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A-C, Governance and Transparency Experiences and Illustrations from around the world

A-C, Governance and Transparency Experiences and Illustrations from around the world. Presentation for the Government Ethics Training Course for Director-Generals in Local Supervisory Bureaus Daniel Kaufmann, Francesca Recanatini and The WBI Global Governance Team December 21, 2004

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A-C, Governance and Transparency Experiences and Illustrations from around the world

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  1. A-C, Governance and Transparency Experiences and Illustrations from around the world Presentation for the Government Ethics Training Course for Director-Generals in Local Supervisory Bureaus Daniel Kaufmann, Francesca Recanatini and The WBI Global Governance Team December 21, 2004 www.worldbank.org/wbi/governance

  2. 反腐败、治理与透明度世界各国的经验与例证 地方监察局局长政府道德规范培训班 讲演稿 丹尼尔·考夫曼、弗兰西丝卡·芮卡娜蒂尼 及世界银行学院全球治理小组 2004年12月21日 www.worldbank.org/wbi/governance

  3. Empirically Assessing Governance and Corruption: Key Themes • Governance can be measured, analyzed, & monitored • Measuring and Assessing Governance at 3 Levels: ‘Macro’ (or Aggregate); Mezzo; &‘Micro’ (or diagnostics) • Governance Matters for Development and Security • Lessons from differences across countries & institutions • Learning from in-depth diagnostics within a country • New Methodological Approaches based on Transparency • Some Key Findings – and Addressing Misconceptions

  4. 对治理与腐败的经验评估：主要内容 • 治理是可以衡量、分析和监测的 • 在三个层面上衡量和评估治理：“宏观”（或总量）；中观；“微观”（或诊断学) • 治理对于发展和安全都很重要 • 来自各国和各机构之间差异的启示 • 从一个国家内部的深入诊断中学习 • 基于透明度的新的方法路径 • 一些主要调研结果－及解决误解

  5. Governance: A working definition • Governance is the process and institutions by which authority in a country is exercised: (1) the process by which governments are selected, held accountable, monitored, and replaced; (2) the capacity of governments to manage resources efficiently, and to formulate, implement, and enforce sound policies and regulations; and, (3) the respect for the institutions that govern economic and social interactions among them

  6. 治理: 现行的定义 治理是国家行使权力的程序与制度: （1） 政府被选举，承担责任，监督和更迭的过程； （2） 政府有效管理资源，制定、实施与加强良好政策法规的能力；以及 （3） 对管理其中经济和社会相互作用的制度的尊重

  7. Operationalizing Governance: Unbundling its Definition into Components that can be measured, analyzed, and worked on Each of the 3 main components of Governance Definition is unbundled into 2 subcomponents: • Voice and External Accountability • Political Stability and lack of Violence&Terror • Quality Regulatory Framework • Government Effectiveness • Control of Corruption • Rule of Law We measure these six governance components…

  8. 治理的实施:将其定义分解为可衡量、分析和研究的组成部分治理的实施:将其定义分解为可衡量、分析和研究的组成部分 • 话语权及外部问责 • 政局稳定，无暴力与恐怖主义 • 高质量的法规框架 • 政府效率 • 遏制腐败 • 法治 我们衡量这六个部分…

  9. Empirical Approach to Governance • ‘Macro’: Worldwide Aggregate Governance Indicators: 200 countries, 6 components, periodic. • ‘Mezzo’: Cross-Country Surveys of Enterprises • ‘Micro’: Specialized, in-depth, in-country Governance and Institutional Capacity Diagnostics: Includes surveys of: i) user of public services (citizens); ii) firms, and iii) public officials On ‘Aggregate/Macro’ Level first…

  10. 治理研究的经验性方法 • “宏观”：世界总量治理指标：200个国家、6个组成部分，定期性； • “中观”：跨国企业调查； • “微观”：专业的、深入的、国家内部的治理和机构能力诊断：其中包括对以下对象的调查：1）公共服务的使用者（公民）；2）企业；3）政府官员。 从“总量/宏观”层面入手…

  11. Sources of Governance Data • Data on governance from 25 different sources constructed by 18 different organizations • Data sources include cross-country surveys of firms, commercial risk-rating agencies, international organizations, government agencies, think-tanks, etc.) • Over 200 proxies for various dimensions of governance • Organize these measures into six clusters corresponding to definition of governance, for four periods: 1996, 1998, 2000, and 2002, covering 199 countries

  12. 治理数据来源 • 18个不同机构建立的25种不同的治理数据来源； • 数据来源包括跨国企业研究、商业性风险评级机构、国际机构、政府机构、智库机构等； • 针对治理各个方面的200多个代理指标； • 这些衡量指标按相应的治理定义分为六组，四个时期，即1996年、1998年、2000年和2002年，覆盖199个国家。

  13. Governance can be measured – an illustrationControl of Corruption, Selected Countries(K&K, 2002) Good Control Corruption Bad Control Corruption Source for data: Kaufmann D., Kraay A., Mastruzzi M., Governance Matters III: Governance Indicators for 1996-2002, WP #3106, August 2003. Units in vertical axis are expressed in terms of standard deviations around zero. Country estimates are subject to margins of error (illustrated by thin line atop each column), implying caution in interpretation of the estimates and that no precise country rating is warranted.

