. severe consequences this has once the parties A special kind of assistance is geared are in government, the field of policy develop- towards the party system as a whole rather ment has been given too little attention in the than towards individual parties. Assistance past.3 with party regulation tries to create a Especially in conflict-prone societies, build- favourable framework within which parties Effective Party Assistance: Stronger Parties ing stable inter-party relations plays an im- can work. Party registration, compliance for Better Democracy portant role in party assistance. It is based on requirements and party financing form part the assumption that democracy can only work of this. International organizations such as properly if parties engage in a healthy compe- International IDEA and UNDP have taken tition for ideas and policies while at the same the lead in this subfield. time maintaining a minimum level of consen- The last area is the meta-level of sus. This has been described as diffuse support international party assistance. This policy for democracy (Easton 1956). One aspect is paper is an example of an activity in this that political competitors should still be able area. It deals with how international party to talk to each other in a civilized manner no assistance is planned and delivered and the matter how fierce the dispute is. A slightly dif- aims it tries to achieve. ferent area of inter-party relations is contacts In reality, many activities fall into more made between parties in the target country than one category. For example, a training and those in established democracies, usually course for members of different parties in the home country of the assistance provider can simultaneously foster the internal or the donor. Here, of course, conflict resolu- organizational capacities of the parties and tion is not the intention but rather learning help inter-party dialogue. The same holds true by exposure. It is often argued that while the for many projects geared towards women in representatives of the target countries learn politics. Assisting a women’s platform can how democracy works in reality, their coun- both help to bring more women into parties terparts also gain a broader understanding and create a forum for inter-party dialogue. of the situation and the difficulties faced by parties in young democracies. In addition, How assistance is delivered assistance providers increasingly try to foster Assistance can be delivered in many different ‘South-South’ relationships between develop- ways. There are some common ways in

3 International IDEA has been very successful in Latin America in facilitating platforms where party representatives meet both jointly and individually with experts on specific topics. This is a field where party assistance providers can establish 15 crucial links between parties and external policy experts. International IDEA

which it is organized: training sessions, together groups of politicians—often taking conferences and seminars, exchanges, them out of the country—in an attempt to individual consulting and direct or in-kind initiate dialogue. grants. Again, as with the overall budgets Organizations such as International IDEA for party assistance, it is difficult to estimate produce a broad range of knowledge resources the importance of each of these methods. and analyses on party-related issues that Van Wersch and de Zeeuw (2005: 17) may be freely used by assistance partners. report that the European party foundations International IDEA’s handbooks, briefings, spend 56 percent of their overall democracy databases and interactive online platforms assistance budget on training, 14 percent on are geared towards practitioners and bring advice and technical assistance and 12 percent cutting-edge research to a useable and on conferences and seminars. It is likely that understandable format. This is important the distribution for party assistance is similar. because there is often a considerable lack Training and capacity-building thus seem of knowledge about the subject on the side to be the most important methods used, of both assistance providers and assistance but the range of topics and the format can partners. vary considerably. Most training deals with Assistance can also be delivered as policy rather technical aspects of assistance, such advice and individual consulting. Partners in as fundraising, campaigning methods or this kind of assistance may be government leadership development. Often, training is agencies or party leaderships, who, for provided by international consultants who example, request the expertise of an assistance are expensive and lack knowledge of specific provider on a specific topic. Assistance contexts. On the other hand, local expertise is providers can also try to influence the agenda not always available. by preparing policy papers and highlighting Workshops and seminars can also include specific options. consultants and other experts, but are Finally, direct financial contributions are geared more towards exchange of ideas and rare in party assistance. NIMD has provided experiences. This is the field ofdialogues . them on some occasions (Carothers 2006: For example, politicians from other countries 114), but generally assistance providers prefer that have experienced similar problems can be to organize their own activities. In some cases invited to share their experiences. Workshops they may also underwrite costs for specific are also used to bring together politicians from events organized by parties themselves, such different parties to discuss topics of general as conventions. interest to them, such as codes of conduct or In addition to distinguishing the type of regulatory issues. activity it is also important to look at the Study tours and exchange visits are a duration of the assistance. The German party popular dialogue tool. Either a delegation of foundations, for example, tend to have field politicians from an established democracy offices in most countries in which they work visits an assistance partner country or a and usually establish long-term relationships group from a newly democratized country with their counterparts in these countries. travels abroad to get to know an established Some of these programmes run for decades. democracy. Assistance providers try to bring Other assistance providers run specific

