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Citizens and politicians

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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Citizens and politicians 79

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

candidate’s record) and enforceability (vote


Voi

the candidate in or out). In practice, democ-


S h o rt r o u t e
racies vary greatly on both dimensions, as do Citizens/clients
most attempts to exercise accountability. Cit-
Coalitions/inclusion
izen charters may spell out the service stan-
dards and obligations of public agencies Nonpoor Poor
toward their clients, but without redress the
obligations may not be enforceable. In
Malaysia the client charters introduced for Services

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80 WORLD DEVELOPMENT REPORT 2004

Pro-poor and clientelist service ously, if delivery mechanisms do not


delivery environments account for these specific country and ser-
That voice is complex still begs the question vice differences, they are likely to fail, and
of why, in societies where the average citizen the poor suffer.
is poor, services fail poor people. The
answer has to do with whether service The interaction of voice
delivery settings are “pro-poor” or “clien- and accountability
telist.” The distinction reflects the incentives When populations are heterogeneous, it
facing politicians, whether services are matters whose voices politicians and policy-
designed to be universal and available to the makers hear and respond to. Where popula-
average citizen or vulnerable to targeting to tions are polarized around nonservice
“clients” by political patrons, and, if for- issues—religious, ethnic, caste, or tribal
mally targeted to the poor, whether they are background, for example—voters care
in practice captured by elites (table 5.1). more about what politicians promise on
Pro-poor settings are those in which politi- these polarizing issues than on services, giv-
cians face strong incentives to address the ing politicians incentives to pursue other
general interest. Clientelist political envi- goals at the cost of effective services. Where
ronments are those in which, even though politics is based on identities and patron-
the average citizen is poor, politicians have age, the poor are unlikely to benefit from
strong incentives to shift public spending to public services unless they have the right
cater to special interests, to core supporters, “identity” or are the clients of those with
or to “swing” voters.229 When the average political power. In failed or captured states
citizen is poor, catering to special interests voice can become meaningless. Politicians
at the cost of the general interest is clien- have neither the incentives nor the capacity
telism. to listen.
The distinction between pro-poor and Under what circumstances, then, is voice
clientelist is clearly an oversimplification, likely to lead to greater accountability? Elec-
but it provides a useful way of thinking tions can lead to improved services if the
about service delivery mechanisms. High- promises politicians make before elections are
quality services for all are less likely if politi- credible. The framework of citizen rights, the
cians cater to special interests rather than to right to information, service design, the influ-
the interests of the average citizen. Making ence of the media, and administrative proce-
services work for poor people is obviously dures for redress and appeal are all important
more difficult in a clientelist environment for voice.230 So too is the effectiveness of the
than in a pro-poor environment. Less obvi- institutions of accountability, such as parlia-

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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Citizens and politicians 81

