NHDRPaper_ogc11_0

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Democratic Governance Indicators and UNDPHuman Development Reports

Abstract:

This paper provides an overview of national human development reports

that focus on democratic governance and that use governance indicators

to underpin analysis. The publication presents ten case studies of hu-

man development reports from different regions that focus on different

democratic governance dimensions and that adopt different methods,

tools and approaches of measuring governance. The aim in presenting

case studies is to illustrate to NHDR country teams that are preparing

governance HDRs and other practitioners the diversity of governor indi-

cator usage and data collection, as well as some of the strengths and

weaknesses of these different approaches A major recommendation in

the publication is to use the opportunity of NHDR preparation to support

the strengthening of national capacities to monitor governance indicators

on a sustainable and continual basis.

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DG INDICATORS AND UNDP NHDR’S

OGC FRAMEWORK PAPER 3 –MARCH 2010 – PAGE 2

United Nations Development Programme

Oslo Governance Centre Democratic Governance Group Bureau for Development Policy Inkognitogata 37gata 2B, Postboks 2881 Tøyen 0608 Oslo, Norway Phone +47 23 06 08 20 Fax +47 23 06 08 21 [email protected] www.undp.org/oslocentre

ACKNOWLEDGEMENTS

This paper was developed by Joachim Nahem, Governance Specialist, UNDP Oslo Governance

Centre and Alexandra Wilde. We would like to thank and acknowledge Thomas Roca, Paola

Pagliani, Tim Scott (all from Human Development Report Office) and James Chalmers (UNDP

Vietnam) for peer reviewing the paper. It was edited by Sarah Repucci.

DISCLAIMER

The views expressed in this brief are those of the authors and do not necessarily represent

those of the United Nations, including UNDP, or UN Member States.

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CONTENTS

CONTENTS ...................................................................................................................... 3

EXECUTIVE SUMMARY ....................................................................................................... 4

INTRODUCTION ............................................................................................................... 5

PHILIPPINES NHDR 2009: .............................................................................................. 9

INSTITUTIONS, POLITICS AND HUMAN DEVELOPMENT IN THE PHILIPPINES ................................ 9

URUGUAY NHDR 2008: ................................................................................................ 12

POLITICS, POLICIES AND HUMAN DEVELOPMENT ................................................................. 12

EGYPT NHDR 2008: .................................................................................................... 14

EGYPT’S SOCIAL CONTRACT: THE ROLE OF CIVIL SOCIETY .................................................... 14

GHANA NHDR 2007: ................................................................................................... 17

TOWARDS A MORE INCLUSIVE SOCIETY ............................................................................. 17

PANAMA NHDR 2007: .................................................................................................. 19

INSTITUTIONS AND HUMAN DEVELOPMENT ........................................................................ 19

KOSOVO NHDR 2004: .................................................................................................. 21

THE RISE OF THE CITIZEN: CHALLENGE AND CHOICES ............................................................ 21

BURKINA FASO NHDR 2003: ......................................................................................... 23

CORRUPTION AND HUMAN DEVELOPMENT .......................................................................... 23

THAILAND NHDR 2003: ............................................................................................... 25

COMMUNITY EMPOWERMENT AND HUMAN DEVELOPMENT ..................................................... 25

CITIZEN PARTICIPATION IN GOVERNANCE-FROM INDIVIDUALS TO CITIZENS ........................... 27

COSTA RICA NHDR 2000: ............................................................................................ 29

STATE OF THE NATION REPORT ON SUSTAINABLE HUMAN DEVELOPMENT ................................. 29

FINDINGS AND CONCLUSIONS .......................................................................................... 31

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EXECUTIVE SUMMARY

As of December 2009 there have been 649 National Human Development Reports (NHDRs)

published in 135 countries (the first one published in 1992). Democratic Governance has been

a thematic focus in an increasing number of NHDRs over the last decade.

A survey of NHDRs from 2000-2009 showed that there are approximately 63 NHDRs that focus

on democratic governance and that use nationally generated data to inform its analysis. The

most common governance themes include local governance, decentralisation, civil society and

citizenship. Research is more often based on surveys, national administrative data (e.g. public

service delivery or electoral data) and human development indicators (as proxies) to measure

democratic governance.

