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Primer on the

Development Effectiveness ofCivil Society Organizations

IBON Center114 Timog Avenue, Quezon CityTel: +632 9277060 to 62Telefax: +63 9276981Website: http://iboninternational.org

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IBON Primeron the Development Effectiveness

of Civil Society Organizations

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Copyright

IBON International 2010

Some Rights Reserved.

IBON International holds the rights to this publication. The publication may be

cited in parts as long as IBON is properly acknowledged as the source and IBON

is furnished copies of the nal work where the quotation or citation appears.

IBON International is the international division of IBON Foundation, Inc. As an

international NGO, IBON Foundation responds to international demand to pro-

vide support in research and education of peoples movements and grassroots em-

powerment and advocacy and links these to international initiatives and networks.

IBON International initiates and implements international programs, develops and

hosts international networks, initiates and participates in international advocacy

campaigns, and established regional and country ofces where necessary and ap-

propriate.

IBON Center

114 Timog Avenue, Quezon City

Philippines 1103

Tel: +632 9277060 to 62 local 202

Telefax: +632 9276981

Website: http://iboninternational.org

This primer is written by Arnold Padilla and Antonio Tujan, Jr.

with research and editorial assistance from Heather Richmond.

Cover and layout by Darius Galang

images from http://www.sidint.net and http://ipsnews.net

ISBN 978-971-0483-57-0

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Preface

Part I

Civil Society Organizations as Developmental Actors

Who are civil society organizations?

Why is social solidarity the dening characteristic of all CSOs? What

is the social role of civil society?

What denes legitimacy of CSOs?

What do we mean by civil society organizations as development actors

in their own right? What do we mean by CSOs as enablers of the

poor and of the people?

Part II

Development Effectiveness of CSOs

What can be considered the key principles of CSO development

effectiveness?

What are some of the key elements of CSO developmenteffectiveness?

Part III

Enabling Environment for CSO Development Effectiveness

What are some of the components for an enabling environment for

CSOs?

What is the Open Forum for CSO Development Effectiveness?

Endnotes

Appendix

Development Effectiveness in Development Cooperation

Endnotes

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Table of Contents

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1

Preface

The purpose and process of development, especially the formulation of development

policies and strategies, has long been an area of contention for civil society

organizations (CSOs) and other development actors in the public and private sector.

In more recent times, there has been increasing critical attention on the role and

practices of aid and ofcial development cooperation. The issues and concerns

on quality of aid (as against increasing the quantity of aid) are now framed under

the general heading of the aid effectiveness agenda a broad contentious theme

encompassing the technocratic concerns of efciency and anti-corruption as well as

the far ranging concerns of overall development effectiveness of policies, strategies

and programs in development cooperation.

CSO engagement in the aid effectiveness agenda can be framed into three

concerns: (a) the role of CSOs in aid effectiveness reform in the context of the ParisDeclaration and the Accra Agenda for Action (AAA); (b) the efforts of CSOs to

shift aid effectiveness reform toward a more thoroughgoing agenda of development

effectiveness; and (c) the application of such development effectiveness reform on

CSOs themselves as development actors in their own right.

While the rst concern mentioned above is not the subject of this primer, the annex

includes some discussion of, the Paris Declaration, the AAA, and the principles

of development effectiveness in development cooperation. Many donors and

governments rightly point out that many CSOs, especially those from the North,are legitimate donors themselves, mobilizing billions of dollars in additional aid

through various charities, as well as or in addition to acting as channels of up to

forty percent (40%) of Ofcial Development Assistance (ODA) for certain donors.

While this means that the agenda of aid effectiveness may also apply to CSOs, it

is important to bear in mind that they do not simply act as channels of ODA or

vehicles for service delivery similar to, or in competition with governments as is

assumed by many quarters.

CSOs are development actors in their own right with a special focus on socialsolidarity and special concern for human rights, especially of the poor and

marginalized. They are collectively concerned with ensuring delivery of services

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and also with empowering the poor to claim their rights. In this context, CSOs are

seriously concerned with ensuring effectiveness of the aid system not only from

the limited concern of aid management and delivery but also with the full range of

development effectiveness, including that of their own.

It is thus absurd, from the viewpoint of CSOs - particularly those engaged in the

aid effectiveness agenda -- to look at the Paris Declaration and aid effectiveness

in the sense of aid management and delivery as fully applicable to civil society,

even specically to those CSOs involved principally in international delivery of

services and development cooperation. Therefore, CSOs are increasingly critically

concerned about developing and abiding by their own principles, indicators and

mechanisms for development effectiveness.

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3

Part ICivil Society Organizations

as Development Actors

Who are civil society organizations?

There is no precise denition or category of civil society organizations which

encompasses the full range of organizations that are established voluntarily by

citizens seeking to promote their concerns, values or identities. While the notion

of civil society as a specic sociological concept is often used as a starting point

for dening these organizations, the Advisory Group on Civil Society and Aid

Effectiveness (AG)1 took a broader framework in its general denition that: civil

society covers all non-market and non-state organizations and structures in which

people organize to pursue shared objectives and ideals.

As non-market institutions, CSOs do not operate principally for prot. They may

engage in commercial operations and may charge fees for some goods and services

that they provide but this is usually for the purpose of sustaining their operations

and not for accumulating prot for its own sake. As non-state institutions, CSOs aregenerally autonomous from the state even though many CSOs often heavily depend

on the government, collaborate closely with government agencies or even operate

as extensions of the state. The most crucial feature of CSOs is their voluntary

nature. CSOs are formed by the peoples assertion of their right to free association

for the pursuit of common interests and goals.

The broad category of non-government organizations (NGOs), which has now

become associated with organizations of staffed ofces and missions that are

explicitly and uniquely developmental in character, is the most commonly knowntype of civil society organization. However, following the AGs denition, civil

society also encompasses peoples organizations like farmers associations,

labor unions, urban poor groups, womens groups, and so on. CSOs also include

community-based organizations, research institutes, universities, faith-based

organizations, alternative or not-for-prot media as well as other groups that do not

necessarily engage in development work2.

There are three general types of CSOs dened according to character and purpose:

(1) cause-oriented CSOs pursue advocacies based on specic issues or a rangeof issues; (2) membership CSOs conduct activities based on a program of action

determined by their membership; and (3) service-oriented CSOs deliver goods or

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services for the general public or specic constituencies. These types of CSOs are

not mutually exclusive. Many large CSOs pursue more than one or all of the above

purposes.

CSOs may also vary according to the form of organization. They can be simple

associations, federations, networks or platforms, foundations, public interest ofces

and so on. These CSOs may have different governance models and orientations in

the pursuit of their values and development objectives.

CSOs also operate at different levels -- international, national, and local levels and

in developed and developing countries alike. However, there are many differences

in their role and legal status in different countries. Community-based CSOs can be

placed in a key category because they may be considered the foundation of civil

society. Community-based CSOs are the ones that organize and work directly at thegrassroots level and are linked with many other CSOs operating at various levels

and for varied purposes.

Many CSOs do not t neatly into common denitions or typologies. For instance,

many CSOs are engaged in market-oriented activities such as operating a hospital

or school which may generate income, but in reality are foundations and not

organized to realize prot. Additionally, many CSOs engage in prot-making

ventures for income generation purposes for use by the organization to sustain their

activities. There are also cooperatives which are market organizations that deriveprot for their members but strive for social solidarity that extends beyond their

membership.

Any analysis of the role of civil society in development must take into account

its diverse and fast-evolving nature, and must therefore be based on a broad and

inclusive denition3. Amidst this diversity and dynamism, CSO practitioners see

themselves as sharing a common dening identity social solidarity with the

people in society they serve or represent in the pursuit of development values and

objectives.

Why is social solidarity the dening characteristic of all CSOs? What is the

social role of civil society?

