Definition of Urban Governance
UNDP Internet Conference Forum on "Public Private Interface in Urban Environmental Management" defines urban governance as the followings :
- The exercise of political, economic and administrative authority in the
management of a country’s affairs at all levels. Governance comprises
the complex mechanisms, processes, and institutions through which
citizens and groups articulate their interests, mediate their
differences, and exercise their legal rights and obligations.
- Good governance is among other things participatory, transparent and
accountable. It is also effective and equitable and it promotes the rule
of law. Good governance assures that political, social and economic
priorities are based on broad consensus in society and that the voices
of the poorest and the most vulnerable are heard in decision-making over
the allocation of development resources.
- Governance includes the state, but transcends it by taking in the
private sector and civil society. The state creates a conducive
political and legal environment. The private sector generates jobs and
income. The civil society facilitates political and social interaction
Emobilizing groups to participate in economic, social and political
activities. Because each has its weaknesses and strengths, a major
objective of our support for good governance is to promote constructive
interaction among all three.
-
The regularized ways of ordering human societies at all levels of organization from family units to entire societies.
- Good governance occurs when societal norms and practices empower and
encourage people to take increasingly greater control over their own
development in a manner that does not impinge upon the accepted rights
of others.
The Governance Working Group of the International Institute of Administrative Sciences
(1996) refers to governance as the process whereby elements in society wield power
and authority, and influence and enact policies and decisions concerning
public life, and economic and social development. Governance is a broader
notion than government. Governance involves interaction between these
formal institutions and those of civil society.
According to The Commission on Global Governance, there is no alternative to working together and using collective power
to create a better world. Governance, therefore, is the sum of the many ways
individuals and institutions, public and private, manage their common
affairs. It is a continuing process through which conflicting or diverse
interests may be accommodated and co-operative action may be taken. It
includes formal institutions and regimes empowered to enforce
compliance, as well as informal arrangements that people and
institutions either have agreed to or perceive to be in their interest.
Examples of governance at the local level include a neighbourhood co-operative formed to install and maintain a standing water pipe, a town
council operating a
waste recycling scheme, a multi-urban body developing an integrated
transport plan together with user groups, a stock exchange regulating
itself with national
government oversight, and a regional initiative of state agencies,
industrial groups, and residents to control deforestation. At the global
level, governance has been viewed primarily as intergovernmental
relationships, but it must now be understood as also involving non-governmental organizations (NGOs), citizens' movements, multinational
corporations, and the global capital market. Interacting with these are
global mass media of dramatically enlarged influence.
As stated by Policy Affairs Centre, the progress of a country depends in no small measure on the quality of
its governance. While a democratic government may lay the foundation for
good
governance, a vigilant and active citizenry is essential to is
sustenance. Nowhere is this need more evident that in the management of
public sectors services for which citizens depend largely on their
government. The quality of governance is enhanced when government as a
whole and public agencies in particular become open to new ideas and
responsive to citizens. Responsiveness in turn is improved when citizens
are well informed and collectively seek better performance from these
agencies.
Meanwhile, Novartis Foundation for Sustainable Development has an interesting definition of "governance" - that it is the art of public leadership. According to Novartis, there are three distinct dimensions of governance :
- the form of political regime;
- the process by which authority is exercised in the management of a country’s economic and social resources; and
- the capacity of governments to design, formulate, and implement policies and discharge functions.
The criteria that constitute good governance have been drawn from these three dimensions, and include :
- legitimacy of government (degree of "democratization"),
- accountability of political and official elements of government
(media freedom, transparency of decision-making, accountability
mechanisms),
- competence of governments to formulate policies and deliver services,
- respect for human rights and rule of law (individual and group
rights and security, framework for economic and social activity,
participation).
There are also definitions given by various other sources that :
- governance is the written and unwritten policies, procedures, and
decisionmaking units that control resource allocation within and among
institutions.
- new forms of governance allow individual organizations to contribute
their strengths and talents, to discharge their collective
responsibilities and to preserve and enhance the distinctiveness of
their organizations and institutions.
From all of the above, it can be summarised that :
- Governance refers to the process whereby elements in society wield
power and authority, and influence and enact policies and decisions
concerning public life, and economic and social development.