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programmes over a limited time. The last on how to carry out party assistance projects. distinctive criterion is the level at which the Evaluation of party assistance activities is activity is located. It can be at the field level still very weak. Many assistance providers do in a single country, at a regional level or at the make some kind of evaluation, but generally international level. it is not systematic. It tends to be carried out by internal staff and not shared with anybody Strengths and weaknesses of outside the institution itself (van Wersch and today’s party assistance de Zeeuw 2005: 22–4). The lack of consist- Party assistance has two weaknesses that ent, standard-based assessment and evaluation may sound contradictory at first: it lacks makes it difficult to determine the impact of systematic methodology and it is insufficiently party assistance and to improve performance. contextualized. The first weakness means that In addition, there seems to be little institu- there is no general framework for what party tional memory of tools and experiences, which assistance is supposed to achieve and how requires programme designers to start from programmes should be implemented. This scratch every time a new activity is designed. does not mean that there are no successful The NDI has published a guide to party programmes. At the general level, however, no assistance (NDI 2001) that highlights some Effective Party Assistance: Stronger Parties such framework exists. The second weakness key elements in planning and evaluating for Better Democracy refers to the fact that assistance providers tend party assistance programmes. It rightly points to apply the same solutions everywhere or to out that any needs assessment has to be done copy experiences from other countries. Yet jointly with the partners in the assistance each situation is different, and if assistance programme. Regarding indicators for evalu- is to be effective, it has to be tailored to tion the guide focuses on training sessions and specific contexts. Parties operate in a complex recommends surveying participants. This is a environment that is influenced by political, step in the right direction, but it needs to be societal, cultural and historical factors. These much more comprehensive and much more factors need to be taken into account and precise to be useful for practitioners. a general framework would assist such a The dilemma of using either international process. experts with little local knowledge or local Kumar (2005: 507) writes, ‘the internation- trainers with little experience in the subject al community rarely had a coherent and com- matter has in part been overcome. Assistance prehensive strategy for party development in a providers increasingly use a ‘train the trainer’ country. Instead, its approach has been oppor- approach to provide knowledge to local people tunistic. Interested donors and NGOs have se- who can then spread it further. In electoral lected specific areas of assistance largely on the assistance this is done, for example, by using basis of local openings, available resources and the ‘Building Resources in Democracy, their own interests.’ Erdmann (2006: 197–9) Governance and Elections’ (BRIDGE) analyses the party assistance activities of the tools. This is a framework developed by German foundations and concludes that none International IDEA, the United Nations of them has an explicit strategy that deals with Electoral Assistance Division, the Australian the aims of party assistance and that they lack Electoral Commission, UNDP and the any kind of guidelines, tool-kits or handbooks US-based democracy promotion organization,

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Recommendations

IFES. Although topics and target groups in he purpose of this section is threefold. First, it argues the need party assistance are different from those in for common principles, agreed by the community of actors. electoral assistance, the BRIDGE framework T Second, it highlights three areas that these principles should serves as a model for capacity-building tools cover: (a) a functional approach to political parties, (b) integration in other areas of democracy assistance. with other fields of democracy assistance and (c) a systematic project Party assistance activities are often linked cycle. Third, it makes initial suggestions for tools that cover the to the specific goals of donors and assistance three phases of the project cycle. The presentation of tools is far from providers. For example, one frequent goal complete. This part of the policy paper provides a basis for future is to strengthen internal democracy. Others discussion and is intended to give an idea of the direction in which are to raise the number of women and youth discussions may lead. involved in the organization of the party. Although these may be legitimate goals, assistance often fails to make clear whether Why do we need principles? these are ends in their own right or the means to achieve better democracy. If the latter were Party assistance has been accused—rightly or wrongly—of being the case, this would have to be made explicit too often unfocused, supply-driven and ineffective. While in terms of the functions of political parties this can certainly not be said of all projects, there is some truth explained in the introduction. in these assertions. The Paris Declaration on Aid Effectiveness If party assistance is to have an effect, it (2005) recognizes the need for better standards in development needs to follow a sequence of steps, starting cooperation and makes several recommendations on how to improve with identifying weaknesses and designing effectiveness. Not every part of it is relevant to party assistance, but specific programmes to overcome them. the general challenge is the same. The Paris Declaration calls for What is needed is a framework to assess the harmonization and more monitoring and transparency. situation, determine the needs and properly Principles do not limit, they enable. They give assistance partners plan, implement and evaluate assistance tools to assess their strengths and weaknesses, to determine their activities. Proposals for this are made in the needs in terms of specific assistance and to actively go out and seek next section. ■ this assistance. With such principles, party assistance would be much more demand-driven in the future. Principles help donors to determine how to spend their money wisely to maximize effect and they enable assistance providers to be efficient and serve their mission in the best possible way. The fundamental aim of principles for party assistance is to get the balance right between sufficient systematization and more contextualization. Systematization is needed for the procedures, that is, planning, funding, implementation, evaluation and institutional memory. Contextualization is needed for the content of the assistance. The current situation in international party assistance is often the opposite. The procedures are unstandardized while assistance providers are tempted to use off-the-shelf approaches for the content.

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Functions first Figure 2: Functional dimensions of political parties

In the introduction to this paper we described the essential functions that parties perform in comprehensive programme a democratic system. These functions are: 1. To develop consistent policies and build programmatic platforms: the interest competitive recruitment consistent programme articulation function. 2. To pick up demands from society and bundle them: the interest aggregation function. 3. To recruit and select people for positions in

government and the legislature. inclusive recruitment bottom-up structure The fourth function (oversight and control of government) is not mentioned here, Effective Party Assistance: because it is partly a procedural function broad structure Stronger Parties that follows from the first three. If a party for Better Democracy is performing satisfactorily in the first three functions it is likely to translate this performance into effective scrutiny of government in parliament. In addition, it is also an end in itself, because it means is performing in a given case. Owing to the that there are alternatives to the current qualitative nature of the assessment, a five- government on the political market, which is point scale (very low, low, average, high, very the essence of pluralism. high) is recommended. By connecting the To make the abstract functions more measured values for each of the dimensions manageable, we divide them into six one obtains the individual performance dimensions that can be assessed for an profile for a party or party system. This profile individual party or a party system as a can then be matched with a capability profile. whole. The interest articulation function is A capability profile is similar to a party determined by the degree to which a party performance profile. Instead of measuring a programme is comprehensive and consistent. party’s performance, it maps the potential of Interest aggregation includes the dimensions a given assistance activity to enhance each of of having a bottom-up structure and a broad the dimensions. By overlaying performance structure, meaning that it is firmly rooted in profiles and capability profiles it is easy to society. The recruitment function is defined select an appropriate activity for a given as having an inclusive and a competitive situation. recruitment process. In the example, we have a party The six dimensions can be mapped on a (represented by the black line) that has a spider chart (see Figure 2). Each of the six broad structure, meaning that it is represented axes measures how well a certain dimension widely in the country and the society. Its

