Ngos, the State and the Multilaterals: Towards a Research Agenda

2nd MULTI-conference2nd session: The UN system

Paper to be presented at the 2nd seminar of the Research Council of Norway’s programme The Multilateral System in the Field of Development.

Terje Tvedt,

Professor/Research Director, Centre for Development Studies and

Paul Opoku-Mensah,

Research Fellow, Norwegian University of Science and Technology.

Work in Progress: Do not Quote!

NGOs, the State and the Multilaterals:

Towards a Research Agenda

January 4, 2001

Abstract

NGOs and the multilateral organisations dominate current development discourse, and are the most important channels for development aid world-wide. The 1990s have witnessed a growing co-operation between these two institutions, with the expectation that such co-operation will lead to better co-ordination of development initiatives, and ultimately to successful development outcomes. Despite the importance of these two actors in development, there is still no comprehensive analysis of their relations, and certainly none that puts these relations in a comparative perspective. Nor does any analysis provide a theoretical foundation for systematic empirical assessment of this transnational system.

Against this background, this paper seeks to present an outline of a research programme, initiated by the Centre for development Studies, aimed at addressing these challenges. More specifically, the paper outlines a research agenda arising from these increased interactions between the multilaterals and NGOs, and proposes a comparative, interdisciplinary programme for implementing this agenda.

A. Introduction

The post World War II development agenda has, to a large extent, been dominated by the multilateral organisations, particularly the United Nations and the World Bank. Since the 1980s, however, a new set of actors, development NGOs, have come to occupy centre stage of the development discourse and budget. In 1994, for instance, over 10% of public development aid ($8 billion) was channelled through NGOs, surpassing the volume of the combined UN system ($6 billion) without the Washington-based financial institutions (Gordenker and Weiss, 1995). Similarly, total development assistance channelled through NGOs by Norway in 1999 amounted to close to NOK 2.6 billion, or 44 per cent of all purely bilateral aid (not including earmarked grants to multilateral agencies, so-called multi-bilateral aid). This is an increase of almost NOK 200 million compared with 1998 (UD, 2000). Such has been the growing importance of NGOs that the 1980s has come to be known as 'the NGO decade' in development discourse (Edwards and Hulme, 1996; Bratton, 1989; Tvedt, 1998; Fisher, 1998).

The 1990s witnessed a different, albeit, parallel phenomena: a growing trend of increased interaction, or convergence, between NGOs and the multilateral institutions, at the international as well as the national level. At the international level, this has meant greatly expanded participation in international conferences, more consultations with governments, the UN and World Bank staff, greater access to information and increased involvement in project development and implementation. In many cases NGOs are now, in effect, operational partners with multilateral agencies in their projects and programmes, and have become an integral part of the process of setting development agendas world wide ( Gordenker and Weiss, 1995; Global Policy Forum, 1999; Fox and Brown, 1998)[1]. Similarly, the (global) political discourse of the day also celebrates this growing co-operation between the multilateral organisations and NGOs, describing it as a new dimension in global governance, and a prerequisite for successful development outcomes (CIVICUS, 1998; Gordenker and Weiss, 1995; Commission on Global Governance, 1995; World Bank, 1996; Annan, 1997). [2]

B. The Research Challenge

This increasing incidence of multilateral-NGO co-operation is part of an international political-ideological shift that is fundamentally redefining state-society relations (Tvedt, 1998; Bratton, 1989; Fowler, 1997; Edwards and Hulme, 1996).In deed, a web of relations has emerged, growing in complexity with interests and activities that are diverse and cross cutting. This presents a number of research challenges, all with implications for democratic consolidation and the development enterprise, but which so far remain to be addressed. These challenges, moreover, are on three levels: empirical, conceptual, and theoretical.

B 1: The Empirical Challenge

Empirically, despite its importance, relatively little information exists on the relations. What is the nature of the relationship? How has it evolved, historically? What arenas and forums do these relations take place? What are the effects on NGOs, the multilateral organisations, individual states and in fact on development processes in general? More specifically, have multilateral organisations established partnerships with all NGO's or have they chosen a particular ideological breed? What has been the impact of these partnerships for NGO's operations? Have the newly established UN-NGO relations transformed the development enterprise in the developing world. Do NGOs pursue a different developmental agenda from the one they participated in a few years back? If this is the case, what are the implications for the development of these societies?

Despite all these questions, very little systematic data exists on these relations, and more so on a comparative basis. To be sure, a number of institutions have completed or have on-going work on NGOs and the multilateral organisations. Examples include the Watson Institute at Brown University; the Synergos Institute in New York; the International Center for Not-for-Profit Law (ICNL); CIVICUS; Johns Hopkins University Center for Civil Society Studies; the North-South Institute etc. However, despite the insights they have provided, these studies have tended to focus on single issues like NGO policy access (Global Policy Forum, 1999; Saladin, 1998); environmental issues (Curtis, et al 1998); on single organisations like the World Bank or UN (Gordenker and Weiss, 1995; Weiss, 1997; Fowler, 1997; Fox and Brown, 1998; Nelson, (1995); and single regions (Yasmine, 2000). Additionally, with the exception of a few of the studies, most of the research has been done by non-academic research centres, in fact by NGOs (e.g; CIVICUS; Global Policy Forum; Synergos Institute; ICNL; North South Institute). Thus the underlying motivation has been a normative desire to 'improve' NGO access, influence, and visibility within the multilateral institutions. Accordingly a number of these works have lacked the analytical rigor, as well as the long-term focus, needed for critical research.

