CHAPTER 9
A human rights approach to democratic governance and development1
Francisco Sagasti*
I. Introduction ent of human rights approaches, as is the creation of express normative links to international, regional A human rights approach to development and national human rights instruments. Rights-based starts from the basic premise that the achievement of approaches are comprehensive in their consideration human rights is the objective of any process aimed of the full range of indivisible, interdependent and at improving the human condition. It uses the various interrelated rights: civil, cultural, economic, political concepts associated with human rights, understood and social. Rights-based approaches also focus on in their broadest sense as the scaffolding of develop- the development of adequate laws, policies, institu- ment policy. It invokes the international apparatus of tions, administrative procedures and practices, as human rights in support of development action. This well as on the mechanisms of redress and accountabil- approach is concerned not just with civil and polit- ity that can deliver on entitlements, respond to denial ical rights (e.g., free speech, freedom of assembly, and violations, and ensure accountability. They call the right to a fair trial, the right not to be tortured), for the translation of universal standards into locally but also with economic, social and cultural rights determined benchmarks for measuring progress and (access to adequate food, health, education, housing, enhancing accountability. jobs). In addition to realizing specific human rights, a rights-based approach to development emphasizes The Declaration on the Right to Development, accountability, empowerment, participation and non- proclaimed in 1986 by the General Assembly discrimination. (although not by consensus), specifies that the right to development is an “inalienable human right by The definition of the objectives of development virtue of which every human person and all peoples in terms of particular rights—considered as legally are entitled to participate in, contribute to, and enjoy enforceable entitlements—is an essential ingredi- economic, social, cultural and political development, in which all human rights and fundamental freedoms * Chair, Board of Science and Technology Programme, Office of the Prime Minister, Peru. can be fully realized” (art. 1 (1)). Adopting a broad 1 This chapter is a shortened and updated version of a paper prepared by human rights approach to development as its frame- Francisco Sagasti, “Towards a human rights approach to development: concepts and implications”, for FORO Nacional Internacional Agenda: work, which encompasses the right to development, PERÚ in April 2004, available at www.fni.pe. See also the study commis- this chapter explores the interactions between human sioned by the Sub-Commission on the Promotion and Protection of Human Rights (E/CN.4/Sub.2/2004/19). rights and democratic governance. 126 REALIZING THE RIGHT TO DEVELOPMENT | Understanding the right to development
II. Human rights and democratic sive manner to advance the cause of human rights. governance We have learned that participation, dialogue, consen- sus, transparency, accountability and the rule of law Concerns about governance have not always make the State more representative and capable of been associated with respect for human rights and responding adequately to the concerns of its citizens. the reaffirmation of democratic practices. During the 1960s and 1970s, approaches to the subject of gov- Human rights are inextricably linked with demo- ernance emphasized the possibility of, and capacity cratic governance. They both require that people be for, exercising power “efficiently”, understood in terms aware of their rights and duties, that appropriate insti- of achieving the objectives of the rulers, rather than in tutional arrangements facilitate their realization and terms of the rule of law, accountability, transparency that a democratic civic culture have a role in both and participation that are characteristics of democ- issues of national importance and those of everyday racy. In some cases, democracy and governance life. The sense of belonging to a community is nurtured were treated as inconsistent, with the argument that by individual responsibility and by a collective obser- major increases in social demands were overloading vance of democratic practices. From this perspective, democracies. In other cases, it was argued that demo- the unrestricted respect and defence of human rights cratic practices make it more difficult to introduce eco- constitutes the foundation of an equitable and partici- nomic, social and political reforms that would affect patory society, in which everyone helps to achieve the the interests of powerful groups. From this perspective, common good and in which individualism and com- rights-based approaches to development had to take petition are balanced by social awareness and soli- a backseat to the urgent task of promoting economic darity. This foundation implies rejecting violence and reforms and growth.2 intimidation, which are associated with the authoritar- ian exercise of political power to achieve economic, Nevertheless, this apparent contradiction political or social objectives. between democracy and the effective exercise of power is not real, especially when a long-term per- At the international level, technological advances spective informed by human rights and right to devel- in telecommunications and information processing, opment approaches is adopted. On the contrary, we together with the growing influence of mass media, have become aware that participation, dialogue and have profoundly changed the way political power consensus-building have become indispensable for and authority are exercised. The Internet and elec- exercising political power in an efficient and effective tronic mail give citizens greater access to information manner. Recent contributions on the subject of good that was once jealously guarded by the Government. governance underscore the importance of democratic Electronic networks have given political leaders and institutions. Democracy is now conceived not only as organized groups of citizens new ways to communi- an end in itself, but also as a means to achieve eco- cate. The spread of television and social media has nomic, political and social rights. changed how elections are carried out and how Gov- ernments and politicians manage their images and The adoption of a rights-based approach to exercise power.3 Such technological advances have development broadens the concept of governance changed the nature and workings of representative and makes it necessary to add the qualifier “demo- democracy and have brought human rights abuses cratic” for it to make sense. As a consequence, the to light. For example, they were a major contributing older and restricted conception of governance as effi- factor to the demise of totalitarian regimes in Eastern ciency in economic management has evolved into a Europe, the former Soviet Union and in the Middle broader understanding of the way in which leaders East, and are also creating a more open and trans- exercise power and authority in an effective and inclu- parent climate for political activity in most developing countries. In addition, modern telecommunications