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recruitment processes are average both in approach. This does not mean that individual terms of competitiveness and inclusiveness. activities will no longer be possible, but The party’s programme is consistent, but not rather that they should be carefully put into very comprehensive. Most likely, the party a broader context and be coordinated with will have policy proposals for just a few of the efforts in the field of electoral assistance, civil relevant issues in the country. Also, the party society, constitution building and the rule of is very hierarchical—it is top-down rather law. than bottom-up. All activities have to be part of an overall Any assistance activity for this party would programme based on a careful needs probably address its two main weaknesses, assessment. Assistance providers and donors namely the narrow programme and the top- are often criticized for carrying out individual down structure. The chosen activity in this activities—such as a single workshop or a one- case (represented by the blue line) is targeted year programme—rather than larger, more at the programmatic dimension. As a side-ef- comprehensive projects. It is not a problem to fect it also enhances the competitiveness of the run a single activity as long as it is made clear recruitment process. This is, of course, only where this activity is situated in the overall a hypothetical example to illustrate the use framework. of the profiles. However, it could be a project Integration means not only bringing the that links policies to the selection of candi- different components of democracy assistance dates for party and government offices by together, but also bringing the different helping party officials to develop a set of pro- actors together. Many of the suspicions and posals with which they can compete for office. hesitations around party assistance could be Assistance programmes should identify overcome if, for example, donors would seek weaknesses through careful pre-project multilateral ways to channel their money assessment and tailor activities accordingly, rather than doing it alone (Kumar 2005: rather than following an activity-based 517–8). The same holds true for assistance approach, where the type of activity is providers, especially the partisan ones. If decided upon first. Idealistic perceptions individual projects are integrated into an of how parties should operate should be overall scheme for strengthening the party dropped. It is highly unrealistic to expect system of a given country, the assistance parties in young democracies to behave in a providers could continue working with way that parties in established democracies specific actors but effectively counter the rarely do, and if programmes are entirely accusations of inappropriate influence (a based on this assumption it could even be similar demand is made by Gershman and counterproductive. Allen 2006). Party assistance has been dominated by party foundations thus far, as can be Integration is the key easily judged from the budget overview in Table 1. The foundations have done very In order to be effective, party assistance valuable work, but there are other actors that programmes have to be increasingly seen could complement their activities. Party as part of a holistic democracy assistance Internationals are well suited to develop

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general norms for their ideological family. donors are too short-sighted and not willing Membership creates an incentive for parties enough to fund long-term projects. Only part to comply and the regular exchange should of the blame lies with the donors, however. foster accountability. Party Internationals are Carefully assessed projects can and should notoriously underfunded and have difficulties serve long-term goals even if they themselves carrying out extensive programmes, but they are limited in scope. If a staircase represents have become increasingly interested in party the way to enhanced democracy, each project assistance activities. represents one step—at least if assistance Other intergovernmental and parliamenta- providers emphasize cooperation rather than ry bodies are also entering the scene or work- competition. Needs assessment should address ing on related topics such as parliamentary the question of the sustainability of the assist- support. These institutions should be encour- ance project. While the call for longer-term aged to intensify their activities in the field projects is frequent, any measurement should of party assistance. Examples of these bodies aim at enabling the target of the activity— are the Inter-Parliamentary Union (IPU), the whether it is a single party or a party system— OAS, the Inter-American Development Bank to be self-sufficient in a reasonable time. It is (IDB) and the Southern African Development clearly not desirable to base programmes on Effective Party Assistance: Stronger Parties Cooperation–Parliamentary Forum (SADC- the assumption that assistance will be needed for Better Democracy PF). indefinitely. Needs assessment should follow a general scheme in order to be comparable. One im- Systematic planning and portant thing is that the assistance partners implementation need to be involved. All assistance is doomed if it addresses an aspect that is not considered Comprehensive needs relevant by the assistance partners themselves. assessment Important gatekeepers and decision-makers— The starting point of any project activity has most notably the party leaders—have to be in- to be careful needs assessment and planning. volved from the very beginning. This ensures In this phase, three essential questions have to that they feel engaged and are more likely to be answered: take advantage of the assistance. Depending 1. What is the situation like now? on the circumstances, a consultative commit- tee with high-level representatives from the 2. What will it be like in the future and how political parties and other key stakeholders do we want it to be? could be convened in the initial phase of a 3. What are the appropriate activities to project to provide input and act as a feedback achieve the desired outcome? forum. Needs assessment should always keep in Proper needs assessment is time-consuming mind the long-term perspective. While indi- and expensive. Different assistance providers vidual projects cannot usually solve all prob- should not carry out overlapping analyses, as lems at once, it is important to know where this would be a waste of resources. Therefore, a country should be heading. It is a common all material resulting from needs assessment complaint among assistance providers that endeavours should be made public and be

