Social AccountabilityConcepts, Tools & Strategies

1Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

A Learning & Sharing Workshop

Our Broad Objectives…

• Discuss core principles and concepts of governance and social accountability.

• Profile leading social accountability tools and approaches.

• Identify issues and challenges in implementing social accountability tools and approaches.

• Prepare action plans to be applied in planned or ongoing projects.

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Our Approach

Context

Concepts

Tools

Actions

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Our Roadmap- Day 1(August 20)

4

Morning Session

• Introductions

• Setting Objectives

• Unpacking Core Concepts

Afternoon Session

• Frameworks for Local Governance & Accountability

• Introduction to tools, processes & strategies to develop social accountability work

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Our Roadmap- Day 2(August 21)

5

Morning Session

•Review & Reflection• Technical Session #1: How to make policies and programs inclusive•Technical Session #2: How to undertake budget analysis & advocacy

Afternoon Session

• Technical Session # 2 (Contd.)• Group Work

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Our Roadmap- Day 3(August 22)

6

Morning Session

•Review & Reflection• Technical Session #3: How to track money meant for spending on public services•Technical Session # 4: How to monitor impacts and outcomes of public services

Afternoon Session

• Technical Session # 4: Continued

• Group Work

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Our Roadmap- Day 4(August23)

7

Morning Session

•Review & Reflection• Political Economy Analysis • Advocacy – Getting the politics RIGHT

Afternoon Session

•Development of Action Plans

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

8

Day 1

Session IContext Setting

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

What do we understand by democracy?

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

3 Histories of Democracy

• Assembly democracy (2500 BCE) – epicenter in Arab World (Iraq, Lebanon & Syria) and India

• Representative democracy (10th Cy, CE) – Atlantic region

• Monitory democracy (1950s & 1990S) - Global

Since 1945 more than 100 power monitoring tools have been invented – Guide-dogs, Watch-dogs and Barking-dogs.

10Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Unpacking Democracy

11

Ideals

PracticesInstitutions

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Promoting Accountable Democracies

Concepts & Frameworks

12Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

What is Governance?

• “Decision making and exercise of power and authority in which society manages its development process and resolves conflict”.

• Key Questions: What decisions are taken? Who takes these decisions? Whose interests are represented?

GIZ/Actionaid Workshop, June 15-19, 2013Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

14

Elements of Governance

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

3 Fundamental Principles

TRANSPARENCY• Information on

government programs are available, accessible and understandable for the public.

ACCOUNTABILITY• Government

representatives and institutions are responsive and answerable to the public.

PARTICIPATION• People actively

participate in decision making, directly or indirectly through groups

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

16S O C I E T A L V A L U E S

P U B L I C A W A R E N E S SM

ED

IA

CIV

IL S

OC

IET

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PRIV

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CTO

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Governance in Theory

QUALITYOFLIFE

EQUITYJUSTICE

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GU

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WAT

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EX

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JUD

ICIA

RY

GOVERNANCE

17

PRIV

ATE

S O C I E T A L V A L U E SP U B L I C A W A R E N E S S

EQU

ITY

JUSTICE

AU

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OR

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NE

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WAT

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JUD

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RYG O V E R N A N C E

CIV

IL SECTOR

SOCIETY

INTE

RN

ATIO

N

L ACTORS

ME

DIA

QUALITYOFLIFE

Governance as we experience!

Why do the Pillars of Governance Collapse?

Weak Foundation (critical awareness & values)Weak Pillars (poor quality of institutions)Heavy Roof (unrealistic or wrong expectations)

18Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

STAKEHOLDER ROLE INTEREST CONTRIBUTION EFFECT

RICE EXERCISE

Roles – What are the roles of the stakeholder in promoting good governance?

Interest – What is the primary interest of the stakeholder?

Contribution – What is the stakeholder doing to promote good governance?

Effect – What is the effect of the stakeholder’s contribution? – Effects can be positive or negative?Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

What is Accountability?

Holding DUTY BEARERS to ACCOUNT!

COMMUNITY

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

3 Principles of Accountability

Responsibility

EnforceabilityAnswerability

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Concepts of Accountability

• Horizontal Accountability

– Political mechanisms (Separation of powers, Parliamentary committees etc.)