2 See, for example, Michel Crozier, Samuel Huntington and Joji Watanuki, and mass media have allowed information about The Crisis of Democracy: Report of the Governability of Democracies to human rights violations, genocides, civil wars and the Trilateral Commission (New York, New York University Press, 1975) and also a review of that report 20 years later by Robert D. Putnam, Jean- atrocities inflicted by rulers on their people to reach a Claude Casanova and Seizaburo Sato, Revitalizing Trilateral Democra- wide audience, create indignation and mobilize sup- cies: A Report to the Trilateral Commission (New York, Trilateral Commis- sion, 1995). For a different perspective on the interactions between identi- port for the victims. ty, violence and democracy, see Amartya Sen, Identity and Violence: The Illusion of Destiny (New York, W.W. Norton, 2006), and for an account of how human rights are becoming part of a new “cosmopolitan” approach 3 The recent turmoil in the Arab world is testimony to the power of new to ethics, see Kwame Anthony Appiah, Cosmopolitanism: Ethics in a World forms of communication to influence political change, even in authoritarian of Strangers (New York, W.W. Norton, 2006), pp. 162-166. regimes. A human rights approach to democratic governance and development | PART TWO 127
Developed countries, developing nations and tal organizations such as Amnesty International and international organizations are finding that their con- Human Rights Watch.5 cerns about human rights and good governance con- verge. After the fall of the Berlin Wall and the end of International financial institutions have empha- the cold war, and after the Arab Spring, these issues sized efficiency in economic management, arguing are increasingly linked to the full exercise of political that openness and the responsible exercise of pub- liberties, improvements in living standards, reducing lic functions are key to economic performance. Inter- poverty and the achievement of economic and social national organizations, and in particular the United objectives. As a result, in many parts of the world Nations, have highlighted respect for human rights, societies are exploring different ways of promoting the importance of democratic institutions and the pre- and consolidating democratic governance, often in vention of violent conflicts. In addition to those issues, the aftermath of violent conflicts, in the wake of the non-governmental organizations have focused on demise of authoritarian regimes and following politi environmental protection and the rights of minorities cal crises. and indigenous peoples.
Yet the growing power of international organiza- The accelerated and uneven processes of eco- tions does not mean that—barring the extreme case of nomic, financial, social, environmental, cultural and failed States—developing countries have no strategic technological globalization are leading to a fractured or political options of their own in the management global order at the beginning of the twenty-first cen- of their economic, political and social affairs.6 The tury.4 This is an order that encompasses the entire conditions established by the international financial planet, yet divides rather than integrates people; an institutions for obtaining access to their resources are order that puts most of the world’s inhabitants in con- key reference points for the design and implementa- tact with each other but at the same time creates and tion of economic policies, but they are not completely maintains deep fissures among them. In this fractured rigid, as is often imagined. Within limits, which may global order, human rights and governance prob- be more flexible than they may appear, Governments lems that transcend national borders have begun to with technical capacity, a good negotiating strategy demand increasing attention from the world’s politi- and broad political support have a certain degree of cal, business and civil society leaders. Issues like com- room for manoeuvre to modify the conditions set by bating terrorism, reforming the international finan- the international organizations.7 cial architecture, reducing pollution and mitigating global warming, and dealing with mass migration and increased numbers of political, environmental 5 For example, as Chief of the Strategic Planning Division at the World Bank in the late 1980s I witnessed how democratic governance concerns grad- and economic refugees, among many others, pose ually found a place in the institution’s agenda. See World Bank, World governance problems and challenges that transcend Development Report 1991: The Challenge of Development (New York, Ox- ford University Press, 1991), pp. 132-134; on OAS, see Heraldo Muñoz, the purview of States and demand international “The OAS and democratic governance”, Journal of Democracy, vol. 4, cooperation. No. 3 (July 1993), pp. 29-38; and for an overview of Council of Europe and North Atlantic Treaty Organization initiatives, see Neil Winn, Promot- ing Democracy, Human Rights and Good Governance in Europe’s Four Seas Basins, EU4seas papers, Politics and Security (October 2009), avail- In this context, international public, private and able at www.eu4seas.eu. civil society entities have grown increasingly impor- 6 A clear and forceful statement regarding the growing concern of inter- national institutions to offer a more varied and pluralistic set of policy tant. Starting in the late 1980s, good governance options for developing countries is found in a statement by Robert B. became a major concern of international finan- Zoellick, President of the World Bank, in 2010, entitled “Democratizing development economics”, available at http://web.worldbank.org. For a cial institutions, especially the World Bank and the perspective on the way international financial institutions and developing Inter-American Development Bank; as well as of the countries interact, see Francisco Sagasti, Keith Bezanson and Fernando Prada, The Future of Development Financing: Challenges and Strategic United Nations and regional political organizations Choices (Basingstoke, United Kingdom, Palgrave Macmillan, 2005) and Francisco Sagasti and Fernando Prada, “The effectiveness of hemispheric like the Organization of American States (OAS), cooperation”, OAS-Inter-American Council for Integral Development (CIDI) the Council of Europe and the North Atlantic Treaty document OEA/Ser.W/II.4-CIDI/RECOOP/INF.4/09 prepared for the Specialized CIDI Meeting of High-Level Cooperation Authorities, Bogotá Organization, and for international non-governmen- (October 2009). 7 At the same time, financial globalization—and the discipline imposed by international markets on macroeconomic policies—may prove more import- 4 See Francisco Sagasti, Rethinking Technical Cooperation among Devel- ant for middle-income countries with access to global sources of private oping Countries (TCDC) and South-South Cooperation (SSC): An Issues capital than the conditions set by the financial institutions. This suggests the Paper, annex B – A fractured global order (Lima, FORO Nacional Interna- need for some kind of mechanism to reduce the potentially destabilizing cional Agenda: PERÚ, 2006), available at www.fni.pe. See also Francisco influence that volatile international capital markets can have on developing Sagasti and Gonzalo Alcalde, Development Cooperation in a Fractured countries, which may affect negatively their efforts to embark on a rights- Global Order: An Arduous Transition (Ottawa, International Development based approach to development. The 2008-2009 financial and economic Research Centre, 1999). crises made this abundantly clear. 128 REALIZING THE RIGHT TO DEVELOPMENT | Understanding the right to development