B2. The Conceptual Challenge

Conceptually, NGOs and their relations with the multilateral agencies present a number of challenges. NGOs and the ,multilateral agencies. More specifically, the growth of NGOs, their roles in development, as well as their relations with the multilateral institutions have been conceptualised in political, normative and ideological terms, with little or no grounding in empirical reality. This has prevented a realistic appraisal of these relations, and their impact on development (Tvedt, 1998). One of the early concepts in this politico-ideological discourse has been 'comparative advantage'. Within this concept, the increasing role of NGOs in development is explained in terms of the comparative advantage they enjoyed over state agencies, as well as the multilateral agencies. More specifically NGOs are believed to be lean, efficient and accountable institutions, who through bypassing state institutions and organisations, and by working directly with grass roots organisations, are placed in a particularly favourable position to empower the local population while strengthening the institutions of civil society. The multilateral and state organisations are, on the other hand, conceptualised as heavy, top-down and bureaucratic institutions who work with low efficiency and low accountability and credibility.

Against this background, arguments for NGOs relating to the multilateral agencies, as well as the state, is framed in terms of 'partnership', a concept that has become one of the dominant themes of current development discourse. This partnership is expected to create an environment suitable to development, and generally increase the quality of development initiatives---through effective co-ordination.

How do these assertions about NGOs' "comparative advantage", their "efficiency" and "flexibility", impact NGOs and their relations with the multilateral agencies? Are NGOs in general more flexible or more efficient than the UN agencies, or are they less efficient and less flexible in certain cases, not the least because they do not have the sanctions available to governments, and because they do not have the "universalistic" approach that the multilateral agencies, in co-operation with governments generally have? The very fact that organisations might be strongly valuedriven or are organised around shared values, might make them inflexible in some contexts and very flexible in others (cross border operation and humanitarian interventions).

Additional concepts-- civil society, empowerment, social capital, global governance; country ownership of development programs etc--, have all been used to analyse the growth of NGOs and their relations with the multilateral system with no serious attempt at clarification. What do these terms mean, and to what extent are they adequate concepts to describe and analyse NGOs and their relations with the state and the multilateral organisations? A clearing of the conceptual ground, therefore, becomes a necessary first step in understanding the growing incidence of NGO-state-multilateral relations.

B3. The Theoretical Challenge

Finally, and perhaps most important, the interactions between NGOs and the multilateral agencies present a number of theoretical challenges, which so far remain to be addressed. As Gordenker and Weiss argue, theoretical work on NGOs and the multilateral organisations has hardly begun (Gordenker and Weiss, 1995). Initial analysis has been within a theoretical framework that explains the growth, roles and activities of NGOs in terms of a global associational revolution that in importance is compared with the national revolutions of the 18th and 19th centuries (Salamon 1994, 1995). This view has been challenged by analyses showing that NGOs within the development aid system to a very large extent are financed by states and donor governments (see Tvedt 1998) and by the UN-system, and that the NGO-growth should be regarded as a far more complex and many-sided phenomenon. In order to understand NGO/Multilateral relations, this relationship must be analysed not only or perhaps even primarily within a national, third sector perspective, but rather as an outcome of complicated processes where factors like international ideological trends, the historical development and opportunity situations for the different Multilateral agencies, donor policies and NGOagendas interact with national historical and cultural conditions in complex ways. This perspective allows emphasis on how an NGOscene in a developing country might be more a reflection of donor interventions than being an outcome of internal, national development processes. It thus underlines that the NGOchannel is a new type of international social system which is framed by a particular relation between internal socioeconomic and political mechanisms and external donor interests. A focus on the channel as an international donordriven system also enables a more realistic analysis of the theory of a global associational revolution, and the processes and distribution of power within it. This approach gives attention to the role of donor money and donor roles and of the UN system’s role within this donor context in shaping organisational landscapes in other countries, thus focusing on potential dilemma between organisations' external dependency and roots in society.

Secondly, in discussing the effect of the relations on NGOs, the theoretical discussions have tended to argue that the relations, particularly if it involves a transfer of funds from the multilaterals to NGOs through contracts, has the potential to deflect the accountability of NGOs from their value base, mission and grassroots constituents (See Nelson, 1995; Fox and Brown, 1998; Fisher 1997; Edwards and Hulme 1996). The dominant theoretical position has been to regard these contractual relations as leading to a process of homogenisation (isomorphism) where NGOs lose their distinctive characteristics, gradually becoming similar to the bureaucratic multilateral agencies ( Powell and Dimaggio, 1993. See also Tvedt, 1998; Fisher 1997; Edwards and Hulme 1996). To what extent are these theories of institutional isomorphism relevant in analysing NGOs and their relations with the state and the multilateral agencies? How will the NGOs' search for a strategy (valuesharing organisations, partnership, advocacy, dialogue, operationality etc) affect the integration process between public donors and NGO and to what extent will it encourage sameness or pluralism in the society concerned or on the international political level? Will changing conditions in the external environment force both the UN and NGOs to redefine their potential and mutual co-operation?

