Professional Documents
Culture Documents
5
The most important political office is that of pri- produce better service outcomes. Non-
vate citizen. governmental and civil society organiza-
chapter Louis D. Brandeis tions can help to amplify the voices of the
poor, coordinate coalitions to overcome
their collective action problems, mediate on
Citizens’ voice in society and participation their behalf through redress mechanisms,
in politics connect them to the people who and demand greater service accountability.
represent the state—politicians and policy- Even when these measures have limited
makers. Unlike the short route of account- scope, better information—through public
ability between clients and providers dis- disclosure, citizen-based budget analysis,
cussed in chapter 4, the long route of service benchmarking, and program impact
accountability involves politics. That assessments—and an active, independent
accountability has two parts: the relation- media can strengthen voice.
ship of voice between citizens and politi-
cians and policymakers (discussed here) and
the relationship between policymakers and
Citizen voice and political
service providers (discussed in chapter 6). accountability
This chapter asks several questions: Faced with classrooms without teachers, clin-
Why don’t politicians in well-functioning ics without medicines, dry taps, unlit homes,
democracies deliver education, health, and and corrupt police, poor citizens often feel
infrastructure services more effectively to powerless.219 Elected representatives seem
poor people even though they depend on answerable only to the more powerful inter-
poor people’s votes? Why are public expen- ests in society if at all. When politicians are
ditures systematically allocated to con- unaccountable to poor people as citizens, the
struction projects and the salaries of bulky long route of accountability—connecting cit-
state administrations, often at the expense izens with providers through politicians—
of making services like schooling work? breaks down, voice is weak, and providers can
And why, when the government does get away with delivering inadequate services
spend money on services that the poor rely to poor clients.220 When poor citizens are
on, such as primary health care, is service empowered, whether on their own or in
quality so poor? Finally, what can citizens, alliance with others, their demand for
particularly poor citizens, do when politi- accountability can make politicians respond
cians fail to make services work for them? in ways that compensate for weaknesses else-
Empowering poor citizens by increasing where in the service delivery chain.
their influence in policymaking and align-
ing their interests with those of the non- Services are politically powerful
poor can hold politicians more accountable For poor people the only routine interaction
for universal service delivery. Elections, with the state may be at the delivery point of
informed voting, and other traditional services. Election platforms show that politi-
voice mechanisms should be strengthened, cians are very aware that poor people’s per-
because these processes—and the informa- ceptions of the state are shaped by the quality
tion they generate—can make political of services. The 30-Baht Gold Card scheme in
commitments more credible, helping to Thailand promised inexpensive universal
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healthcare and helped the Thai Rak Thai public agencies in 1993 do both, giving
party win a landslide victory in the 2001 par- clients the right to redress through the Public
liamentary elections.221 Service delivery was Complaints Bureau if corrective action for
important for the Labor party’s successful noncompliance is not taken.226
2001 election campaign in the United King- Another complication is that the voice
dom. A Prime Minister’s Delivery Unit has relationship links many citizens with many
been set up to monitor progress.222 politicians—all with potentially very differ-
Even when services do not figure explicitly ent interests. When services fail everyone,
in elections, politicians often seek to enlarge the voice of all citizens (or even that of the
their political base by providing free public non-poor alone) can put pressure on politi-
services or lucrative service-related jobs to cians to improve services for all citizens,
their supporters. And people are increasingly including the poor. But when services fail
concerned about accountability for services primarily poor people, voice mechanisms
outside the voting process. In Brazil, India, operate in much more difficult political and
and South Africa civil society organizations social terrain. Elites can be indifferent about
are analyzing the allocation and use of public the plight of poor people.227 The political
resources in the budget to understand their environment can swamp even well-orga-
impact on the poor.223 With so much political nized voice. Protest imposes large costs on
attention paid to services, why is the voice the poor when their interests clash with
relationship often so weak? those of the elite or those in authority.228 It
then matters whether society is homoge-
Voice is the most complex neous or heterogeneous and whether there
accountability relationship is a strong sense of inclusion, trusteeship,
in service delivery and intrinsic motivation in the social and
Voice is the relationship of accountability political leadership of the country. To
between citizens and politicians, the range of expect poor people to carry the primary
measures through which citizens express burden of exerting influence would be
their preferences and influence politicians unfair—and unrealistic.