Similarly, in parallel with the widespread inter- ily-centred activities and under conditions close to national support regarding the promotion, protection self-exploitation. The third is circumstantial poverty, and fulfilment of human rights, international govern- which affects primarily those who, even though they mental and non-governmental organizations and civil have access to reasonable social services and can society are playing a larger role in fostering demo- make their voices heard, have lost their jobs, find it cratic governance (international supervision of elec- difficult to participate in the formal economy, or do tions, assistance with the design of electoral systems), not receive adequate salaries, primarily because of protecting the environment (financing conservation recurrent economic crises or temporary shortfalls of efforts, alerting on potential environmental disasters) income.8 and in promoting social and cultural equity (gender Table 1 below summarizes the relationship awareness campaigns, protection of indigenous between the types of poverty and the forms of exclu- peoples). sion—economic, social and political—that are pecu- liar to each. These forms of exclusion imply the nega- Thus, over the last several decades, international tion of certain specific human rights (rights to work, pressures from public, private and civil society organ- education, food, non-discrimination and political izations are coming together to link human rights and participation, among others), and a rights-based democratic governance. In this sense, we can speak approach to development would seek to reduce pov- of a broad-based consensus on the mutually reinforc- erty through the elimination of these three types of ing character of rights-based approaches to develop- exclusion. ment and the support and promotion of democratic governance. Table 1: Relationship between types of poverty and exclusion
Type of exclusion Type of poverty III. Rights-based approaches to Economic Social Political
development, exclusion and Circumstantial High Low Low poverty Chronic High Moderate Low
It is useful to relate the identification of possible Endemic High High High interventions to advance a human rights approach to development to the reduction of different types of pov- Endemic poverty involves these three dimensions erty and the elimination of the various forms of exclu- of exclusion: the endemic poor are economically, sion associated with each of them. This perspective socially and politically excluded. Productive employ- also helps to define the role of the international com- ment opportunities are very limited, social services munity in promoting economic, political and social non-existent or of extremely low quality, their voices rights. are not heard and they lack channels to participate effectively as citizens in the country’s political life. In It is possible to distinguish between three types addition, they generally do not have fluid and contin- of poverty in most developing countries. The first is uous access to transport and other means of commu- endemic poverty, which affects people with extremely nication with the rest of the country and the outside low standards of living, with a high proportion of world. unsatisfied basic needs, without access to labour mar- Chronic poverty is directly related to economic kets and social services and without the possibility exclusion due to the obstacles faced by this type of having their voices heard. These are people for of poor to access the formal labour markets and to whom poverty has a historical and cultural dimen- social exclusion because of the low quality of the sion that goes back decades and even centuries, and social services they receive and the multiple forms of who usually remain rather isolated from the modern discrimination they are subjected to. They are usually segments of society. The second is chronic poverty, not affected by political exclusion; indeed, they par- which affects those who generally live in the marginal ticipate actively in electoral processes, have access urban areas and in some of the relatively more devel- to mass media, and there are channels—neighbour- oped rural areas. They have greater access to social services, even if these are of rather low quality and 8 For a more elaborate description of the interactions between poverty and exclusion, see Francisco Sagasti, “Tipología de la pobreza y dimensiones do not adequately satisfy their needs. Most of them de la exclusión en el Perú”, FORO Nacional Internacional, 2008, avail- belong to the informal sector and have been forced able at www.foro-nacional-internacional.pe, where other dimensions of exclusion—cognitive-cultural, environmental-resource, knowledge and the to generate their own livelihoods, frequently in fam- exclusion of future generations—are also considered. A human rights approach to democratic governance and development | PART TWO 129
hood organizations, trade unions, religious groups, legitimization of State institutions and citizen participa- non-governmental organizations, and even street pro- tion, which should aim at articulating a viable political tests—through which they can air their views. As a community with a shared sense of the common good, result, politicians assiduously court the chronic poor, of history and of the future, and which should lead to especially at election times. representative and efficient State institutions that citi- zens could identify as their own. This requires political Circumstantial poverty is characterized mainly and administrative reforms to bring State institutions by economic exclusion, and affects those who have at all levels, from central to local governments, closer had access to education and other social services and to the people and promote participation; measures to whose poverty is the result of economic crises that ensure public accountability; and initiatives to make reduce income levels significantly and diminish pur- the exercise of power and authority more open, trans- chasing power. They do not feel the impact of social parent and participatory. Such initiatives would go a and economic exclusion to the same degree as the long way towards ensuring the realization of the right endemic and the chronic poor. For this reason, they to development, including civil and political rights. are the first to benefit from economic growth and sta- bility, and from the expansion of productive and ser- The three processes aimed at reducing exclu- vice capacities that create employment. sion and poverty and at advancing a rights-based approach to development interact closely with each A reduction, and the eventual elimination, of other, although each one proceeds at its own pace, economic exclusion may be