Building OwnershipBuilding OwnershipEngaging government and civil society in diagnostic work

Francesca Recanatini, WBIDecember 3, 2003www.worldbank.org/wbi/governance

OutlineGovernance and Anti-Corruption Diagnostic Surveys Implementation

Sierra LeoneMozambique

Key components and challengesDiagnostic SurveysAction plan/strategyPolitical economy issuesLocal capacity

1. Establishment of Steering Committee

2. Diagnostic surveys + analysis

3. Draft of the NAS

4. Public dissemination + discussion

5. Revision of the NAS

6. Implementation by Government

7. Monitoring and Evaluation of NAS

Stages for Development of the National Anti-Corruption Strategy

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Key Partnership: Government + Civil Society

Country Implemented

Process – An illustration

Governance and Anticorruption (GAC) Diagnostic Project: The Case of Sierra

Leone

Sierra Leone – the processFormal request for assistance in February 2002 from President of SL to the World Bank to develop a governance strategyCreation of a Steering Committee under the Governance Reform Secretariat

ACC and GRSMediaNational Statistical AgencyNGOsDonors

Challenges

Post-conflict countryWeak institutionsWeak local capacity

To implement diagnosticTo analyze the resultsTo design policy

Sustainability

Evaluate the performance of key public institutions and their effectiveness in service deliveryDetermine the quality of public servicesDetermine the extent and impact of corruptionAnalyse the management of resources and decision making in the public sectorDetermine implications for good governance/public sector performance

Objectives of the Diagnostic Study

The Process - steps taken by SC Competitive selection of survey firm (July 2002)Finalization of survey instruments (September 2002)Definition of survey sample (September 2002; input from Statistical Agency)Pilot test of surveys (October 2002)Field work (October- January 2003)

Sample Allocation

A total of 3000 respondents originally targeted

2990 actually interviewed

PlannedPlanned ActualActualHouseholds = 1800 1800Businesses = 600 600Public Officials = 600 590

3000 2990

The process, cont.First draft Report in April 2003Final draft Report completed in September 2003Report publicly launched by the Vice-President on October 28, 2003 at a National Workshop to draft a National Governance and Anti-Corruption strategyDraft action plans designed during the National Workshop

0% 20% 40% 60% 80%

purchasing of positions (% of publicofficials reporting it is a very frequent

practice)

public funds misappropriation (% of publicofficials reporting it is very frequent)

percentage of cases in which bribes werenecessary to obtain public contracts (as

reported by public officials)

% of managers that were asked to pay abribe for requesting for licenses and permits

percentage of users that were asked to pay abribe while trying to obtain a public service

% of respondents who reported that type of corruption

Corruption in Sierra Leone(2002-2003)

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 public fund irregularities are frequent

Public funds are mismanaged (Sierra Leone)

0 10000 20000 30000

RegistrarGeneral’s

Department

Income TaxDepartment

District &MunicipalCouncils

Surveys &Lands

small scale medium scale large scale

0 10000 20000 30000

RegistrarGeneral’s

Department

Income TaxDepartment

District &MunicipalCouncils

Surveys &Lands

low income middle income high income

Amount Spent on Bribes to Obtain Services by Size of Firm(as reported by managers)

Amount Spent on Bribes to Obtain Services by Household Income

(as reported by households)

High amounts are spent on bribes

The development of a participatory governance strategy

A few images from the National Workshop on Governance and Anti-corruption, Freetown, October 28-29, 2003.

Sierra Leone, cont.Key areas identified during the Workshop for reform:

inadequate structural environment, unclear institutions and lawsineffective law enforcementweak monitoring mechanismsinadequate role of the civil society and the medianon-transparent management of public resourcesneed for capacity building

A coordinate effort in an ongoing process

Use of PETS and other diagnostic works to assess the quality of governance and institutionsGAC results as an input for the Institutional Reform and Capacity Building Project (Nov. 2003: pre-appraisal; May 2004: at the board)

Sierra Leone – next stepsTo compile a draft of the National Governance StrategyTo disseminate and review the report and the draft strategy at 4 regional Workshops by February 2004To finalize National Governance Strategy by April 2004To implement the National Governance Strategy