  14. 治理是可衡量的 – 例证各国的腐败控制 (K&K, 2002年) 腐败控制良好 腐败控制不良 数据来源：Kaufmann D., Kraay A., Mastruzzi M., 《治理的重要性（之三）》: 1996-2002年的治理指标，WP #3106，2003年8月。竖轴的单位为零左右的标准偏差。国家估计值有一定的误差幅度（用位于各国上部的细线表示），说明对估计值的解释是谨慎的，不能保证国家排名的精确程度。

  15. Governance World Map: Rule of Law, 2002 Source for data: http://www.worldbank.org/wbi/governance/govdata2002 ; Map downloaded from : http://info.worldbank.org/governance/kkz2002/govmap.asp Colors are assigned according to the following criteria: Red, 25% or less rank worse ( bottom 10% in darker red); Orange, between 25% and 50%; Yellow, between 50% and 75%; Light Green between 75% and 90% ; Dark Green above 90%

  16. 世界治理地图：法制，2002年 数据来源: http://www.worldbank.org/wbi/governance/govdata2002 ； 地图下载自 : http://info.worldbank.org/governance/kkz2002/govmap.asp 颜色是根据以下标准确定的：红色：25%或更差（最差的10%用深红色表示）；橘黄：25%至50%之间；黄色：50%至75%之间；淡绿：75%至90%之间；深绿：90%以上。

  17. Governance World Map :Voice and Accountability, 2002 Source for data: http://www.worldbank.org/wbi/governance/govdata2002 ; Map downloaded from : http://info.worldbank.org/governance/kkz2002/govmap.asp Colors are assigned according to the following criteria: Red, 25% or less rank worse ( bottom 10% in darker red); Orange, between 25% and 50%; Yellow, between 50% and 75%; Light Green between 75% and 90% ; Dark Green above 90%

  18. 世界治理地图：话语权与问责，2002年 数据来源: http://www.worldbank.org/wbi/governance/govdata2002 ；地图下载自：http://info.worldbank.org/governance/kkz2002/govmap.asp 颜色是根据以下标准确定的：红色：25%或更差（最差的10%用深红色表示）；橘黄：25%至50%之间；黄色：50%至75%之间；淡绿：75%至90%之间；深绿：90%以上。

  19. Governance World Map :Government Effectiveness, 2002 Source for data: http://www.worldbank.org/wbi/governance/govdata2002 ; Map downloaded from : http://info.worldbank.org/governance/kkz2002/govmap.asp Colors are assigned according to the following criteria: Red, 25% or less rank worse ( bottom 10% in darker red); Orange, between 25% and 50%; Yellow, between 50% and 75%; Light Green between 75% and 90% ; Dark Green above 90%

  20. 世界治理地图：政府效率，2002年 数据来源：http://www.worldbank.org/wbi/governance/govdata2002；地图下载自：http://info.worldbank.org/governance/kkz2002/govmap.asp 颜色是根据以下标准确定的：红色：25%或更差（最差的10%用深红色表示）；橘黄：25%至50%之间；黄色：50%至75%之间；淡绿：75%至90%之间；深绿：90%以上。

  21. Per Capita Income and Infant Mortality and Corruption Regulatory Burden 12,000 90 80 10,000 70 8,000 60 50 6,000 40 4,000 30 20 2,000 10 0 0 Weak Average Good Weak Average Good Development Regulatory Burden Control of Corruption Development x x Dividend Dividend Literacy and Rule of Law Per Capita Income and Voice and Accountability 100 10000 9000 8000 75 7000 6000 50 5000 4000 3000 25 2000 1000 0 0 Weak Average Good Weak Average Strong Development Development Rule of Law x x Voice and Accountability Dividend Dividend The ‘Dividend’ of Good Governance Note : The bars depict the simple correlation between good governance and development outcomes. The line depicts the predicted value when taking into account the causality effects (“Development Dividend”) from improved governance to better development outcomes. For data and methodological details visit http://www.worldbank.org/wbi/governance.