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shared widely. This demand is also being but stakeholders should still try to develop made for development cooperation in general appropriate tools. (see for example OECD 2003: 31–44). For Evaluation starts with the planning phase obvious reasons, many actors are reluctant to of a project. It is at this stage that appropriate release such material. After all, despite having indicators have to be chosen and a decision the same goal there is still a fair amount of has to be made about the data that need competition and some actors may fear that to be gathered for this purpose during the they would be giving away an advantage. implementation of the project. Unfortunately, Nonetheless, to improve effectiveness it is very the beginning of a project is the point at important that different assistance providers which the people responsible for designing share their experiences. Regular exchange it are least likely to think of these seemingly forums should encourage them to do so. far away requirements. Yet failure to define Despite the general call for openness and evaluation needs at this stage will result in transparency, one caveat should be noted. higher evaluation costs later or even make Work with political parties is more political proper evaluation impossible. and more sensitive than most other areas As with needs assessment, it is important of democracy assistance and development not only that each project is properly cooperation. The need for cooperation evaluated, but also that the results are made among assistance providers to enhance the available beyond the group of organizations effectiveness of their programmes may collide directly involved. There is an understandable with demands from political parties to treat reluctance to disclose evaluation results, information confidentially. There is no silver especially if they document weaknesses and bullet as regards how to deal with this issue, as failures. Yet, for the sake of improvement of it has to be addressed from case to case. party assistance all stakeholders should be able The two first sections under “Tools for the to learn from other experiences. project cycle” present two examples of how Evaluation usually requires indicators. to assess the current situation of democracy Depending on the nature of the underlying and to look into the future. The first is information, indicators can use different levels International IDEA’s State of Democracy of measurement, ranging from ordinal (for Assessment, the second is Scenario example, low, middle and high) to ratio Development. They complement each other (numerical values with an absolute zero, such and greatly facilitate the initial planning for a as number of participants). Indicators can successful project. either be lead or lag indicators. Lag indicators measure past performance while lead indica- Thorough monitoring and tors are a proxy for future developments. For evaluation example, the number of registered participants Monitoring and evaluation are closely could be a lead indicator for the size of the linked to needs assessment. Only when event itself. Regarding the measurement focus, activities are results-based and developed on there are four different categories: (a) input in- the basis of a careful needs assessment can dicators that measure how many resources are they be evaluated. Measuring the impact of put into the project, (b) output indicators that democracy-building activities is a challenge, measure how many products are produced,

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for example, how many reports have been Tools for the project cycle published, (c) outcome indicators that measure the effects of the output and (d) International IDEA’s State impact indicators that measure the medium- of Democracy Assessment or long-term impact on the over-arching methodology project goal (OECD 2003: 57). The State of Democracy Assessment (SoD) The indicators chosen to measure the is a methodological framework developed by objectives should be a mix of lead and lag International IDEA together with researchers indicators and of the different measurement from the University of Essex. It is a tool for focuses above. It usually gets more difficult to assessing how well democracy works in a find suitable indicators as one moves down the country from the differing perspectives of its list. citizens. The rationale behind its development Input and output measurements belong was the observation that democracy had to the sphere of operational control and are become the norm in many parts of the world, useful mainly for implementation monitoring. yet many people were dissatisfied with the Evaluation at this level is usually done by the quality and performance of their democratic programme staff members themselves. Impact Effective Party Assistance: system. The State of Democracy Assessment Stronger Parties studies are mostly long-term (some might is not the only measurement for democracy, for Better Democracy have to cover several years) and are not done but a number of characteristics make it by the implementing staff. This is for two unique. reasons. First, evaluation should not be done SoD is based on democratic principles and entirely by those who are responsible for the values against which institutional arrange- project, because there are natural inherent ments are assessed. It places the responsibility limits to objectivity in reflection. Second, of assessment in the hands of the citizens, or impact evaluation is clearly outside the project internal actors, and it is based on the princi- lifespan or cycle. Outcome evaluation is ples of popular participation and ownership. located in between and can be seen as part of The framework is the most comprehensive tool either the internal evaluation or the external for assessing democratic performance. It is impact study. also a flexible framework that allows for con- Finally, it should be noted that comprehen- textualization of the assessment. Table 4 sive impact studies may not always be feasible. summarizes the assessment framework. The As noted, these are long-term tasks that are four-pillar framework covers 14 different complex and can be costly. To avoid inefficien- aspects of democracy, including one that cy, however, it is crucial to have impact studies specifically deals with political parties. for new activities and pilot projects that The primary purpose of the assessment is are later supposed to be scaled up or imple- to evaluate the strengths and weaknesses mented elsewhere. Pilot projects in particular of a democracy, and use the findings to should be carefully designed to enable proper identify and pursue priorities for democratic evaluation, for example with regard to the reform in the specific country of assessment. venue, selection of participants and contextual Local ownership of both the assessment factors. process and the findings is critical. An assessment carried out following International

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Table 4: Categories of International IDEA’s State of Democracy parties may be undertaken. Any democracy Assessment framework assessment should be complemented by a thorough assessment of the party functions Citizenship, law and Representative Civil society and Democracy rights and accountable popular beyond the state described above. government participation In-depth information about the Nationhood and Free and fair Media in a International International IDEA’s democracy assessment citizenship elections democratic dimensions of society democracy methodology may be found in a booklet Rule of law and access Democratic role Political published by International IDEA (IDEA to justice of political parties participation 2002) or the comprehensive Handbook on Civil and political Government Government rights effectiveness and responsiveness Democracy Assessment (IDEA 2007). accountability Economic and social Civilian control of Decentralization Scenario development rights the military and the police Once we have a picture of what the situation Minimizing looks like now, we need a way to make corruption projections about the future. Scenarios are a way of thinking about the future. They are Source: IDEA (2007). based on the assumption that a great part of IDEA’s framework will always be done from the future is determined by unknown factors within a country, not from the outside. As or variables that we cannot predict. Therefore, such, the assessment itself will already have rather than just extrapolating from the an impact on democracy. This is neither present, scenario development tries to identify unwanted nor merely a collateral effect, it is different possibilities of what the future could one of the purposes of the assessment. The look like. Scenario development means two assessment process itself contributes to the things: a process for developing a vision of the democratization process of a country through future and a way of dealing with uncertainty debates and dialogues around salient issues itself. Great emphasis is placed on creativity, emerging from the assessment. both during the generation of scenarios and In what ways can the democracy in their use. In that sense, scenarios are not assessment be useful for a needs assessment supposed to be accurate predictions, but in the area of party assistance? There are two rather a means of stimulating thought about options. One is to conduct a fully fledged the future. assessment and use the results to design Like many strategic planning frameworks, appropriate party assistance projects. In many scenario thinking has its origin in the ways, this is the best choice, because it gives military. In the 1960s it was adapted for the full picture rather than just a specific part. business use. The oil company Royal Dutch However, this would be an extensive project Shell was a pioneer in this field and still of its own that requires considerable resources publishes its Shell Global Scenarios. both in terms of time and money. Scenarios try to look at specific questions If a full assessment is not possible, staged from the outside and from different angles. and/or targeted assessments are possible. For It is crucial that different stakeholders or example, an assessment focusing only on even people not connected to the topic are the aspect of the democratic role of political involved. There are many reasons for engaging