- Governance is a broader notion than government, whose
principal elements include the constitution, legislature, executive and
judiciary. Governance involves interaction between these formal
institutions and those of civil society.
- Governance has no automatic normative connotation. However,
typical criteria for assessing governance in a particular context might
include the degree of legitimacy, representativeness, popular
accountability and efficiency with which public affairs are conducted.
Concept of Governance
The concept of "governance" means different things to
different people, therefore we have to get our focus right. The actual meaning of
the concept depends on the level of governance we are talking about, the goals
to be achieved and the approach being followed.
The concept has been around in both political and academic discourse for a
long time, referring in a generic sense to the task of running a government, or
any other appropriate entity for that matter. In this regard the general definition
provided by Webster's Third New International Dictionary (1986:982) is of
some assistance, indicating only that governance is a synonym for government,
or "the act or process of governing, specifically authoritative direction and
control". This interpretation specifically focuses on the effectiveness of the
executive branch of government.
The working definition used by the British Council, however, emphasises that
"governance" is a broader notion than government (and for that matter also
related concepts like the state, good government and regime), and goes on
to state: "Governance involves interaction between the formal institutions and
those in civil society. Governance refers to a process whereby elements in
society wield power, authority and influence and enact policies and decisions
concerning public life and social upliftment."
"Governance", therefore, not only encompasses but transcends the collective
meaning of related concepts like the state, government, regime and good
government. Many of the elements and principles underlying "good
government" have become an integral part of the meaning of "governance".
John Healey and Mark Robinson1 define "good government" as follows: "It
implies a high level of organisational effectiveness in relation to
policy-formulation and the policies actually pursued, especially in the conduct of
economic policy and its contribution to growth, stability and popular welfare.
Good government also implies accountability, transparency, participation,
openness and the rule of law. It does not necessarily presuppose a value
judgement, for example, a healthy respect for civil and political liberties,
although good government tends to be a prerequisite for political legitimacy".
We can apply our minds to
the definition of governance provided by the World Bank in Governance: The
World Banks Experience, as it has special relevance for the
developing world:
"Good governance is epitomized by
predictable, open and enlightened policy-making, a bureaucracy imbued
with a professional ethos acting in furtherance of the public good, the
rule of law, transparent processes, and a strong civil society
participating in public affairs. Poor governance (on the other hand) is
characterized by arbitrary policy making, unaccountable bureaucracies,
unenforced or unjust legal systems, the abuse of executive power, a
civil society unengaged in public life, and widespread corruption."
The World Bank's focus on governance reflects the worldwide thrust
toward
political and economic liberalisation. Such a governance approach
highlights issues of greater state responsiveness and accountability,
and the impact of these factors on political stability and economic
development.
In its 1989 report, From Crisis to Sustainable Growth, the World Bank
expressed this notion as follows:
"Efforts to create an enabling environment and to build capacities will be wasted
if the political context is not favourable. Ultimately, better governance requires
political renewal. This means a concerted attack on corruption from the highest
to lowest level. This can be done by setting a good example, by strengthening
accountability, by encouraging public debate, and by nurturing a free press. It
also means ... fostering grassroots and non-governmental organisations such
as farmers' associations, co-operatives, and women's groups".
Apart from the World Bank's emphasis on governance, it is also necessary to
refer to academic literature on governance, which mostly originates from
scholars working with international development and donor agencies. The
majority of these scholars has concentrated almost exclusively on the issue of
political legitimacy, which is the dependent variable produced by effective
governance. Governance, as defined here, is "the conscious management of
regime structures, with a view to enhancing the public realm".
The contribution of Goran Hyden to bring greater clarity to the concept of
governance needs special attention. He elevates governance to an "umbrella
concept to define an approach to comparative politics", an approach that
fills analytical gaps left by others. Using a governance approach, he
emphasises "the creative potential of politics, especially with the ability of
leaders to rise above the existing structure of the ordinary, to change the rules of
the game and to inspire others to partake in efforts to move society forward in
new and productive directions".
His views boil down to the following:
- Governance is a conceptual approach that, when fully elaborated, can frame a
comparative analysis of macro-politics.