  22. 人均收入与制度负担 幼儿死亡率与腐败 12，000 90 80 10，000 70 8，000 60 50 6，000 40 4，000 30 20 2，000 10 0 0 弱 一般 良好 弱 一般 良好 Development 制度负担 腐败控制 Development x x Dividend Dividend 受教育程度与法治 人均收入与发言权及外部责任 100 10000 9000 8000 75 7000 6000 50 5000 4000 3000 25 2000 1000 0 0 弱 一般 良好 弱 一般 良好 Development Development 法治 x x 发言权及外部责任 Dividend Dividend 良治的构成 Note : 上列图示表示良好的治理与社会发展的联系。线段表示当考虑到改善的治理与发展结果后的因果关系（“Development Dividend”） 若想了解更详细的数据与方法请登陆网页http://www。worldbank。org/wbi/governance。

  23. Control of Graft and Freedom of the Press High Control of Graft [kkz] r = .68 Low Low High Freedom of the Press (Freedom House)

  24. 腐败控制与新闻自由 高 腐败控制 [kkz] r = .68 低 低 高 新闻自由 (Freedom House)

  25. Governance Improving Worldwide? -- Mixed • On average, over the past 8 years: some progress on Voice and Democratic Accountability, but little if any on the quality of rule of law and control of corruption • However, the variation across countries is very large: For instance, some countries in Eastern Europe have improved. In each region there is significant variation across countries. Good: Chile, Costa Rica, Botswana • Important to ‘unbundle’ governance and corruption: improvement in some dimensions, deterioration in others • Where corruption is systemic, unrealistic to expect that Bank projects/lending could be totally immune

  26. 在世界范围治理得到改善了吗？-- 好坏参半 • 平均来看，过去八年中：在话语权和民主问责制方面取得了一些进步，但在法制质量和腐败控制方面则几乎没有任何进展。 • 然而，国家间存在很大差异：例如，有些东欧国家有所改善。在各地区，国与国之间存在明显差异。成效较好的国家有：智利、哥斯达黎加、博茨瓦纳。 • 重要的是把治理和腐败分开考察：有些方面有改善，有些方面恶化了。 • 在存在系统性腐败的地方，期待世行项目/贷款完全不受影响是不现实的。

  27. The ‘Mezzo’ Level of Governance Measurement • Based on cross-country surveys, mainly of enterprises – such as the EOS of the WEF, BEEPS and WBES of the WB, etc. • Thousands of firms interviewed on a range of issues; especially on governance • More detailed unbundling of governance and corruption phenomena than aggregate indicators • Relatively broad country coverage, but less than aggregate governance indicators

  28. 治理衡量的“中观”层面 • 基于对企业进行的跨国调查，主要有世界经济论坛（WEF）的企业经理意见调查（EOS）、世界银行的商业环境风险调查（BEEPS）和世界商业环境调查（WBES）等。 • 对数千个企业就一系列问题，尤其是治理问题进行调查。 • 与总量指标相比，对治理和腐败现象进行了更详细的分解。 • 在国家覆盖面方面相对广泛，但小于总量治理指标。

  29. Control of judicial bribery over time:EOS 1998–2004 Good Bad Source: EOS 1998-2004. Question: “In your industry, how commonly firms make undocumented extra payments or bribes connected to getting favorable judicial decisions? common / never occur”.

  30. 对司法贿赂的控制：企业经理意见调查：1998–2004年对司法贿赂的控制：企业经理意见调查：1998–2004年 良好 不良 资料来源：EOS 1998-2004年。问题：“在你们行业，企业为获得有利的司法判决而支付非正式额外付款或贿赂的行为有多么普遍？普遍/从未有过。”

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

  32. 部分国家的治理变量 (企业的看法，企业经理意见调查 2003年) - 认为治理水平差的企业比例 不良 良好 数据来源：EOS（企业调查），2003年。Y-轴展示了认为在各治理方面的治理水平都很差（1-3）的企业的百分比。

  33. Politics Can be Measured as WellInequality of Influence: a major governance challenge

  34. 政治也是可以衡量的：影响的不平等：一项重要的治理挑战政治也是可以衡量的：影响的不平等：一项重要的治理挑战

  35. Frequency of bribery at home and abroad, EOS 2004 Source: EOS 2004. The percentage of firms that report bribery takes place within its group in the country is depicted in each case. EOS Question on which these calculations are based: “In your industry, how commonly would you estimate that firms make undocumented extra payments or bribes connected with the following: public utilities, tax payments, awarding of public contracts? very common (1) / never occur (7)”. Any firms reporting answers 1 through 5 were considered to be reporting at least some frequency of bribery, while answers of 6 and 7 were not.