Citizens or people express their basic right to association to pursue shared

objectives or ideals whether internal to its membership as a locus for social

interaction, addressed to a specic constituency or to government and the society

at large. Social solidarity is the basic framework which is common to all civil

society organizations in the purpose of their being and their actions. CSOs act in

social solidarity in many varied forms, from targeted programs to reduce smoking

and improve the health of specic populations to trainings in entrepreneurial skills

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to improve the livelihoods of others.

This social role of civil society requires the identication of a normative framework

or frameworks regarding the positive roles that CSOs are considered to play

according to the Advisory Group on Civil Society and Aid Effectiveness (AG).

From literature and common usage on the role of civil society, the AG identied

three such frameworks, namely:4

a. Promoting citizen participation

The predominant normative framework from the literature is to approach the idea

of civil society as the third leg of a three-legged stool, complementing the private

sector and the state as pillars of any organized and well-functioning society.

Civil society, from this perspective, is the social space in which citizens organizethemselves on a voluntary basis to promote shared values and objectives. From

this perspective, civil society is usually seen as essential to the proper functioning

of a democratic society and to the growth of social capital. A related view is one

that regards civil society as one of the five pillars of democracy along with the

executive, legislature, judiciary and independent media. This view provides a good

governance perspective on the role of civil society.

b. Ensuring effective delivery of development programs and operations

People who work with development CSOs or NGOs on a day-to-day basis often have

a different, more operational perspective. From this viewpoint, civil society consists

of a constellation of CSOs actively engaged in development programs and operations.

The value of each CSO depends on the particular values that it brings to the task

and the effectiveness of its operations. From this perspective, civil society is not

an abstract construct that is good or bad, but rather a collection of actors among

which some discrimination is possible on the basis of their values and perceived

effectiveness. The richness of and diversity in civil society provides opportunities for

donors, governments and citizens, and other CSOs to identify partners with whom toengage in the pursuit of development objectives and for the public good. This view

provides a more discerning and operational perspective on the role of civil society.

c. The social empowerment of particular groups and the realization of human

rights, social transformation and democratic development

Yet another approach focuses on civil society from a human rights perspective,

seeing civil society as a mechanism for the social empowerment of particular

classes or groups within society such as the poor and dispossessed, women, ethnic

groups and others.

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Based on this perspective, CSOs are widely seen as expressions of the rights to

peaceful assembly, free association and to free speech as enshrined in the United

Nations Universal Declaration of Human Rights. They facilitate peoples claim to

their political, civil, economic, social and cultural rights in a process of democratic

development5. Furthermore, they contribute to the development of democratic

institutions in society along with building social justice.

An essential element of efforts by the poor and marginalized to claim their rights is

their own political and social movement organizing. One of the central implications

of using a human rights framework for assessing effectiveness is the need to take

into account the links between social transformation and the efforts of engaged

citizens.

These three perspectives of promoting citizen participation, providing effectivedelivery of development programs and operations, and promoting the social

empowerment of particular groups toward the realization of human rights and social

transformation, as the AG noted, are different but complementary.

While it is generally accepted that civil society is a central actor in development,

there is less consensus regarding their political role: that which they actually play

and that which they should play in society. There are those that would prefer to see

CSOs silently dedicated to delivering social services, while others would like to see

them dedicated to the work of pressure politics, leaving social services to the state.The majority of CSOs that currently exist are somewhere in between these two

extremes -- representing a wide and diverse spectrum of shades6.

Some also argue that all actions of CSOs should be understood as political tasks,

to the extent that they work toward the common good or the construction of public

goods, and contribute ways to widen and deepen democracy in society. From this

perspective, representative democracy -- which connes peoples participation in

governance to elections is not democratic enough. Real democracy is seen as a

permanent process of construction involving continuous reform and the gradualrenovation of society requiring the active engagement of the people. Therefore,

the task of deepening democracy must be pursued integrally, insistently and

intransigently, and democratic regimes must be evaluated on their ability to

guarantee civil, political, economic, social and cultural rights.7

What denes legitimacy of CSOs?

Participants in the Brussels Consultation conducted by the AG suggested that the

legitimacy of CSOs arises from the right of people to organize as enshrined in the

United Nations Universal Declaration on Human Rights and related Covenants.

Other AG consultations articulated internal democratic legitimacy, based on an

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appropriate role of the membership and sound internal governance, as the source

of CSOs legitimacy. Other ways CSOs achieve legitimacy include: through

their capacity to mobilize particular constituencies; through their public inuence

as credible sources of information; through broad recognition as signicant or

necessary actors in public debate on controversial issues; and so on.8

Some CSO platforms have chosen to develop a voluntary accreditation system as

a means of establishing members legitimacy, often involving codes of conduct

or practice to which members must adhere. However, the process of accreditation

itself can sometimes become the subject of debate in terms of its legitimacy and

inclusiveness.9

Ultimately, CSOs as an expression of the freedom of association confer legitimacy

upon themselves. The legitimacy of CSOs is not bequeathed by any authority andis not subject to legislation or regulations for recognition and registration. In fact,

in some cases such as in the Philippines during martial rule, CSOs have consciously

deed registration under an authoritarian government.

There is some basis for governments to be concerned about the abuse of the CSO

status which is why systems of registration and legislation on CSOs are important.

However, regulatory mechanisms are often inappropriately used by governments

that betray their undemocratic character and are used by illegitimate CSOs to

legitimize themselves. CSO legislation and registration are mechanisms to providean enabling environment for CSOs and should not be used to regulate or restrict

CSOs activities or be used to delegitimize other CSOs.

CSO voluntary registration processes are also not requirements for legitimization,

but are a democratic expression of such legitimacy. As such, they do not require

state approval and recognition to exist. These mechanisms also contribute to an

enabling environment both to inform government and the public of the existence of

CSOs and the availability of their services and resources.

Although CSOs speak or act on the basis of social solidarity in the performance

of their different social roles, they are often questioned regarding their capacity to

represent the people, as well as on their representativeness.

Of course, CSOs are not meant to represent the public as a whole organically;

else they would be elected ofcials themselves and would belong to the public

sector. CSOs are considered voluntary in character, represent their constituencies

in expressing their rights to speech, or taking upon various causes and concerns

in the interest of the general public. They are private individuals or organizations

involved in public causes or interests and are thus not part of the private sector.

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There is no doubt that there are those that abuse the advantages of being a CSO.

CSOs must be accountable to all as genuine organizations and not mere family

enterprises or briefcase NGOs, if they are not market mechanisms, if they are not

mere extensions of government, and if they truly act in the interest of the public and

their constituencies and not for some interest to capture the state as in a political

party or to amass prots. Nevertheless, every citizen has a right to organize a CSO,

and multitudes do so including former government ofcials or relatives of current

government ofcials acting as private citizens.

Since CSOs seek to pursue public interest and concerns without ofcially

representing the public through elections and similar processes, CSOs must address

issues of representativeness by ensuring active mechanisms of accountability and

interaction with its constituencies. Indeed, this is the real test of legitimacy of a

CSO to be further discussed in a later section.

But not a few government ofcials do not understand the character and role of

civil society. When challenged by CSOs on policy issues, they respond by

questioning the CSOs legitimacy and its right to speak in behalf of the public or its

representation of the public. Hence the question of legitimacy and accountability is

a pressing issue currently faced by CSOs especially when they engage governments

and donors in dialogue.

Instead, the issue of legitimacy in dialogue with government should refer to thequestion of representativeness or the distribution and combination of a group

of CSOs acting as interlocutors for a certain public process or mechanism, or

implementation of a certain program. Given the demands of democratic governance

and the value of CSO diversity, the question of representativeness in policy

dialogues is an important one for all stakeholders. Governments and donors may

argue that a particular grouping of CSOs is unrepresentative and as a result may

feel no obligation to listen to what they have to say. On the other hand, any CSO

regardless of how representative it is, must have a voice in any policy matter.

