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The “Tools of the Trade”: An Overview of Diagnostic and Assessment Instruments December 1, The “Tools of the Trade”: An Overview of Diagnostic and Assessment Instruments December 1, 2003 Francesca Recanatini, WBI www. worldbank. org/wbi/governance

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

Objective How to choose among governance tools? Which are the key elements for a Objective How to choose among governance tools? 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?

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

Key starting points 1. What is the purpose of the assessment? Research and analysis Key starting points 1. What is the purpose of the assessment? Research and analysis Awareness raising Policy and Action planning Capacity building Monitoring

Key starting points 2. What is the focus of the assessment? Governance as a Key starting points 2. What is the focus of the assessment? Governance as a whole Corruption Performance of a specific agency/sector Quality of a specific public service delivered

Suppose we have determined…. The final purpose of the assessment The focus of the Suppose we have determined…. The final purpose of the assessment The focus of the assessment What next?

An example – Peru 2002 Issue: the government wanted to monitor progress in terms An example – Peru 2002 Issue: the government wanted to monitor progress in terms of Transparency of public administration activities Civil society “participation” and voice Quality of public services

Peru 2002, cont. Purpose of assessment: monitoring Focus of the assessment: Transparency Citizens’ “Participation” Peru 2002, cont. Purpose of assessment: monitoring Focus of the assessment: Transparency Citizens’ “Participation” and Voice Quality of public services What next?

Existing Empirical Tools BEEPS IGR Public Official surveys PET QSDS Score Cards Investment Climate 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 www. worldbank. org/wbi/governance/assessing

Which are the key elements of a Governance Assessment? Four dimensions: Conceptual Empirical Process Which are the key elements of a Governance Assessment? Four dimensions: Conceptual Empirical Process / Capacity Building Analytical and Policy

Conceptual dimension Clear definition of the variable we focus on and its manifestations Translation Conceptual dimension Clear definition of the variable we focus on and its manifestations Translation of the definition into observable and measurable components Selection of methodological approach Understanding of the links between governance and Performance outcomes Development outcomes

Linking the Tools to the Blueprint PER HIPC E. T. ROSC CPAR EC Audits Linking the Tools to the Blueprint PER HIPC E. T. ROSC CPAR EC Audits Public Official Surveys IGR & GAC & Governance Cross. Country Ind. CFAA QSDS PETs SCORE CARDS BEEPS & INVEST. CLIMATE

Conceptual dimension, cont. Finding answers may require single or multiple methods and data forms Conceptual dimension, cont. Finding answers may require single or multiple methods and data forms The methodological approach can be a combination of different methods (for example, qualitative, quantitative or mixed) To each method corresponds a set of empirical tools that we can use Data can also be qualitative and/or quantitative For more information on alternative methods www. worldbank. org/wbi/governance/assessing

Examples of Existing Empirical Tools Qualitative method Quantitative method Budget use monitoring Video Observations Examples of Existing Empirical Tools Qualitative method Quantitative method Budget use monitoring Video Observations Judicial Investigations Investment Climate Surveys QSDS Public official surveys PETs Mixed method Governance Diagnostic Surveys Score Card approach PER

Empirical dimension Focus on institutions vs. individuals Experiential vs. perception data One vs. many Empirical dimension Focus on institutions vs. individuals Experiential vs. perception data One vs. many types of respondents Standard vs. customized empirical tools Definition of sample and field work details Open end vs. close end questions

Linking the Tools to the Respondents Score cards Civil Society GAC IGR PET QSDS Linking the Tools to the Respondents Score cards Civil Society GAC IGR PET QSDS PER CFAA CPAR Citizens BEEPS INV. CL. Government Enterprises Officials Th e. S tat e tor c Se ate riv P

Examples of variables measured USERS/HOUSEHOLDS Quality of specific public services Cost and time to Examples of variables measured USERS/HOUSEHOLDS Quality of specific public services Cost and time to obtain a service Information available on basic rights Quality of public agencies Experience with inappropriate procedures and behavior

Examples of variables measured ENTERPRISES Quality of specific services and procedures Cost and time Examples of variables measured ENTERPRISES Quality of specific services and procedures Cost and time to comply with permits and licenses Information available on basic rights Quality of public agencies Experience with inappropriate procedures and behavior