  36. 国内和国外贿赂的普遍程度，企业经理意见调查， 2004年 数据来源: EOS 2004年。以上各例表明那些认为在它们国家的自身群体中存在贿赂现象的企业的比重。这是EOS是根据以下问题计算出来的：“在你们行业中，你认为企业为公益事业、税款和公共合同授标支付非正式额外付款或贿赂的行为有多么普遍？非常普遍（1）/从未发生过（7）。”如果企业的回答位于（1）至（5）之间，表明它们认为至少存在一定程度的贿赂，而（6）和（7）之间则意味不存在贿赂。

  37. From ‘research’ to policy: in-country focus • A demand-driven process to improve governance, build local capacity and consensus among key stakeholders • Key elements: participation, transparency and analytical rigor • Outcomes: greater local capacity, new policy actors, baseline governance data, and action plan for policy reform

  38. 从“研究”到政策：国内重点 • 一个由需求推动的改善治理、提高当地能力和在利益相关者中达成共识的过程； • 关键要素：参与、透明度和严密的分析； • 结果：地方能力得到加强、新的政策参与者、基准治理数据、政策改革行动计划。

  39. Listening to Stakeholders: Analysis of Responses on Donor Aid and Anti-Corruption

  40. 倾听利益相关者的意见：对捐赠机构援助与反腐败的反馈分析倾听利益相关者的意见：对捐赠机构援助与反腐败的反馈分析 认为反腐败是捐赠机构最重要作用的反馈百分比 数据来源：世界银行学院治理网络调查，http://www.wbigf.org/hague/hague_survey.php3。建立在2,427份反馈的基础上。

  41. Key Features of Governance and Anticorruption Diagnostic Surveys • Three surveys: households, firms, and public officials • Questions can be chosen to focus on experienceand/orperceptions • Specially designed and tested closedquestions, adapted to local realities • Rigorous technical requirements in implementation • Local institutionimplements, with guidance from international experts

  42. 治理的关键特征和反腐败诊断调查 • 三种调查：居民、企业和政府官员； • 可以选择把问题重点放在经验和（或）认知上； • 根据当地实际专门设计和经过测试的封闭式问题； • 在实施中遵守严格的技术要求； • 由地方机构实施，国际专家指导。

  43. The process Challenge: poor governance and corruption 7. Monitoring and Evaluation of NAS Country Implemented 6. Implementation by Government 5. Revision of the NAS 4. Public dissemination + discussion WBI Technical Assistance Experiential data from 3 sources on quality of governance 3. Draft of the NAS 2. Diagnostic surveys + analysis 1. Establishment of Steering Committee Key Partnership: Government + Civil Society

  44. 7. NAS的监控与评估 国家实施 6. 政府实施 5. NAS的修改 从关于治理质量 的三个数据来源 中得出的经验性 数据 世界银行学院技术援助 4. 公众宣传与讨论 3. NAS的起草 2. 诊断调查 + 分析 1. 建立指导委员会 过程 挑战：不良治理与腐败 关键伙伴关系：政府 + 公民社会

  45. Type of information elicited (1) • Households • Experience on interactions with state bodies when requesting services. • Bribes solicited, where, how much and how frequently • Clarification of what people consider to be corruption, their sources of information on corruption, extent of knowledge of their rights, duties, and possible recourse

  46. 寻求的信息类型（1） • 居民 • 在要求获得服务时与政府机构交往的经历； • 索取贿赂的地点、数额和频率； • 明确人们的腐败概念，人们的腐败信息来源，人们对自身权利、责任和追索可能性的了解程度。

  47. Type of information elicited (2) • Enterprises • Experience with customs, tax, procurement, courts, inspections, licenses and permits • Illegal payments solicited, where, how frequently, how much paid • Quality of govt. services, level of red tape • Ways in which firms make their views known (e.g. through business associations) • Private sector perspectives on state initiatives

  48. 寻求的信息类型（2） • 企业 • 在海关、税务、采购、法院、检查、执照和许可证方面的经历； • 索取非法付款的地点、频率和支付数额； • 政府服务的质量，官僚主义程度； • 企业表达意见的途径（比如通过商会）； • 私营部门对国家动议的看法。

  49. Type of information elicited (3) • Public officials • How human, financial and information resources are handled • How hiring and firing decisions are made • What complaint mechanisms or public consultations exist • What types of problem and risks officials perceive as the worst affecting their organizations

  50. 寻求的信息类型（3） • 政府官员 • 处理人员、资金和信息资源的方式； • 聘用和解雇的决策方式； • 存在什么样的投诉机制或公共协商机制； • 官员们认为什么问题和风险对他们的机构具有最大的负面影响。

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