ments, courts, ombudsman, anticorruption Political incentives for basic services


commissions. And so too are higher stocks of If delivered effectively, basic services such as
social capital, because they help overcome the primary health care and primary education
collective action problem underlying voice, benefit the poor disproportionately. But
particularly for poor people.231 democratically elected politicians in coun-
What can be done to strengthen voice, tries where the median voter is likely to be a
particularly for poor citizens, in demanding poor person, or where poor people consti-
better services? The answer depends greatly tute the majority of voters, often seem to
on the political setting, but in functioning have little incentive to provide such basic
democracies with elections and voting, at services. And voters seem unable to
least three things should be done. strengthen incentives for politicians to
• Deepen understanding and awareness of ensure better public services. Why?
why the politics of service delivery is so How politicians and voters make deci-
often clientelist and not pro-poor. sions and how politicians compete hold some
• If the politics is clientelist, consider what answers.235 When politicians have incentives
changes in the service delivery environ- to divert resources (including outright cor-
ment might alter political incentives and ruption) and to make transfers to a few
improve outcomes. clients at the expense of many, efforts to pro-
vide broad public services are undermined.
• When choosing how to deliver services,
How easy it is for voters to learn about the
factor in, to the extent possible, the pro-
contributions of politicians to a particular
poor or clientelist influence of political
service—and therefore for politicians to
competition on the incentives for service
claim credit for the service—differs consider-
delivery. Recognize and account for gov-
ably by service (box 5.1). The degree of polit-
ernment failure arising from clientelism.
ical competition is important. For example,
analysis suggests that an increase in the com-
The politics of providing public petitiveness of elections seems to have a big-
services to poor people ger effect on primary school enrollment than
In 1974 only 39 countries—one in four— increases in education spending.236
were electoral democracies. By the end of Three factors therefore appear to be Figure 5.2 Democracy’s century
World population by polity
2002, this had grown dramatically to 121 especially important for influencing politi-
governments—three in five.232 Over the last cal incentives for service delivery: Percent
100
century, the percentage of people living in
90
democracies with competitive multiparty • How well voters are informed about the
contribution specific politicians or polit- 80
elections and universal suffrage has increased
ical parties make to their welfare. 70
dramatically (figure 5.2).
60
Rapid democratization has brought rep- • Whether ideological or social polariza-
50
resentation and liberties, but not rapid tion reduces the weight voters place on
40
improvements in services for poor peo- public services in evaluating politicians.
30
ple.233 Most, if not all, new democracies are • Whether political competitors can make
20
low-income countries with substantial credible promises about public service
10
poverty. Services available to poor people in provision before elections.
0
these young democracies seem to be not 1900 1950 2000
much different from those available in non- Informed voters
Protectorate/colonial
democracies. In some cases services are The incentives for transfers targeted to dependence
worse than those provided by ideologically informed voters are greater when voters in Monarchy
committed but nonelected governments in general lack information about the quality (constitutional/
traditional/absolute)
single-party, socialist countries. Whether of public services and the role their elected
Restricted
countries have elections or not seems not to representatives play in affecting quality. The democracy
matter for public perceptions of corrup- same is true if uninformed voters are easily Authoritarian/
tion, and since corruption worsens service swayed by political propaganda, or if they totalitarian regimes
delivery for poor people, by implication for vote on the basis of a candidate’s charisma Democracy
public perceptions of effective services.234 or ethnic identity rather than record. Source: Freedom House (1999).

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82 WORLD DEVELOPMENT REPORT 2004

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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Citizens and politicians 83

public policies in the general public inter-


est. James Curley, an Irish Roman Catholic BOX 5.2 The “Curley effect”
mayor of Boston in the first half of the 20th
Described as “The Rascal King,” James the lowest population growth rate of any
century, fanned class and religious divisions Michael Curley dominated politics in Boston U.S. city of comparable size.
for electoral advantage and was repeatedly for half the 20th century, holding elected Glaeser and Shleifer (2002) call this the
reelected despite the damage his policies did office, among others, as four-time city mayor “Curley effect”—increasing the size of one’s
between 1913 and 1950, besides serving political base, or maintaining it, through dis-
to the city’s growth (box 5.2).
two prison terms on corruption charges. tortionary, wealth-reducing policies.They use
It is this effect of social polarization on Admired by working-class Irish families, Cur- it to shed light on the ethnic and class politics
political incentives that partly accounts for ley was noted for his railing against the of service delivery when the net effect is to
the empirical evidence on the negative cor- Protestant Yankee establishment and for his impoverish the overall community.They show
rough-and-tumble ways. how the Curley effect may apply to Detroit,
relation between ethnic heterogeneity and Curley used patronage, cash, and rhetoric USA, to contemporary Zimbabwe, and to the
the availability of public goods.242 More to shape his electorate, driving the richer Labor party in the United Kingdom before its
generally, basic public services, particularly Protestant citizens out of the city to ensure current reincarnation as New Labor.
those that are not easily excludable such as his political longevity. Curley’s tools of The Curley effect demonstrates that
patronage were public services, large con- clientelism need not benefit only rich clients.
primary education, can also deteriorate struction projects, and public employment. It can benefit poor clients as well, and still
where there is social fragmentation—some In his first year as mayor, Curley raised the imply substantial losses in efficiency through
social groups do not want to pay for public salaries of police patrolmen and school cus- the misallocation of public resources. So,
goods that benefit other groups.243 todians but cut the salaries of higher-ranking clientelism results in inefficient, targeted allo-
police officers and school doctors (Beatty cations that benefit only a few, as opposed to
1992). Miles of sidewalks were laid in Irish allocations to universal public services that
Credible politicians neighborhoods, but the cobblestones of benefit larger segments of the same poor
swank Yankee neighborhoods crumbled and not-so-poor populations.
Even when voters are informed, public pol- (O’Connor 1995). Boston did not flourish Sources: Glaeser and Shleifer (2002), O’Connor
icy can fall short when the promises of under Curley: between 1910 and 1950, it had (1995), and Beatty (1992).
politicians are not credible. When candi-
dates cannot or do not make credible
promises before elections (because aban-
doning promises costs election winners lit- politician for building a school or assigning
tle), incumbents are more insulated from teachers, but they can less easily verify that
the disciplining effects of political competi- the politician is responsible when the build-
tion. Challengers cannot mount effective ing is maintained or supplied, or when the
campaigns because they cannot convince teacher is present and competent. If politi-
voters that they will do a better job. Fur- cians cannot take credit for their efforts to
thermore, if politicians are credible only to improve teacher quality, teacher quality is
their “clients,” more public resources will be likely to be low—and voters are unlikely to
allocated to these clients. This can have expect anything else. In Pakistan nonprofes-
large implications for universal health and sional considerations have been common in
education services. Incumbents enjoy the placement of teachers.245 The incentives
greater discretion to pursue goals other facing local politicians have been important
than those preferred by the majority of citi- factors in the low quality of rural schools
zens who may be poor, goals such as provid- (box 5.3).
ing narrowly targeted services to their sup- In many countries, politicians do not
porters at the cost of more universal public campaign on their policy record, probity, or
services that benefit all.244 history of program involvement or on the
policy record of their party. Voters then are
Credibility and credit go hand in hand. likely to believe politicians who have shown
Credibility problems also arise when politi- themselves to be reliable sources of personal
cal competitors make credible promises but assistance. They might be locally influential
their term in office is too short to claim people who have helped families by provid-
credit for policies with long maturing out- ing loans or jobs or by resolving bureau-
comes. Promises of jobs or public works cratic difficulties. Without well-developed
projects can be delivered soon after an elec- political parties or national leaders who are
tion. But promises to improve education credible, promises of targeted favors are all
quality and outcomes are much less credi- that voters can rely on in making electoral
ble. Similarly, voters can easily credit a choices.

