Tools to Support in Local Governance

1. Tools to Support in Local Governance TRANSPARENCY UNITED NATIONS HUMAN SETTLEMENTS PROGRAMME UN-HABITAT

2. The need for transparency in local governance

3. Transparency is Everyone’s Business! A multi-stakeholder coalition to build transparency can achieve: • More equitable and effective service delivery • Increased accountability, civic engagement and strengthened citizenship • Enhanced legitimacy of local government • Improved policy design and implementation • Greater leveraging of resources from stakeholders • Increased urban investment • Reduced corruption Tools to Support Transparency in Local Governance

4. Intervention Strategies to build Transparency in Local Governance A.Assessment and Monitoring: understanding the degree of transparency in local governance; creating a base-line against which progress in improving transparency can be measured. B.Access to information: measures to improve stakeholders’ access to information. C.Ethics and integrity: tools for clarifying what is expected from professionals and elected leaders. D.Institutional reforms: including both administrative procedures and structural innovations. E.Targeting specific issues: using specific issues as an entry-point for improving transparency.

5. A. Assessment and Monitoring Tools

6. The Importance of Monitoring • To build PUBLIC accountability as well as INTERNAL accountability • To enhance EFFICIENCY, EFFECTIVENESS and RESPONSIVENESS of local government Tools to Support Transparency in Local Governance

7. Effective Monitoring through the use of Report Cards in Bangalore • Trigger:The continuing poor performance of public services in the city • Essential elements: • understanding of the socio-political context of governance • scientific execution and analysis of the survey • media and advocacy campaign to bring out the findings into the public domain • institutionalising the practice for iterative civic actions • Conducted by:A credible NGO and a reputable market research agency Case Study A Tools to Support Transparency in Local Governance

8. Effective Monitoring through the use of Report Cards in Bangalore ...[2] • Outcomes and Impact: • Clear signal to service providers about their performance • Enhanced citizens' awareness of Bangalore's public service problems • Focus on corruption and demand for greater public accountability • Benchmarking qualitative and quantitative dimensions of public services to monitor performances over time • Public feedback as a proxy for the pressure of competition in a context where customers have few choices Case Study A Tools to Support Transparency in Local Governance

9. Other Monitoring and Assessment Tools • The Municipal Checklist • The Urban Corruption Survey • The Municipal Vulnerability Assessment • Participatory Corruption Appraisal • PROOF: The Public Record of Operations and Finance Tools to Support Transparency in Local Governance

10. B. Tools to Improve Access to Information and Public Participation

11. Why Improve Access to Information? • To enhance TRANSPARENCY and PUBLIC ACCOUNTABILITY • To promote more EFFECTIVE PARTICIPATION OF STAKEHOLDERS in decision making Tools to Support Transparency in Local Governance

12. E-governance through the OPEN system - Seoul • OPEN:On-line Procedures Enhancement for civil applications • Objective: To achieve transparency in the city's administration by preventing unnecessary delays or unjust handling of civil affairs by civil servants • Essential Features: • Easy Access: citizens can monitor procedures of handling civil applications through the Internet • Transparency: Access to real-time information on the procedure of approval, document review, schedule for process ahead, etc. Case Study B Tools to Support Transparency in Local Governance

13. E-governance through the OPEN system - Seoul …[2] • Outcomes and Impact • Allows citizens to monitor applications for permits or approvals where corruption is most likely to occur and to raise questions in the event any irregularities are detected • Increases credibility and removes public distrust by offering access to information to all citizens • Improves local government performance by holding officials accountable Case Study B Tools to Support Transparency in Local Governance

14. Other Tools to Improve Access to Information and Public Participation • Public Meetings • Open Meetings Laws • Access to Information Laws • Records Management and computerisation • Media Training • Public Education Tools • Public Participation tools Tools to Support Transparency in Local Governance

15. C. Tools to Promote Ethics, Professionalism and Integrity

16. The Importance of an Ethical Ambience • Promotion of ethical behaviour can play a major role in REDUCING CORRUPTION, ENHANCING TRANSPARENCY, and IMPROVING CIVIC ENGAGEMENT • As governance involves all pillars of the society, including local government, the private sector, and the civil society, ALL STAKEHOLDERS MUST ADOPT HIGH ETHICAL STANDARDS in their operations and activities C = (M+D-A)/E Tools to Support Transparency in Local Governance

17. Ethics Guidance in Canadian Legislation • Approach:Building and managing an ethics structure turns on avoiding possibilities for conflict of interest well before the fact • Responsible Agency: The Federal Ethics Counsellor's Office, whose role is designed to provideadvice and counsel to those in government, not to act as prosecutor, judge or jury Case Study C1 Tools to Support Transparency in Local Governance

