Understanding the Governance Context Analytical Tools and their Utilization. December 10 Francesca Recanatini, WBI

Transcription

1 Understanding the Governance Context Analytical Tools and their Utilization December 10 Francesca Recanatini, WBI

2 Outline of the Session Introducing a working framework Conceptual design Empirical tools Implementation process Sampling and Field work Analysis and use of the data A few country-specific illustrations

3 Objectives Which are the key elements for a governance assessment? Which empirical tools and approaches are already available? How can we select among them? How can such assessments be used for policy purpose?

4 What is Governance?: A working definition for public governance Governance is the process, institutions and customs through which the function of governing is carried out

5 Key questions Why is it important to measure Governance? What information is key for policy? What is the role of the assessment?

6 The role of governance assessments Will and Political Leadership for Institutional Reforms On governance Strategy and Action Plan Governance assessment: - Identification of severe obstacles - Vulnerability of each institution - Identification of priorities Empirical Tools and Data Capacity building and coalition building

7 Thus governance assessments are.. A tool and an input for policymakers and working groups to identify: Institutional strengths and weaknesses Costs and impact of mis-governance Key factors affecting quality of governance Priority areas for reform And a mean to build local capacity

8 Key questions =>Answered Why is it important to measure Governance? Poor governance is linked to poverty What information is key for policy? Institutional map of strengths and weaknesses What is the role of the assessment? Input for policy debate and capacity building

9 Governance assessment: one or many approaches? The characteristics of a governance assessment are a function of the objective of the assessment

10 How to think about G.A.? Four dimensions: Conceptual Empirical Process / Capacity Building Analytical and Policy

11 Conceptual dimension Clear definition of governance and its manifestations Translation of the definition into observable and measurable components Understanding of the links between the governance and Performance outcomes Development outcomes

12 Empirical dimension Focus on institutions vs. individuals Experiential, objective data More than one type of respondents Adaptation of empirical tools to country reality Careful definition of sample and field work details Open end vs. close end questions

13 Process / Capacity Building dimension To increase impact and sustainability: Consultative and participatory approach to discuss purpose, use and features of the assessment Engage local NGOs and academic institutions to adapt/revise tools Public dissemination of results Joint design of policy recommendations

14 Analytical and Policy dimension Distill key links between manifestations of governance and: Quality of services Growth Specific characteristics of public sector Results should be used as one input for policy purpose

15 In sum, a working framework Conceptual dimension Implementation process Governance Assessment Empirical tools & sample Analysis & use

16 Assessing Governance to Fill in the Knowledge Gaps Known Presumed Unknown

17 Selecting among instruments: a comparative approach HIPC Ex.Tr.? Pub. Officials? QSDS? PER? Score cards? BEEPS? IGR? EC Audits? CFAA? ROSC? CPAR? GAC? PET?..? Case study?

18 Existing Empirical Tools Investigative methods Budget use monitoring Video Observations Judicial Investigations Case Studies Survey methods Opinion Polls Sector-specific surveys Multi-sector surveys

19 Existing Empirical Tools BEEPS IGR Public Official surveys PET QSDS Score Cards Investment Climate Surveys EC Audits PER CFAA CPAR GAC Case Studies HIPC Exp. Tracking ROSC

20 Starting point What is the purpose of the assessment? Research and analysis Awareness raising Policy and Action planning Capacity building Monitoring

21 Which are the key dimensions for a tool comparison? Conceptual framework Approach Objective Subjective Measuring precision Cost effectiveness

22 Key dimensions, cont. Comparability of the data Across countries Over time Across empirical tools Final user of the data Different agencies Different stakeholders Type of respondent

23 Linking the Tools to the Respondents Score cards Civil Society GAC IGR PET QSDS PER CFAA CPAR Citizens BEEPS INV. CL. The State Government Officials Enterprises Private Sector

24 Key dimensions, cont. Effectiveness for judicial actions Ability to identify general challenges Ability to identify priorities for reform Quality of information on: Specific institutional dimension Specific subject

25 Linking the Tools to the Blueprint PER HIPC E.T. ROSC CPAR EC Audits CFAA Political System - Campaign Finance - Recruitment/Patronage Public Official Surveys IGR & GAC & Governance Cross- Country Ind. Executive Branch - Core Accountability Mechanisms - Key Sectors: Revenue, Expenditure & Regulatory Agencies Legislative Branch - Parliamentary Oversight - Parliamentary Safeguards Judicial Branch - Judicial Independence - Judicial Predictability - Prosecution & Trial of Corruption Cases Sub-National Government - Transparency and Responsiveness - Accountability Mechanisms Service Delivery Agencies - Accountability Mechanisms - Accessibility and Responsiveness QSDS PETs SCORE CARDS Users - Households - Enterprises BEEPS & INVEST. CLIMATE