Judgment whether CSOs have appropriate representativity in a given dialogue is

often a political act to avoid possible debate on contentious issues. In some cases,

governments or donors seek to create a legitimate but articial CSO platform to

speak on behalf of all CSOs. This strategy can easily undermine the diversity of

CSO voices particularly those excluded from such a platform. Fragmentation may

be the confused judgment when the reality is diversity -- a feature of civil society

that should be valued for enriching policy dialogue.10

Indeed, CSOs point out that only government can achieve comprehensive

representation based on the legitimacy of electoral processes, whereas the dening

CSO identity of social solidarity implies that any given CSO will almost necessarily

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only represent certain segments of society, or speak only on specic themes or

concerns.11

The critical question, therefore, is not so much ensuring the legitimacy and

representativeness of CSOs, but the governments responsibility to create

mechanisms for inclusive CSO participation, and for specic matters, to identify the

appropriate mix or selection of CSOs that can ensure sufcient diversity and voice

to engage in a particular dialogue, and its duty to provide the conditions, resources

and multiple channels for maximizing citizen participation in governance.12

What do we mean by civil society organizations as development actors in

their own right? What do we mean by CSOs as enablers of the poor and of

the people?

CSOs have long been recognized as important development actors either as donors

or as watchdogs for the public good. However this dichotomy expressed in these

two generally recognized preoccupations of CSOs prevent the understanding of the

distinct role of civil society as development actors in their own right. The CSOs

role emanates from their fundamental concern for social solidarity bringing CSOs

into the role of enablers so that the poor are empowered to claim their rights; of

mobilizers of resources for the delivery of services especially to the marginalized;

and, of advocates for government to address the concerns of the excluded.

As donors, developed country-based (or Northern) CSOs mobilize billions of

dollars in voluntary contributions in cash and in kind for development purposes

eminently for the poor and marginalized including those requiring urgent relief from

calamities. The latest estimates of the OECD-DAC (the Development Assistance

Committee of the Organization of Economic Cooperation and Development) put

the amount of such contributions at approximately USD14.7 billion in 2005, which

is equal to about 14% of all Ofcial Development Assistance (ODA) or 18% of

ODA exclusive of debt cancellations. This amount is most likely underestimated

by a considerable factor.13 More detailed data from the Hudson Institutes Index ofGlobal Philanthropy shows that CSO contributions from the US alone amounted to

USD26.2 billion in 2005, almost as much as ofcial ODA from the US at USD27.6

billion.14

CSOs also act as channels or recipients of Ofcial Development Assistance,

receiving funds from ofcial donors for use in their development programs or for

redistribution to other CSOs. The share of donor funds to CSOs varies considerably

from donor to donor. In 2004, ows to and through CSOs from the DACs top 15

CSO funders ranged between 6 to 34% of their bilateral ODA, totaling approximately

USD4.6 billion. This amount, too, is underestimated.15

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However, being mobilizers of resources directly from citizens or being channels or

subcontractors of ofcial development funds does not solely dene the importance

of CSOs as development actors in their own right.16

Civil society plays a crucial role in the development process as innovative

agents of change and social transformation. As peoples organizations they are

well situated to understand the needs and claims of ordinary people and to build

multiple relationships with communities, which are the agents and beneciaries of

development efforts.

The developmental role of CSOs is expressed foremost in their concern for

human rights, social justice and democracy. CSOs are cognizant of the reality of

disempowerment and dispossession, and CSOs work to provide the conditions that

enable the poor and the people in general to exercise and claim their democraticrights. CSOs have a common goal for every individual realizing her/his full potential

through the full realization of her/his human rights. As such, CSOs also share a

common goal of achieving democratic development in their countries where the

people achieve equal rights and opportunities, and where the social structures that

prevent such equality or further marginalization are dismantled.

CSOs that have a strong human rights and democratic perspective strive to relieve

this in dening the framework of their organization, their operations and way of

working. This perspective determines how they dene their role and responsibilitieswith respect to the poor and the people at large. They adopt a human rights approach

in all their undertakings, internally within their own organizations and staff, and

externally in dealing with others, especially with the marginalized communities and

peoples with whom they relate.

Thus, in the realm of development cooperation many CSOs often act as bridge

builders between the public interest in social justice and change and the movements

and initiatives of poor, excluded and discriminated communities and populations

claiming their rights.17

Aside from playing their tasks as aid donors, channels, recipients and watchdogs, civil

society plays other roles that donors and governments cannot perform. According

to the synthesis report of the AG on regional consultations and related processes

conducted in 2007, the range of roles that CSOs play as distinct development actors

cover any mix of the following:18

a. Mobilizing grassroots communities, poor and marginalized peoples to claim

their rights

CSOs as development actors often give priority to mobilizing excluded communities,

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In 2007, the Democratic Republic of Congo (DRC) went through a peaceful and transparent

electoral process. Congolese churches, non-governmental organizations (NGOs) and associations

provided civic education that helped to mobilize the populace. Their efforts elicited a high level

of participation, with over 25 million individuals registering to vote in the lead-up to the elec-

tions. CSOs trained 60,000 civic educators across the country to raise awareness of the stakes

surrounding the election, democratic principles, and citizens electoral rights, as well as rules and

regulations. Supportive tools such as community radio, posters, comics and theatre were also

developed by local CSOs. A CSO Cadre de concertation de la socit civile pour lobservation des

lections was put in place to observe the election process across the country.

Box 1.

CSOs and the election process in Democratic Republic of Congo

Source : Extracted from: Lefficacit de laide et la prise en charge dmocratique : le rle de lasocit civile et les avances dmocratiques en Rpublique Dmocratique Congolaise. Case Study

(2008). Civil Society and Aid Effectiveness: An Exploration of Experience and Good Practice, Reference

Document, Advisory Group on Civil Society and Aid Effectiveness

particularly poor and marginalized peoples, to claim the full range of their economic,

social, cultural, civil and political rights. Where governments and donors often face

distrust in such communities, CSOs foster community design and ownership of

development approaches, initiatives and processes by affected populations. Case

studies point to complex and changing CSO roles at different levels (local, national,

international) in empowering people to develop their own assets and capacities.

Many CSOs have developed capacities to be rooted in the community, to be able

to read their specific social, economic, and political environment, and to adopt

appropriate strategies that strengthen peoples organizations and mobilization to

deal with the conditions that impinge on their reality.

b. Monitoring government and donor policies and practices: holding national and

multilateral development agencies to account through local knowledge, research,

advocacy, and alternative policies

CSOs play essential roles in democratic governance, creating and sustaining publicspaces for peoples participation. Civil society is one of the key pillars of democratic

practice, alongside the executive, legislature, judiciary and the media. The mix of

social solidarity and values that characterize CSO actions give civil society a distinct

role in the promotion of democratic governance and accountability in facilitating

the engagement of people (citizens) seeking to promote the public interest. Several

case studies have documented the capacity of CSOs to strengthen democratic

accountability of governments and donors for policy and program decisions. The

reference documents Exploration of Experience and Good Practice and the Civil

Society and Aid Effectiveness Case Book from the Advisory Group on Civil Society

and Aid Effectiveness (AG-CS) provide a number of examples in this respect.

