Global Forum V on Fighting Corruption and Safeguarding Integrity

1. Global Forum V on Fighting Corruption and Safeguarding Integrity Sub-Theme 2: Taking Stock Through Monitoring and Evaluation: The Application of Monitoring and Evaluation Tools in Combating Corruption April 2, 2007, Sandton Convention Centre , Johannesburg Andrew O. Asibey

2. M&E: A Tool for Enforcing Public Accountability • One of the key requirements for addressing government accountability to its citizens is to provide evidence on the results of its programs and initiatives • These programs are designed for the benefit of the population at large • But can a government be responsive to the needs and priorities of its citizens if the programs it initiates for their benefit are mismanaged, poorly executed or do not reach them?

3. M&E: A Tool for Enforcing Public Accountability (II) • There is enough evidence to show that well designed programs and other interventions do not often reach the intended beneficiaries • There is enough evidence to show that service providers deliberately engage in rent seeking behavior which undermines the achievements of program goals and objectives to the detriment of the beneficiary groups.

4. Application of M&E Tools in Combating Corruption • Good governance requires continuous M&E of policies, programs and services to ensure that their underlying goals, objectives and intentions are not derailed through misapplication of resources or reckless management • Application of time-tested M&E methods, tools and strategies is critical to assessing the overall effectiveness and efficiency of programs and services • Monitoring and evaluation tools specifically targeted at the micro-level can be effective in collecting information on incidence of corruption whose findings can be used to stem the problem.

5. Application of Monitoring and Evaluation Tools in Combating Corruption (II) • Macro-level surveys while useful in bringing attention to incidence of corruption, are not good enough because the findings are often based on the perceptions of a select group which may not be representative and could be fraught with personal biases • More importantly, findings from macro-level surveys may be of little use in terms of devising solutions or policies to combat the problem

6. Application of Monitoring and Evaluation Tools in Combating Corruption (III) • Micro-level surveys and other instruments if properly administered can yield findings and recommendations that could be of immediate relevance to the beneficiary of programs or services and managers of programs and/or providers of services • The most commonly used micro surveys and other instruments are: Public Expenditure Tracking Surveys (PETS) Service Delivery Surveys (DSS) Doing Business Surveys Performance Indicators

7. Public Expenditure Tracking Surveys • PETS focus on tracking the flow of public funds with emphasis on tracking the extent to which resources allocated to activities actually reach the target groups • The surveys can zero in on the manner, quantity and timing of release of resources to the units responsible for program delivery such as health and education • Properly used, PETS can provide useful evidence on “leakages”, delays and outright corruption.

8. Public Expenditure Tracking Surveys (II) Key Advantages: • It supports the pursuit of accountability and ensures that scarce public resources are used for the purpose for which they are intended • It can help to identify bureaucratic bottlenecks that often undermine effective delivery of services. A delay in the allocation of funds or outright “leakages” could mean denying a child of text books or resulting in poor outcome of a vaccination campaign

9. Public Expenditure Tracking Surveys (III) • Putting emphasis on probing frontline service providers in schools, health centers can help reveal financial misreporting • Use of multiangular or multiple sources of data encourages cross validation • PETS can identify underlying cases and reasons for misapplication of public funds through collusion, outright theft and bribery

10. Best Practice in PETS • Seminal work by Ritva Reinikka, Ablor and Svensson in the education sector in Uganda in the late 1990s revealed that on average, 13% of the annual capitation grant allocated by the central government reached the designated schools. • 87% either disappeared for private gain or was used by district officials for purposes unrelated to education

11. Best Practice in PETS (II) • A similar study in Ghana (2000) pointed to 50% leakage in non wage funds for primary education • PETS have been used in Tanzania (1999) and Zambia (2002) • Findings show that interventions or corrective measures can be targeted to specific problems

12. Utilization of Findings • Utilization of findings from PETS is central to stopping misapplication of funds and leakages. • For example, Reinikka et al report that in Uganda the Government used public campaigns through advertisement in newspapers, on radio and posting of information on school boards to alert the public about transfer of funds

13. Service Delivery Surveys (SDSS) • The SDSS is a tool whose findings can serve both managers and users of services to find a common solution to poor service delivery and corruption • As a management tool, accounting officers or managers can use findings from SDSS to implement reforms aimed at improving the quality of service provision • For service users or clients, it provides a powerful platform to exert pressure on service providers, especially when the services they receive are sub standard

14. Service Delivery Surveys (SDSS) II • The SDSS can produce “accountable data” at a relatively low cost • The initial study can provide a baseline of service coverage and subsequently surveys are done at an agreed interval or frequency to assess degree of change • The survey instrument or questionnaire can focus on use of services, levels of satisfaction, bribes paid and suggestions for change

15. Service Delivery Surveys (SDSS) III • The SDSS can be applied to the following sectors: urban transport, health services, judicial services, customs and immigration, airport services, law enforcement or policing, and agricultural extension

16. Utilization of Findings • The findings from SDSS can be used to initiate change management workshops to transform the institutional setting that breeds poor service delivery and corruption

17. Doing Business Survey (DBS) • The survey focuses essentially on the ease of doing business by tracking a set of indicators, providing a snap short of how existing policies, legislation and procedures either facilitate or undermine private sector development and economic growth • The DBS measures business regulation and the protection of property rights and their impact on businesses, especially small and medium sized enterprises or SMEs.

18. Doing Business Survey (DBS) II • The DBS tracks indicators such as the number of procedures required to start a business or to register a commercial property, time required to settle commercial disputes, time required to register a property or a company • Cumbersome procedures provide a fertile ground for rent seeking behavior • Findings from DBS could help policy makers to develop action plans with time lines to solve problems identified by the survey. Several countries in Africa are using DBS findings to improve their business investment climate

19. Performance Indicators • Performance indicators or results frameworks which identify measures of inputs, processes, outputs, outcomes and impact of development projects or programs are increasingly being used to track program delivery and effectiveness • They require a monitoring system on a systematic basis and must be supported by sound data collection strategies, including a detailed plan with indicator definition, unit of measure, sources of data, method of data collection and frequency

20. Performance Indicators (II) • Templates and reporting formats must be developed including a clear plan for dissemination of information to key stakeholders and decision-makers • Use to set performance targets and assessing progress

21. Performance Indicators (III) • Serve as an early warning system to allow corrective action • Provide an effective means to measure progress towards the achievement of objectives • Facilitate benchmarking comparisons of different organizational units or districts over time

22. The Way Forward • Legislative instruments and policies alone are not enough to reduce rent seeking • Rigorous application of M&E tools, methods and strategies can be an integral part of fighting corruption. Thank you!