- Governance concerns "big" questions of a "constitutional" nature that
establish the rules of political conduct.
- Governance involves creative intervention by political actors to change
structures that inhibit the expression of human potential.
- Governance is a rational concept, emphasising the nature of interactions
between state and social actors, and among social actors themselves.
- Governance refers to particular types of relationships among
political actors: that is, those which are socially sanctioned rather
than arbitrary.
To conclude, it is clear that the concept of governance has over the years
gained momentum and a wider meaning. Apart from being an instrument of
public affairs management, or a gauge of political development, governance
has become a useful mechanism to enhance the legitimacy of the public realm.
It has also become an analytical framework or approach to comparative politics.
What is a Good Governance?
The concept of "governance" is not new. It is as old as human civilization. Simply put "governance" means: the process of decision-making and the process by which decisions are implemented (or not implemented).
Governance can be used in several contexts such as corporate
governance, international governance, national governance and local
governance.
Since governance is the process of decision-making
and the process by which decisions are implemented, an analysis of
governance focuses on the formal and informal actors involved in
decision-making and implementing the decisions made and the formal and
informal structures that have been set in place to arrive at and
implement the decision.
Government is one of the actors in governance. Other
actors involved in governance vary depending on the level of government
that is under discussion. In rural areas, for example, other actors may
include influential land lords, associations of peasant farmers,
cooperatives, NGOs, research institutes, religious leaders, finance
institutions political parties, the military etc. The situation in urban
areas is much more complex. Figure 1 provides the interconnections
between actors involved in urban governance. At the national level, in
addition to the above actors, media, lobbyists, international donors,
multi-national corporations, etc. may play a role in decision-making or
in influencing the decision-making process.
All actors other than government and the military are
grouped together as part of the "civil society." In some countries in
addition to the civil society, organized crime syndicates also influence
decision-making, particularly in urban areas and at the national level.
Similarly formal government structures are one means
by which decisions are arrived at and implemented. At the national
level, informal decision-making structures, such as "kitchen cabinets"
or informal advisors may exist. In urban areas, organized crime
syndicates such as the "land Mafia" may influence decision-making. In
some rural areas locally powerful families may make or influence
decision-making. Such, informal decision-making is often the result of
corrupt practices or leads to corrupt practices.
Figure 1: Urban actors
Characteristics of Good Governance
Good governance has 9 major characteristics. It is
participatory, consensus oriented, accountable, transparent, responsive,
effective and efficient, equitable and inclusive, follows the rule
of law, and has a strategic vision . It assures that corruption is minimized, the views of minorities
are taken into account and that the voices of the most vulnerable in
society are heard in decision-making. It is also responsive to the
present and future needs of society.
Participation
Participation by both men and women is a key
cornerstone of good governance. Participation could be either direct or
through legitimate intermediate institutions or representatives. It is
important to point out that representative democracy does not
necessarily mean that the concerns of the most vulnerable in society
would be taken into consideration in decision making. Participation
needs to be informed and organized. This means freedom of association
and expression on the one hand and an organized civil society on the
other hand.
Rule of law
Good governance requires fair legal frameworks that
are enforced impartially. It also requires full protection of human
rights, particularly those of minorities. Impartial enforcement of laws
requires an independent judiciary and an impartial and incorruptible
police force.
Transparency
Transparency means that decisions taken and their
enforcement are done in a manner that follows rules and regulations. It
also means that information is freely available and directly accessible
to those who will be affected by such decisions and their enforcement.
It also means that enough information is provided and that it is
provided in easily understandable forms and media.
Responsiveness
Good governance requires that institutions and processes try to serve all stakeholders within a reasonable timeframe.
Figure 2: Characteristics of good governance
Consensus oriented
There are several actors and as many view points in a
given society. Good governance requires mediation of the different
interests in society to reach a broad consensus in society on what is in
the best interest of the whole community and how this can be achieved.
It also requires a broad and long-term perspective on what is needed for
sustainable human development and how to achieve the goals of such
development. This can only result from an understanding of the
historical, cultural and social contexts of a given society or
community.