achieved through produc- at times reinforcing or blocking the other two. Some- tive transformation, which should lead to an efficient, times democratization moves faster than productive productive and competitive economic system, to the transformation and legitimization experiences major effective use of market mechanisms and Government setbacks; at other times productive transformation regulation for equitable and fair resource allocation advances significantly without commensurate pro- and to a viable and sustainable process of accumula- gress in democratization or legitimization; and there tion. In addition to sensible macroeconomic policies to are situations when productive transformation is halted maintain stability, productive transformation requires and democratization obstructed, but legitimization a series of active market-friendly sector polices aimed does not suffer as much as the other two processes. at increasing productivity, improving competitiveness and seeking a more favourable insertion into the inter- Reducing social exclusion through democratiza- national division of labour. Such productive transfor- tion requires a vigorous and efficient economy that mation would allow the country to generate a level of is able to grow and to generate wealth, and also a economic activity and redistribution policies consist- legitimate State capable of creating an environment ent with the right to development for all. favourable to economic progress and of redistributing the benefits of growth in an equitable manner, consist- A reduction and the elimination of social exclu- ent with the right to development. Reducing economic sion is the result of the process of social democratiza- exclusion through productive transformation requires tion, which should lead to the elimination of extreme a legitimate State with the capacity to provide public inequalities and all forms of discrimination, to equal services, implement adequate policies and regulate opportunities for all, to the provision of good quality markets, and also the support of a democratized soci- basic social services for everyone, particularly health ety that appreciates the benefits of growth. Reducing and education, and to an untrammelled respect for political exclusion through legitimization requires a individual human rights. Social democratization modern economy capable of growing in a sustained would lead to a more vigorous and active civil society manner and of providing tax revenues to the State, as and to a more socially and culturally integrated and well as a more integrated society in which all citizens peaceful country. In addition to the provision of social participate actively in public life. services, policies to generate employment, measures to achieve a more equitable distribution of income The interactions between these three processes and programmes to assist the poorest of the poor are find concrete expression in a social compact, which, also required to pave the way for the realization of in turn, should underpin a fiscal compact between all the right to development for all. segments of society—political leaders, civil servants, members of civil society organizations and the busi- A significant reduction and the elimination of ness community, among others. The fiscal compact political exclusion is achieved through the process of would aim at providing the State with a tax base that 130 REALIZING THE RIGHT TO DEVELOPMENT | Understanding the right to development allows Government institutions to function effectively, I V. Role of the international maintain economic and social stability and provide community in rights-based security and other public services, particularly those approaches to development associated with poverty reduction and achieving human rights. These agreements should rest on a The international community has an important broad consensus on the role of the State, on the need but complementary role to play in the complex pro- to gradually integrate the informal sector into the for- cesses of putting in practice rights-based approaches mal economy so that it receives public services, social to development. Human rights considerations can be security and increased job security in exchange for introduced into development assistance interventions paying taxes, and on the recognition that, while the in two ways, first by ensuring that these interventions poor may not pay taxes, they contribute—through vol- take explicitly into account the various facets involved untary work, collective undertakings and social mobi- in a rights-based approach to development. The idea lization—to the provision of some public goods and is to mainstream human rights concerns, incorporat- social services and to the creation of human social ing these factors into the design and execution of capital. The social and fiscal compacts should ensure financial and technical assistance programmes in a that State expenditures reach a level commensurate variety of fields such as education, health, nutrition, with the provision of a reasonably adequate level of population, agriculture, industry, trade, infrastructure, basic social services to all.9 macroeconomic policy reform, participation, govern- ance and so on. What have been called “national dialogues” could play a significant role in forging the social con- In addition, it is necessary to take into account sensus necessary to underpin the initiatives associated the impact of development assistance interventions on with a rights-based approach to development, poverty the cultural and biophysical contexts, so as to avoid reduction and the elimination of exclusion. These pro- disruptions and unintended negative consequences. This has been the experience in conflict-prone set- cesses aim at generating consensus on the main stra- tings where development assistance programmes, tegic directions for development with a long-term hori- designed without an awareness of deep-rooted cul- zon, which would find expression in a set of “State tural factors, have sometimes exacerbated ethnic, policies” rather than “Government policies”, i.e., social or political tensions, ignited violence and led to the policies of the party in power, which all political the violation of human rights. In general, some varia- forces and parties, the private sector and civil society tion of the “do no harm” or “when in doubt, abstain” commit to uphold in successive Governments.10 precautionary principle appears to be in order when taking into account such contextual factors. However, While past habits and practices could make the this should not lead to paralysis or inaction, but rather consensus-building exercise of a national dialogue to more informed and explicit judgements regarding a difficult proposition in many developing countries, the impact of development interventions to promote should Governments be willing to launch such a pro- human rights. cess, and political and civil society leaders be willing to participate, it may be possible to overcome some The second way in which human rights consider- of the severe limitations that usually prevent the artic- ations are incorporated into development assistance ulation of a shared vision of the future and make it programmes is by designing and implementing inter- difficult to approach it. This may open opportunities ventions specifically aimed at eliminating exclusion, for strategic and sustained interventions to advance reducing poverty and promoting empowerment and human rights, reduce poverty and eliminate the var- participation. These interventions can be related to the ious forms of exclusion by combining initiatives from processes of productive transformation, social democ- Government, civil society and the private sector at all ratization and State legitimization, and are informed levels. and influenced by human rights-based approaches to development. They aim at reducing economic, 9 For a review of the experience with public dialogues in Peru and Latin America, see Ada Piazze and Nicolás Flaño, eds., Diálogo Social en social and political exclusion, primarily by building América Latina: Un Camino Hacia la Democracia Ciudadana (Washing- the capacities in the private, civil society and public ton, D.C., Inter-American Development Bank, 2005). 