Of the 63 NHDRs included in the survey, ten case studies have been selected to highlight how

NHDRs make use of democratic governance indicators as well as some of the strengths and

weakness of these different approaches. These include:

1. Philippines NHDR 2009: Institutions, Politics and Human Development in the Philip-

pines

2. Uruguay NHDR 2008: Politics, Policies and Human Development

3. Egypt NHDR 2008: Egypt’s Social Contract: The Role of Civil Society

4. Ghana NHDR 2007: Towards a More Inclusive Society

5. Panama NHDR 2007: Institutions and Human Development

6. Kosovo NHDR 2004: The rise of the citizen: challenge and choices

7. Burkina Faso NHDR 2003: Corruption and Human Development

8. Thailand NHDR 2003: Community Empowerment and Human Development

9. Bulgaria NHDR 2001: Citizen Participation in Governance-From Individuals to Citizens

10. Costa Rica NHDR 2000: State of the Nation Report on Sustainable Human

Development

The case studies show the diversity of governance dimensions and phenomena that have been

measured and the different tools and methods that have been employed. The cases are pre-

sented to provide NHDR country teams and those interested in governance measurement with

inspiration and ideas on how to measure complex concepts, processes and institutions of demo-

cratic governance as well as to evaluate and choose among different measurement options,

depending on data availability, analytical and advocacy objectives, technical and financial re-

sources, time, and other constraints.

The NHDR framework, with its emphasis on policy relevance, has tremendous potential to pro-

duce governance indicators that are: poverty and gender focused, nationally owned and partici-

patory, methodologically sound and influential in terms of policy advocacy.

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INTRODUCTION

One of the biggest challenges facing most countries is to create a system of democratic gov-

ernance that promotes, supports and sustains human development -especially human develop-

ment for poor and vulnerable groups. For UNDP, human development is about expanding capa-

bilities and enlarging the choices people have in fulfilling their lives. From the evidence of a

practice established by UNDP for over a decade, democratic governance is defined as compris-

ing the mechanisms, processes and institutions that determine how power is exercised, how

decisions are made on issues of public concern, and how citizens articulate their interests, exer-

cise their legal rights, meet their obligations and mediate their differences.1 As noted in the

2002 Human Development Report “Deepening Democracy in a Fragmented World”, ppolitics

matter for human development because people everywhere want to be free to determine their

destinies, express their views and participate in the decisions that shape their lives. These ca-

pabilities are just as important for human development – for expanding people’s choices - as

being able to read or enjoy good health. 2

There is wide consensus on the importance of democratic governance to human development

and an emerging empirical foundation to support this consensus. However, while social and

economic indicators are well used and institutionalised in their collection at the global and na-

tional levels, indicators of human rights, democracy and governance are relatively immature. It

has only been in the last 10 years that there has been a body of experience and practice in de-

mocracy and governance measurement to draw on. Some of this experience is presented in

the human development reports profiled in this publication. Most of the cataloguing of demo-

cratic governance measurement has been done by the UNDP Oslo Governance Centre and has

been made available at their website:

http://www.undp.org/oslocentre/flagship/democratic_governance_assessments.html

The global Human Development Report most focused on democratic governance remains the 2002 “Deepening Democracy in a Fragmented World”3 which is devoted to an analysis of the role played by democracy and governance in a country in the process of human development and social and economic growth. The report draws on national, regional and global democracy and governance indicators from a range of sources including international organisations, NGOs, and academic research. Regional human development reports have also made a valuable con-tribution in generating new or presenting existing democratic governance indicators. For ex-ample, the 2008 Asia Pacific Human Development Report on Corruption “Tackling Corruption, Transforming Lives: Accelerating Human Development in the Asia Pacific”4 presents compre-hensive corruption indicators including (1) popular measures of corruption, (2) political econo-my conditions that could be linked to corruption, and (3) socio-economic factors. The 2004 Lat-in America regional report “Democracy in Latin America: Towards a Citizens' Democracy”5 in-cludes two detailed indexes of democratic development in the region, as well as the results of public opinion surveys of close to 20,000 people in the 18 Latin American countries surveyed for the project. The 2004 Arab Human Development Report “Towards Freedom in the Arab World”6 also makes a valuable contribution in generating new governance indicators for Arab countries drawing on surveys on the pace of political change an extensive opinion poll of five Arab coun-tries.