Equity and inclusiveness
A society’s well being depends on ensuring that all
its members feel that they have a stake in it and do not feel excluded
from the mainstream of society. This requires all groups, but
particularly the most vulnerable, have opportunities to improve or
maintain their well being.
Effectiveness and efficiency
Good governance means that processes and institutions
produce results that meet the needs of society while making the best
use of resources at their disposal. The concept of efficiency in the
context of good governance also covers the sustainable use of natural
resources and the protection of the environment.
Accountability
Accountability is a key requirement of good
governance. Not only governmental institutions but also the private
sector and civil society organizations must be accountable to the public
and to their institutional stakeholders. Who is accountable to whom
varies depending on whether decisions or actions taken are internal or
external to an organization or institution. In general an organization
or an institution is accountable to those who will be affected by its
decisions or actions. Accountability cannot be enforced without
transparency and the rule of law.
Strategic vision
Leaders and the public have a broad and long-term perspective on good
governance and human development, along with a sense of what is needed
for such development. There is also an understanding of the historical,
cultural and social complexities in which that perspective is grounded.
The Three Dimensions of Governance
The essential nature of governance is the structure of institutions and societal norms by which authority is exercised for everyone's benefit at all levels, from local to global.
The Three Dimensions of Governance
Governance in general has, among others, three dimensions:
- The political dimension - processes by which those in authority are selectedm elected, monitored and replaced.
- The economic dimension - process by which public resources are effectively managed and sound policies implemented
- The institutional dimension - processes by which citizens and the state itself respect the society's/public institutions.
Urban Governance Indicators
Decentralization - Financial:
- Autonomy of financial resources
- Can local government decide on the use of local resources?
- Predictability of inter-governmental transfer
- Principles of financial devolution
- Level of adoption of the budget
- Sources of local government funding (taxes,user charges, borrowing, central government, international aid)
- Can local government raise resources from capital markets without approval of from higher levels of government?
- Percent of funds devolved from higher levels of government
Decentralization - Political:
- Dismissal of mayors, councilors and officials
- Progress of deciding political agenda
- Legislation on de-centralisation (yes/no)
- Number of gender equity oriented initiatives undertaken by local organisation or institutions
- Percentage of elected and nominated members by sex/ethnic group
- Control by higher level of government
- Access to government positions by all groups
Local Government:
- Process of selecting mayor
- Regulatory framework that governs promotion of civil servants
- Career prospects of civil servants
- Pay scale of civil servants
- Tacit knowledge about the power structure
Planning and Predictability:
- Openness of procedures for contracts/tenders for municipal services
- Appointments by higher government
- Annual budgeting
- Percent recurrent resources for Pvt Sector/CBO
- Who supplies and regulates various services
- Independent decisions, regulation/taxes, auditing, removal from office
- Sources of income
- Transparency of local taxation
- Consistency/regularity of local mayor election
Responsiveness:
- Percentage of population served
- Access of public to stages of policy cycle (planning, budgeting, monitoring, etc) delegation of public service
- Integration of planning and budgeting
- No of public hearings and participants from different income/ethnic groups
- Are data collected and used by gender and district
- Existence of conflict mediation at local level (budgeted)
Empowerment:
- Existing participatory processes
- Group equity in participatory planning and decision making
- Equal access to education and information
- Existence or not of information on differential situation and needs of women and men
- Legal entitlement to different assets to all categories of people
- Self determination of groups in relation to resource management
- Civil freedoms - press, association, justice
- Social group and watch dog for programme implementation
- Number of CBO’s and specific organisations addressing gender issues
- Access to basic needs
Effectiveness:
- Consumer satisfaction (survey/complaints)
- Capacity for delivery of services (including spatial coverage)
- Income/expenditure of local govt/capita
- Legislated local government functions
- Targets, programme, financial
- Economic development (city product)
- Environmental quality
Freedom, Justice, Fairness and Equity (concentrated on equity first):
- Equity in tax system
- Incorporation of excluded groups in the consultation process
- Resource allocation to services benefiting the poor/ the rich
- Access to basic services for disadvantaged groups Eg spatial distribution of services
- Quintile distribution of city product
- Ratio of price of water in formal informal settlements