Challenges ahead

Delay in the implementation process and loss of momentum and political will

Upcoming local elections (May 2004)Regional instability

Manipulation of the results and the process

Governance and Anticorruption (GAC) Diagnostic Project:

The Case of Mozambique

0 10 20 30 40 50 60 70

Control of Corruption

Rule of Law

Regulatory Quality

Government Effectiveness

Political Stability

Voice and Accountability

Country's Percentile Rank (0-100)Regional Average Mozambique

2002 Mozambique Governance Indicators Compared to Regional Averages

Source: D. Kaufmann, A. Kraay, and M. Mastruzzi 2003: Governance Matters III: Governance Indicators for 1996-2002.  

Mozambique: GAC Diagnostic

In 2001, the Government of Mozambique (GoM) approved a Global Strategy for Public Sector Reform, 2001-2011 as the groundwork for its Action Plan for the Reduction of Absolute Poverty 2001-2005To oversee the implementation of the reform, the GoM established:

CIRESP = Inter-Ministerial Committee for Public Sector ReformUTRESP = Technical Unit for Public Sector Reform

SecretáriosPermanentes e

Províncias

CIRESP

DIRECTOR UTRESP

UTRESP: ESTRUTURA E ORGANIZAÇÃO

Secretariado

Assesor

Finanças

Procurement

Governação Gestão Mundança

Quick WinsMonitoria/Avaliação

Salários & Financas

Assessoria Técnica e

Apolo Financeiro

Mozambique: GAC Diagnostic

The Public Sector Reform Strategy comprises six major components:

Strengthening service delivery through decentralization and institutional restructuringPolicy formulation and monitoringPublic Sector professionalismFinancial management and accountabilityGood governance and combating corruptionManagement of the reform process itself

Mozambique, cont.

UTRESP prepared a Governance and Anticorruption Strategy in October 2001 with the implementation of a GAC Diagnostic being the core componentUTRESP is responsible for the GAC diagnostic surveys, preparing an analytical report, and disseminating the results A Technical Committee - composed of: GPR, GPM, INE, MPF, MJ, MAE, PGR, TA, TS, UEM, a public company, CTA, AR, a civil society organisation, a journalist, and a representative of the International Community – oversees the surveys

The Director of UTRESP chairs the Technical Committee The Technical Committee should:

Evaluate proposals and select the survey firm; Approve the survey questionnaires; Monitor the progress of the survey and approve the final report; Approve the approach to inform, educate and communicate the results of the survey to the public; Propose policies or measures to improve governance and reduce corruption

Mozambique, cont.

Mozambique: GAC Diagnostic

The results of the GAC diagnostics will help identify priority areas for reform and be used to revise and finalize the A-C strategy of the GoMThe GAC comprises 3 surveys of Households, Enterprises and Public Officials to evaluate the extent, mechanisms and costs of corruptionThe Technical Committee will manage the implementation of the diagnostic surveys which were launched on Nov. 27, 2003

SURVEY OBJECTIVES To learn about citizen’s concerns with respect to governance and corruption issues as well as the quality of services delivered by the public sector in Mozambique

To identify measures to help strengthen the public sector reform process

METHODOLOGY

The GAC diagnostic will be representative – 1000 Public Officials, 500 Companies, and 2500 Families; it will have the following phases:

Preparation of questionnaires based upon a model supplied by UTRESP; Pre-survey pilot testing of the questionnaires Data collection and analysis Preliminary report Discussion of the survey results in several workshops across the country Final report Recommendations of the Technical Committee

INTENDED RESULTS Empirical information to help the Government formulate policies and programmes designed to improve the delivery of government services and to reduce corruption Creation of a national database Baseline performance indicators that will provide for the periodic monitoring of change (progress, no change, or regress).The survey will be repeated biannually

DONOR SUPPORT DFID of the United Kingdom has made a firm commitment to fund the surveyOther Donors have promised additional financial support for the dissemination of the reportThe WBI has committed to proide technical assistance for the data collection and analysis Government has undertaken to provide counterpart support in the FY 2003 Budget