Measuring Governance and Democracy: A Methodology and … · •Collective business associations...
Transcript of Measuring Governance and Democracy: A Methodology and … · •Collective business associations...
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Measuring Governance and
Democracy: A Methodology
and Some Illustrations
Presented to:3rd OECD World Forum“Statistics, Knowledge and Policy” Busan, KoreaOctober 27-30, 2009
Presented by:Francesca RecanatiniSenior EconomistPREM Public Sector GovernanceWorld Bank
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Outline
Measuring Governance
A Definition
Motivation
Methodology/ies (Kaufmann- Recanatini)
Survey data
Agency-level Indicators
Disseminating Knowledge about Governance
New Actionable Governance Indicators Data
Portal
Going forward
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Governance and Corruption
The process, institutions and
customs through which the
function of governing is carried
out.
Using public office for
private gain
Governance
Corruption
• Corruption is an outcome – a consequence of weak or bad governance
• Poor delivery of services and weak investment climate are other outcomes of bad governance
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Political Governance• Political competition, broad-based political parties
• Transparency & regulation of party financing
Formal Oversight Institutions
• Independent judiciary• Legislative oversight • Independent
oversight (SAI)• Global initiatives: UN,
OECD Convention, anti-money laundering
Citizen
s/Firm
s
Citizens/Firms
Cit
izen
s/F
irm
s
Citizens/Firms
Decentralization and Local Participation• Decentralization with downward accountability
• Community Driven Development (CDD)
• Oversight by parent-teacher associations & user groups
Civil Society & Media• Free press, FOI• Civil society watchdogs
Private Sector Interface• Streamlined regulation• Extractive Industry
Transparency Initiative• Collective business
associations
Public Sector Management
• Public finance management & procurement
• Civil service meritocracy & adequate pay
• Service delivery and regulatory agencies in sectors
Good Governance has many dimensions …
Outcomes: Services,
Regulations, Corruption
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We have the tools, but not always the
opportunity
Capture
Embezzlement
Monopolies
Directed credits
Tax preferences
Procurement fraud
Patronage/nepotism
Selling legislative votes
Bribery
Campaign finance disclosure
PFM reform
Competition policy
Banking reform
Tax transparency reform
Procurement reform
Civil service reform
Right to information
Income & asset disclosures &
stolen asset recovery
While we cannot directly engage in enforcement actions or political activity,
some forms of state capture and grand corruption can be addressed
through instruments available to the Bank:
The challenge is political will and
sustainability of reforms.
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Governance
Assessment
Analysis
& use
Empirical tools & sample
Conceptual dimension
Implementation process
Use a working framework …
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Governance
Assessment
Enhanced local
capacity
Greater consensus
Knowledge for policy and/or
research
Broader awareness
Measuring governance: possible outcomes
Internet, radio
Policy dialogue
Focus groups
Workshops
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Governance diagnostic surveys - Approach
A participatory process to identify governance challenges and build local capacity
Key features:
Three surveys: households, firms and public officials
Questions focused on experience, adapted to local realities and tested in the field
Survey instruments and results validated through focus groups
Rigorous technical implementation
Local institution implements
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0% 15% 30% 45% 60% 75% 90%
% of public officials
report frequent public
funds mis-management
% of public officials
report frequent
purchase of positions
in their institutions
% public officials
report frequent cases
of corruption in public
administration
Sierra Leone(2003) Guinea(2004) Guatemala(2004) Zambia(2003)
Paraguay(2005) Mozambique(2004) Madagascar(2005)
Country Diagnostic Results
Extent of corruption, (Selected Countries „03-‟05)
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Percentage of household income spent on bribes to obtain services,
by income status (as reported by households), Sierra Leone, 2003
0% 5% 10% 15% 20%
Public health services
Public education services
Income Tax Department
Judges/Courts officials
Municipal/Dist. Councils
Surveys and Lands
percentage of household income spent on bribeshigh income
middle income
low income
Corruption increases inequality
Country Diagnostic Results
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0 10 20 30 40 50 60 70 80 90
Min. of Defence
Min. of Development
Min. of Information
Nat. Commissions
Others
Para-statals
Min. of Finance
Min. of Local Govt.
Min. of Social Welfare
Min. of Education
Min. of Justice
S.L Police
Min. of Agriculture
Min. of Health
% of Public Officials that said irregularities/(misappropriations) are frequent
Public funds are mismanaged by agency(as reported by Public Officials, Sierra Leone, 2003)
Country Diagnostic Results
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Mechanisms to participate to policy process
0
10
20
30
40
50
60
Association/NGO Direct tie to
public officials
None
Southern Northern Eastern Western
% of households reporting to use the following channel to participate
in the policy process (Sierra Leone, 2003)
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Sector Diagnostics: Innovative Features
Sector-specific focus:
Apply methodology and solutions to country and sector realities
Mixed methods:
Focus groups & In-depth Interviews
Surveys (households, businesses & civil servants)
Desk study
Project cost data
Active participation of civil society and government to
contribute to policy making process.
Close collaboration with donors‟ colleagues.