- Existence of public hearings
- Existence of local media
- Resource allocation towards formal/informal settlement
- Rental; to income ratio in formal and informal settlement
Accountability and Transparency:
- Fairness in enforcing laws
- Clarity of procedures and regulations and responsibilities
- Existence of sanction, performance standards and disclosure laws
- Codes of conduct for professional associations
Forward Looking:
- Social development plan
- Vision/mission statements
- Forward/strategic Plans
- Communication strategy
- Gender perspective
- Revenue growth (total and own)
- Funds known in advance
- Setting budgets/targets
- Existence of planning department
Participation:
- Role of key groups in planning , decision making, implementation, monitoring and evaluation
- Freedom of media and existence of local media
- Percentage of people voting by sex and social groups
- Process of public discussion on key issues
- Use of referendum on key issues
- Right of establishing association
Private Sector:
- Extent of civil society organization (monitoring)
- Predictability of enforcement
- Integrity of auditing and monitoring
- Existence of enabling city legislative environment
- Predictability of institutional change
- Credibility of rules
- Existence of an official admin structure
Security:
- Percentage of unsafe city areas - crime rates (murder, rape)
- Police corruption - feeling of safety
- Efficiency
- Per capita revenue
- Cost of various services
- Percentage economic growth
- Recycling/re-treatment/sustainability
- Percentage on salaries
- Employees per delivery service
- General administration share
- Number of local government employees/1000 population
Civil Society:
- Resource requirements to organised groups
- Status of local leadership (formal, informal, legitimate, non legitimate, respected, non respected, independent)
- Existence of emergency laws against public meetings, tradition of public action
- No. of NGO’s
- No. of procedures needed to register NGO’s
Planning and Management:
- Functional responsibilities for service provision (sewerage, water, education, health, social services, green space etc.)
- Possibility that the mayor is good!!!!
Top 12 Urban Governance Issues/Indicators:
- Consumer satisfaction (survey/complaints)
- Openness of procedures for contracts/tenders for municipal services
- Equity in tax system
- Sources of local government funding (taxes,user charges, borrowing, central government, international aid)
- Percentage of population served by services
- Access of public to stages of policy cycle
- Fairness in enforcing laws
- Incorporation of excluded groups in the consultation process
- Clarity of procedures and regulations and responsibilities
- Existing participatory processes
- Freedom of media and existence of local media
- Autonomy of financial resources
Urban Governance : Top Ten Solutions and Challenges to Implementation
Public Information and Access
- Provide public and media access to most city council sessions.
- Provide minutes of council sessions on notice boards at city hall, in public libraries and other public locations.
- Publish proposed plans for land use, municipal budgets, etc. in advance for public comment.
Public Engagement in Decision-Making
- Conduct systematic public consultations before adopting plans and budgets, and adopt results of consultations within limits of available resources.
- Engage residents as elected or appointed (following open competition) members of governing boards of appropriate municipal organizations, such as libraries, schools, police oversight boards or electric power authorities.
Electoral Reform
- Establish or strengthen election systems for mayor and for municipal council positions, based on regular elections, secret ballots and representation by population.
- Establish or strengthen systems for paying mayors and municipal councillors so that they do not require other sources of income that conflict with their civic responsibilities.
Structure, Administration Reform
- Establish or strengthen systems for paying municipal managers and employees adequately so that they do not require other sources of income that conflict with their duties, and so that they can be held to account for their performance in serving the public.
- Decentralize national government powers and responsibilities for providing urban services to duly constituted municipal authorities, based on rules of accountability to residents and capacity to manage finances and operations, and provide taxation powers and other sources of revenue to give effect to the added powers.
- Reorganize smaller municipalities to consolidate services and provide them more efficiently, while strengthening provisions for elected representation.
Measuring Effectiveness
- Public opinion polling results on satisfaction with government performance.
- Polling results and customer satisfaction ratings of individual urban services.
- Rate of vandalism in public places and theft of public property.
- Rate of community participation in planning and implementation of programs.
Some Attributes to Good Governance and Cities
Accountability
Accountability flows from the concept of stewardship and rests on the consent of the governed. It also refers to adhering to an established set of criteria in measuring the performance of local government officials to estimate the economic and financial performance of local government.