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Mazdoor Kisan Shakti Sangathan (MKSS) is a peasant and workers union in the Indian state of

Rajasthan that has successfully demonstrated its ability to influence and strengthen democratic

governance and accountability through social audits. The social audits introduced by MKSSprovide an innovative space for community members to audit government expenditures on public

development funds. The social audit provides a system that empowers residents in verifying

public records and identifying instances of fraud through information access and a MKSS

sponsored public hearing. The public hearing enables residents to discuss the communitys

opinions and findings about public projects/programs with public officials. The social audits

provide space to expose inefficiency in the use of public funds, poor planning, and instances of

corruption. The success of MKSS social audits in curbing corruption has influenced the state

government to institutionalize the process in each village. The formation of Indias Right to

Information Act was also significantly influenced by MKSSs state-wide campaign demanding

citizens right to information.

Box 2.

MKSS Social Audits

Source: Adapted from Social Audits Tracking Expenditure with Communities: The Mazdoor Kisan

Shakti Sangathan (MKSS) in India http://unpan1.un.org/intradoc/groups/public/documents/cgg/un-

pan023752.pdf http://pgexchange.org/index.php?option=com_content&view=article&id=142&Itemid

=136

CSOs have also monitored linkages between private sector actors and the aid

system in their focus on corporate social responsibility. In playing this role, CSOs

draw upon their capacities in knowledge creation, innovation, policy analysis and

formulation. It is vital to protect and strengthen this CSO monitoring and advocacyrole in many developing countries where democratic processes are often weak and

fragile. CSOs are an independent source of information and perspective on the social

needs and interests of marginalized or dispossessed peoples that must influence

government/donor policies if the latter are to be effective in reducing poverty and

inequality. Some quarters argue that CSOs do not, and should not, create or displace

the voices of poor and marginalized peoples. Rather, CSOs serve to identify, amplify

and channel the voices of those excluded or seldom heard in society. An important

dimension of CSO solidarity across borders is the strengthening of CSO advocacy

roles for alternative policies in multilateral institutions, such as the World Bank or

the World Trade Organization (WTO), whose current policies limit the realistic

scope for policy proposals suggested by CSOs at the country level.

c. Delivering services and innovative development programming

Most development actors recognize and value the role of CSOs in service delivery,

although there are concerns expressed that CSOs may create parallel and competing

structures for service delivery at the community level. While some suggest that CSOsmay be seen to address gaps in government service coverage, several examples

during the Advisory Groups regional consultations, and in related literature, point

out that CSO service delivery is often distinct from that of government (which has

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Butoke is a grass roots CSO founded in 2004 to address problems of hunger and malnutrition

in the Democratic Republic of Congos (DRC) Western Kasai province. From the start, Butoke

combined a humanitarian approach to address immediate needs with a longer-term development

approach, by providing food for work, managing a nutrition center, and introducing new seeds,

basic tools and low-cost agricultural techniques, such as row planting and proper spacing to

village associations.

Beneficiaries tended to be primarily widows and others whose nutritional status was the most

precarious, but all village associations contain a mix of members. The approach has been suc-cessful in reaching large numbers of people at low cost, using a formula that can be replicated

to scale as resources become available. Butokes programme has filled an institutional void in an

area of the DRC in which the economy, the government and event the social fiber of society itself

had been devastated by years of war and bad governance.

Butokes programmes have reached a large population. Starting work with 20 village associa-

tions on 19 hectares in 2004, Butoke by 2007 was reaching a population of about 120,000

people, whose nutritional levels are being improved through access to more abundant, more

nutritious crops. In 2006, Butoke was supporting the school fees of 665 orphans (up from 278 in

2004), was treating approximately 6,500 cases per year in nutrition and primary health centres,and was rehabilitating approximately 200 severely malnourished children per year; it was provid-

ing counseling on responsible sexuality for approximately 5,000 people per year.

The example of service and respect for human rights and dignity that inspire Butoke as basic

values in its work provide hope and inspiration for the population, who can see in this a different

way of doing things. Butoke is helping to break down the barriers to gender equality and working

to change attitudes towards the handicapped and downtrodden, in a society that tends to blame

orphans, widows, and the handicapped for their own misfortune as bewitched people to be

isolated, shunned, and often dispossessed.

Box 3.

Butokes Nutrition Program

Source: Extracted from Grassroots Development in Western Kasa, Case Study (2008) Civil Societyand Aid Effectiveness: An Exploration of Experience and Good Practice, Reference Document, Advisory

Group on Civil Society and Aid Effectiveness

a recognized obligation to ensure universal access to basic services). CSOs not

only address needs in excluded communities, but they can also link this service in

particular communities to their roles in advocacy, mobilization, empowerment and

democratic accountability.

As CSOs develop relationships of trust with communities through the delivery of

particular programs (whether government-initiated or not), they can further empower

the communities to seek out a full range of services from their governments. CSOs

can play a complementary role to that of government also by virtue of their flexibility

to experiment with new approaches. An example of this was evident in a case study

in Mozambique, where a CSO had the space to experiment with innovation in school

curriculum that was subsequently adopted by the government19.

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In Burkina Faso, CSOs were initially marginalized in the policy discussions that led to the

formulation of the education sector plan in 2002 (despite rhetoric encouraging an increase in

their involvement in the final document). Teachers unions in particular were excluded because

of the governments recognition of their opposition to aspects of the plan. Burkina Faso has since

developed a national education CSO coalition, the Cadre de Concertation en Education de Base

(CCEB), which is relatively cohesive and effective. CCEB is especially active at the regional level,

which now is the location of much education decision-making. Its members work cooperatively

and effectively to generate civil society voice on issues of gender, curricular reform and regional

planning. CSO consultation at the national and regional levels in Burkina Faso is now routine,

with CCEB playing a role in relating regional to national levels of decision making. Furthermore, a

unique feature of the Burkina sector program has created a new space for CSO initiative, through

the establishment of a CSO-government governed pooled fund for non-formal education projects.

Box 4.

National CSO Education Coalition

Source: Exacted from Education SWAPA in Africa: Lessons for CSOs, Karen Mundy & Megan Hag-

gerty, University of Toronto, International Forum on Civil Society and Aid Effectiveness, Gatineau,

Quebec February 3-6, 2008 (http://www.cgce.ca/storage/research-papers/2008-02-Education-

SWAPs-Africa-CSOs-Mundy.pdf).

d. Building coalitions and networks for greater civil society coordination and

impact

CSOs that share values and goals increasingly work together within a sector or

program, or in issue-specific coalitions and networks, to coordinate and maximize

their engagement with their constituencies, governments and bilateral and

multilateral donors. Several case studies, including a cross-border West African

network of womens organizations strengthening womens rights with government

counterparts, point to the synergy created through informal CSO linkages and

networking, drawing on the unique contributions and accompaniment of each

partner to enrich and bring innovation to development processes at the local level.

e. Mobilizing and leveraging Northern financial and human resources in North/South CSO partnerships.

Northern CSOs increasingly play an intermediation role between constituencies in

Northern countries and CSOs and constituencies in developing countries. Northern

CSO intermediation is said to involve a mix of ingredients: (1) resource transfers (from

both official donors and privately raised funds from both individuals and the private

sector) when CSOs act as donors; (2) efforts to strengthen different capacities of

Southern CSO counterparts (sometimes directly with communities); (3) facilitation

of North/South policy dialogue, advocacy and citizen mobilization on issues of global

economic and social justice; and (4) engaging Northern citizens in development

education and actions.

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The case of CSOs in the Mozambique education sector-wide approach (SWAP) that is included

in the Civil Society and Aid Effectiveness Case Book illustrates two aspects of alignment

CSO alignment with government systems and priorities, and a Northern CSOs alignment inpartnership with the priorities and systems of a Southern partner.

This case involves a partnership between Progresso in Mozambique, and CODE, a Canadian

NGO specialized in the promotion of quality primary education. Progresso and CODE have been

working to increase the quality of education in the two Northern provinces of Mozambique for

over 15 years. The activities included in their joint program strategy, Promotion of a Literate

Environment in Mozambique (PLEM), includes the provision of reading and learning materials

in Portuguese and local languages, skills development for primary teachers and adult literacy

agents, and training of education officers on planning, in-service training and monitoring of

teaching/learning.

