60 th Anniversary of the UN Programme of Work on Public Administration and the Agenda of Public Accountability

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1 60 th Anniversary of the UN Programme of Work on Public Administration and the Agenda of Public Accountability Adil Khan Expert on Public Accountability and Former Chief, Socio-economic Governance and Management Branch DPADM UN-DESA

2 The UN Charter of 1945: The Preamble We, the people of the United Nations are determined: To reaffirm faith in the fundamental human rights, in the dignity and worth of the human person, in the equal rights of men and women and of nations large and small; and To promote social progress and better standards of life in larger freedom, And for these ends To employ international machinery for the promotion of the economic and social advancement of all peoples

3 Key development and governance highlights of the Charter Social Progress Better standards of life Larger freedom

4 Key GA Resolutions relevant to Public Administration and Governance 57 (IV) of 1947; 200 (III) of 1948: Training of public officials and improvement of public administration machinery and methods 200 (III) of 1948; 246 (III) of 1948; and 304 (IV) of 1949; and ECOSOC Resolution 292 (XI) of 1950 Success of development goals depended on machinery and methods established under sound principles of public administration and adapted to the circumstances of the country concerned. Approved the expanded programme of technical cooperation in public administration

5 UN Programme on public administration from 1950s-todate : GA and ECOSOC resolutions, Millennium Declaration, UN Expert Recommendations etc. Effective administration crucial in the implementation of development programmes Public administration should be viewed holistically and development not just economic and social development, but as means to transform whole societies Public administration an essential instrument for managing and implementing the process of transformation Faced by energy and food crisis and rising inflation, in 1970s the challenge for the member states, especially the developing member states was to devise and install administrative systems that could accelerate development and enable countries to make effective use of resources

6 UN Programme on public administration from 1950s-todate : GA and ECOSOC resolutions, Millennium Declaration, UN Expert Recommendations etc. (contd.) Improvement in state capacities in the implementation were noted, but at the same time importance of public accountability in the efficient management and utilization of public resources was also recognized in 1970s Rise of neo-liberalism and the promotion of the concepts of minimalist state and new public management and developing audit as a tool of public management. The tenth meeting of the experts (1991) noted that good governance and public management required commitment, transparency and accountability

7 UN Programme on public administration from 1950s-todate : GA and ECOSOC resolutions, Millennium Declaration, UN Expert Recommendations etc. (contd.) GA Resolution A/RES/50/225 of 1996 emphasized the importance of public/private partnerships, including partnerships with CSOs and thus enhance the efficiency, productivity, accountability and responsiveness of the public institutions and services 55/2 Millennium Declaration (2000): To work collectively for more inclusive political processes, allowing genuine participation by all citizens in all our countries

8 The framework of Public Accountability as envisaged by GA Resolution 50/225 Paragraph 11 stipulates four key elements: Monitoring, evaluating and measuring performance form the integral part of public administration and public governance; Citizens right to know : how are we doing/, What s going on? etc. Performance measurement and evaluation, key tools of strategic planning and programme management Public accountability to go beyond traditional regularity auditing to include results auditing The second last resolution under paragraph 25 of Millennium Declaration stipulates genuine participation by all citizens in inclusive political process offers space for civic participation in all aspects of public governance including public accountability

9 Defining Public Accountability INTOSAI Definition : Public accountability pertains to legal obligations of persons or entities entrusted with public resources to answer to the public for the fiscal, managerial and program related activities/expenditure incurred and/or undertaken therewith. Elements of Public Accountability the recognition of the responsibility the provision of information on performance in a manner which users can interpret accurately the potential to impose sanctions

10 Three Inter-linking Pillars of Public Accountability Accounting for citizens' right to know Accounting for results Accounting for expenditure regularity

11 The Institutional Framework of Public Accountability legislative judicial internal audits external audits Institutionalized M&E media civil society organizations

12 Public Accountability and Audit: Global Trend Almost all countries, both developed and developing, have established various institutions of accountability including Supreme Audit Institutions (SAIs). During , 2005, 113 of 129 SAIs have expanded their operations and increased their budgets, except the politically not free countries that in fact decreased the SAI budgets during the same period signifying low national priority attached to public accountability in such countries. However, despite an overal budget enhancements, incidence of corruption and quality of service delivery continue to deteriorate or remain unchanged. Most audits focus on financial analysis and not on impact or results issues of public expenditure.

13 Public Accountability and Audit: Global Trend (contd.) Rarely, SAIs involve CSOs in audit processes Audit effectiveness is linked to overall governance environment relating to rule of law, practice of democracy and human rights, free access to information and free media. A survey reveals that increase of political rights by 1 unit reduces corruption by 0.65 units globally; by 0.88 points in Latin America and Caribbean region; by 1.52 points in Asia/Pacific region. Comparatively, Free developing countries invest more on audit and experience higher impact on corruption control and service delivery than their partly free and not free counterparts.

14 Global trend in public accountability: some interesting cases Bangladesh, a democratic country that increased its SAI budget and scores low on political rights and low on civil liberties experiences virtually nil impact of audit on corruption and service delivery. Its current CPI ranking is 158 of 159. Another estimate suggests that due to corruption, Bangladesh lost 2 percentage points in GDP growth per annum over the last decade and a half and missed poverty alleviation of million people due to corruption. Due to democracy deficits, Macedonia, a transitional economy and a newly democratic country continues to remain corruption ridden and weak in service delivery despite a 216% increase in SAI budget since 2001.