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(local public goods, projects limited to a


BOX 5.3 Better to build rural schools than to run them jurisdiction) or individuals and specific
well in Pakistan groups (clientelism).246
What distinguishes clientelism? Clien-
Elected officials in Pakistan have demon- roads, and water pipes close to supporters
telism implies a credible threat of exclusion
strated an extraordinary interest in target- and far from nonsupporters.
ing services to their supporters, but much Voting by blocs of supporters makes from a stream of benefits if the voter
less interest in services such as primary edu- patronage a more effective political strategy chooses to vote for the opposition.247 Thus
cation that all voters can enjoy. Contribut- than the provision of well-functioning an incumbent politician can use clientelism
ing to this outcome are three aspects of services that must be provided to all. Costly
rural Pakistani politics: identity-driven poli- elections drive politicians to provide public
to deter core supporters from switching
tics, voting blocs that make it easy to iden- services to supporters who can be depended support. Clientelism is hard to pursue for
tify core supporters, and costly elections. on to vote for them at low out-of-pocket cost. local or extensive public goods—beneficia-
Voter ignorance, poor information on Under these conditions, schools may ries are not reliable clients because they can
political competitors, and the absence of get built for the corruption, employment,
party credibility on broad policy issues and profit opportunities that construction
support the opposition and still benefit.
encourage politicians and voters to build provides.Teachers are hired less on merit The Programa Nacional de Solidaridad
personal relationships that make pre-elec- and more on how best to apportion patron- (PRONASOL) poverty alleviation program
tion promises more credible. Because these age, particularly when absenteeism is not in Mexico spent an average of 1.2 percent of
relationships are personal, they tend to be penalized.There are, in contrast, few
based on narrow, excludable services systemic political incentives to make sure GDP annually on water, electricity, nutri-
promised and delivered to core supporters. schools run well, teachers remain account- tion, and education in poor communities
The distance between rural communities able, and children learn. between 1989 and 1994.248 Municipalities
boosts the political efficiency of targeting
dominated by the Institutional Revolution-
political benefits—it is easier to site schools, Source: World Bank (2002l).
ary Party (PRI), the party in power, received
significantly higher per capita transfers than
municipalities that voted in another party
Credibility can make change difficult. (figure 5.3). An assessment of PRONASOL
Problems of political credibility can cause spending suggests that it reduced poverty by
bad policies to become entrenched. Coun- only about 3 percent. Had the budget been
tries often adopt poverty strategies based on distributed for impact on poverty rather
subsidies for consumption and agricultural than party loyalty, the expected decline
production, sometimes at the expense of would have been 64 percent with perfect tar-
broad public services such as education and geting, and it would have been 13 percent
health that might have resulted in lower even with an untargeted, universal propor-
poverty and more economic growth. India tional transfer to the whole population. 249
subsidizes electricity, ostensibly for poor Even if voters want to vote for an opposi-
farmers. Once political credibility is strongly tion party or candidate, they might be
linked to a particular policy such as deliver- deterred by the fear of being penalized by
ing subsidized electricity, these policies con- the withholding of funds by a central
tinue to receive greater public resources than authority. So voters may end up keeping a
they would if all political promises were party they may dislike in power in order to
equally credible. Vested interests develop ensure funding for local public services.
around suboptimal policies—rich farmers This is compounded by a coordination
capture the power subsidy—which makes problem. Even if the majority of localities
change even more difficult. wanted to vote against the incumbent party,
without certainty about what other locali-
Clientelism ties planned to do, the majority would end
Clientelism is characterized by an excessive up supporting the ruling party to avoid
tendency for political patrons to provide strategic miscoordination and the penalty
private rewards to clients. Politicians allo- of loss of funds.
cate public spending to win elections. To do Clientelism can also be the outcome of
so, they can provide public goods that can political competition when the credibility
improve everyone’s welfare (public goods of political competitors is limited—politi-
that are extensive, such as law and order, cal promises are credible only to “clients.” 250
universal education, with no rivalry or Politicians with clientelist ties can fulfill
excludability). Or they can target localities campaign promises better than politicians