Progresso and CODE work in close cooperation with the Mozambican Ministry of Education

and Culture at the national and provincial levels, and PLEM is aligned with the Government

of Mozambiques first and second Education Sector Strategic Plans. However, because the

governments capacity and structure does not allow the flexibility required to experiment with

new education approaches, PLEM is funded through a bilateral agreement between CODE

and the Canadian International Development Agency (CIDA). Progresso and CODE work with

communities and government to design and implement interventions that build on the identified

needs and the institutional priorities and capacities of the government. They do so in a way that

is adapted to local needs and realities, drawing from their experience, knowledge base and skills

in the education sector and in the region.

The division of labour between Progresso and CODE is adapted to the comparative advantages

of each partner. CODEs responsibility for the management of the contract with CIDA allows

Progresso to focus on reporting and planning with its Mozambican partners, while Progresso

is responsible for most activities in the field. CODEs long-term commitment to education and

support of Progressos education initiative, and its ability to secure funds through CIDAs different

funding mechanisms, has allowed it to develop solid experience and to build up long-term

relationships in Mozambique.

Box 5.

CSOs and Education in Mozambique: Issues of Alignment and Complementarity

Source: Extracted from Lessons of a CSO Project and the Education SWAP in Mozambique. Case

Study (2007). Civil Society and Aid Effectiveness: An Exploration of Experience and Good Practice,

Reference Document, Advisory Group on Civil Society and Aid Effectiveness.

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Part IIDevelopment Effectiveness of CSOs

The UN Declaration on the Right to Development denes development as a

comprehensive economic, social, cultural and political process, which aims at the

constant improvement of the well-being of the entire population and of all individuals

on the basis of their active, free and meaningful participation in development and in

the fair distribution of benets resulting there from. Its ultimate aim is to ensure

that people are able to meet their daily needs, lead lives of dignity, expand their

capabilities, and reach their highest potential, especially those who are impoverished

and marginalized, many of whom are women.

This process requires the interventions of multiple actors in society governments,

donors, the private sector and civil society. From the standpoint of CSOs,

development effectiveness is about how well all development actors actions

improve their impact on the lives of poor and marginalized populations. It is about

improving their capacity to promote sustainable positive change that addresses both

the root causes as well as the symptoms of poverty, inequality and injustice through

the diversity and complementarities of different instruments, policies and actors.

This perspective positions poor and marginalized populations as central actors andowners of development, challenging many of the current approaches of donors and

governments.20

The principles and concerns of development effectiveness must be applied to all

development actors including CSOs. However, as CSOs are development actors

in their own right, the application of development effectiveness on CSOs varies

slightly than when it is applied on governments and on the whole development

process with the interaction of government agencies, external development partners

and other CSOs.

Indeed, if CSOs are distinct development actors in that they are expressions of

social solidarity and have special concern for human rights, social justice and gender

equality and sustainability, then all the more that they should abide by principles

of development effectiveness. These should be translated actively and creatively

in the framework, objectives, mechanisms, processes and intended results of their

development interventions.

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When a secretary in Mozambique noticed a news article about the planned incineration of obsoletepesticides in a local cement kiln factory, she contacted Greenpeace who asked for her help in

bringing toxic waste experts to Mozambique to examine the problem. The Joint Oxfam Advocacy

Programme got involved by bringing in another expert from South Africa and organizing a meeting of

Box 6.

Mobilization against imported toxic waste in Mozambique

What can be considered the key principles of CSO development

effectiveness?

Unlike the Paris Declaration, which is premised on aid governance and management

of ofcial development assistance, whose principles cannot be applied directly to

CSOs as development actors, the principles of development effectiveness may be

applied to governments, donors, development partners and CSOs as well. There

may be specic variations in application depending on the development actor

and its role in society and in development cooperation, but the principles remain

essentially the same.

CSO development effectiveness principles are applied to the specic role and

character of CSOs who act in and for public interest, albeit as private voluntary

representatives of the people, especially of the poor and marginalized. Similarto the role of the people in dening the basis and framework of governance and

sovereignty exercised by government, the people, especially the poor, dene the

basis and framework of CSO legitimacy and constituency.

These are values and principles that CSOs want to realize in the process of their daily

work -- within their own organizations, in their interactions with other development

actors, and in the social outcomes of their practice.

Solidarity

The foundation of CSO existence and purpose, solidarity is the principle behind

CSO identication with the people, with those who are unable to claim their

rights and entitlements, and with others who share similar goals. Thus, learning

and sharing become principal features of the relationship between CSOs and their

constituencies as well as among CSOs. The contractual elements of partnership

only constitute the formal or legal aspect of an essentially deeper concern for the

rights and development of one another.

Solidarity is premised on shared values and mutual identication. Moreover,

partnerships based on solidarity seek to balance out unequal conditions and

compensate for the gaps in resources, capacity, and opportunities faced by

partners.

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Source: Extracted from CIVICUS PG Exchange, People Centered Advocacy Case Studies http://pgex-

change.org/index.php?option=com_content&view=article&id=135&Itemid=125

For more information on this case study, see Lowe (2003), which is the sole source for this case

summary.

local community leaders, organisations and individuals to discuss the project and hear how it

might affect their lives. Following the first meeting, a press conference was called and specific

invitations sent to representatives of the Environment Ministry and the Danish government

agency funding the incineration project. Neither came, but after the conference, those present

decided to start a movement against the project. They had been kept in the dark, someone said,

so the group should be called LIVANINGO shedding light in a local language. From there

the movement grew quickly combining international networking with a strong commitment to

working with local people.

LIVANINGO organized public meetings and demonstrations near the factory and kept up the

media campaign, especially through the small independent press. The group asked for a fresh

and independent Environmental Impact Assessment. But neither the Mozambican nor Danish

government were willing to listen. Thats when the campaign went international. LIVANINGO

sent a representative to speak to the Danish Parliament with funding from Oxfam and support

from other international allies in the US, Europe and South Africa. After that, the Mozambican

government opened up the door a little and after two and a half years of campaigning, the

government gave in and agreed to all of LIVANINGOs demands.

The government eventually adopted a return-to-sender policy, shipping 900 tonnes of

the chemicals to Germany and the Netherlands for safer disposal. Even after they took the

decision, LIVANINGO was following the process to the finish to make sure the government did

what they promised.

Magsasaka at Siyentipiko para sa Pag-unlad ng Agrikultura-MASIPAG (Farmer-Scientist

Partnership for Agricultural Development) is a farmer-led network of peoples organizations,

Box 7.

MASIPAGs Farmer Empowerment

Empowerment

Human rights lie at the heart of CSOs as development actors. CSOs are expressions

of citizens freedom of association and oftentimes act as enablers of the people

especially of the poor and marginalized. As such, these enabling CSOs (as distinct

from other CSOs which do not act as enablers although they are legitimate CSOs

organized around specic social solidarity interest or concern) translate human

rights and rights-based approaches to development into empowerment of the poor

to claim their rights.

There are many ways by which CSOs play their role as enablers for the empowerment

of the poor and the people in general. This may include creating conditions and

instruments or tools that the poor may use such as information and mechanisms for

transparency. This may also be the development of certain skills.

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scientists and non government organizations that was established in the Philippines in 1986

with the aim to improve the quality of life of farmers through sustainable organic agricultural

practices. Since its inception, MASIPAG has been at the forefront of development struggles in

the Philippines pursuing, among other things, a holistic approach to development, community

empowerment, and peoples control over agricultural biodiversity as a contribution in the over-

all effort of improving the quality of life of small farmers. An important and key factor in the

success and outcomes of MASIPAG is that it is grounded in a farmer-led, bottom-up approach.