26 DATA MATRIX SYNTHESIS ATTRIBUTES RATING: DATA SOURCE 1. Comparative Index of Int'national Corruption 2. Opinion Surveys/ Citizen Poll 3. Enterprise Surveys 4. Detailed Governance-A-C Diagnostic (GAC) 5. Report Card/ /Rapid Monitoring 6. Qualitative Indepth Interviews 7. Oficial Data / Statistics 8. Monitoring Budget Use / Budget Tracking 9. Price Benchmarking /Price Comparisons 10. Judicial Investigations 11. Video Techniques / Sting" 12. Worldwide Aggregate Governance Indicators Conceptual Framework Quality of governance indicators MEDIUM Cross- Country Comparability MEDIUM/ HIGH GOVERNANCE DATA SOURCES AND ATTRIBUTES: A SYNTHESIS MATRIX Degree of Objectivity in Measurement Precision in Measurement Periodic Monitoring capacity within a country Quality of info. on agency or specific subject matter Breadth of scope within Identifies generic governance Cross- Governance challenge Institutio- nal/multi- Agency Usefulness in country Usefulness for prioritizing reforms Cost Effectiveness Effectiveness for Judiciary Reforms LOW LOW MEDIUM NONE NONE LOW NONE NONE MEDIUM NONE MEDIUM LOW LOW LOW MEDIUM LOW LOW LOW LOW LOW LOW NONE MEDIUM /HIGH MEDIUM MEDIUM MEDIUM MEDIUM/ HIGH HIGH MEDIUM MEDIUM MEDIUM MEDIUM/ HIGH HIGH MEDIUM MEDIUM LOW/ MEDIUM HIGH LOW LOW LOW/ MEDIUM MEDIUM MEDIUM MEDIUM LOW LOW LOW/ MEDIUM MEDIUM/ HIGH LOW HIGH HIGH HIGH HIGH MEDIUM MEDIUM HIGH LOW MEDIUM HIGH MEDIUM/ HIGH HIGH MEDIUM/ HIGH LOW LOW HIGH HIGH HIGH LOW LOW MEDIUM LOW LOW HIGH MEDIUM LOW MEDIUM LOW LOW LOW LOW NONE LOW LOW HIGH MEDIUM MEDIUM LOW/ MEDIUM LOW MEDIUM MEDIUM MEDIUM LOW/ MEDIUM HIGH NONE MEDIUM MEDIUM/ LOW LOW MEDIUM LOW LOW LOW LOW LOW NONE NONE LOW LOW NONE NONE LOW/ MEDIUM NONE NONE HIGH LOW HIGH NONE NONE LOW HIGH NONE NONE MEDIUM HIGH NONE NONE NONE HIGH NONE NONE LOW HIGH HIGH HIGH MEDIUM MEDIUM/ HIGH LOW/ MEDIUM MEDIUM/ HIGH HIGH HIGH LOW/ MEDIUM Note: Ratings of attribute quality for each type of data source is preliminary. Desirable attributes are in columns. Color scheme follows a traffic lights approach from gray (no relevance)/dark red (poor) to dark green (very good). HIGH MEDIUM/ HIGH MEDIUM

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28 Stages for Development of the National Anti-Corruption Strategy WBI Technical Assistance 7. Monitoring and Evaluation of NAS 6. Implementation by Government 5. Revision of the NAS 4. Public dissemination + discussion 3. Draft of the NAS 2. Diagnostic surveys + analysis 1. Establishment of Steering Committee Country Implemented Key Partnership: Government + Civil Society

29 The power of diagnostic data and key dimensions for analysis 1. Unbundle corruption by type administrative, capture of the state, bidding, theft of goods and public resources, purchase of licenses and regulations 2. Identify both weak institutions (in need of reform) and strong institutions (example of good governance)

30 Key dimensions Cont. 3. Assess the cost of each type of corruption on different groups of stakeholders 4. Identify key determinants of good governance 5. Develop policy recommendations

31 Reserved Slides

32 Formation of Policies, Laws and Regulations (State Capture and Undue Elite Influence) Implementation of Policies and Regulations (Administrative/Bureaucratic Corruption) Corruption and Illicit Payments for: Allocation of Labor (Nepotism/Patronage) Allocation of Resources and Investment Decisions (Procurement/Budget Diversion)

33 Strategy for Good Government and Anticorruption Checks and Balances: Checks and Balances: Independent and effective judiciary Decentralization with accountability Accountability of Political Leadership: Disclosure of parliamentary votes Transparency in party financing Asset Declaration, Conflict of Interest Rules Civil Society Oversight: Freedom of information Public hearings of draft laws Monitoring by media/ngo s Good and Clean Government Competition & Entry : Competitive restructuring of monopolies Regulatory simplification Public Administration and Public Finance: Meritocratic civil service Transparent, monetized, adequate remuneration Accountability in expenditures (Treasury, Audit, Procurement)

34 Governance Improvement in Practice: Differentiated Strategies in Five Countries Institutional and Civil Service Reform: Transparent Privatization in Ecuador Salary Reform in Bolivia Disclosure of Assets in Bolivia and Georgia Economic Policy: Deregulation and Delicensing in Bolivia Revamping Customs in Ecuador and Latvia Tax Administration in Latvia and Ecuador Tax/Customs Code Reform in Albania Corruption Financial Controls: Procurement Reform in Bolivia, Ecuador and Georgia Legal-Judicial: Revamp of Supreme Court in Bolivia Competency test and firing of judges in Georgia, Albania and Latvia Mediation in Albania Public Oversight and Civil Society: Ombudsman in Albania and Bolivia Private Sector Coalition in Bolivia Diagnostic Surveys and NGO monitoring in Ecuador and others