(figure 5.1).224 Accountability in this context Finally, voice is only the first part of the
is the willingness of politicians to justify their long route of accountability. That compli-
actions and to accept electoral, legal, or cates its impact on services, since the impact
administrative penalties if the justification is depends also on the compact relationship
found lacking. As defined in chapter 3, between policymakers and providers. Even
accountability must have the quality of strong voice may fail to make basic services
answerability (the right to receive relevant work for poor people because the compact is
information and explanation for actions), weak. But the reverse can also be true, as was
and enforceability (the right to impose sanc- the case in the former Soviet Union.
tions if the information or rationale is
deemed inappropriate).225 One complication Figure 5.1 Voice in the service delivery framework
is that voice is not sufficient for accountabil-
ity; it may lead to answerability but it does The state
not necessarily lead to enforceability. Politicians Policymakers
In principle, elections provide citizens
of accounta
with both answerability (the right to assess a ro u te bili
ng ty
Lo
ce
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Table 5.1 Pro-poor and clientelist service environments when the average citizen is poor
Politicians’ Service delivery Inclusion Systemic
incentives expenditure and exclusion service capture
design
Pro-poor No strong incentives to Promote universal Most poor people enjoy None
cater to special interests, provision of broad the same access and
preferring instead to basic services that service quality as
address general benefit large non-poor due to
interests segments of society, network, political,
including poor social, or altruistic
people and the reasons
non-poor
Clientelist Strong incentives to Permit targeting to Poor people do not Systemic service capture
cater to special interests, narrow groups of enjoy the same access by local or national elites;
to core supporters, or to non-poor “clients” and service quality as ultrapopulist governments
“swing” voters and sometimes to the non-poor, though (such as “Curley
poor people but with specific groups of poor effects,” see box 5.2)
features making “clients” may do so
services vulnerable
to capture by
non-poor
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Informed voting can be costly. Detailed Information deficiencies thus lead voters to
behavioral studies show that voters tend to give more credit to politicians for initiating
adopt simple rules of thumb based on very public works projects (including school
limited information about politics and construction), providing direct subsidies
public policies.237 Most of the information for essential commodities, and increasing
voters use is likely to be essentially “free,” in employment in the public sector (including
that it comes incidentally with the perfor- hiring teachers and doctors) than for
mance of social and economic roles.238 This ensuring that teachers show up for class
kind of information tends to vary widely and can teach—or that doctors come to
over the electorate, depending on occupa- clinics and heal.
tion, social setting, and cultural norms. Vot- If voters vote with limited information
ers also behave myopically, giving much or if they are uncoordinated but can be
greater weight to events around election swayed by propaganda or bribes, special-
times or to service outputs that are immedi- interest groups can capture policies by pro-
ately visible.239 viding campaign finance or mobilizing
In principle, citizens could employ vot- votes.241 These interest groups need not be
ing rules requiring very little information defined along rich-poor lines. They could
and still motivate politicians to pursue be organized coalitions of voters (such as
policies in their interest—if they could farmers or public sector employees) that
coordinate their efforts.240 It is harder for lobby politicians to protect their interests,
voters to coordinate rewards or penalties pushing for targeted policies at the expense
for basic health and education because of of policies that would benefit the many.
the difficulties in evaluating these services
and attributing outcomes to politicians Social polarization
(see box 5.1). Transaction-intensive public Social polarization can lead to voting based
services such as education and health on social, ethnic, or religious identity rather
depend on day-to-day provider behavior. than policy or service delivery performance.
Quality is hard to measure and attribute. This too limits political incentives to pursue
BOX 5.1 Why are public health and education services so difficult to get to poor people?