18. Ethics Guidance in Canadian Legislation …[2] • Essential features: • The office deals with potential conflicts of interest and other ethical issues for those most likely to be able to influence critical decisions in the Federal government • It handles the monitoring of the assets, incomes and liabilities of those it oversees • It is also responsible for the Lobbyists Registration Act and the Lobbyists' Code of Conduct • Impact:Public office holders recognise that citizens expect high standards of conduct and make a concerted effort way to meet those standards Case Study C1 Tools to Support Transparency in Local Governance

19. Transparent procurement through Public Hearings and Integrity Pacts in Morón • Trigger: Widespread corruption and administrative chaos, leading to an atmosphere of distrust and suspicion among the citizens • Objectives: • To promote civic participation and transparency in this procurement and contracting • To restore public confidence in the local government • Components: • A Public Hearing - the responsible authority convenes all stakeholders to express their objections and suggestions about the planned terms of the contracting • An Integrity Pact - the government and all potential bidders establish reciprocal control to prevent the payment of bribes Case Study C2 Tools to Support Transparency in Local Governance

20. Transparent procurement through Public Hearings and Integrity Pacts in Morón [2] • Essential features of the Integrity Pact: • A formal and voluntary no-bribery commitment by the bidders not to bribe or collude; full disclosure; to report any violations by other bidders • A commitment to guarantee full transparency of the documents; public disclosure of the award and the major elements of the evaluation and reasons for selecting the successful bidder; resolution of any conflict by national arbitration • A corresponding commitment by the Mayor (on behalf of all officials in his office) not to demand or accept any bribes, and to prevent the extortion and acceptance of bribes by other officials • Heavy sanctions against any official or bidder violating the non-bribery commitment Case Study C2 Tools to Support Transparency in Local Governance

21. Transparent procurement through Public Hearings and Integrity Pacts in Morón [3] • Outcomes and impact: • Savings: Value of the contract reduced by 35% • Transparency: A forum where the bidders, external experts and the interested public presented comments and objections during the decision-making process • Consensus: On critical decisions about the service and the process of the bidding • Better Service: Involvement of citizens and external experts resulted extension of the tender documents to include environmental concerns • More Control: Mechanism for losing bidders to monitor how the winning bidder addresses the terms of contract • Confidence and Empowerment: Implementation of the tool opened up a closed public institution and empowered citizens to monitor the meeting of the terms of contract Case Study C2 Tools to Support Transparency in Local Governance

22. Other Tools to Promote Ethics, Professionalism and Integrity • Conflict of Interest Laws • Disclosure of Income and Assets • Lobbyist Registration • Whistleblower Protection • Code of Ethics • Ethical Campaign Practices • Ethics Training Tools to Support Transparency in Local Governance

23. D. Tools to Increase Transparency through InstitutionalReforms

24. Why InstitutionalReforms are Essential • Much of the work of local government is reliant on complex administrative processes - it is important that these processes be made as simple and direct as possible, with limited staff discretion, in order to reduce chances of abuse • Institutional reforms targeted atimproving communication with the public can assist in building a common understanding of administrative processes - which in turn helps to build trust in local government Tools to Support Transparency in Local Governance

25. Reaching out to citizens through Municipal Front Offices in Kosovo • Trigger: Municipalities ill-prepared to take on new responsibilities; citizens dissatisfied with quality and efficiency of services/information provided by municipalities • Essential features: • Preliminary series of workshops to build a common understanding of the functions of the Front Office. • Formal group established in each municipality to work out the concept, organizational rules and the range of responsibilities of the new structure • Front Offices answer almost all questions from the citizens Case Study D Tools to Support Transparency in Local Governance

26. Reaching out to citizens through Municipal Front Offices in Kosovo ..[2] • Essential features (cont’d.): • Common and simple forms to request services • Civil servants working in Front Offices assist people to fill in forms; Citizens receive all useful information relating to service delivery in one place • Front Offices also take in complaints and ensure they are directed to the right departments • Outcomes and impact: • Improved information flow between municipalities and citizens • Improved quality of services provided to citizens • Better working conditions for civil servants - flow of citizens through municipal buildings reduced almost to zero Case Study D Tools to Support Transparency in Local Governance

27. Other Tools to Increase Transparency through InstitutionalReforms • Complaints and Ombudsman Office • One Stop Shop • Oversight Committees • Independent Audit Function • Independent Anti-Corruption Agencies • Participatory Budgeting Tools to Support Transparency in Local Governance

28. Other features of the Toolkit • The Toolkit explains, for each tool: • the purpose; • the impact on transparency; • how the tool works in practice; and • a case study to illustrate successful application of the tool • Nearly 70 Case Studies • Comprehensive Yellow Pages and References • Glossary of terms related to transparency and governance Tools to Support Transparency in Local Governance

29. Users are encouraged to add more tools, case studies, experiences and lessons atwww.unhabitat.org/governance/ We’re online! Tools to Support Transparency in Local Governance