10 For an analysis of the Peruvian experience with the “Acuerdo Nacional” sectors and by putting into practice interventions that as a forum for dialogue, see Max Hernández, Acuerdo Nacional, Pas- steer institutional change in the medium term. Each of ado, Presente y Futuro (Lima, International Institute for Democracy and Electoral Assistance, 2004), available from www.idea.int. these three processes will be briefly examined in turn. A human rights approach to democratic governance and development | PART TWO 131
Productive transformation. Initiatives in (c) Programmes to evaluate and learn from this category refer to the changes in the productive the experience of past public policies and system to make it capable of sustained growth and of those of countries in a similar situation. In creating wealth. Three such initiatives are highlighted particular, there is the need to take stock below: of economic policy reforms such as privati zation of public services (energy, water, (a) Programmes to create new business oppor- telecommunications, transport), financial tunities and improve the productivity of local liberalization and changes in the tax and firms, and especially small and medium fiscal systems. As the debate on such poli- enterprises, so as to generate surpluses for cies has become highly charged and tinted domestic investment and to improve com- with ideological considerations, there is an petitiveness in foreign and local markets. urgent need for a sober and dispassionate These include management and techni- assessment of how these reforms are actu- cal assistance programmes (quality con- ally carried out and of their impact, with trol, marketing, waste reduction, process the aim of learning from experience and streamlining, technology management, improving public policies to foster moderni- extension services), initiatives to improve zation. the policy environment for the private sec- tor (investment promotion, competition poli Social democratization. Initiatives in this cat- cies, industrial and trade policies, financial egory refer to the reduction of inequalities, the promo- policies) and measures to facilitate the tion of dignified living, the creation of opportunities operation of productive enterprises (admin- for the poor and the provision of basic social services. istrative simplification, reduction of bureau- The international community has played an important cratic requirements). Programmes of this role in four types of initiatives, especially during the type have been quite common for bilateral last decade and a half: agencies and, to a lesser extent, for inter- national financial institutions and private (a) Initiatives to design, organize, launch and foundations. This category also includes coordinate special poverty reduction and initiatives to help achieve a sustainable use social emergency programmes, in particu- of natural resources, in particular renew- lar those aimed at reducing endemic pov- able resources (biodiversity, forests, soil, erty. As public sector resources are clearly fisheries, aquaculture), and coping with the insufficient to reduce poverty, there have effects of climate change. This is an impor- emerged a number of public-private-civil tant area that has not received sufficient society partnerships (preventive health ser- attention and which requires research, vices, nutrition programmes for children, studies and pilot programmes to learn more employment programmes for women) in about these resources, as well as to learn which public funding, mobilization and vol- how to conserve and use them in a sustain- unteer work by beneficiaries, private sec- able manner; tor provision of some goods and services, (b) Programmes to improve the performance of and development assistance have all con- the informal sector, which should be par- verged. The international community can ticularly targeted to the small and micro help to evaluate the results of these partner- enterprises that generate most of the jobs ships, to assess their impact and possible in poor countries. This includes training replication, and also assist in the design activities, the provision of appropriate tech- of more appropriate poverty reduction nology packages, the supply of technical interventions that are consistent both with information, the simplification of tax collec- human rights and right to development tion mechanisms and measures to improve approaches; access to credit. There is a need for experi mentation with potentially replicable pro- (b) Initiatives to help improve the provision of grammes to improve the quality of self-gen- basic social services provided by the pub- erated jobs, for these jobs will dominate lic sector. Only a very small minority has the employment scene in many developing access to private education and health ser- countries for at least for a generation; vices and, in general, the quality of public 132 REALIZING THE RIGHT TO DEVELOPMENT | Understanding the right to development
services in developing countries is rather (a) Initiatives to help clarify and consolidate low. The administrative, financial and tech- the role that the State should play in the nical challenges involved in reforming pub- economic and social life of the country. In lic-health, education, water supply, sanita- most developing countries, the inconsist- tion, transport, telecommunications, energy encies and contradictions of arguments and housing are daunting, and joint efforts regarding the role of the State during the between public, private and civil society last 30 years have left a legacy of con- entities are essential to achieve lasting fusion that must be overcome. Debates improvements. These initiatives need to on this issue are clouded by ideological be sustained for several decades to bear positions, vested interests and unrealistic fruit, and improvements will be slow at expectations which underscore the need the beginning. However, after overcoming for clear thinking on what the State could bureaucratic inertia and the opposition of and should do in developing countries special interest groups, progress is likely during the coming decades. The interna- to proceed at a faster pace. For this rea- tional community can help in raising the son it is necessary to have a clear vision level of debate by providing