Presentation on theme: "Module 1 - Introduction to the Programme"— Presentation transcript:
1 Module 1 - Introduction to the Programme Defining Good Governance Assessment FrameworksObjective 9.1 – Promote transparency, accountability and anticorruptionObjective 9.2 – Enforce the rule of lawMarie LabergeUNDP Oslo Governance Centre1
2 Module 1 - Introduction to the Programme Outline1) Objective 9.2 – Enforce the rule of lawUNDP framework for assessing access to justiceBalanced baskets of indicators2) Objective 9.1 – Promote transparency, accountability and anticorruptionUsers’ Guide to Measuring CorruptionHow to measure integrity (as opposed to corruption)Survey data: Public servants (Afghanistan)3) Relevant regional frameworksArab Democracy Index: What indicators are used?Public survey: Arab Barometer2
3 Module 1 - Introduction to the Programme Objective 9.2 – Enforce the Rule of LawSeveral references to int’l indices in national AC strategies – situation analysisImportant to know what they really mean!3
4 Module 1 - Introduction to the Programme Rule of law: What, why, how to measure itPrinciple of equality:Ensure that no one is immune from the law“By ‘rule of law’ [we refer to] efforts to extend rights usually first enjoyed by elites to the wider population”Particular importance in post-conflict setting:Rule of law is crucial to the legitimacy of the stateWhen laws are too far detached from reality disillusionment within society about legitimacy of state (unable to enforce one set of rules)4
5 Module 1 - Introduction to the Programme Rule of law: What, why, how to measure itMeasurement implications:Need to go beyond assessing the mere existence of laws (de jure indicators)Need to measure whether a new constitution or a new set of laws leads to actual changes on how a government is run, business is done, conflict is managed, or criminal activity is curbed (de facto indicators)5
6 Module 1 - Introduction to the Programme Rule of law: What does the NDP saySome key issues:Regulations/instructions for the efficient implementation of the NDPDivision of powers between central and local governmentsLeadership & decision-making power not concentrated into the hands of a fewInvestment climateFiscal decentralizationProcurement proceduresFiscal policy6
7 World Bank – ‘Rule of Law’ Indicator: Measures the extent to which agents have confidence in and abide by the rules of society, and in particular the quality of contract enforcement, the police, and the courts, as well as the likelihood of crime and violence.
8 “Implementation efficiency” of the NDP (1) In order for ministries, related bodies and governorates to adhere to the implementation of the plan within the timeframes and estimated project costs, there should be legislation for the plan issued by the state along with certain regulations and instructions.A) Expenditures:Difference between actual expenditure and the originally budgeted expenditure (in approved budget)Composition of expenditure compared to original approved budget (change in allocations to sectors of interest to the poor / vulnerable groups / women that have been)
9 “Implementation efficiency” of the NDP (1) B) Planning:Multi-year perspective in fiscal planning, expenditure policy and budgetingExistence of sector strategies with multi-year costing of recurrent and investment expenditureLinkages between investment budgets and forward expenditure estimatesC) Control systems:Coverage and quality of the internal audit function.Frequency and distribution of audit reportsExtent of management response to internal audit findings
10 Define and separate the powers and functions of governorates and central ministries (2) Existence (and awareness/understanding by key actors) of laws that regulate the operations of governoratesExistence and effective functioning of a mechanism for coordination between central & governorate levelNumber of decentralized social services implemented in governorates (disag.)% key positions filled in the local civil service vs. vacancies
11 Decentralized disbursement through governorate treasuries (5) Evidence of a transparent and rule-based systems in the allocation among local governments of transfers from central government (both budgeted and actual allocations)Timeliness of reliable information to local governments on their allocations from central government for the coming yearAvailability of information on resources received by service delivery units (health clinics, schools): Routine data collection or accounting systems providing reliable information on all types of resources received in cash and in kind
12 Assign powers and leadership at ministerial and governorate levels rather than limiting such authority to ministers, deputy ministers and governors (3)For instance, who participates in the annual budget process? At which stage?Existence of and adherence to a fixed budget formulation calendarExtent of political involvement (& at what level) in the guidance on the preparation of budget submissions
13 Module 1 - Introduction to the Programme Create a productive investment climate for local and foreign private sector (4)Two useful methodologies to examine the quality of the ‘business environment’ (unofficial payments & corruption, crime, regulations and red tape, customs and taxes, labor issues, firm financing, legal and judicial issues, infrastructure)Business Environment and Enterprise Performance Survey (BEEPS) – by WB & EBRD2) ‘Ease of Doing Business’ index (WB)e.g. How many days did it take on average to obtain a permit applied for over the last two years, from the day of the application to the day it was granted?In fiscal year x, what percent of this establishment’s total annual sales was paid for security, or what was the total annual cost of security?In a typical week over the last year, what percentage of total senior management's time was spent on dealing with requirements imposed by government regulations? [By senior management I mean managers, directors, and officers above direct supervisors of production/sales workers. Some examples of government regulations are taxes, customs, labor regulations, licensing and registration, including dealings with officials and completing forms]Over the last year, how many times was this establishment either inspected by tax officials or required to meet with them? In any of these inspections or meetings was a gift or informal payment expected or requested?