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Figure 3: Phases of scenario development shall concentrate on the specific application of scenario thinking to party assistance. Each process consists of five phases, as shown in Figure 3. The first three phases belong to Phase One: the planning stage, the fourth deals with Orient implementation and the fifth with evaluation. In phase 1, the scope and time horizon of the endeavour is determined. The result is a question that will lead all following steps. The time horizon has to be broad enough to Phase Two: include real changes but limited enough to Explore make realistic assumptions about what the future will look like. For party assistance and democracy-related questions, looking five to ten years into the future is reasonable. Anything further ahead depends on too Phase Three: many unknowns and anything shorter than Effective Party Assistance: Stronger Parties five years will lack the potential to include for Better Democracy Synthesize visionary changes. The question for the scenario process needs to be broad enough to enable open discussion. Depending on the exact needs Phase Four: of the organization that carries it out, it may deal with the development of democracy in Act a country in general or with a more specific question. Examples are: • What will democracy look like in country X in ten years? Phase Five: • Will the parties in country X be stronger or weaker in five years? Monitor • What challenges do parties face in country X in the next ten years? Usually, determining the question will already involve talking to stakeholders and in scenario thinking and many ways of doing asking them about what they think will be it (for a very good introduction see Scearce important for democracy in the given time- and Fulton 2004). frame. Scenarios can serve many different Once the guiding question for the scenario purposes and the way in which the process is process has been established, phase 2 begins. carried out varies accordingly. Rather than This is the exploration phase. The goal here describing the different options at length, we is mainly to identify the forces that shape

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the outcome. These ‘driving forces’ can be The first step is to order the factors by their either known or unknown. Known factors importance to the issue at stake and by their are constants or variables that are relatively degree of uncertainty. Those factors that score easy to predict, such as slow-changing highest on the two scales, that is, those that demographic factors. As we can assume these are most uncertain and most important, are to be set, they are included in each of the the so-called critical uncertainties. Normally, scenarios. More interesting are those forces these critical uncertainties can be mapped that we are uncertain about. These will make on a continuum. For example, if ‘economic up the different scenarios. Once a list of development’ were to be a critical uncertainty, factors has emerged through brainstorming, the continuum would range from ‘weak’ to the next phase starts. ‘strong’. If it were ‘ethnic tensions’, a con- Factors that should be considered when tinuum could range from ‘irrelevant’ to ‘open dealing with party assistance are socio- violence’. The actual scenario framework is demographic changes in society, economic now drawn by combining two critical un- development, external (international) forces certainties in a two-dimensional matrix (see that have an impact on the internal situation, Figure 4). different actors, etc. The matrix has four quadrants, each of In phase 3, the results of the brainstorming which represents one scenario. Hence, in our are ordered and the scenarios put together. example the upper left scenario is one where ethnical conflicts are violent and the economy is weak, etc. The drawing of matrices is an iterative process, which means that after Figure 4: Sample scenario matrix setting up a combination of two dimensions one has to test whether the resulting scenarios make sense. After some effort, eventually one open violence will come up with a combination that does. Once the framework is established, the scenarios are described in narratives. These are stories that vividly tell what the future will

ethnic tensions ethnic look like under this scenario. It is not crucial SCENARIO 1 SCENARIO 2 to depict the future accurately (which is impossible anyway), but to write the scenarios in a way that causes reflection among those who read them and encourages them to think. weak strong economic development Phase 4 is about putting the scenarios to work. By now, the planners have several resources at hand: an assessment of the SCENARIO 3 SCENARIO 4 current situation through a tool like the State of Democracy assessment, four different paintings of the future and an understanding of the functions of political parties in a democracy. At this stage, we know where we

irrelevant

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are (assessment), where we want to go (based Figure 5: Connecting needs assessment, scenarios and party on functions) and how external driving forces functions can influence the general picture (scenarios). The situation is illustrated in Figure 5. Choosing the right programmatic activity Current situation Future (predictions) Desired situation (function performance) is built on the three pillars. The arrows symbolize different programmatic options for Scenario 1 reaching the desired functional outcome in INTEREST the context of different scenarios. Needs ARTICULATION The choice of activity depends on many assessment Scenario 2 State of Democracy INTEREST factors. One of them is risk. Some of the AGGREGATION options may work in more than one scenario Scenario 3 and are therefore low-risk. Others may only RECRUITMENT work in one or two scenarios, but promise to be very effective. These are high-risk Scenario 4 options. Any project should include activities at different risk levels and be prepared for a Effective Party Assistance: Stronger Parties variety of future scenarios. It is important to for Better Democracy note that the scenarios are not detached from the project activity. Every project, of course, paper—effectiveness—with efficiency. tries to influence the future, which means that Effectiveness means achieving the desired not only does the future scenario influence effect. Efficiency makes sure that it is achieved the choice of activities, but that the future can in a financially responsible way, that is, change precisely through the activity. There is without spending unnecessary resources. a mutual relationship. Needless to say, BSC, as scenario The final phase deals with monitoring. In development, is a broad tool. It can be used to order to monitor, suitable indicators have to define the strategy of an entire organization be established that are constantly monitored and it is not limited to individual projects. throughout the implementation of the BSC as a measurement tool can be used at assistance activity and afterwards. This is different levels of an organization, from the described in the next section. very top to the individual staff member. If that is done, BSC can be imagined as a Balanced Scorecard for party cascade with different levels of abstraction. assistance projects The BSC performance measurement system This section introduces the BSC as a tool for was originally developed for the corporate measuring the progress and impact of party world. Robert Kaplan and David Norton of assistance. Again, the purpose is not to give the Harvard Business School published the a comprehensive picture of what BSC is and first article describing the framework in 1992 can do. Rather, we shall limit ourselves to (Kaplan and Norton 1992). the concrete application of the tool to party Kaplan and Norton had realized that assistance projects. the almost exclusive focus in the corporate BSC connects the topic of this policy world on financial indicators as performance