Despite this, very few existing studies have explored these theoretical challenges. In sum,despite the insights provided by existing studies, there is still no comprehensive analysis of the relations between NGOs, the state and the multilateral organisations.

C. Research Objectives

Against this background, this proposed program of research co-operation seeks to document and analyze the relations between NGOs, the state and the multilateral system in a systematic way, and to do so within an explicitly comparative framework.

More specifically, the programme has the following objectives:

1. Document existing relations between NGOs, the state and the multilateral agencies, and analyse this within a comparative perspective.

1. Gain a clearer understanding of the historical development of the relations, and the factors that have influenced these.

1. Assess the impact of the relations on NGOs, the multilateral organisations and the state in the countries under study.

Beyond these basic research goals, the project has several policy and competence building objectives:

1. Provide a more reliable base for policy discussions affecting this transnational system, both in the co-operating countries, as well as to inform Norwegian aid policies.

1. To build staff capacity in the co-operating countries/universities for sustained and long term research within the field. To this effect, collaborating researchers will be expected to include in their research teams young researchers, as well as include the post-graduate education of promising graduate in their budgets.

1. To establish a Research Network, initially between the collaborating institutions, but ultimately including the other interested researchers and institutions elsewhere. The aim of the network will be to provide a forum to stimulate continuous debate and scholarly work in the field through seminars, conferences, and training programs for graduate students. This network will also be an outlet for disseminating the results of the project.

Figure 1 below shows the focus of the programme. The objective is not to study individual organisations, but rather to examine how the multilateral system as a whole has shaped, and in turn been shaped by, the increasing role of NGOs in development. Thus the core of the project will be the interaction between NGOs and the multilateral organisations. Not all the multilateral organisations will be objects of the study, however. The focus, instead, will be on the World Bank, which is currently the dominant development actor worldwide, and the UN system. Within the UN system, the emphasis will be on the UN Development Group. This group consists of the UN Development Programme (UNDP), the UN Children’s Fund (UNICEF), the UN Fund for Population Activities (UNFPA) and the World Food Programme (WFP). Additionally, as the relations involve a number of other actors, for example states and the private sector, the analyses will also focus on the impact of the relations on these actors, particularly the state.

Figure 1: The relationship between the multilateral system and NGOs.

D. Approach

The project design is based on the following principles:

D1. Empirical

Essentially the research hopes to generate empirical information on the relationship, although we hope to use such information to help us to build theory. Nonetheless the research is structured first and foremost to generate data and information in a field that has largely been dominated by anecdotal evidence, and sustained by political and ideological considerations.

D2. Comparative

The growth of NGOs, their increasing relations with the state and multilateral organisations is a global phenomenon, with implications that are global in nature. Thus while it is important to understand these developments in different countries, it is critical to understand these developments beyond individual country/continental experiences. The analyses will be done within a comparative framework.. The Centre for Development Studies at the University of Bergen will provide the International comparative dimension of the analyses. Toward this end, the Centre is developing a common but flexible concept paper that explores the theoretical and methodological framework for the program. A draft concept paper, which will be discussed thoroughly by the research teams, should be ready latest May 2001.

To facilitate the comparative analyses, a number of links have been established. Those whose participation have been confirmed include:

• North America: The Johns Hopkins Center for Civil Society Studies (CCSS).

• Europe: Center for Civil Society (CCS) at the London School of Economics.

• Nordic: The program on “Non-Governmental Organisations in Development” at the University of Tampere, Department of Administrative Science, Finland.

• Africa:
• Tanzania: Prof. A. S. Z. Kiondo, Associate Professor and Head, Political Science Department, University of Dar-es-Salaam (Lead Contact for the Region).

• Ghana.: Dr. Chris Abotchie, Department of Sociology, University of Ghana.
• Ghana: Prof. Nana Araba van Apt, Director, Center for Social Policy Studies, University of Ghana.

• South Africa: Dr Adam Habib, Department of Political Science, University of Durban-Westville
• Civil Society State relations in Africa network, (CSSRA), an initiative of the International Center for Not-for-Profit Law, Washington D.C to create a data bank of NGO laws in Africa.

• Asia:
• Bangladesh: Prof. Salahuddin Aminuzzaman, Department of Public Administration, University of Dhaka (Lead Contact for the Region).
• Nepal: Dr. Krishna B. Bhattachan, Central Department of Sociology and Anthropology, Tribhuvan University.
• India: Dr. Swapan Garain, Reader and Programme Director, NGO Centre, TATA Institute of Social Sciences

Currently, an application involving the countries in Africa and Asia is being developed for submission to the Norwegian Council for Higher Education´s programme for development research and education (NUFU). For Bangladesh in particular, the plan will be to link the project with an ongoing project to develop a social science data bank between the University of Dhaka, Bangladesh and the Department of Administration and Organization Theory at the University of Bergen.