When even the poorest of parents care deeply coordinated, clear preferences in health and Because of political problems of information
about educating their children, why is it so diffi- education services.Furthermore, successful out- and credibility, public antipoverty programs are
cult for them to do something to ensure that comes require supportive household behavior, more likely to take the form of private transfers,
the village teacher actually shows up for work and very heterogeneous social and cultural such as food subsidies, electricity subsidies, agri-
regularly? A political economy perspective on household norms may make households cultural price protection, construction projects,
public service delivery suggests that basic respond differently to public interventions. and public sector employment. Programs of this
health and primary education are very difficult
to get right because they are transaction-inten-
• Because of the difficulty of regularly monitor- kind are easier to capture and more amenable
to targeting than basic health and education,
ing these services and of measuring and
sive services with outcomes that depend attributing their long-term impact, it is harder which are more suited to universal provision.*
crucially on the judgment and behavior of for politicians to claim credit for these That is why programs narrowly “targeted” to the
providers, both difficult to monitor continually, services than for a road or a well. And politi- poor may not be optimal in the sense of having
and on household behavior. cians who promise to improve these services the most impact on the economic well-being of
poor people.
• Learning takes place over long periods and may lack credibility and lose elections. For
these reasons, politicians are likely to prefer
the benefits of preventive health care are not
always obvious. Compared with other, more infrastructure to human development, and
visible public services—electricity or water are prone to using basic health and primary
connections, rural roads, law and order— education services as patronage for clients,
*van de Walle (1998) concludes, from a synthesis of
monitoring basic education and health ser- rather than as universal services to be research on public spending and the poor, that there is
vices makes large information demands on provided for the general good. a well-substantiated case for “broad targeting” of the
both voters and politicians. poor by allocating greater resources to universal public
So when poor people are uninformed, soci- services such as basic health and education. In contrast,
• Poor voters may be uninformed because they ety is polarized along social or religious lines, finely targeted food subsidies or other redistribution
schemes may sometimes be detrimental to the inter-
are illiterate. and politicians lack credibility or are prone to
ests of the poor due to the burden of administrative
• Where populations are socially polarized or het- clientelism, basic public services for poor people costs and unintended behavioral responses. See also
erogeneous, households are less likely to have are the most likely to suffer. van de Walle and Nead (1995).
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without them. When only clientelist promises mobilizing potential has been accompanied Figure 5.3 It paid to vote for PRI
Mexico: PRONASOL expenditures according
are credible, promises of construction and by an information revolution that has dra- to party in municipal government
government jobs become the currency of matically simplified information exchange Average expenditures per capita
political competition at the expense of uni- and citizen access to official information. (real 1995 pesos)
versal access to high-quality education and Enthusiasm for direct citizen involve- 400
health care (as seen in box 5.3). Public works ment also comes from mounting frustration PRI
300
or jobs can be targeted to individuals and with the dominant mode of a national civil PRD
groups of voters—clear evidence of political service delivering services that meet some 200 Other
patrons fulfilling their promises to clients. It technically predetermined “needs” of the PAN
is much more difficult to target the services of population.253 This frustration has led to 100
a well-run village primary school or clinic. greater interest in directly empowering citi-
Cross-country evidence on public invest- zens and overcoming collective action prob- 0
1989 1990 1991 1992 1993 1994
ment supports the contention that credibil- lems, driven also by the finding that civic
ity and clientelism significantly influence relationships and social capital are impor- Note: PRI = Institutional Revolutionary Party;
PRD = Party of the Democratic Revolution;
the provision of public services. There are tant determinants of government efficacy.254 PAN = National Action Party.