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measurement was not enough. According The customer perspective asesses what kind to them financial indicators suffered in of value proposition the company makes particular from three weaknesses. First, they and how it should approach its customers. failed to measure intangible resources, such The internal process perspective deals with as employee qualifications and knowledge, operational procedures that are necessary to which are crucial for business success. achieve the goals vis-à-vis the shareholders Second, financial indicators look backwards and the customers. The learning and growth rather than into the future and, third, perspective identifies possible gaps in terms of reliance on financial indicators led to short- employee knowledge and skills and describes term thinking. BSC is an answer to these ways to overcome them or generally to shortcomings. It tries to establish a framework enhance capacity. for financial and non-financial indicators in In short, BSC tries to balance different a balanced way, hence the name Balanced perspectives: internal and external, financial Scorecard. The aim of BSC is to provide a and non-financial, future and past. It is a tool for the comprehensive measurement of a tool that helps those who are responsible for company’s performance and a framework for the project to steer a course and it is a means executing corporate strategy. of being accountable to stakeholders (or In its original form, the BSC has four ‘customers’ in the BSC terminology). These dimensions: financial, customer, internal can be donors, assistance partners or others business process, and learning and growth influenced by the activity. Accountability is (see Figure 6). The financial perspective is vital for all involved. Donor organizations concerned with economic success and the have to justify the funds they make available, company’s relationship to its shareholders. assistance providers have to show their ability to deliver and assistance partners have to know that their investments—time, commitment and other resources—are well spent. Figure 6: Perspectives of the basic Balanced Non-profit organizations follow a different Scorecard (Kaplan and Norton 1992) logic from that of businesses. The most important difference is that the ultimate performance indicator for a company is how much money it makes—the bottom line. Financial objectives – indicators Non-profits have a mission that normally cannot be measured in monetary terms. The customer perspective is also different. Often, the one who pays for a service is not Customer Internal processes the one who benefits from it. When it comes objectives – indicators objectives – indicators to democracy assistance or party assistance, there is another difference. Performance measurement in terms of results is very Learning/growth difficult, if not impossible. The aim of party objectives – indicators assistance is to strengthen democracy through

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activities with political parties. Linking the In standard BSC, mission, values, vision success of an individual project to the overall and strategy are determined individually progress of democracy in a country is probably by a company. In democracy assistance it is doomed to fail. Progress in democracy is crucial to have the full commitment of the slow and complex and will in most cases be primary stakeholders. Therefore it is advisable impossible to attribute to one specific activity. to develop the vision (that is, the aim) and What is more, there is still a substantial the strategy (that is, the way to get there) amount of debate going on among academics jointly with donors, providers and assistance and practitioners about whether and the partners. Although the process should be a extent to which it is possible to measure the joint one, it is still described here with the level of democracy in any meaningful way. assistance provider as the centrepiece. This has Given all these differences, some two reasons. For one, the assistance provider adaptations have to be made to the BSC in is the nexus between donor and assistance order to make it useful for the non-profit partner, which do not usually interact directly sector. Again, we shall only concentrate here (see Figure 1). Second, in most cases the on the specific case of applying BSC as a assistance provider will be the main driving performance measure for party assistance force behind the development of the project, Effective Party Assistance: Stronger Parties activity. Anyone interested in the broader as it will ultimately be responsible for the for Better Democracy picture is encouraged to read some of the implementation. extensive literature in the field, such as Niven There are numerous books on strategy (2003). and how to develop one. There is no uniform At the core of each BSC are four things (for definition of the term strategy, but normally an in-depth description see Bryson 2004): it describes in a coherent way how the mission, vision, values and strategy. A mission goal—stated in the vision—is supposed to be is the raison d’être of an organization while reached. A strategy defines priorities and these the values describe the fundamental attitudes priorities are strongly linked to the functions of the organization towards its work. It is of political parties described in the sections not the purpose of an individual project to above entitled ‘The functions of parties in a develop these. democracy’ and ‘Functions first’. Vision and strategy, on the other hand, may As the next and final step in the planning exist for an organization as a whole, but they process, a BSC translates the strategy into are also essential for individual projects. measurable objectives that enable constant The vision describes where you want to go. monitoring of the project’s progress. At the In that sense, it should be both ambitious and end of a project, BSC allows stakeholders to realistic. For example, the purpose of a determine not only whether the project was a party assistance project could be to make success, but also what the particular strengths parties in the target country better able and weaknesses were. The process-orientation to fulfil certain functions where they currently of BSC is important because, as is noted have weaknesses. A vision is like a scenario, above, it might not be possible to determine but with a normative touch. It does not success or failure by comparing the vision describe how the future will be but how it against the state of democracy after the end should be. of the project. BSC is therefore a solution