Active links to on-going sector projects
WB transport and port projects
EU transport ministry aid project
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Agency-level Indicators
Using responses from public officials
Public officials are employees of each agency
Public official’s responses are re-scale (from 0
to 100) and then aggregated by agency using
factor analysis technique
0 always meaning the lowest level of quality of
governance, corruption, access or service
performance
Governance Indicators, by agency(based public officials from 20 agencies, Guinea 2004)
Audit
Mechanisms
Enforcement of
Rules
Quality of
RulesPoliticization Resources Transparency
Citizen
Voice
Wage
SatisfactionService
State
Capture
Overall
Corruption
Ministère de la justice 63 51 55 44 37 47 72 19 67 44 39
Ministère de la Sécurité 62 50 57 44 38 47 74 18 69 38 35
Ministère de l‟Administration et de la Décentralisation 61 53 54 42 39 49 75 29 70 45 45
Ministère des Finances 76 72 60 40 43 58 80 28 67 51 30
Ministère de l‟Enseignement Supérieurs et Recherche
Scientifique62 50 56 44 35 46 74 20 69 47 42
Ministère de l‟Urbanisme et Habitat 76 42 33 64 75 38 5
Ministère de la Santé Publique 70 63 57 43 35 60 70 30 58 40 44
Service Communal 62 51 34 40 52 64 13 49 49
Service Sous Préfectoral 58 43 55 45 32 43 72 13 64 52 37
Ministère de la Communication 52 61 44 38 46 75 42 65 69
Ministère de la Jeunesse et Sports 60 52 56 42 42 53 73 11 71 52 42
Ligue Islamique Nationale 62 60 59 41 41 49 75 28 64 43 33
Ministère de l‟Agriculture 61 58 57 42 38 45 77 30 65 36 36
Ministère de l‟enseignement Pré Universitaire 67 69 57 41 50 50 72 42 76 45 31
Ministère de la Fonction Publique 44 60 45 44 44 71 25 56 10
Organisation Non Gouvernementale (ONG) 59 53 41 48 44 82 8 70 54
Entreprise Micro – Finance 32 73 8 80 13
Ministère de l‟Energie, Mines et Environnement 70 49 55 52 25 74
Whole Country 62 50 57 45 34 46 75 20 68 42 37
The indicators above take values between 0-100. To interpret them please keep in mind that:
-The higher the value of the governance indicator the better the quality of that dimension .
-The higher the value of the corruption index, the more severe the problem.
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Citizen Voice Improves Accessibility of Public
Services to the Poor (Bolivia, 1999)
Based on Public Officials Survey. The sample of institutions includes 44 national, departmental,
and municipal agencies which are a prior anticipated to be accessible to the poor
0
20
40
60
80
100
10 20 30 40 50 60 70 80 90
Voice / External Accountability
Access
ibil
ity t
o t
he P
oor
ControlledCausalLink
r = 0.54
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Disseminating Knowledge
Rules of the
game
Organizational Capacities
Governance system
performance
Exogenous
factors
Actionable Governance Indicators
http://agidata
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Lessons learnt
Do we actually know anymore what we are measuring?
Multi tools do not translate into less precision or confusion. Rather, “competition” allows us to improve our methodologies and to create interesting partnerships (Madagascar, Paraguay, Peru)
How can we help various stakeholders make appropriate use of all the tools out there?
Local focus, local capacity building, participation, and learning by doing (Paraguay, Peru, Sierra Leone)
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Lessons learnt, cont.
How do we balance global (ranking)
measurement tools with national assessments?
Two sides of the same coins, but with different
objectives. Important that the two approaches
complement each other
Who should be involved in measuring?
It depends on the country reality. Our
experience: the country as a whole. But donors,
INGOs can play a very important role (Sierra
Leone, Mozambique, Haiti). NSOs should also
be involved to promote sustainability (Peru,
Paraguay)
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Lessons learnt, cont.
What are the advantages and disadvantages of the approach used?
Pros: Greater local capacity, consensus and ownership that can ensure sustainability of reform process; south-south knowledge dissemination (Costa Rica, Zambia, Mozambique, Haiti)
Cons: Time consuming and costly; challenging to coordinate many different actors, especially international ones; unforeseen political changes
To what extent have measurement tools helped shape public sector reforms?
Honduras, Burundi, Mozambique, Madagascar
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Lessons learnt, cont.
Additional challenges
2nd generation diagnostics focus on sector
governance => more challenging to apply
this model at the sector level (Mauritania,
Senegal, Yemen and Morocco) Government commitment
Transparency of process
Participation of different stakeholders
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WB Governance Resources on the Web
Governance and Anti-corruption: http://web.worldbank.org/WBSITE/EXTERNAL/NEWS/0,,contentMDK:20040922~menuPK:34480~pagePK:34370~theSitePK:4607,00.html
Public Sector Group: http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTPUBLICSECTORANDGOVERNANCE/0,,menuPK:286310~pagePK:149018~piPK:149093~theSitePK:286305,00.html
Governance and Anti-corruption (WBI): http://web.worldbank.org/WBSITE/EXTERNAL/WBI/EXTWBIGOVANTCOR/0,,menuPK:1740542~pagePK:64168427~piPK:64168435~theSitePK:1740530,00.html
Governance Diagnostic Surveys Country Sites:http://www.worldbank.org/wbi/governance/capacitybuild/d-surveys.html
Courses and Surveys: Governance Diagnostic Capacity Building:http://www.worldbank.org/wbi/governance/capacitybuild/courses.html
Actionable Governance Indicators Website: www.agidata.info (internal)
www.agidata.org (external)
Additional material available upon request: [email protected]