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Citizens and politicians 85

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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86 WORLD DEVELOPMENT REPORT 2004

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

BOX 5.4 Follow the public’s money


The budget, a primary statement of government citizen voice in budget allocations and hearing), an open-air forum at which official
priorities, is for many citizens a black box, moni- implementation. records are presented alongside the testimony
tored and assessed only by the traditional inter- derived from interviews with local people.
nal accountability relationships within govern- Budget monitoring The Institute for a “Many people discovered that they had been
ment. But it can be a crucial tool for citizens to Democratic South Africa makes information listed as beneficiaries of anti-poverty schemes,
influence and monitor public policy and ser- about provincial and national budget though they had never received payment.
vices. Accordingly, participatory budgeting ini- allocations accessible to citizens. Its technical Others were astonished to learn of large
tiatives are increasing rapidly in several coun- experts break public budgets down to facilitate payments to local building contractors for work
tries.The challenge is to build the capacity of public comment. Special reports show how that was never performed” (Jenkins and Goetz
citizen groups, to give politicians and policy- much money is allocated, say, to gender-related 1999). Until a state right-to-information law was
makers the incentives to listen and act on citi- and children’s issues.The most direct influence passed in 2000—largely a result of the protest
zen feedback, and to put out budgets that are of its work is in strengthening the ability of and lobbying efforts of the MKSS—its activists
understandable and interesting to citizens. parliamentarians to participate more effectively had to obtain this information by appealing to
in budget discussions. sympathetic bureaucrats. A similar national law
Budget planning The most well-known
was passed in 2003.
budget planning initiatives come from city Budget auditing The Mazdoor Kisan Shakti
municipalities in Brazil, such as Porto Alegre and Sanghathan (MKSS), a grassroots organization in
Belo Horizonte. Neighborhoods indicate their the north Indian state of Rajasthan, has turned Sources: Andrews and Shah (2003), Singh and Shah
spending needs at budget forums, and delegates ordinary citizens into financial auditors. Its key (2003), Goetz and Jenkins (2002), and Jenkins and
then bring these needs to assemblies, ensuring innovation has been the jan sunwai (or public Goetz (1999).