In examining the empowering approach engaged by MASIPAG, the study from which this is

drawn identified the following indicators for the bottom-up approach:

-Involvement in seed selection and breeding;

-Involvement in the organization and the community;

-Approaches to training; and,

-Social change at the individual and community level.

This farmer-led approach strengthens empowerment through focusing on active participation,

leadership, and knowledge of the farmers in seed breeding, organizational decision-making,research, and program planning, development, and evaluation. Additionally, MASIPAG utilizes the

farmers expertise and knowledge in farmer-to-farmer diffusion through trainings, farm exchange

visits, demonstration, and coaching to educate new members on not only the technological,

but also the social aspects of their work. The study on MASIPAG has found that the sense of

empowerment generated through the farmers involvement with the network has created a larger

sense for civic involvement in which case a survey from the study revealed that many of the

members further take on leadership roles within various local organizations.

MASIPAG farmers gain a sense of empowerment through their decision-making capacities,

recognized and respected knowledge and expertise, increased food security, freedom from

debt, community involvement, and through exercising and protecting their rights. MASIPAG

farmers benefit from positive outcomes beyond those gained by sustainable organic agricultural

practices. MASIPAG farmers gain social and economic empowerment, which naturally extends

from the empowered individual to the empowered community where rights are recognized and

lives are dignified. MASIPAG farm trainer and researcher, Perfecto Vicente remarks, Bottom up

dignifies the poorest and assures them of a socially just and equitable share of free life.

Source: Extracted from CIVICUS PG Exchange, People Centered Advocacy Case Studies http://pgex-

change.org/index.php?option=com_content&view=article&id=135&Itemid=125

For more information on this case study, see Lowe (2003), which is the sole source for this case

summary.

Autonomy

This refers to the autonomy or independence of CSOs from the state, from the

market, from political parties, from private interests, and from external inuence

or control.

This is an important feature and principle crucial for CSO legitimacy as a privatevoluntary actor but with the intention of working for and in behalf of public

interest.

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As a general principle, CSO autonomy is self-expressed and presumed and thus all

CSOs accord mutual respect to each other. Based on these principles of autonomy,

independence and mutual respect, CSOs interact and cooperate in various ways

and levels of networking including platforms and federations to pursue common

interests.

This also includes international networking and partnerships where the national

dimension of autonomy and independence is also respected.

Equality

As CSOs interact and compete in their diversity, equality is a difcult principle to

live up to and many problems often crop up among CSOs, both big and small, and

at the international, national, sub-national and local levels. Equality among CSOs

is premised on equality of rights, and not on the circumstances of CSOs. For CSOs

to co-exist productively and constructively in pursuit of democratic development,

the principle of pluralism that celebrates and promotes diversity is essential. For

this principle to be actively implemented, mutual trust and respect is essential in

CSO conduct among each other and among the people.

The United Nations committee responsible for monitoring the International Covenant of Economic,

Social, and Cultural Rights (ICESCR) accepts alternative reports or parallel reports submitted

by civil society. These reports are a way for civil society to be heard by the Committee onEconomic, Social, and Cultural Rights and to publicise the status of economic, social, and cultural

rights in a given country.

The Platform on Economic, Social, and Cultural Rights in Mali was organized in 2005 to support

civil society in strengthening the rule of law and democracy by producing the alternative reports

on rights in Mali. The Platform seeks to pressure public authorities to address economic, social,

and cultural rights and to honour commitment to report to the international community on the

implementation status of the ICESCR.

In response to the Platforms alternative report on the status of economic, social and cultural

rights in 2007, the Malian authorities asked the Platform to help produce the states own official

report. However, the Platform turned down the invitation, asserting its position as independent

advocate.

Box 8.

Platform on Economic, Social and Cultural Rights in Mali

Source: Extracted from La Platforme des droits conomiques, sociaux et culturels au Mali. Case

Study (2008). Civil Society and Aid Effectiveness: An Exploration of Experience and Good Practice,

Reference Document, Advisory Group on Civil Society and Aid Effectiveness.

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As stated in its Gender Equality Strategy Report, the aim of AKRSP is to eradicate poverty through

pro-poor development with an emphasis on bringing women into the mainstream and promotinggender equality. Gender equality and poverty reduction go hand-in-hand, and AKRSP recognizes

the need to work on issues related to sustainable and inclusive human development which

address womens empowerment and gender equality. The Board and Management of AKRSP

recognize that in order to promote gender equality in their communities, the organization has to

practice gender equality principles. Through a participatory approach which involved staff consul-

tations and community forums, a gender equality strategy was devised envisaging an integrated

and focused approach to reach out to the poorest, most vulnerable, and most marginalized.

AKRSP further recognizes the interconnectedness of gender equality and equity to the principles

of dignity and rights of all human beings, democratic culture, participation of people in their own

development, professionalism, transparency, humility, and pluralism.

In its Strategy, AKRSP addresses the integration of gender equality at the following levels:

1. Organizational level: AKRSP will ensure a more systematic integration of gender in all

policies and activities with regular gender awareness sessions, capacity building of

staff in gender, special management trainings for women to perform at senior levels,

and a gender resource center as a space for dialogue. Also includes a reorganization

of structure to support adequate presence of women in Board and senior management

levels;

2. Programme and Operations: Gender perspectives will be integrated in AKRSPs sectors

in the development of strategies, polices and programmes. Fostering of womens or-

ganization, inclusive sensitization, and capacity building in gender analysis/monitoringwill be integrated in community programming, utilizing indicators such as participation

of women in decision-making at household level, political empowerment, and womens

mobility. Additionally, programme aspects need to be sensitive to class, age, ethnicity,

culture, race, etc, as well as to gender; and,

3. External environment: AKRSP will initiate dialogue and partnerships with stakehold-

ers to foster an enabling environment for increasing gender equality without causing

conflict.

Box 9.

Aga Khan Rural Support Program (AKRSP) Gender Equality Programme

(Islamabad, Pakistan)

Source: Adapted from Aga Khan Rural Support Programmes Gender Equality Strategy paper (Feburary

2004)

Social justice and transformation

Social justice and transformation are not simply strategic goals of development,

but are also principles that dene partnerships based on solidarity, and expressed

in operations and actions. As a principle guiding CSO development effectiveness,

social justice and transformation translate to policies, methods and ways of

operating for CSOs that are distinctly inclusive, pro-poor, and opposed to practices,

acts and attitudes that perpetuate marginalization and oppression of women and

other marginalized sections in society.

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A CSO that is of the poor and that is an enabler of the poor has a transformative

character and objective and is constantly seeking and building empowering

democratic relationships both within itself and in society.

Unite Union was initially formed in the 1990s as a response to significant cuts to and tightening

of eligibility criteria for benefits. In the early 2000s, Unite transitioned into an industrial

organization representing the working poor and precarious workers. In their struggle to defend

the rights and interests of the working class, Unites leadership adheres to the ideology of We are

not building a narrow union, we are building a social movement. Unite organizes and provides

services to the casual workforce (such as in the fastfood and hotel industries), which is often

neglected by other unions that tend to believe they should not service precarious workers, yet

however is most vulnerable to employment related injustices.

As a struggle-based campaigning union, Unite recognizes the importance of providing services

within and outside the workplace, but also the importance of organizing/re-unionizing the service

sectors and campaigning particularly for the rights and fair treatment of precarious workers. Like

other unions, Unite provides workplace services such as attending disciplinary meetings, fighting

against unjustified dismissals and bullying, recovering lost wages due to underpayments, etc.

Unite also provides empowering services of free education and access to appropriate financial

services. Moreover, Unite expresses solidarity with their members by adjusting their operations

to meet the availability of those they represent, paying Unite organizers similar pay rates as their

members, offering affordable membership rates, and by recognizing the transitional character ofthe casual workforce and the importance to offer lifelong benefits and to help members as they

move between jobs.