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to overcoming the inherent immeasurability skills and competences perspective, because of results in democracy assistance. certain training is required or somebody with The perspectives used in a BSC can be specific skills has to be hired. This in turn adapted to the needs of an individual has implications for the budget perspective, project. For party assistance, we propose five etc. Key questions to ask when defining the perspectives: objectives are: • Partners • Partners: what do we have to do for and • Stakeholders with our partners? • Budget • Stakeholders: in what ways do we have to include other stakeholders? • Operations • Budget: what are the budgetary needs and • Skills and competences how can we raise the funds? These are the angles from which we shall • Operations: what processes and activities determine the success of the project. Partners are needed? are the direct stakeholders—donors, the assistance provider and the assistance partners. • Skills and competences: do we have all the Stakeholders include any other group involved knowledge and capacity necessary and, if or affected by the activity, such as the media, not, how do we get them? civil society, government, etc. Budget deals Given the variety of projects it is difficult with the financial perspective of funding and to give more than general advice on how expenditures. Operations concerns internal objectives should be defined. One important processes for a successful project and the skills thing is that they have to be SMART— and competences perspective includes all the specific, measurable, achievable, realistic necessary knowledge and capacities needed for and time-based. Objectives, however, are the project. For private-sector companies, the not mere instructions on tasks to perform. financial perspective is the ultimate measure BSC is not a project management tool, it is a of success. For a non-profit organization, strategic performance measurement. As such, such as a party assistance provider, the over- the number of objectives should normally arching perspective is the mission and, derived not exceed four to five per perspective. If one from that, the vision for the specific activity. considers that each objective will be measured ‘Vision’ therefore goes at the top of the BSC by one or two indicators, five objectives times (Kaplan 1999). two indicators times five perspectives would Once the basic information is there—a already mean 50 developments that need to be vision based on a needs assessment and future monitored. scenarios, a strategy highlighting the broad directions in which to drawing up the BSC Other approaches to effective is a two-step process: determining objectives party assistance for each of the perspectives and determining The options suggested in this policy paper are how to measure them. The objectives in the not the only attempts to make party assistance different perspectives depend on each other. more transparent, effective and accountable. For example, requirements in the operations One of International IDEA’s core values perspective may have consequences for the is the idea of non-prescriptiveness when it

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comes to institutional settings of democracy. International IDEA also applies this principle to the meta-level of project planning and implementation, meaning that it welcomes alternative or complementary approaches to making party assistance more effective. One comprehensive example of a different framework is UNDP’s Capacity Diagnostics Methodology (UNDP 2006a). It systematizes different types of capacities and capacity- building relevant to UNDP’s work, describes ways of conducting a needs assessment and highlights indicators that can be used to monitor project progress. The framework is, however, limited to assessing capacity and therefore not suitable for all kinds of party assistance projects. UNDP has also published Effective Party Assistance: Stronger Parties a Handbook on Working with Political for Better Democracy Parties (UNDP 2006b) that includes a chapter on developing assistance programmes. Other methodologies that were not specifically developed for party assistance projects can still be useful. (Sometimes, they need to be adapted as appropriate.) Examples are ‘Drivers of Change’ from the DFID. This is an analysis framework that tries to identify agents, institutions and structures that drive or inhibit change. Sida’s ‘Power Analysis’ takes a similar approach. This information is important and should directly feed into the needs assessment and planning phase. ■

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Conclusions

arty assistance is a complex The principles have to balance different field with many actors and a needs. On the one hand, they have to be broad range of programmatic open and general enough to accommodate approaches. It is also more very divergent project needs and operational sensitive and political than requirements. On the other hand, they have other fields of democracy to be specific enough to serve the primary Passistance—such as electoral assistance— goal of common standards, which is to which usually include a considerable amount facilitate exchange of information, more of technical assistance. The simultaneous lack precise activities and better cooperation of systematization and contextualization leads and coordination. Beginning in 2008, to projects that are either inefficient or the International IDEA will invite stakeholders impact of which only be guessed. to a series of workshops on the different Given the sensitivity of work with political sub-topics highlighted in this policy paper parties, these weaknesses also make it easy to to advance towards common principles for accuse international party assistance of being effective party assistance. partisan or of interfering with the internal Developing principles and tools is not easy, affairs of other countries. Joint principles but it can be done. This policy paper makes would help to overcome this situation and recommendations and suggestions for possible would enable rather than limit actors. ways. This is, however, only the start of a While diversity is good, common principles process. The international party assistance greatly facilitate exchange of information community—donors, providers and assistance and make information more easily available partners—now have to come together to und understandable. It is highly desirable discuss the matter further. International to develop these principles of effective IDEA is prepared to act as a convenor and will party assistance. Strong involvement of all come forward with concrete proposals on how stakeholders is fundamental in the future. the process can be organized. The assistance partner perspective is especially important and its inclusion must be ensured.