– Fiscal mechanisms (Audit)

– Administrative mechanisms (Rules & norms)

– Legal mechanisms (Judiciary, Anti corruption agencies)

• Vertical Accountability (CSOs & Media)- Elections- Social Accountability

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

23

Diagonal A

ccounta

bility

Bad Governance Impacts Strongly on Delivery of Public Services

24

Context for Social Accountability

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Social Accountability?

• Holding institutions of the state accountable

• Draws moral imperatives from the wellsprings of democracy

• Asking the RIGHT questions

• Change is a collective expression

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Features of Public Services

Delivery of goods (water, electricity, power) or services (credit, policing, social protection) to all members of society.

Can be completely free, subsidized or fully charged

Heavily targeted towards the poor

Meant to protect fundamental rights – right to water, right to food, right to health, right to education

26Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Common Challenges

Monopoly Power – Lack of Exit Option

Lack of information on standards and norms

Issues of access, availability & quality – weak accountability

Weak accountability – poor incentives, weak sanctions & penalties

27Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

C = M+D-A-T

CORRUPTION = MONOPOLY + DISCRETION –ACCOUNTABILITY

–TRANSPARENCY

The Klitgaard Equation (Robert Klitgaard)

28Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Understanding Governance & Accountability in the context of

Public Services

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013 29

Let us start with a simple unit of governance – Household!

30Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

The Household Political Economy

31

HH

Needs

ResourcesDecisions

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

How does an household operate

1. Identifying needs - Deciding what to spend (Planning)

2. Deciding how much to spend (Budgeting)

3. Checking income & expenses (Tracking)

4. Finding out if needs have been met (Monitoring outcomes)

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

National Political Economy

33

Bhutan

Needs

ResourcesDecisions

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

This leads to questions…

1. Who decides on priorities? Whose needs are addressed? Who participates in planning & policy making?

2. How are resources allocated? Who makes these decisions? Are these decisions based on needs? How are revenues generated?

3. Is money allocated spent on the correct purposes? Are there leakages?

4. Are citizens benefitting from the services? Why do schools have no teachers? Why do hospitals have no medicines? Why are roads so bad?

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

ServiceDelivery

How needs & priorities are identified?

How resources are allocated?

How money is being spent?

What impacts and outcomes are produced?

Dr. Gopakumar Thampi. SDC/ACC Workshop.

Thimphu, August 20-23, 2013

Why things go wrong… Biased considerations influencing planning &

prioritization processes – Adhoc Policies Spending on wrong goods and people – Budget

Allocation Problem Resources fail to reach service providers or users

- Expenditure Tracking Problem Weak supervision for effective, efficient &

equitable service delivery - Problem of Monitoring/Accountability

Demand-side constraints - Problem of Participation/Awareness - VOICE

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

ServiceDelivery

AdhocPolicies

WrongAllocation

Leakages

Poor Outcomes

Dr. Gopakumar Thampi. SDC/ACC Workshop.

Thimphu, August 20-23, 2013

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

PLANNING / PRIORITY SETTING

BUDGETING EXPENDITURE TRACKING

OUTCOME MONITORING

Participatory Planning

Budget Analysis PETS Mystery Visitor

Citizen’s Jury Budget Advocacy Community Scorecard

Community Scorecard

Participatory Budgeting

Public Hearings Citizen Report Card

Public Hearings

SA DOMAINS AND TOOLS

Some Examples of Accountability Work

Strengthening people’s awareness on RIGHTS & ENTITLEMENTS and DUTIES & RESPONSIBILITIES

Making planning and decision making processes inclusive (All Voices Count!)

Analysing local budgets and advocating for need-based allocations

Tracking how money has been spent for intended objectives

Monitoring final impacts and outcomes of money spent on the lives of people.

Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013

Right to be Heard

(VOICE)

Right to Know(INFORMATI

ON)

Right to Organize

(ASSOCIATION)

Right to Participate

(NEGOTIATION)

SAc

Dr. Gopakumar Thampi. SDC/ACC Workshop.

Thimphu, August 20-23, 2013