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Citizens and politicians 87

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).

and policymakers accountable are likely to group. That made benchmarking—system-


improve services for poor people. Conversely, atic comparisons across time or space—easy.
the lack of transparency in information dis- The Uganda information was not about the
closure can come at a high price. Cases dur- general quality of education or general budget
ing the earliest phase of the outbreak of support, or even about leakage from national
Severe Acute Respiratory Syndrome in mid- education budgets. It was about one type of
November 2002 in China were not openly transfer—capitation grants—disaggregated
reported, which allowed a new and severe to the school level, responsibility for which
disease to become silently established in ways was easy for parents and voters to assign to the
that made further spread almost inevitable.265 school principal. In addition, the information
Information campaigns have dramatically made clear to voters what the school should
altered the behavior of politicians and policy- have received. The information in Buenos
makers, but many have also failed to induce Aires was also specific to individual hospitals.
change. Understanding when information Government responses to food crises
campaigns can succeed is thus critical. show how the provision of high-level infor-
mation is politically enforceable by voters.
What makes for a successful First, a food crisis is a single, specific issue.
information strategy? Second, responsibility for it is known to rest
Tracer studies of spending on Ugandan edu- ultimately in the state chief minister’s office.
cation revealed leakages as high as 90 per- Third, there are no complicated issues of
cent. Once the information was publicized, quality measurement—voters know imme-
the budgeted resources reaching schools diately that they are benefiting if they receive
rose dramatically.266 Studies suggest that assistance. Benchmarking is a bit more com-
newspaper readership and availability in plicated but still doable. Voters know if oth-
India spur state governments to respond to ers less deserving receive assistance. But they
food crises.267 In Buenos Aires, publishing do not know what effort governments
the wildly different procurement prices paid should make in responding to food crises
by city hospitals for similar products led to (which is different from the benchmarks in
rapid convergence of prices.268 What did the Uganda tracer studies, where voters
these information strategies have in com- knew exactly how much money should have
mon? The information was specific. Political reached individual schools).269
interest in addressing the problem was high.
Strong political or bureaucratic interest in
And the information was electorally salient.
correcting the problem. In some cases
Specific information. The information (Uganda and possibly Buenos Aires),
identified specific government decisions, spe- national politicians did not benefit, and
cific decisionmakers, and the effect of the potentially lost, from leakages or inefficien-
decision on the voters individually or as a cies. That is, corruption was the product of

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88 WORLD DEVELOPMENT REPORT 2004

bureaucratic shirking rather than political Citizen report cards:


rent-seeking. Education had become a information as political action
major issue for the president of Uganda, Other information strategies look directly at
and his reputation was on the line. He had public service outputs (quality and quantity
made public promises, followed by the of services provided by government) rather
highly visible action of transferring more than inputs (prices paid, budgets committed
funds to local schools. His ability to fulfill and delivered). The best known are the citi-
those promises was being undermined by zen report cards developed by the Public
bureaucratic malfeasance. Once the malfea- Affairs Centre in Bangalore, India.271 Citi-
sance was revealed, the fear of sanctions was zens are asked to rate service access and qual-
enough to hold individual bureaucrats ity and to report on corruption and general
accountable and produce rapid change. grievances about public services. Citizen
In other cases, such as assistance in a report cards have spread to cities in the
food crisis, there is considerably more room Philippines, Ukraine, and, on a pilot basis,
for shirking. Citizens find it difficult to Vietnam. They have recently been scaled up
know how large the crisis is, what resources in India to cover urban and rural services in
are available, and how efficiently and equi- 24 states.272 The results have stimulated con-
tably the resources are distributed. This siderable media, bureaucratic, and political
uncertainty leaves room for political inac- attention and acknowledgment of their con-
tion. But the consequences of government tribution to service improvements.
inaction—starvation deaths and their Because citizen report cards focus on ser-
reports in the media—are grave enough to vice outcomes, they do not provide voters with
tarnish the chief executive’s reputation, information about specific decisions that spe-
which gives the state administration a cific policymakers have made—or not made.
major reason to avoid them. Famines do Nor do they give voters information (at least in
not occur in democratic countries, even their first round) about service benchmarks,
very poor ones, because the survival of the except to the extent that the agencies them-
government would be threatened by the selves have established service standards
opposition and by newspapers and other (repeat report cards do provide implicit bench-
media.270 And the more citizens are marks from the previous report card). So it can
informed about the crisis and the needed be hard for voters to assess, on the basis of one
response, the more likely they are to hold report card, whether the results justify voting
politicians electorally accountable. against the incumbents at the next election.
Report cards seem to have had a more
The issue is important electorally. Politi- direct influence on the heads and senior man-
cians are not interested in improving perfor- agers of the municipal and utility agencies
mance if voters do not care. Voters can be responsible for services, as in Bangalore. The
well informed and know who the responsi- high visibility of report cards in the press and
ble politician is, but still not hold the politi- civic forums turns them into league tables of
cian accountable because other issues loom the efficacy of municipal agencies. The repu-
larger. Where conflict is rife, or society is tational competition arising from the report
polarized, the politician’s stance on conflict cards is enhanced by joint agency meetings on
or polarization may dominate voter atten- the report cards attended by prominent social
tion, allowing the politician to get away with and political leaders and citizens.
poor performance on other issues. In But report cards clearly also perform a
Uganda, the president made education a political function. Politicians can ignore poor
central part of his election manifesto. In public services if they believe that voters can-
Buenos Aires, municipal politicians may not penalize them for poor performance. Or if
have been concerned that voters would view they believe that a political challenger cannot
the corruption in hospitals as indicative of credibly promise voters better performance.
deeper problems of malfeasance, in the city An NGO conducting broad surveys and issu-
government and, because Buenos Aires is ing report cards on public services changes
the capital, in other cities and the country. the equation. Now incumbent politicians are