information of what should be achieved in the medium on the situation of other countries, promot- and long run, while at the same time taking ing the exchange of experiences, support- small but firm steps to approach the vision; ing research and studies, providing fellow- ships for young professionals interested in (c) Initiatives targeted at reducing the social public sector issues and making available exclusion of particularly vulnerable groups, the expertise of senior policymakers on the such as children with disabilities, old and role of the State in economic and social destitute people, indigenous communities, development; children orphaned as a result of terrorism and civil wars, and victims of domestic (b) Initiatives to strengthen the role of political violence. These initiatives should be highly parties and their political intermediation focused and complement public services role. This is a rather difficult area of inter- and poverty reduction programmes, and vention for the international community, have often been sponsored by international primarily because of the risk of undue inter- and national non-governmental organiza- ference in domestic political affairs and the tions; risk of favouring one or other political group (d) Initiatives aimed at strengthening civil soci- (although some foundations with political ety organizations, many of which play a party ties do precisely this). However, it is leading role in a variety of fields related to possible to identify programmes that could social democratization. This involves sup- strengthen the political system as a whole port for human rights organizations, grass- and could help to consolidate democratic roots groups and local associations active governance. These include training pro- in poverty reduction, and organizations grammes for political leaders, assistance in that promote transparency, fairness and the design of electoral systems that could accountability in public sector activities. lead to greater political stability and the provision of information on the experience State legitimization. Initiatives in this cate- of other countries facing similar processes gory refer to changes in the way the State and Gov- of political disintermediation; ernment organizations work and respond to citizen demands. They aim at making State institutions more (c) Initiatives to modify the incentives that efficient and representative and to promote citizen condition the behaviour of political lead- participation in public affairs. The international com- ers, aligning them so as to promote pub- munity has played a role in five types of initiatives lic sector reforms. This is also a difficult falling into this category through public sector reform area for the international community in programmes, most of which have focused on improv- which to intervene, primarily because of ing the capacity of the central Government and of the short-term gains and losses for one or local governments: another political group that are involved. A human rights approach to democratic governance and development | PART TWO 133
Yet, considering the political system and V. Actors in the international the State apparatus as a whole, it is pos- development assistance sible to identify specific initiatives—which community and their roles should be conceived and placed within a broader framework of substantive insti- Many actors take part in the design and imple- tutional reforms—that would lead to a mentation of development interventions within the more efficient and representative State. In framework of rights-based approaches. At the national addition to greater transparency, account- level there are public, private and civil society organi- ability, openness and participation, these zations, and there are also political actors that link all would include changing the rules of the of these with the State apparatus. At the international electoral process (for example, to balance level, public institutions can be divided into multilat- territorial with functional representation), eral and bilateral agencies and the first of these com- changes in the way candidates for polit- prise international financial institutions (multilateral ical office are designated (for example, development banks, the International Monetary Fund substituting or complementing decisions (IMF), special funds), as well as international institu- by party leaders for internal primary elec- tions of a political and normative nature (the United tions) and modifications in the terms of Nations system, regional bodies).11 office (to disengage presidential and con- gressional elections). The idea is to create Yet, the main actors in rights-based approaches an incentive system for political actors that are national organizations. Eliminating endemic pov- would induce behaviour congruent with erty is primarily a responsibility of public sector insti- institutional reforms and also be compati- tutions under the strong leadership of political actors. ble with the objective of reducing poverty. Civil society organizations play a complementary Learning about the experience of other role and the private sector a minor one. The reduction countries would be most valuable in this of chronic poverty requires joint interventions by the regard; State and civil society, which in turn should have the support of political actors; private sector entities, and (d) Initiatives to strengthen and improve the small enterprises in particular, play an important but functioning and guarantee the independ- complementary role. Reducing circumstantial poverty ence of the judiciary so as to ensure the is primarily a task for the private sector with the sup- protection of human rights and the punish- port of public policies and institutions, with civil soci- ment of those who violate human rights. ety playing a limited role. An independent and well-functioning judi- cial branch is essential in preventing and International public, civil society and private combating corruption and to make sure actors play roles similar to those of their national coun- that all citizens have equal access to legal terparts in the reduction of the three types of poverty, recourse to resolve their conflicts and to but with some important variations. In contrast to the obtain redress; domestic private sector, foreign firms play only a lim- ited role in the reduction of circumstantial poverty, (e) Initiatives to promote decentralization and while international financial institutions influence sig- the devolution of decision-making powers to nificantly the modernization policies aimed at reduc- lower government instances. This has been ing this type of poverty. Bilateral agencies, multilateral a long-standing demand of peoples outside institutions and international civil society organizations metropolitan areas in developing countries are increasingly involved in the design, implementation which has usually been ignored by political and financing of projects to reduce chronic poverty. On leaders in the central Government. However, the other hand, international financial institutions, and the way in which decentralization and the the international community in general, have a very closely related concepts of “de-concentration” limited role in addressing endemic poverty.