Source: Estévez, Magaloni, and Diaz-Cayeros
no variables that directly capture the credi- (2002).
bility of pre-electoral promises or the extent Broad range of issues and tools
of clientelism. But it is possible to argue that The rapid growth of citizen initiatives has
in young democracies political competitors been described as a new accountability
are less likely to be able to make credible agenda. It involves “a more direct role for
promises to all voters and are more likely to ordinary people and their associations in
rely on clientelist promises, and as these demanding accountability across a more
democracies age, politicians are more likely diverse set of jurisdictions, using an
to increase the number of clients since they expanded repertoire of methods, on the
can count on client loyalty. A study sum- basis of a more exacting standard of social
marizing the evidence shows that targeted justice.”255 Citizens are combining electoral
spending—public investment—is higher in accountability and participation with what
young democracies than in old and as would traditionally have been considered
young democracies age, targeted spending the official accountability activities of the
increases.251 Corruption falls as democracies state. These initiatives address accountabil-
age. These results are relevant for universal ity at various levels. Some are aimed at
basic services since they are likely to be of strengthening voice in service delivery by
lower quantity when public investment is enabling answerability and some at pushing
high and of lower quality when corruption further for enforceability. These initiatives,
is high. Similar cross-country evidence on and the state’s response, employ a number
secondary and primary school enrollment of old and new tools, including tools based
supports the view that credibility is a signifi- on information technology.
cant influence on the provision of public These citizen initiatives cover a far-reach-
services.252 ing array of issues, from improving law and
order in Karachi256 to preparing citizen
report cards. They vary tremendously in
Beyond the ballot box: scale, ranging from global knowledge-shar-
citizen initiatives to increase ing coalitions, such as Shack/Slum Dwellers’
accountability International,257 to community efforts in
When elections are not enough to make ser- Mumbai to monitor arrivals of subsidized
vices work for poor people, political pres- goods at local “fair price” shops in order to
sure builds for new approaches that enable expose fraud in India’s public distribution
citizens to hold politicians and policymak- system targeted to the poor.258 They also vary
ers more directly accountable for services. in depth and reach. On election reform, they
These activities do not replace the electoral range from generating background informa-
process, but complement it to strengthen tion on election candidates and their perfor-
the long route of accountability. The emer- mance in Argentina (Poder Ciudadano259) to
gence of such citizen initiatives and their civil society efforts to implement and sustain
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an Indian Supreme Court judgment making ture into more difficult areas. The impact of
it mandatory for all election candidates to these initiatives varies according to how
disclose their assets and any criminal record. they are perceived by politicians and policy-
On budget analysis, initiatives at one end makers and the government’s receptivity to
seek to make national budgets accessible to change. Several studies link this receptivity
citizens and at the other to promote village- to the stock of social capital.260
level participatory audits of local public One concern with some citizen initiatives
expenditures (box 5.4). is that they can lead to conflicts of interest
These citizen initiatives also use a broad and reduced accountability to poor people.
range of tools, from door-to-door signature Facing funding uncertainties, many non-
campaigns to cyber-activism. The rapid governmental organizations seek to diversify,
growth of the Internet and communication starting from voice activities but moving on
technologies has dramatically altered citizen to actual service delivery. When they become
voice nationally and internationally, though advocates and providers at the same time,
access is still limited by income and connec- there can be intrinsic conflicts of interest.261
tivity. Some innovative e-government appli- NGOs may suffer from their own lack of
cations are reducing corruption and delivery accountability, internal democratic deficits,
times and increasing service predictability and gaps in their mandates.262 The award of
and convenience. Karnataka, among India’s large service delivery contracts to a few big
leading states in information technology, civil society organizations can exclude and
has pioneered a computerized land records spell financial difficulties for smaller organi-
system to serve rural households (box 5.5). zations.263 And if community and civic
groups are captured by unscrupulous leaders,
Controversy and conflict of interest they can manipulate funding agencies and
Two separate trends are discernible in citi- beneficiaries for their own gain.264
zen voice initiatives: activities based on con-
sultation, dialogue, and information shar- Information strategies
ing, and activities more direct and to strengthen voice
controversial, related to monitoring, com- Policies that increase information and coor-
pliance, and auditing. Some activities start dination in voting, enhance the credibility of
with indirect objectives, build internal political promises, and increase the ability of
capacity and external trust, and then ven- civil society organizations to hold politicians
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BOX 5.5 Down to earth: information technology improves rural service delivery
Karnataka state in India has pioneered Bhoomi the village accountant controlled the process, days in waiting time and (net of the higher user
(meaning land), a computerized land record sys- with little official or client monitoring. Even fee) Rs. 806 million in bribes
tem serving 6.7 million rural clients. Its main where there was no fraud, the record system The resistance of village accountants had to
function is to maintain records of rights, could not easily handle the division of land into be overcome in implementing Bhoomi.The
tenancy, and cultivation—crucial for transferring very small lots over generations. chief minister, revenue minister, and members of
or inheriting land and obtaining loans. Started Farmers can now get these records in 5–30 the legislature championed Bhoomi, which
in 1991 as a pilot, the Bhoomi system now has minutes and file for changes at a Bhoomi kiosk. helped.There are now plans to expand beyond
kiosks in each of the state’s 177 subdistricts, ser- The entire process takes place in the vernacular, land transactions.The Indian government has
vicing some 30,000 villages. Kannada. Clients can watch a second computer suggested that other states consider similar sys-
Under the old system, applicants faced long screen facing them as their request is processed. tems to improve accountability and efficiency in
delays (3–30 days), and nearly two out of three Users pay a fee of Rs. 15. In a recent evaluation, services that are vital to rural households.
