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The World Bank

PREM Public Sector Governance . The World Bank. The “Tools of the Trade”: An Overview of The World Bank’s Governance Diagnostic and Assessment Instruments. Presented to: PREM – WBI Core Course on Public Sector Governance & Anticorruption. Presented by: Francesca Recanatini

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The World Bank

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  1. PREM Public Sector Governance The World Bank The “Tools of the Trade”: An Overview of The World Bank’s Governance Diagnostic and Assessment Instruments Presented to: PREM – WBI Core Course on Public Sector Governance & Anticorruption Presented by: Francesca Recanatini Senior Economist World Bank Institute (WBIGP) www.worldbank.org/wbi/governance February 14-17, 2005

  2. 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? Objective How to choose among governance tools?

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

  4. 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 Key starting points

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

  6. BEEPS IGR Public Official surveys PETs QSDS Score Cards Investment Climate Surveys EC Audits PER CFAA CPAR GAC Case Studies HIPC Exp. Tracking ROSC Existing Empirical Tools www.worldbank.org/wbi/governance/assessing

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

  8. 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 Conceptual dimension

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

  10. 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 Conceptual dimension, cont. For more information on alternative methods www.worldbank.org/wbi/governance/assessing

  11. Methods: - Focus Group Discussions, interviews, case studies Problems: Non-representative Lack of counterfactuals, causality is unclear Small Samples Advantages Open-Ended Context, History Purely Qualitative

  12. Problems: Structured Questions “Top-Down” Reflect Biases of Researcher Advantages: Large Samples Representative Samples Clear Methods for Inferring Causality Purely Qualitative

  13. Take Best of Both Worlds - Advantages Quantitative Questions Informed by Qualitative Investigation. Hypotheses Generated by Qualitative tested for Generalizability by Quantitative. Depth supplemented by breadth –“thick” understanding with generalizability. History, Context, Process and Identifying Causal Links Participation Mixed Methods Remember!

  14. High Cost Time Consuming Large Teams – Coordination Problems Usually poorly done – more research required to understand how methods compare Mixed Methods – Problems

  15. 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 Empirical dimension

  16. Linking the Tools to the Respondents Score cards Civil Society GAC IGR PET QSDS PER CFAA CPAR Citizens BEEPS INV. CL. Government Officials Enterprises Private Sector The State

  17. 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 Process/Capacity Building dimension

  18. Broader awareness Measuring governance: possible outcomes Internet, radio Focus groups Enhanced local capacity Governance Assessment Greater consensus Workshops Policy dialogue Knowledge for policy and/or research

  19. We defined our objective We identified a tool and a method We defined the sample We specified the details of the field work We defined the process What next? Where we are

  20. The use of data to identify an issue measure a phenomenon understand a process compare experiences evaluate constraints quantify costs and benefits link effect to a cause evaluate policy choices Analytical and Policy dimension • Focus on links between governance manifestations and: • - Quality of services • - Growth • - Public sector characteristics

  21. The data has to handle with care to interpret correctly the results Key elements: Characteristics and size of sample Modus of data collection Objectiveness of the data Rigor of the approach Margin of error Significance Empirical analysis – a word of caution

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

  23. Assess the cost of each type of corruption on different groups of stakeholders Identify key determinants of good governance Develop policy recommendations Key dimensions (cont.)

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

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

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

  27. 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, cont.

  28. 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, cont.

  29. 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 Peru 2002 – Decisions taken

  30. A demand-driven process to improve governance, build local capacity and consensus Key elements: participation, transparency and analytical rigor Outcomes: greater local capacity, new policy actors, baseline governance data, and action plan for policy reform Governance and A-C diagnostic surveys

  31. 7. Monitoring and Evaluation of NAS 6. Implementation by Government 5. Revision of the NAS 4. Public dissemination + discussion WBI Technical Assistance 3. Draft of the NAS 2. Diagnostic surveys + analysis 1. Establishment of Steering Committee Key Partnership: Government + Civil Society The process Honduras CNA: report and strategy to newly elected gov (January 2001); integration of strategy in the 2002-2006 government plan Challenge: poor governance and corruption Country Implemented Guatemala Highly fragmented civil society Joint effort to build consensus and focus on rigorous approach Sierra Leone Strong commitment (civil society, state, donors) => surveys and report within a year. Results will be used for Institutional Reform Loan

  32. Bad Governance Variables for Selected Countries (View of the Firm, EOS 2003) - Percentage Firms Reporting Low Governance Good Source: EOS (firm survey), 2003. Y-axis displays percentage of firms who reported low Governance (1-3) in each governance dimension.

  33. (Various countries, 2001) Extent of corruption

  34. National and municipal agencies are ridden by different types of corruption(based on public officials' responses, a Latin American country, 2001)

  35. Bribes and Quality of Service in Public Sector (as reported by public officials in Honduras, 2001)

  36. Quality of education by district(Sierra Leone 2003)

  37. Obstacles to using courts in Zambia (as reported by households and firms) Businesses Households

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

  39. The costs of corruption(Investment Climate Survey, Guatemala, Honduras and Nicaragua, 2003) As reported by managers

  40. The costs of corruption(Investment Climate Survey, Guatemala, Honduras and Nicaragua, 2003)

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

  42. Mechanisms to participate to policy process % of households reporting to use the following channel to participate in the policy process

  43. Internal Transparency Meritocracy Quality of norms and rules “Accountability” & citizen voice Rule application and supervision Salary Satisfaction Agency Missions Politicizing Quality of services The determinants of governance – a set of new indicators

  44. Index of Quality of Rules (to manage personnel and budget resources) High Low As reported by public officials

  45. Index of Voice and Accountability High Low As reported by public officials

  46. Governance & corruption indicators by province

  47. Governance & corruption indicators by province

  48. 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/govdata2002/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/beeps2002/ 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 WBI Governance on the Web

  49. Q&A

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