1. Module 1 - Introduction to the Programme
Defining Good Governance Assessment Frameworks
Objective 9.1 – Promote transparency, accountability and anticorruption
Objective 9.2 – Enforce the rule of law
Marie Laberge
UNDP Oslo Governance Centre 1

2. Module 1 - Introduction to the Programme
Outline
1) Objective 9.2 – Enforce the rule of law
UNDP framework for assessing access to justice
Balanced baskets of indicators
2) Objective 9.1 – Promote transparency, accountability and anticorruption
Users’ Guide to Measuring Corruption
How to measure integrity (as opposed to corruption)
Survey data: Public servants (Afghanistan)
3) Relevant regional frameworks
Arab Democracy Index: What indicators are used?
Public survey: Arab Barometer 2

3. Module 1 - Introduction to the Programme
Objective 9.2 – Enforce the Rule of Law
Several references to int’l indices in national AC strategies – situation analysis
Important to know what they really mean! 3

4. Module 1 - Introduction to the Programme
Rule of law: What, why, how to measure it
Principle 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 state
When 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 it
Measurement 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 say
Some key issues:
Regulations/instructions for the efficient implementation of the NDP
Division of powers between central and local governments
Leadership & decision-making power not concentrated into the hands of a few
Investment climate
Fiscal decentralization
Procurement procedures
Fiscal policy 6

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 budgeting
Existence of sector strategies with multi-year costing of recurrent and investment expenditure
Linkages between investment budgets and forward expenditure estimates
C) Control systems:
Coverage and quality of the internal audit function.
Frequency and distribution of audit reports
Extent 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 governorates
Existence and effective functioning of a mechanism for coordination between central & governorate level
Number 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 year
Availability 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 calendar
Extent 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 & EBRD
2) ‘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 purchases
Extent of justification for use of less competitive procurement methods
Existence and operation of a procurement complaints mechanism

16. Sound fiscal policy (7)
Effectiveness in collection of tax payments
The 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 Programme
Open 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 info
32  opportunity for public participation in budget porcess & ability of key oversight institution to hold executive accountable.
1. Looking at timelines of release of these docuemtns
Problem: questions address mainly AC “input” i.e. Assessing existing and effectiveness of mechanisms for budget transparency & accountability
But 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 system
2. Legal protection of rights & remedies
3. Legal awareness
4. Legal aid and counsel
5. Investigation
6. Detention
7. Prosecution
8. Judicial adjudication
9. Administrative dispute resolution
10. Informal and traditional dispute resolution
11. Enforcement
12. Civil society & parliamentary oversight

20. Module 1 - Introduction to the Programme
The Arab Democracy Index
First governance index produced by an Arab institution (Arab Reform Initiative)
Data collected by consortium of Arab research centres & universities
Covers 10 countries
40 indicators
Some measure the ‘tools’ (means) of democratic transition (legislation) – ‘de jure’ indicators
Some measure the ‘practices’ (results) of democratic transition – ‘de facto’ indicators
Sources of data:
Government & non-govt
Citizen’s impressions used for 25% indicators
To 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 experts 20

21. Module 1 - Introduction to the Programme
The Arab Democracy Index
4 thematic areas:
Strong & accountable public institutions
E.g. Separation of powers, accountability of government
Rule of law
E.g. Independence of judiciary, prevalence of arbitrary detention
Respect for rights & freedoms
E.g. Freedom of political parties, ability to organize demonstrations
Equality & social justice
E.g. Illiteracy rates among men & women, % of male & female university graduates, etc. 21