Indicators:
- Regularity in the fiscal transactions and faithful compliance/adherence to legal requirements and administrative policies.
- Efficient and economical use of funds, property, manpower and other resources.
- Participatory and decentralized activities in the planning and implementation of programs/projects.
- Systems in place which ensure that goals are clearly communicated to the constituents.
- Mechanisms are installed to evaluate economic performance.
Responsiveness
It is a measure of accountability wherein leaders and public servants address the needs of the public. It can be indicated "by a deliberate citizen and customer-orientation policy being consistently espoused by the local administration" or by "the presence of mechanisms and procedures for swift recourse on unfair practices and avenues for the community to articulate issues requiring local government assistance."
Indicators:
- Mechanisms are in place to determine that people's needs and wants, e.g. surveys, public forum, telephone hotline, etc.
- Mechanisms are installed to allow citizen participation in planning and implementation of plans, programs and projects, e.g. consultative council meetings, public hearings, etc.
- Existence of a system for monitoring to determine that goals and desirable social ends of the programs/projects are attained and delivered to targeted number of beneficiaries.
- Presence of simple procedures to ensure fair and swift action on suggestions, grievances, etc. by the public.
- Availability of information to the public to give feedback on how the local government's responds to demands articulated by the constituents.
Management Innovation
This refers to reforms successfully implemented by local governance in various areas of local government administrations,e.g., administrative procedures, resource mobilization, political reforms, economic sustainability, environmental preservation, community participation, etc.
Indicators:
- Bureaucratic structures and procedures have been improved to conform to service standards such as efficiency, effectiveness, timeliness and economy.
- Presence of innovative or creative devices to deal with the public.
- Introduction of innovations in generating measures.
- Adoption of innovative concepts and practices that deal with local problems such as environmental degradation, land tenure, poverty incidence, etc.
- Application of new management techniques adopted such as total quality management (TQM), information technology and computerization.
Public-Private Partnerships
This suggests an active joint working arrangement between local government and the private sector in the programmes of local government.
Indicators:
- Implementation of policies incentive scheme to encourage private sector to participate in development.
- Presence of business sector initiatives to improve efficiency of local government bureaucracy, e.g. technology improvement, training, etc.
- Joint involvement of public and private sector in planning, funding and implementation of programs/projects.
- Privatization of local government services.
Local Government - Citizen Interaction
This indicates open communication between the government, non-government organisations and the community as a whole.
Indicators:
- Presence and extent of cooperative efforts among local governments, non-governmental organizations.
- Existence of mechanisms that allow consultation between the local government and the constituents on various local concerns.
- Implementation and extent of projects as a result of LG/NGO/PVO collaboration.
Decentralized Management
This concerns the ability of the local management to delineate and delegate responsibilities to various responsibility centres and to ensure accurate reporting and monitoring of delegated responsibilities.
Indicators:
- Presence of clear-cut guidelines on delegation.
- Presence of a monitoring system to provide feedback on the implementation of delegated tasks.
- Existence and extent of decisions made by officials to which tasks are delegated.
- Consistency between the organizational hierarchical structure and actual delegation of tasks.
Networking
This refers to the ability of the local governments to forge cooperative relationships with other local governments and other entities to build infrastructural capacities.
Indicators:
- Extent (number) of inter-local government networks.
- Extent (number) of regional (intra-local) networks.
- Extent of international network (local unit in one country with various local units in other countries).
- Scope of resource complementation in the network/networks.
- Extent of technology interchange/ collaboration.
- Promotion of common interest and agenda.
- Exchange of expertise and training.
Human Resource Development
This suggests the sustained implementation of a programme to recruit, train, motivate and develop a local work force to become more efficient, dedicated and effective members of the public service.
Indicators:
- Presence and extent of the coverage of policies designed to improve the different aspects of human resource management.
- Existence of an adequate and sustained program of recruitment and selection based on merit and fitness.
- Presence of training programs to improve the capabilities of local government personnel.
- Installation of a workable and responsive Position Classification and Pay Plan based on the principle of "equal pay for comparatively equal work.