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References

Adejumobi, S., Political Parties in West Africa: The Challenge of Democratization in Fragile States (Stockholm: International IDEA, forthcoming 2008) Bryson, J. M., Strategic Planning for Public and Nonprofit Organizations: A Guide to Strengthening and Sustaining Organizational Achievement, 3rd edn (San Francisco: Jossey-Bass 2004) Burnell, P., (ed.) Democracy Assistance: International Co-operation for Democratization (London: Cass 2000) Burnell, P., (ed.) Globalising Democracy: Party Politics in Emerging Democracies (London and New York: Routledge 2006) Burnell, P., (ed.) Evaluating Democracy Support: Methods and Experiences (Stockholm: International IDEA/Sida 2007) Carey, J. and Reynolds, A., ‘Parties and accountable government in new democracies’, Party Politics, 13/2 (2007), pp. 255–74 Carothers, T., Confronting the Weakest Link: Aiding Political Parties in New Democracies (Washington, DC: Carnegie Endowment 2006) Chege, M., Political Parties in East Africa: A Diversity in Party Systems Within a Region (Stockholm: International IDEA 2007) Doherty, I., ‘Democracy out of balance: Civil society can’t replace political parties’, Policy Review, 106 (2001), pp. 25–35 Effective Party Assistance: Easton, D., A Systems Analysis of Political Life (New York: Wiley 1956) Stronger Parties Erdmann, G., ‘Hesitant bedfellows: The German Stiftungen and party aidfor Betterin Africa’, Democracy in Burnell, P. (ed.) Globalising Democracy: Party Politics in Emerging Democracies (London: Routledge 2006), pp. 181–99 Erhardy, P., ‘Mapping the activities of democracy assistance foundations in the western Balkans and the Black Sea region’, Report (Stockholm: Olof Palme International Center 2006) Gershman, C. and Allen, M., ‘The assault on democracy assistance’, Journal of Democracy, 17/2 (2006), pp. 36–51 Harmel, R. and Janda, K., ‘An integrated theory of party goals and party change’, Journal of Theoretical Politics, 6/3 (1994), pp. 259–87 International IDEA, Democracy Assessment: The Basics of the International IDEA Assessment Framework (Stockholm: International IDEA 2002) International IDEA, International IDEA Handbook on Democracy Assessment, 2nd edn, (Stockholm: International IDEA 2007) Kaplan, R. S., ‘The balanced scorecard for public-sector organizations’, Harvard Business Review, Nov 1999, (1999) Kaplan, R. S. and Norton, D. P., ‘The balanced scorecard: Measures that drive performance’, Harvard Business Review, Jan/Feb 1992 (1992), pp. 71–9 Kumar, K., ‘Reflections on international political party assistance’,Democratization, 12/4 (2005), pp. 505–27 Mainwaring, S., Bejarano, A. M. and Pizarro Leongómez, E., ‘The crisis of democratic representation in the Andes: An overview’ in Mainwaring, S., Bejarano, A. M. and Pizarro Leongómez, E. (eds), The Crisis of Democratic Representation in the Andes (Stanford, California: Stanford University Press 2006), pp. 1–44 Matlosa, K., Political Parties in Southern Africa: The State of Parties and Their Role in Democratization (Stockholm: International IDEA 2007) NDI, ‘A guide to political party development’, Report (Washington: National Democratic Institute for International Affairs 2007)

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Niven, P. R., Balanced Scorecard Step-by-Step for Government and Nonprofit Agencies (Hoboken, New Jersey: Wiley 2003) OECD, Harmonising Donor Practices for Effective Aid Delivery, DAC guidelines and reference series (Paris: OECD-DAC 2003) Roncagliolo, R. and Meléndez, C. (eds), La política por dentro: Cambios y continuidades en las organizaciones políticas de los países andinos (Stockholm: International IDEA; Lima: Asociación Civil Transparencia 2007) Salih, M. and Nordlund, P., Political Parties in Africa: Challenges for Sustained Multiparty Democracy (Stockholm: International IDEA 2007) Scearce, D. and Fulton, K., What If? The Art of Scenario Thinking for Nonprofits (San Francisco: Global Business Network 2004) Stojarová, V. et al., Political Parties in Central and Eastern Europe: In Search of Consolidation (Stockholm: International IDEA 2007) Suri, K., Political Parties in South Asia: The Challenge of Change (Stockholm: International IDEA 2007) Umaña Cerna, C., ‘Mapeo sobre la cooperación internacional con los partidos políticos en Centroamérica, Panamá y la República Dominicana’, Report (Stockholm: International IDEA 2007) UNDP 2006a, Capacity Diagnostics Methodology User’s Guide (New York: UNDP 2006) UNDP 2006b Handbook on Working with Political Parties (New York: UNDP 2006) van Wersch, J. and de Zeeuw, J., ‘Mapping European democracy assistance: Tracing the activities and financial flows of political foundations’,Working Paper 36 (The Hague: Clingendael 2005)

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Abbreviations

AECI Spanish Agency for International Cooperation AusAID Australian Agency for International Development BRIDGE Building Resources in Democracy, Governance and Elections BSC Balanced Scorecard CDI Center for Democratic Institutions (Australia) CIDA Canadian International Development Agency DFID Department for International Development (United Kingdom) EMB Electoral Management Body FES Friedrich Ebert Foundation (Germany) FNSt Friedrich Naumann Foundation (Germany) FPI Pablo Iglesias Foundation (Spain) HBS Heinrich Böll Foundation (Germany) HSS Hanns Seidel Foundation (Germany) IDB Inter-American Development Bank International IDEA International Institute for Democracy and ElectoralEffective Assistance Party Assistance: IPU Inter-Parliamentary Union Stronger Parties IRI International Republican Institute (United States) for Better Democracy KAS Konrad Adenauer Foundation (Germany) NDI National Democratic Institute for International Affairs (United States) NED National Endowment for Democracy (United States) NGO Non-governmental organization NIMD Netherlands Institute for Multiparty Democracy OAS Organization of American States OECD Organization for Economic Co-operation and Development OPIC Olof Palme International Center (Sweden) OSCE Organization for Security and Co-operation in Europe RLS Rosa Luxemburg Foundation (Germany) SADC-PF Southern African Development Cooperation – Parliamentary Forum Sida Swedish International Development Cooperation Agency SoD State of Democracy Assessment UNDP United Nations Development Programme USAID United States Agency for International Development WFD Westminster Foundation for Democracy (United Kingdom)

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INTERNATIONAL IDEA International Institute for Democracy and Electoral Assistance SE -103 34 Stockholm Sweden Tel +46 8 698 37 00 36 Fax +46 8 20 24 22 E-mail [email protected] ISBN 978-91-85724-27-7