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Citizens and politicians 89

confronted by an organized effort to improve • Supporting civil society organizations that


public service delivery, which creates a latent show how to mobilize citizens and be a
political force that is credible because there is credible voice for public service provision.
no obvious personal gain to members of the • Supporting mass media development.
NGO. The information that the NGO gener- First, improving the media’s ability to ask
ates and disseminates is a political challenge, the right questions (reporting on whether
both because of the demonstrated underlying government policy succeeds or fails,
ability to mobilize citizens to answer a survey including how to identify the correct
and the power of that information in the benchmarks). Second, improving the
hands of informed voters. media’s credibility (independence from
private interests that benefit from govern-
ment largesse and from government influ-
Some implications
ence, advertising revenue, or ownership).
for information strategies Reducing barriers to entry is key here.
These examples show that pure information Third, improving interaction with civil
strategies work in fairly specific circum- society to generate information that reveals
stances. But many information strategies are public malfeasance or nonfeasance.274
not designed around the specifics of a partic-
ular country or service. Information about Decentralization
broad aggregates of public sector perfor- to strengthen voice
mance—whether based on surveys, budget
Decentralizing delivery responsibilities for
studies, or other methods—is less likely to be
public services is prominent on the reform
as politically relevant. Why? Because it does
agenda in many developing countries (see
not provide voters with a sense of how their
chapter 10). Bolivia, India, Indonesia, Nigeria,
representatives in government have hurt or
Pakistan, and South Africa—to name a few—
helped them.
are all part of a worldwide movement to
Like report cards, such information can
decentralize. A key objective, usually linked to
still be useful if voters can benchmark the
the political motivation for decentralization, is
information or if the very collection of the
to strengthen citizen voice by bringing services
information implies some latent political
and elected politicians closer to the client.
organization that could challenge incum-
bents. But in many cases, the information Decentralization of service delivery
collected is one-off—collected by donors and to local governments
other foreign entities (posing no political
Experience with decentralization varies. In
threat by definition), by local survey firms
Bolivia the creation of rural local govern-
(with no specific interest in social services),
ments has been associated with dramatic
or by civil society organizations (which care
shifts in public allocations away from infra-
deeply about public service performance but
structure and into the social sectors—and a
play no electoral role).
sharp fall in the geographic concentration
At the end of the day, these efforts tell citi-
of public investments as they get more
zens what they already know—that services
evenly dispersed across regions.275 But oth-
are bad. They might tell them exactly how bad
ers have been less lucky, with increased
and which services are worse than others—
regional inequalities and the capture of
roughly the information citizens already had,
public resources by local elites. Since several
but more quantified. What citizens do not
major decentralization reforms are just
have, and what they need help in getting, is
beginning (Indonesia, Pakistan), there is a
information about how bad their neighbor-
tremendous opportunity to rigorously eval-
hood’s services are relative to others’ and who
uate the impact of different institutional
is responsible for the difference.273 In these
designs on the quality of public goods.
cases outsiders can help in several ways:
What does it take for political decentral-
• Supporting civil society organizations ization to improve universal, basic social
that generate and use specific informa- services? Two conditions. First, voters must
tion about service delivery. be more likely to use information about the