14 Module 1 - Introduction to the Programme Similar thematic areas as the BEEPS survey – but remember the BEEPS was assessing the “quality of the business environment” eg. Unofficial payments, regulations & red tape, etc.
15 Review & modify procurement procedures (6) Evidence on the use of open competition for award of contracts that exceed the nationally established monetary threshold for small purchasesExtent of justification for use of less competitive procurement methodsExistence and operation of a procurement complaints mechanism
16 Sound fiscal policy (7)Effectiveness in collection of tax paymentsThe level of extra-budgetary expenditure (other than donor funded projects) which is unreported i.e. not included in fiscal reports (audit report)Public access to key fiscal information (annual budget documentation) Open Budget Index
17 Open Budget Index (122 indicators) Module 1 - Introduction to the ProgrammeOpen Budget Index (122 indicators)A) Availability, timeliness of release & public access to budget documents (budget proposals, enacted budget, in-year budget execution reports, year-end financial statements, etc.)B) Budget process:Opportunity for public participation in budget process?Legislative approval of the budget formulated by the Executive?Ability of key oversight institutions to hold the executive accountable? (e.g. Does the executive present more details on any budget proposal if members of the legislature (including from minority parties) request such information?)91 questions (1&2) public access to info32 opportunity for public participation in budget porcess & ability of key oversight institution to hold executive accountable.1. Looking at timelines of release of these docuemtnsProblem: questions address mainly AC “input” i.e. Assessing existing and effectiveness of mechanisms for budget transparency & accountabilityBut even so, majority of questions ask about what occurs in practice rather than about the requirements that may be in law.Still – focus on accessibility does not say anything about the quality (“good” budget) or credibility (validity) of the info provided!!
18 And the justice system?How long does it typically take for the courts to resolve a criminal case such as petty theft? …to resolve a civil case such as tenant-landlord disputes?% citizens who say that they have access to the court system, disaggregated by gender, income level, region, etc.% citizens who say that the police will respond to them without requiring a bribe if called to resolve a dispute, disaggregated by gender, income level, region, etc.% accused persons legally represented at court appearances, disaggregated by gender, income level, region, etc.Ratio of prosecution caseloads in courts serving wealthier communities to those in courts serving marginalized communities
19 UNDP framework for assessing access to justice: Parameters 1. Citizens’ trust in the justice system2. Legal protection of rights & remedies3. Legal awareness4. Legal aid and counsel5. Investigation6. Detention7. Prosecution8. Judicial adjudication9. Administrative dispute resolution10. Informal and traditional dispute resolution11. Enforcement12. Civil society & parliamentary oversight
20 Module 1 - Introduction to the Programme The Arab Democracy IndexFirst governance index produced by an Arab institution (Arab Reform Initiative)Data collected by consortium of Arab research centres & universitiesCovers 10 countries40 indicatorsSome measure the ‘tools’ (means) of democratic transition (legislation) – ‘de jure’ indicatorsSome measure the ‘practices’ (results) of democratic transition – ‘de facto’ indicatorsSources of data:Government & non-govtCitizen’s impressions used for 25% indicatorsTo measure democratic transition process in Arab countries – presence of ‘democratic conditions’ / ‘elements of democracy’Measurement based on monitoring performance & behaviour rather than just examining intentions and structural determinants such as legislations, since intentions may be good but performance poor.Look at implementation on the ground of rules & regulations (mainly through public survey - Use of wasta(favoritism) in public employment)Each indicator has a specific way of calculating respective scores, based on the specific data.If needed, focus group of experts20
21 Module 1 - Introduction to the Programme The Arab Democracy Index4 thematic areas:Strong & accountable public institutionsE.g. Separation of powers, accountability of governmentRule of lawE.g. Independence of judiciary, prevalence of arbitrary detentionRespect for rights & freedomsE.g. Freedom of political parties, ability to organize demonstrationsEquality & social justiceE.g. Illiteracy rates among men & women, % of male & female university graduates, etc.21