The Concept of Accountability : Implications for Urban Governance and Management
Accountability
calls for a simplified structure that avoids duplication and achieves
greater impact; empowered and responsible staff managers; a leaner and
more efficient local government that fosters management excellence and
is accountable for achieving results. Accountability requires that one
group or individual provides a professional or financial account (or
justification) of it activities to another stakeholding group or
individual. It presupposes that an organisation or institution has a
clear policy on who is accountable to who and for what. It involves the
expectation that the accountable group will be willing to accept advice
or criticism and to modify its practices in the light of that advice and
criticism.
Accountability means empowered and responsible staff and managers who :
- have more authority and responsibility for decision-making
- can improve delivery of the city's aims and objectives
- can improve management of human and financial resources
Charactertistics of Accountability:
- Accountability is personal: authority can only be delegated to one person.
- Accountability is vertical: from top to bottom, resposibilities
and authority is delegated from supervisor to subordinate (supervisor
holds subordinate accountable)
- Accountability is neutral: It is neither a positive nor a
negative concept. Excellent results are recognised , but failure may
involve swanctions, including the withdrawl or modifications of working
systems.
The Four Principles of Accountability:
- Specify responsibility and authority
- Provide guidance and support
- Monitor and assess excerise of responsibility and authority
- Take appropriate action
Existing Mechanisms:
- Documents - legal instruments, policies, mandates, values, leislative provisions, rules and regulations.
- Processes - the way work is done, disbursement and deployment of resources and accounting
- Bodies - internal and external, that oversee and investigate
- Policies - goal setting, work planning and performance reporting
- Justice system - appeal for redress etc.
Organization-wide Accountability Mechanisms :
- Programme management planning and review
- Compliance monitoring of resources management
- Accountability panel
Programme Management Planning and Review
- Enhancement of the performance appraisal system for urban managers
- urban managers reporting directly to Mayors
- annual committment to Mayors by senior managers to achieve measurable goals
- review achievements of the previous year and proposed objectives for the forthcoming year
Compliance Monitoring
- Mayor/Deputy mayors regularly monitor compliance with financial
and human resources regulations and rules, and management objectives
- identifying problem areas within individual departments and sections
- proposing remedial action
- information made available to the mayor/deputy mayor, and the accountability panel.
Accountability Panel
- chaired by the Mayor
- review exercise of managerial authority and responsibility within the local government
- inform the mayor and instigate/recommend action
Ensuring accountability alongside human resource regorms
- specific reforms need to include measures to ensure accountability
- specific reforms need to be reviewed to ensure that the four principles of accountability are met
- all delegation of authority need to be specifically tested against these principles.
Applying the four principles:
1. SPECIFY RESPONSIBILITY AND AUTHORITY
The person receiving authority must be informed of:
- programme results and resources, financial and human, allocated
- How they are to be monitored and assessed
- limits to their authority
- organizational values, policies, rules and regulations, and the behavioural standards
2. PROVIDE GUIDANCE AND SUPPORT
- regular and timely management information
- training and development
- access to senior managers
- advice from financial and human resource management experts
3. RESPONSIBILITY AND AUTHORITY NEEDS TO BE MONITORED AND ASSESSED
Objective comparison of results against targets and standards, covering:
- delivery of programmes, cost and quality
- management of human and financial resources
- decision-making: authority fully exercised but not exceeded
- compliance with policies, values, rules and regulations, and behavioural standards.
4. TAKE APPROPRIATE ACTION
Dealing with:
- excellence
- satisfactory performance
- unsatisfactory execution of responsibility and authority as a result of carelessness or ignorance
- unacceptable execution of responsibility and authority due to
deliberate flouting of policies, rules and regulations,m or exceeding
the limits of decision-making authority.
REFORM + ACCOUNTABILITY = an organizational culture that is
results-oriented, rewards creativity and innovation, and promotes
continuous learning and high performance.
Further reading :
http://www.unhabitat.org/content.asp?typeid=19&catid=25&cid=2167
http://www.eldis.org/go/topics/resource-guides/governance/urban-governance#.Uq4UgYW7H40
http://ec.europa.eu/regional_policy/sources/docgener/studies/pdf/citiesoftomorrow/citiesoftomorrow_governance.pdf