Unite has demonstrated its capacity to fight against the social injustices faced by the working

poor and achieve positive transformations. Unites discontented members working in the fastfood

industry planned and organized the SuperSizeMyPay.com campaign demanding a raise in

minimum wage, abolishment of youth rates, and secure hours. The campaign, described by Unite

as a historic new deal, was able to secure the right of fastfood employees to belong to a union

and win collective employment agreements with KFC, Pizza Hut, Starbucks, and McDonalds.

Unite sees that the process of securing rights and winning agreements as part of changing the

consciousness of members.

Unite also keeps its members informed on negotiations, special events, and news reports

through the circulation of Unite News and The Workers Charter. These publications not only

foster solidarity among its members on their union struggles and victories, but also give space

to communicate, educate, and connect to wider struggles against injustices of imperialism, war,

immigration policies and environmental devastation. In this way, Unite advances social and

political movement unionism for wider social transformation rather than narrow trade unionism

that is focused exclusively on immediate benefits for direct members.

Box 10.

Unite Unions Approach to Social and Political Movement Unionism

inside the Changing New Zealand Working Class

Source: Adapted from Unite Unions Approach to Social and Political Movement Unionism inside theChanging New Zealand Working Class, Jared Phillips and Daphna Whitmore found in Jobs and Jus-

tice: Globalization, Labor Rights and Workers Resistance, edited by Antionio A. Tujan Jr.

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Despite an abundant source of drinking water, the people of Kathmandu Valley, Nepal ironically

often face scarcity of drinking water. To address the water crisis, ADB and other funding

agencies have strongly advocated for water privatization in order to overcome poor government

management practices of water supply operations. However, the private sectors failure to

provide more efficient and affordable services, and often exacerbation of the situation by seeking

profit maximization through raising tariffs regardless of the peoples capacity to pay, has resulted

in the concept of community management of public utilities.

Seeking a better water supply system to meet their increasing water demands, the local leaders

of Dhulikhel Municipality approached the government authority to address the issue. On grounds

of financial capacity, the government rejected the project. The community took initiative to seek

out donor agencies to support the project, eventually finding agreement of funding from DeutscheGesellschaft fr Technische Zusammenarbeit (GTZ) under certain conditions. These conditions

upheld the peoples sovereignty in the management of their resource and in the operations of

the project, including raising the operations and management fund, guaranteed community

participation, handling of completed project by the community, and operations and management

to be done independently by the community members through the Dhulikhel Drinking Water

Users Committee. Throughout the project the community played an active and major role in

all project cycle stages of conceptualization, planning, implementation, and monitoring. Upon

completion of the project, the government officially handed over the new and the old water

supply systems over to the committee for management.

Through the Dhulikhel Drinking Water Users Committee, the local community has for the past 15

years successfully provided clean water to its consumers. Despite limitations in area of coverage,

the project has overall been successful with its major strengths in high level of performance

efficiency, full recovery of operations and management costs, high collection rate of water tariff,

low connection fee, small leakages, continuous operation of the system, and active participation

of the community in managing the system. Financial transparency, autonomy, peoples

awareness and participation in decision-making, and sound management are factors that have

also contributed to the success and sustainability of the project. The Dhulikhel Water Supply

project illustrates that community-managed systems are viable and sustainable alternatives to

water privatization.

Box 11.

Dhulikhel Water Supply Project: An Example of Effective Community

Water Management System in Nepal

Source: Adapted from Dhulikhel Water Supply Project: An Example of Effective Community Water Man-

agement Systems, Rabin Subedi and Anuj Sitoula of Water and Energy Users Federation (WAFED)-

Nepal, Water for the People: Peoples Water Resource Management Strategies.

Peoples sovereignty

Sovereignty as a principle of development effectiveness also applies to CSOs which

provide expression in peoples sovereignty i.e.that the foundation of sovereignty

lies in the peoples participation, consent and sovereign action. Democratic

development assumes participatory democratic development and economic

democracy that ensures the fulllment of the peoples economic rights among

others as well as peoples stewardship over natural resources.

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In 2004, the Cooperation Committee for Cambodia established the Non-governmental

organizations (NGO) Good Practice Project as a result of growing pressure from both within and

outside the NGO sector for NGOs to be more accountable. A working group of representatives of

the NGO community developed the Code of Ethical Principles and Minimum Standards for NGOs

in Cambodia incorporating feedback from a wider audience of NGOs and other development

stakeholders.

This code aims to maintain and enhance standards of good organizational practice and toensure public trust in the integrity of the individuals and organizations that make up the NGO

sector, and the effectiveness of NGO programs. Nine ethical principles were established:

Box 12.An NGO Code of Principles and Standards in Cambodia

Social responsibility and accountability

As private actors acting on behalf and in pursuit of public interest, CSOs are required

to demonstrate accountability and social responsibility to a greater degree and in a

different manner than the private sector or the government.

The principle of accountability requires CSOs to pay special attention to its

constituency that includes its membership and communities where it directly

operates. Furthermore, accountability requires CSOs to be transparent and always

ready to demonstrate facts and information required that relate to their work and

operations.

CSO accountability must address different levels: toward the CSOs own staff,

its partners, the government, donors, and ultimately toward the community orconstituency that it serves.

What are some of the key elements of CSO development effectiveness?

In order for CSOs to implement the foregoing principles as effective development

actors and become themselves effective enablers and representatives of the poor

and the people in general, a number of key elements or mechanisms for CSO

development effectiveness are required:

a. A code of conduct that embodies principles of CSO development effectiveness

The principles discussed in the previous section constitute the set of principles

that guide CSOs in their work and in their relationships. These can be presented

as a code of conduct that CSOs can ascribe to voluntarily and internalize in their

operations among the people, in their partnerships, in their networking and in their

engagement with other institutions and sectors.

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The INGO Accountability Charter is a voluntary charter signed by 17 international NGOs (INGOs).

Among the Charters nine principles is transparency, whereby signatories commit to openness

and honesty about their structures, mission, policies, and activities, and to communicating

actively to stakeholders about themselves, by making information publicly available.

Some of the practical implications of this principle include:

reporting compliance with relevant governance, nancial accounting, and reporting

requirements in the countries in which they are based and operate, and annualreporting on activities, financial performance, and sources of funds;

audit compliance with relevant nancial reporting and audit laws and practices; and

Box 13.The INGO Accountability Charter

Source: Extracted from Sothath (2008) and Cooperation Committee for Cambodia (2008).

b. An enabling environment for CSOs to exist and operate

The effectiveness of CSOs in enabling the poor is very much inuenced by the

enabling environment in which they operate. Hence, equally important to the code

of conduct are the enabling conditions that constitute an environment for CSOs to

thrive. These conditions include social mechanisms for registration, government

mechanisms and legislation, donor interventions as well as the CSOs own

mechanisms and interactions.

The role of donors, international organizations and institutions, of governments, are

crucial in this regard. This is further discussed in Part III.

c. A set of mechanisms for CSO accountability

Established institutionalized mechanisms for CSO accountability are essential in

order to assure recognition and legitimization of CSOs in society. Because CSOsface a web of responsibilities for accountability -- to institutional and private donors

and governments, to their own staff and dened mission, to other organizations

with which they may be working, and to their primary constituents -- this raises

questions about which of these accountability relationships tend to predominate.

Mechanisms for CSO accountability must ensure that CSOs do not favor their

relationship to more powerful stakeholders (such as donors or governments) versus

the primary constituency that they profess to represent and serve.

partnership, independence, cooperation, transparency, accountability, non-political

affiliation, non-discrimination, non-violence, respect for human rights and communities.