However, this publication is focused on national human development reports to illustrate the

use of national democratic governance indicators and to stress that the process of producing a

governance focused NHDR provides an excellent opportunity to develop governance indicators

and generate national governance data for that country when in most cases such data is lack-

ing. Furthermore, the NHDRs’ experience and capabilities of providing independent and objec-

tive analysis, statistics and other relevant data are tremendous assets for producing national

1 UNDP, Governance for Sustainable Human Development: A UNDP Policy Document (New York: UNDP, 1997). 2 http://hdr.undp.org/en/reports/global/hdr2002/ . See page 15. 3 http://hdr.undp.org/en/reports/global/hdr2002/ 4 http://hdr.undp.org/en/reports/regionalreports/asiathepacific/name,10811,en.html 5 This is technically not a regional Human Development Report although its focus and approach are similar. http://democraciaparticipativa.net/documentos/Democracy_in_Latin_America_New.pdf 6 http://hdr.undp.org/en/reports/regionalreports/arabstates/RBAS_ahdr2004_EN.pdf

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governance indicators. While many HDRs do examine the governance dimensions of human

development only a small (but increasing) proportion of NHDRs use national governance indica-

tors to support the analysis and findings.

The main aim of this publication is therefore to illustrate the various ways and means that na-

tionally specific governance indicators are produced and used to support analysis in national

human development reports and to assess some of the strengths and weaknesses of different

approaches. In most cases, this has involved specifically commissioned studies as part of the

report’s overall research in which governance information has been collected systematically

through the use of surveys, focus groups and other instruments. In this way, this publication

serves as both a reference document and an inspiration for future governance focused NHDRs.

While specifically commissioned governance research is expensive and can be costly it is a po-

tentially much richer source of information than relying on globally produced indicators such as

the Worldwide Governance Indicators7 or the Corruption Perceptions Index8 for example. This is

because nationally generated indicators are more amenable to disaggregation to highlight is-

sues at the sub-national level which is also an important focus for human development and Mil-

lennium Development Goals (MDG) data. That being said, the challenge of institutionalizing

new data initiatives, focused on democratic governance, and within the national statistical sys-

tem so that they may be sustained, is large.

As the UNDP Users’ Guide to Governance Indicators (2006) evidences,9 there is a plethora of

governance indicators that are mostly used as country-ranking instruments intended for busi-

ness investment, donor allocation, civil society advocacy or academic purposes. The majority of

global governance indicators rank countries on a single aggregate numeric scale or on a few

governance cluster scales. Although these indices simplify a complex subject into an easily un-

derstood rating, they are of very limited use to stakeholders in countries.

However, there are limitations to what can be achieved with this kind of cross-country, highly

aggregated data which cannot substitute for in-depth, country-specific governance diagnostics

as a basis for policy advice to improve governance in a particular country. Furthermore, the

most commonly used governance indicators, such as those produced by Freedom House,

Transparency International and the Worldwide Governance Indictors for example, do not pro-

vide information on how marginalised and other groups in developing countries are faring. If

democratic governance is to be a framework for human development and poverty reduction

there clearly needs to be a pro-poor and gender sensitive emphasis on the measuring tools

used for governance. That being said, there are some clear advantages to global country com-

parison governance indices especially in terms of research and advocacy

Overview of NHDRs and governance indicators case studies

The purpose of this study is to review NHDRs that have a significant focus on the use of demo-

cratic governance indicators.10 The study examines 63 NHDRs that have been produced be-

tween 2000-200911 with a democratic governance thematic focus. A summary review table of

these NHDRs is presented in Annex 1. The most prominent governance themes in the NHDRs

reviewed include: corruption, decentralisation, local governance, civil society, and citizenship

and participation in government. The main governance themes of the NHDR and the predomi-

nant measurement methodologies (i.e. the types of indicators/indexes that are used include

perception based indicators, administrative data, explanation of questionnaires, etc.) are also

identified for each case. Indicator samples are included to illustrate the analysis.