and “regionalization” are understood will 11 International assistance is paying greater attention to human rights issues. condition the nature and impact of such ini- As Roger Riddell has pointed out, “some donors have started more explic- itly to base aid-giving decisions on the human rights records of recipient tiatives. The international community should Governments, in particular by reducing or halting completely the flow support decentralization while pointing out its of aid to countries whose record on basic human rights they assess as seriously deficient” (Roger C. Riddell,Does Foreign Aid Really Work? risks. (New York, Oxford University Press, 2007), p. 92). 134 REALIZING THE RIGHT TO DEVELOPMENT | Understanding the right to development
It is difficult to venture suggestions on the spe- structure projects and by supporting administrative cific roles that the various international institutions and policy reforms to improve the provision of basic should play in a rights-based approach. They operate social services, to ensure economic stability and to through many different financial, technical assistance promote growth. However, this does not necessarily and information-exchange instruments, and by utiliz- mean that in practice their interventions comply with ing their convening power to forge consensus at the rights-based approaches, nor that they are governed country level. The potential for cross-sector synergies in accordance with democratic practices. For exam- is enhanced through policy harmonization and the ple, IMF deals primarily with short-term financing, coordination of the activities and interventions of the although its conditions for access to resources under different international institutions, as well as through its control are primarily related to the maintenance more effective coordination with their national coun- of economic stability. However, these conditions usu- terparts to advance human rights. ally have important consequences for rights-based approaches and should be carefully examined in Intergovernmental organizations such as the terms of their implications. For this purpose, the Gov- United Nations and regional organizations have pri- ernment needs a greater capacity to negotiate with marily a normative and technical assistance function, international financial institutions. This requires both but have limited resources to initiate rights-based- the articulation of a national development strategy, approach interventions. These institutions are per- which should be developed with the active, effec- ceived as more neutral than international financial tive and meaningful participation of all stakeholders, institutions, and frequently are a source of alternative including representatives from relevant ministries, civil policy advice to developing countries. They can dis- society, non-governmental organizations and aca- seminate information, foster the exchange of experi- demics, and the organization of a team of experts, ences, organize and launch demonstration projects, including experienced negotiators, researchers and provide technical assistance to policymakers, arrange academics who should have an intimate knowledge the provision of public goods and use their conven- of how these institutions operate. ing power to organize dialogues and promote con- sensus on rights-based interventions at the national Bilateral development assistance agencies usu- and local levels.12 In many developing countries they ally have resources at a level somewhere between the have played all of these roles at different times during tens and hundreds of millions of dollars that are at the last three decades. There is a need for evaluat- the disposal of international financial institutions and ing their experiences and assessing their future roles the tens of thousands that are available to interna- in the light of the large number of poverty reduction tional organizations. In addition, they respond to the strategy papers and other strategy documents pro- foreign and development assistance policies of their moted by international organizations in low-income own Governments and can be more selective in their countries The United Nations Development Assistance involvement in promoting specific aspects of right to Framework, which should be prepared by all United development approaches. As a consequence, they Nations agencies under the coordination of the United have more freedom to experiment with and test alter- Nations Development Programme, should specify the native ways of promoting development, for example, activities and programmes each agency should focus in the provision of primary health care, in training on. primary school teachers and in helping to respond to environmental challenges. Their involvement in pro- International financial institutions, and the mul- moting institutional changes in a particular field or tilateral development banks in particular, play three region can be sustained over relatively long periods roles: a financing role at the country level; a develop- of half a decade or more, which allows them to see ment role that focuses on building capacities; and a the results of their interventions to a larger extent than role in helping to finance the provision of global and other international actors. regional public goods. They can back their advice and policy recommendations with substantial financ- International civil society organizations have ing, and their involvement in rights-based approaches played a relatively minor role in development assis- focuses primarily on the fulfilment of economic, and to tance, although in some specific fields they have had a lesser extent social rights, through the provision of a major impact. For example, in the environmental large-scale financing for social, productive and infra- field civil society organizations, together with private international foundations, have played a leading role 12 On the provision and financing of global and regional public goods, see Sagasti, Bezanson and Prada, The Future of Development Financing. in conservation efforts and in preserving some cultural A human rights approach to democratic governance and development | PART TWO 135 Private sector Report corruption in Government Be a good corporate citizen Social responsibility programmes Community development initiatives Upgrade capabilities of local suppliers Help in developing human resources Expand investments in the country • • • • • • • Assist in democratic transitions Support programmes to bring the State closer to the people Uphold respect for human rights Denounce discrimination and human rights violations Assist in programmes to reduce inequalities and improve equity Provide