The initiative is developing a system of self-certification and also provides opportunities for NGOs

to come together to learn about best practices in accountability.

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Source: Extracted from No author (2005), Tomlinson and AG-CS (2008). More information on the Char-

ter is available at: http://www.ingoaccountabilitycharter.org/

accuracy of information adherence to generally accepted standards of technical

accuracy and honesty in presenting and interpreting data and research.

Another of the Charters principles is that of good governance, under which signatories

commit to:

a governance mechanism that includes structures for supervision and evaluation of the

chief executive, and overseeing program and budget matters;

written procedures dening the appointment, responsibilities and terms of members of

the governing body, and regular general meetings to appoint and replace its members;

and

listening to stakeholders suggestions on how to improve the INGOs work, and

encouraging input from people whose interests may be directly affected.

The charter also contains principles on ethical fundraising, professional management, non-

discrimination, effective programs, responsible advocacy, independence, and respect for

universal principles grounded in the Universal Declaration of Human Rights.

A suggestion that emerged as part of the AG-CS consultation process was that this charter could

be expanded to address the increasing presence of large INGOs based in developing countries.

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Part IIIEnabling Environment for CSO

Development Effectiveness

The enabling conditions for CSO development effectiveness are multi-dimensional

and include conditions that relate to the general character and state of governance in

a country. This complex set of conditions include the following: (a) mechanisms to

ensure the promotion and protection of the rights to expression, peaceful assembly

and association, and access to information; (b) CSO-specic policies such as CSO

protection and promotion through legislation and regulations including charitable

status provisions; (c) regulations and norms to promote CSO transparency and

accountability to their constituencies; (d) the general legal and judicial system

and related mechanisms through which CSOs or their constituencies can seek

legal recourse; (e) the degree to which multi-stakeholder dialogue is encouraged

and practiced; and (f) measures to promote philanthropy and corporate social

responsibility.21

However, there are minimum standards for an enabling environment for CSOs to

conduct their affairs as development actors in their own right. Based on theseminimum standards, more elaborate or sophisticated measures of support through

CSO networking or through government-sponsored programs and mechanisms to

promote pluralism and support CSO development work may be established.

What are some of the components for an enabling environment for CSOs?

In general these enabling conditions may be grouped under: recognition through

voluntary registration; legislation; access and participation; nancial regulation;

government support mechanisms; CSO partnerships; CSO networking; and donorsupport.

a. Voluntary registration for recognition

An essential element for an enabling environment for CSOs is social recognition in

order for them to perform their functions as interlocutors of government in policy

formulation, implementation, evaluation, and so on. Registration is one mechanism

to establish formal recognition in order to assure requirements of CSO legitimacy

that a CSO is indeed an organization that exists and operates and is non-prot.

One of the challenges in this regard is ensuring that the registration process is open

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Source: Extracted from Accountability through Accreditation: The International Planned Parenthood

Federations Approach to Partnership with Independent Partners. Case Book Study (2008).

The International Planned Parenthood Federation (IPPF), a global network of autonomous member

associations, is one of the first INGOs to implement a process of accreditation. The accreditation

system helps to ensure that IPPFs mission, vision, and values are shared by all associations,

and that agreed principles, policies and standards are respected and implemented consistently

across the Federation, regardless of the national context in which they are working.

IPPFs accreditation tool is used to assess and review the work of all its member associations.

It embraces their diversity while ensuring that they uphold essential international standards and

observe best practice. Importantly, this guarantee of excellence is consistent across the globe.

Accreditation offers a guarantee to external partners that the association adheres to

internationally recognized transparent governance, management, financial and monitoring

systems, making them partners who come with a guarantee that they adhere to the same

principles as those highlighted in the Paris Declaration, from a civil society perspective.

With five years of experience, IPPF has emerged as a leader within civil society for accountability

through accreditation, receiving visits and requests for information from Transparency

International, the International HIV/AIDS Alliance and the Emergency Capacity Building

Consortium of NGOs Project.

An interesting aspect of the IPPF case is that for CSOs that do not at first meet the standards, the

organization will support and assist them to address areas needing to be strengthened.

Box 14.

Accountability Through Accreditation The International Planned Parenthood

Federations Approach

and not exclusionary in order to draw in voluntarily a wide and diverse range of

civil society organizations, including small community-based formations, and

not just big, professional organizations. Steps have to be taken in order that the

registration process is pro-poor, inclusive, and afrmative to marginalized sectors;

which means that the process should have only minimum requisites in order that

it does not become too tedious as to exclude or restrict any legitimate organization

from signing up.

CSO-managed voluntary registration mechanisms should be favored over

government registration mechanisms. In the Philippines, for example, government

requires all CSOs to register only with the barangay (the organic local government

unit). But this is not sufcient to accord them with privileges of participation in

more elaborate government projects which require more restrictive and costly

forms of registration.

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Civil society organizations have become important contributors to Ethiopias political and

economic revitalization. Major achievements of NGOs can be seen in the areas of health, food

security, human rights, and poverty alleviation, just to name a few. Most recently, during the

2005 elections, NGOs supported voter education, and monitored and observed the election

process.

In February 2009, the Government adopted the Proclamation to Provide for the Registration and

Regulation of Charities and Societies (CSP), Ethiopias first comprehensive law governing theregistration and regulation of NGOs. The law is one of the most controversial NGO laws in the

world.

CSP Article 68 requires all charities and societies to register. It further requires foreign

organizations to obtain a letter of recommendation from the Ethiopian Ministry of Foreign Affairs.

CSP Article 69 allows the Agency to deny registration if, inter alia, (1) the proposed charity or

society is likely to be used for unlawful purposes or for purposes prejudicial to public peace,

welfare or good order in Ethiopia; or (2) the name of the charity or society is in the opinion of the

Agency contrary to public morality or illegal.

CSP Article 14j-n restricts participation in activities that include the advancement of human and

democratic rights, the promotion of equality of nations and nationalities and peoples and that of

Box 15.Registration and Regulation of Charities and Societies in Ethiopia

b. CSO legislation

An enabling legal and judicial system is one that can function with efciency, is

impartial, and to which all members of society have access. The legal and judicial

system is often used by CSOs to pursue human rights contained in international law

and further enshrined in domestic policy. Other enabling means for the promotion

and protection of rights include bodies such as human rights commissions and

ombudsmans ofces.22

CSO legislation is necessary in order to assure the rights of citizens to association;

protect CSOs against threats and abuses; and prevent and address undue restrictions

from local or national government. There are concerns raised that policy and

legislation governing CSOs may be a double-edged sword in that while it may

help secure basic rights for CSOs to exist and operate, these may also limit theindependence of CSOs especially where governments and CSOs are in opposing

sides of the table. At best, legislation governing CSOs should complement CSOs

own regulations and norms for transparency and accountability. And in the event that

the legislation itself is restrictive, CSOs and their constituencies may challenge this

either by questioning the constitutionality of such legislation and/or seeking legal

recourse before international law and covenants where the national government is

a party to.

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As a general rule, there are no specific provisions regarding political activities of NGOs in the civil

codes. Countries including France, Belgium, Holland, Finland, Italy, Spain, Germany, Switzerland,

and Denmark place no restraints upon the public policy activities of NGOs. In fact, some civil

law countries actively encourage NGOs political activities. In Belgium, for example, there is

an explicit right entitled droit de critique (right to criticize) which permits associations to use

all legal means to defend interests and ideas of organizational objectives. Political parties inGermany set up foundations specifically for the purpose of channeling resources into partisan

activities. And in Switzerland, associations mobilize and represent citizens in the political

decision-making process.

Box 16.

Laws and Regulations on the Political Activities of NGOs

c. Access and participation

Assumed in a democratic system, and enshrined in CSO legislation if it exists,

CSOs