Examples of variables measured PUBLIC OFFICIALS Quality of the rules and procedures Transparency of Examples of variables measured PUBLIC OFFICIALS Quality of the rules and procedures Transparency of budget and employment decisions Information available on procedures Quality of management Experience with inappropriate procedures and behavior within their office

Process / Capacity Building dimension To increase impact and sustainability: Consultative and participatory approach 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

A few Illustrations WBI Technical Assistance Honduras CNA: report and Challenge: poor governance and A few Illustrations WBI Technical Assistance Honduras CNA: report and Challenge: poor governance and corruption strategy to newly elected gov (January 2001); integration of 7. Monitoring and Evaluation of NAS strategy in the 2002 Country Implemented 6. Implementation by 2006 government Government plan Guatemala 5. Revision of the NAS Highly fragmented 4. Public dissemination + Sierra Leone discussion civil society Strong commitment Joint effort to build 3. Draft of the NAS (civil society, state, consensus donors) => surveys 2. Diagnostic surveys + analysis Surveys to be + report completed. 1. Establishment of Steering launched in Dec. Results use for draft Committee strategy and reform Key Partnership: Government + Civil Society projects

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

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

Key dimensions… Cont. 3. Assess the cost of each type of corruption on different 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

In sum, how to select among instruments? HIPC Ex. Tr. ? Pub. Officials? QSDS? In sum, how to select among instruments? HIPC Ex. Tr. ? Pub. Officials? QSDS? PER? Score cards? BEEPS? IGR? EC Audits? ROSC? CFAA? CPAR? PET? GAC? …. . ? Case study?

Use a working framework…. Conceptual dimension Implementation process Governance Assessment Analysis & use Empirical Use a working framework…. Conceptual dimension Implementation process Governance Assessment Analysis & use Empirical tools & sample

Peru 2002 Purpose of assessment: monitoring Final users: government and civil society Key feature: Peru 2002 Purpose of assessment: monitoring Final users: government and civil society Key feature: Comparability across time Ability to identify progresses Type of information needed: agencyspecific Approach: objective, and based on citizen’s feedback

Peru 2002 Conceptual dimension Transparency in the management of resources Quality of basic health Peru 2002 Conceptual dimension Transparency in the management of resources Quality of basic health and education services Quality of complaint and feedback mechanisms Empirical Tool Score card/Questionnaire to households Focus on agency-specific information Objective, experiential data Close-end questions

Peru 2002 Process/Capacity building: Partnership between WBI and with National Statistical Office on methodological Peru 2002 Process/Capacity building: Partnership between WBI and with National Statistical Office on methodological issues Data and results publicly available Analytical dimension Monitoring of indices’ performance over time Link between indices of performance and measures of poverty

Peru 2002 – Decisions taken To develop the following yearly indicators: Index of transparency Peru 2002 – Decisions taken To develop the following yearly indicators: Index of transparency and civil society participation Index of quality of public services To focus on households/users only To promote a partnership between the National Statistical Agency and citizens

Vulnerabilities of Corruption Reporting: Complaint Mechanisms (as reported by public officials; various countries, 1999 Vulnerabilities of Corruption Reporting: Complaint Mechanisms (as reported by public officials; various countries, 1999 -2001)

Extent of corruption (Various countries, 2001) Extent of corruption (Various countries, 2001)

Corruption increases inequality The thin lines represent margins of error (or 95% confidence intervals) Corruption increases inequality The thin lines represent margins of error (or 95% confidence intervals) for each

Bribes and quality of services (based on public officials’ response, a Latin American country, Bribes and quality of services (based on public officials’ response, a Latin American country, 2001)

Corruption Restricts Access to Medical Services: Discouraged Poor Users Due to Bribes (as reported Corruption Restricts Access to Medical Services: Discouraged Poor Users Due to Bribes (as reported by public service users, 2001) Note: The figure shows the percentage of discouraged users not using medical service because a bribe is too high.