15 Global trend in public accountability: some interesting cases (contd.) Oman, a monarchy that scores low on both political freedom (6) and civil liberties (5) ranks 28 on CPI ranking (highest among the 8 Asian corruption free countries surveyed) and scores high on service delivery. Its open budget and its strict monitoring by citizens through ICT seems to contribute to stringent public accountability with positive outcomes. The democracies that enjoy high political rights and high civil liberties also enjoy high impact of audit on corruption and service delivery. Iceland scores No 1 in all accountability indicators, namely CPI, PSDI, political rights, civil liberties etc. Iceland s unique position in public accountability seems to stem from its most unique model of decentralized governance. Enshrined by Freedom of Information Act, citizens freely access public information through extensive use of ICT and furthermore, in Iceland, it mandatory to consult local government in all state decisions.

16 Limitations of current audit state audit reports not widely disseminated to the public or if disseminated, not done on either timely or useful basis state audit reports focus more on compliance or conduct regularity audits and rarely, performance or value for money audits poor and/or inadequate parliamentary oversight due to weak structure of country SAIs and/or due to low political interest In many cases, audit reports do not contain executive summaries and thus not easily understood by public

17 Limitations of current audit (contd.) Inadequate coverage due to lack of manpower and not linked to beneficiary level information SAIs not completely independent from political influence Governance environment not always congenial for either accessing or disseminating information accurately Citizens, who are located at the demand side of the public governance are neither a part nor as it appears, the beneficiaries of audits. Low media interest in or lack of media access to audit information No public reporting on follow up of audit reports

18 Strengthening Public accountability Strengthen right to know elements in public governance by strengthening political democracy, rule of law, media freedom etc. Build internal capacities of accountability mechanisms and processes Connect citizens to the accountability processes

19 Connecting citizens : the case for civil society participation in public accountability CSOs can: build citizen literacy on public financial management; have the networks and expertise to detect malfeasance in public finance and report; in conjunction with legislatures and media can monitor and build pressure on executive to implement audit recommendations; by providing grass-root/field root/field level information can complement audit and/or formal monitoring initiatives of the government/local governments serve as complainants on behalf of those intimidated by formal accountability processes help deter corruption at oversight and audit bodies themselves

20 Various modalities of civic engagement in public accountability FORM POSITIVES NEGATIVES Open hearings - Direct feedback - Confrontational nature can between implementers create avenues for airing and beneficiaries of personal grudges - Government compelled - Can be difficult to manage to be highly accountable if some highly technical to citizens issues are involved - Citizen empowerment promoted Expenditure - Validates actual use - Requires skill in validation tracking of resources to intended of reports which may not systems objectives necessarily exist in CSOs - Validates compliance to - Can be costly prescribed procedures and approval process - Requires cooperation of implementers to provide information

21 Modalities contd. FORM POSITIVES Negatives SAI or - Cooperation of SAI or - Veto power of SAIs on Government government institutions certain complaints initiated in providing access to submitted partnerships information assured - Corrective measures or - Imposition of limitations on sanctions likely to be nature of complaints undertaken on validated financial anomalies - Sustainability problems if not enshrined in law Citizen Report - Indirect feedback on - Needs sustained government performance financial support and can on areas of interest to be costly citizens - Useful for comparison of performance of government entities

22 Participatory / Social Audit : Country Examples Country Organization Nature of Organization Nature of Engagement INDIA MKSS peasant and worker union social audit; public hearing forums on results of local government expenditures at village level SOUTH AFRICA PSAM research and advocacy tracking of gov. agency responses to financial organization issues raised in the Auditor General s s report SOUTH KOREA CCEJ advocacy group citizens audit request system: based on information collected from official and non-official official sources, request audit of suspected financial misconduct by agencies; files cases in accordance with audit results

23 Country examples contd. Country Organization Nature of Organization Nature of Engagement ARGENTINA ACIJ research and advocacy monitoring government action; documentation of violations against group laws and contracts entered into between government and private parties; establishment of legal clinics PHILIPPINES CCAGG non-government organization expenditure tracking of infrastructure projects; volunteers observe construction and reports findings MEXICO FUNDAR research and advocacy organization transparency and citizen participation evaluation system (SEPAT): development and application of indicators that evaluates local governments in terms of transparency and participative approaches

24 Benefits and drawbacks of civic engagement Benefits : Complementation of activities between state auditors and civil society thereby expanding coverage and improving quality of review and accountabilities More credible public dissemination of government programs Government personnel more aware of external scrutiny and become more responsive to public needs Promotes reform in processes and procedures Reduction in corruption Improved services

25 Benefits and drawbacks contd. contd. Drawbacks Lack of understanding of legal and structural nuances of processes Dependence on ODA support, sometimes government support, could compromise independence as well as sustainability Difficulties with CSO capacity and interest Leadership changes in organizations ( either SAI or CSO) can change interest in and commitment to collaboration in audit Weak internal operating and financial mechanisms among CSOs

26 Key messages There is real merit in engaging CSOs in the audit/monitoring processes CSOs are in good position to provide information on results and create grounds for effective follow up CSO participation can equally strengthen accountability for the MDGs There is no one-size shoes fits all remedy There are more than one entry point to participatory / social audit Strong advocacy is needed to create interest both within government as well as in CSO community to engage in audit work

27 Key messages (contd.) Involvement of media is crucial - the concept of barefoot auditors may be given due consideration, creating a pool of community-based investigative reporters/journalists at the grass-root root level Start with something simple, then move to complex Capacity building/training of both CSOs and Auditors The recently established INTOSAI Platform on Public Accountability, an outcome of U N/INTOSAI collaboration on public accountability has opened good opportunities for building capacities in people-centric accountability processes in all countries

28 THANK YOU!