information about export markets Assist small firms in complying with foreign standards and regulations Help achieve environmen - tal sustainability International civil society • • • • • • • • International Bilaterals Support civil society organizations Exert pressure on the Gov - ernment for democratic governance Finance special programmes aimed at poverty reduction Spread best practices Provide technical and managerial assistance to private sector Special programmes for small and informal enterprises • • • • • • Public institutions institutions International financial International financial institutions play an important but supporting role. Bilateral agencies can lobby to remove trade barriers that block exports and hamper growth in developing countries. In addition to the above, bilateral agencies, international financial institutions and international non-governmental organizations can contribute to the elimination of social exclusion. International entities play a limited role in eliminating political exclusion, with minor exceptions for the international financial institutions and an occasional supporting role for international civil society. Avoid supporting Avoid authoritarian rule Be sensitive to social de - mands that are reflected in requests for increased public spending Support of local productive initiatives Assist in the transfor - mation of economic structures • • • • Private sector Reject corrupt practices Be a good taxpayer Social responsibility programmes Philanthropic activities Create wealth to achieve economic growth Improve efficiency of productive activities Increase exports Small and micro enter - prises should gradually abandon informality • • • • • • • • National Civil society Hold government institu - tions accountable Mobilize public opinion for democratic governance and practices Participate actively in poverty reduction programmes Become involved in the provision of basic social services fairness Demand equity, and efficiency in the delivery of social services Consumer protection programmes Provision of services to members of professional and business associations • • • • • • • State institutions The private sector and State institutions are primarily responsible for achieving economic growth and reducing economic exclusion. In addition to the role of private sector in reducing economic exclusion, State institu - tions and civil society organizations play the major roles in reducing social exclusion. In addition to what is stated above, the main protagonists in eliminating political exclusion is the State, while civil society has a limited role and private sector plays practically no role. Become more efficient and representative Openness, transparency, accountability Improve participation Change incentives for political actors Improve provision of basic social services Eliminate discrimination Poverty reduction programmes Special programmes for disadvantaged groups Create favourable policy environment for invest - ment and growth Provide services to productive sector Policies to “formalize” the informal sector • • • • • • • • • • • Low High None Political mization State legiti- Low High Social Medium Social democratization High High High Economic Productive transformation Poverty, exclusion and rights-based approaches to development: Illustrative examples of the role national international actors Poverty, Chronic Endemic Exclusion Circumstantial Poverty Table 2: Table 136 REALIZING THE RIGHT TO DEVELOPMENT | Understanding the right to development
traditions. Similar remarks apply to the international in practice processes that would remove the various private sector, for foreign investors have not played a types of exclusion and create the conditions for peo- major role in rights-based approaches, except in the ple-centred development. cases where social and corporate responsibility activ- ities have led to the establishment of community devel- The main idea is that promoting a human rights opment programmes in the areas adjacent to their approach to development requires simultaneous centres of operation. Private foundations have played advances in the three processes of social democra- a limited but significant role in a few fields, such as tization, which reduces inequalities and social exclu- scientific and technological research (seed develop- sion; productive transformation, which establishes a ment, alternative sources of energy, environment) and vigorous economy capable of removing economic the provision of some social services (family planning, exclusion; and State legitimization, which creates a vaccination, education for girls). Their advantage lies representative and efficient State apparatus that elimi in the great freedom they have to experiment, explore nates political exclusion. and take risks with new approaches to poverty reduc- tion interventions, for they are not subjected to the The various actors in the international commu- same accountability constraints faced by publicly nity, including public, private and civil society entities, financed bilateral agencies and international organ- have different roles to play in these three processes. izations. Yet the primary responsibility for putting into practice a human rights approach to development remains at International community initiatives to foster a the national level, which requires that political, eco- rights-based approach can be related to the different nomic and social elites become aware of the respon- types of poverty and exclusion and to the three pro- sibility they bear for advancing towards a prosperous, cesses of productive transformation, social democrati- inclusive and free society for all. zation and political legitimization of the State. Table 2 provides a few illustrative examples of the types of Nevertheless, even though the primary respon- interventions that the various national and interna- sibility is national, an enabling international environ- tional actors can play in these processes. ment is required to facilitate this process, consistent with the right to development. Among other things, VI. Concluding remarks this right requires greater democratic governance of international organizations, and particularly interna- This paper has briefly reviewed the interactions tional financial institutions. It is not possible to delink between a human rights approach to development national democratic governance from its counterpart and democratic governance, the various forms of at the international level without jeopardizing the exclusion that lead to denials of human rights and implementation of a rights-based approach to devel- the types of interventions that are necessary to put opment and the right to development.