Corruption imposes barriers to households to access basic social services Sierra Leone Roads Transport Corruption imposes barriers to households to access basic social services Sierra Leone Roads Transport Authority

Governance and corruption South Prov. indicators by province North Prov. East Prov. West WHOLE Governance and corruption South Prov. indicators by province North Prov. East Prov. West WHOLE Area COUNTRY Corruption in budget 35 43 48 39 40 Overall corruption 22 32 35 33 32 Corruption in public contracts 18 35 29 33 30 Corruption in personnel (2) 39 44 55 53 49 Accessibility for poor 85 74 87 74 78 Audit Mechanisms 55 59 66 58 58 Enforcement of rules 70 67 80 73 71 Politicization 21 34 22 34 32 Quality of rules 62 62 70 61 63 Resources 54 51 47 55 52 Transparency 51 55 53 51 55 Citizen voice 70 59 65 66 66 Meritocracy 66 65 70 69 68

Governance and Corruption Indicators by Institution Presidential Affairs Ministry of Finance Quasi-independent institutions Ministry Governance and Corruption Indicators by Institution Presidential Affairs Ministry of Finance Quasi-independent institutions Ministry of Trade and Industry Ministry of Internal Affairs Ministry of Energy and Power and NPA Ministry of Foreign Affairs & International Cooperation Ministry of Development & Economic Planning Ministry of Social Welfare, Gender & Children's Affairs Ministry of Health & Sanitation Ministry of Information and Broadcasting Ministry of Education, Science and Technology Ministry of Youth and Sports Ministry of Labor and Industrial Relations Ministry of Agriculture and Food Security Ministry of Local Government & Municipal and district councils Ministry of Transport & Communications Ministry of Works and Public Maintenance Ministry of Lands, Housing & Country Planning Ministry of Mineral Resources House of Parliament Office of the Attorney General, Minister of Justice and Director of Public Prosecutions Traffic Police and Sierra Leone Road Transport Authority Supreme Courts Local Courts SALWACO/GVWC and SIERRATEL SALPOST Sierra Leone Ports Authority SL National Tourist Board and SL Standards Bureau Police and Prisons Post-conflict institutions WHOLE COUNTRY Enforcement Citizen Wage Audit of rules Resources Transparency Voice Satisfaction 52 57 69 64 60 72 50 54 59 54 55 54 56 61 60 58 64 53 60 54 74 68 85 84 76 92 72 71 71 68 69 76 71 69 72 77 67 53 51 52 41 60 57 62 74 69 53 53 51 51 50 48 46 54 46 52 54 68 41 55 54 63 59 61 61 54 57 56 55 51 55 52 56 58 57 57 53 57 55 59 59 60 78 63 76 69 50 58 58 65 60 67 72 64 66 63 66 68 56 55 50 17 25 32 19 0 25 30 25 13 21 18 26 25 25 16 15 31 5 13 21 13 60 75 49 55 67 25 41 64 61 56 61 53 44 59 60 58 74 78 68 73 66 66 68 71 71 64 55 41 53 46 56 47 57 47 52 54 56 53 57 54 54 49 53 54 55 63 72 77 58 60 59 51 66 64 66 34 43 36 35 28 42 63 25 44 25

WBI Governance on the Web About Governance Diagnostics and Statistical Capacity Building: http: //www. WBI Governance on the Web About Governance Diagnostics and Statistical Capacity Building: http: //www. worldbank. org/wbi/governance/capacitybuild/about. html Governance Diagnostic Surveys Country Sites: http: //www. worldbank. org/wbi/governance/capacitybuild/d-surveys. html Worldwide Governance Indicators 1996 -2002: http: //www. worldbank. org/wbi/governance/govdata 2002/index. html The Business Environment and Enterprise Performance Survey (BEEPS) 1999 -2000: http: //info. worldbank. org/governance/beeps/ The Business Environment and Enterprise Performance Survey (BEEPS II) 2002: http: //info. worldbank. org/governance/beeps 2002/ Courses and Surveys: Governance Diagnostic Capacity Building: http: //www. worldbank. org/wbi/governance/capacitybuild/courses. html Step by Step Guide to Governance Diagnostic Empirical Tools Implementation: http: //www. worldbank. org/wbi/governance/capacitybuild/diagnostics. html