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90 WORLD DEVELOPMENT REPORT 2004

quality of local public goods in making Citizen voice in eight


their voting decisions. Second, local politi- sizes
cal promises to voters must be more credi-
Whether a political system is pro-poor or
ble than regional or national promises.
clientelist is difficult to assess and address.
In principle, the impact of decentralization
This is obviously the case for outside actors
on informed voting and political credibility
such as donors, but also for those within a
could go either way. On the one hand, voters
country, who are naturally influenced by the
may make more use of information about
history and traditions of their particular polit-
local public goods in their voting decisions
ical system, such as parliamentary democracy.
because such information is easier to come by
But the payoffs in service delivery for assessing
and outcomes are more directly affected by
whether the environment is pro-poor or
local government actions. And political agents
clientelist can be high. Even if the politics are
may have greater credibility because of prox-
clientelist, policy choices can be made that are
imity to the community and reputations
likely to yield better results than the mis-
developed through social interaction over an
guided application of policies that work well
extended period. On the other hand, local
only in pro-poor environments.
voters may be apathetic about local elections
Such choices can be combined with con-
and have little or no information about the
siderations of whether preferences are
resource availability and capabilities of local
homogeneous or heterogeneous (a feature
governments. Social polarization may be
of the relationship between clients and
more intense because of age-old differences
providers, discussed in chapter 4), and
across settled communities. With closer social
whether services are easy or hard to monitor
relations between elected representatives and
by policymakers (and therefore whether con-
their clients, clientelist promises to a few vot-
tracts between policymakers and providers
ers may be easier to make and fulfill.
can be written, as noted in chapter 3 and dis-
cussed in more detail in chapter 6). Simply
Managerial decentralization put, the more people differ in their prefer-
and political credibility ences, the more the decisions about service
There has also been a push for institutionaliz- delivery should be decentralized. The harder
ing greater autonomy of decisionmaking in it is for policymakers to monitor, the more
schools, hospitals, and clinics—and encour- clients need to be involved and the stronger
aging greater participation of citizens client power must be.
through parent-teacher associations and Different combinations of these character-
health committees. These institutional inter- istics lead to different choices, some a better fit
ventions are also likely to address the credibil- than others, so that while no one size fits all,
ity of elected politicians. Politicians located at for illustrative purposes perhaps eight sizes
the center far from the communities where might (figure 5.4). None of these characteris-
services are delivered cannot credibly tics or choices can be precisely rendered
promise to improve service quality in such because countries lie on a continuum. But
transaction-intensive services as basic health understanding them can help in thinking
and education. At most they can commit only about the arrangements that are the most
to providing such verifiable elements as infra- likely to make services work for poor people.
structure, equipment, and salaries. Figure 5.4 also illustrates the broad service
When responsibility for delivering and delivery arrangements and the implied policy
monitoring primary education is completely choices that are appropriate under different
centralized, the political incentives for settings. The biggest problem? The appropri-
improving the quality of schooling are weak. ate choice is often not made.
But if monitoring of providers is decentral- In many countries, policymakers assume
ized (to clients), voters need verify only that that for transaction-intensive and hard-to-
politicians have made resources available for monitor services (for example, primary edu-
schools and clinics to decide whether to cation), their country or region has pro-poor
reward or punish them at election time, and politics and little heterogeneity of preferences.
politicians then can be more credible. So they chose central government provision

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Citizens and politicians 91

Figure 5.4 Eight sizes fit all

1 Centralized public financing with contracting out


Easy to
monitor

Homogeneous Hard
clients to monitor 2 Centralized government provision with regulatory oversight

3 Deconcentrated government or local provision or contracting out. Deconcentrated central government


Heterogeneous Easy to may have an advantage over local government—at least in terms of financing—since service is easy
clients monitor to monitor and central government is in a better position to achieve interregional transfers of income.
Pro-poor
politics Hard 4 Local or deconcentrated government provision. Lower-tier and local governments may have advantage
to monitor over central government because they are better able to monitor local service quality and can be more
easily held accountable.

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.

(c) The International Bank for Reconstruction and Development / The World Bank

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