clients paid a bribe—70 percent paid more than only 3 percent of users reported paying a bribe.
Rs. 100 (the official service fee was Rs. 2).There The evaluation estimates that on average Sources: World Bank staff and Lobo and Balakrish-
was little transparency in record maintenance— Bhoomi annually saves clients 1.32 million work nan (2002).
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Homogeneous Hard
clients to monitor 2 Centralized government provision with regulatory oversight
5 Contracted provision and public financing that provides lots of information to strengthen voice and
client power. Clientelist relationships dominate politics. Services used as currency of political
Easy to patronage. Politicians have strong incentives for providing narrowly targeted transfers rather than
monitor universal public goods and prefer credibility that clientelism yields. Information about politicians,
their specific contributions, and service inputs and outputs can strengthen voice and have high payoff
Clientelist and be cost-effective. Scorecards, tracking surveys, and client satisfaction surveys potentially most
politics useful since nature of service and preferences are uniform and easy to monitor and compare across
jurisdictions. Public disclosure and a free press essential. Strengthen voice and client power in
Homogeneous
Hard general to counter clientelism (applies to 5–8).
clients
to monitor
6 Encourage altruistic providers (NGOs). Copayments and fees to reduce capture. Public information
campaigns.
Heterogeneous 7 Decentralized, rule-based allocations, vouchers, private provision (because service is easy to monitor).
clients Easy to
monitor Disseminate local information on provider performance to help monitoring.
8 Possibly the hardest situation to deal with. Need to boost client power to increase monitoring.
Hard
Rule-based allocations, copayments, user groups, altruistic NGOs, information for mobilizing clients.
to monitor
Free press essential to monitor compliance.
(option 2 in figure 5.4). But if the service and a pro-poor service delivery environ-
delivery environment is actually based on ment emerges, it should be possible to move
clientelism, and preferences vary widely, then to the service arrangements described in
conditions have been misread and services options 1 through 4. But to the extent they
fail poor people. Decentralized provision do not change, then trying to scale up with
with lots of client involvement at all levels options 1 through 4 and make services work
may be called for in ways that create choice for poor people may be wishful thinking
and mimic the market if services are to work and a waste of resources.
(option 8). Under either clientelist or pro-poor envi-
In general, services can be made to work ronments, having more and better informa-
in clientelist settings by choosing arrange- tion pays off in strengthening voice. Informa-
ments that reduce the rents from service tion about services that is specific, directly
delivery that would otherwise be captured related to voters’ concerns, and framed in a
through patronage and clientelism. These way that ensures political interest in address-
are the situations depicted in options 5 ing service delivery concerns is likely to be the
through 8. The appropriate service arrange- most effective. Information from impact
ment for hard-to-monitor services such as assessments can show what works and why.
curative care or primary education might Information about politicians can boost their
then be option 6 or 8 depending on whether political credibility, strengthen incentives to
preferences are homogenous or heteroge- provide universal public services, and avoid
neous. If institutional arrangements change politically targeted goods and rent-seeking.
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