7 http://info.worldbank.org/governance/wgi/index.asp 8 http://www.transparency.org/policy_research/surveys_indices/cpi/2009 9 http://www.undp.org/oslocentre/docs07/undp_users_guide_online_version.pdf 10 This paper has not examined global or regional HDRs as these have relied on global governance indicator sources. Most notably, HDR 2002: Deepening Democracy in a Fragmented World (http://hdr.undp.org/reports/global/2002/en/) and the Arab HDR 2002: Freedom and Good Governance (http://www.rbas.undp.org/ahdr.cfm) which use several of the sources referred to in the introduction. 11 These NHDRs can be accessed from the UNDP HDR website at http://hdr.undp.org/en.

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A regional overview of the democratic governance NHDRs is presented in Annex 2. This shows

Eastern Europe and the CIS with 19 NHDRs, Africa with 17 NHDRs, Latin America and the Car-

ibbean with 10 NHDRs, the Arab States region with 9 NHDRs, and Asia-Pacific with 9 NHDRs.

Ten case studies are presented to highlight how NHDRs make use of governance indicators.

These studies include:

1. Philippines NHDR 2009: Institutions, Politics and Human Development in the Philip-

pines

2. Uruguay NHDR 2008: Politics, Policies and Human Development

3. Egypt NHDR 2008: Egypt’s Social Contract: The Role of Civil Society

4. Ghana NHDR 2007: Towards a More Inclusive Society

5. Panama NHDR 2007: Institutions and Human Development

6. Kosovo NHDR 2004: The rise of the citizen: challenge and choices

7. Burkina Faso NHDR 2003: Corruption and Human Development

8. Thailand NHDR 2003: Community Empowerment and Human Development

9. Bulgaria NHDR 2001: Citizen Participation in Governance-From Individuals to Citizens

10. Costa Rica NHDR 2000: State of the Nation Report on Sustainable Human

Development

The ten cases were selected to show the diversity of governance dimensions being measured

and the different methods and tools that have been employed to collect governance data. The

cases are analysed with particular factors in mind including in some cases whether the meas-

urement method adopted is transparent and replicable, whether the indicators are policy rele-

vant or especially innovative in that they measure the governance dimension in a new and un-

conventional way. Additionally, the analysis looks at whether the indicators used take into ac-

count sub-national issues and disaggregate across different groups in society (e.g. the

poor/non-poor, women/men etc, rural/urban etc).

The most common sources for the governance indicators used in the NHDRs include public sta-

tistics or administrative data (collected by governments) and survey data in hich samples of the

population are interviewed. Other data sources include NGOs, international organisations and

published global indices on governance (e.g. the World Bank Worldwide Governance Indicators,

Transparency International Corruption Perceptions Index etc).

Common challenges in producing and using governance indicators

Governance indicators should fulfill a certain number of criteria to be useful and usable for in-forming decision making, and should, among other things, be:

� Valid, in that they measure what they purport to measure. The aim should be to have the most direct indicator that measures exactly the attribute desired, and at the cor-rect level. In many cases, it might be necessary to use a proxy measure.

� Clear, in that those using the indicator can understand it. Is it clear to data collectors what data are needed and how to collect them? The effectiveness of governance indi-cators requires a clear idea about what will be observed and how.

� Objective, in that anyone reviewing the indicator should reach the same conclusion about progress. Every indicator will have an underlying normative assumption and care must be taken to ensure that normative assumptions are valid. For example, if the in-dicator voter turnout is used as a measure of the quality of democracy, the assumption is that a higher turnout is better however, voter turnout is highest where voting is compulsory, such as in Cuba, Iraq and Australia.

� Sensitive toward desired changes and specific groups. It is important to assess and monitor governance from the perspective of vulnerable and marginalized groups. For example, the poor might experience governance differently from the non-poor, and men might experience governance differently from women. Human Development Re-ports should be based on governance indicators that are more likely to lead to action-

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able insights and this means using disaggregated indicators by geography, and socio-economic strata, among others.

� Balanced, in that rarely will just one indicator be sufficient to measure an attribute of governance. For example, "access to justice" will require a number of indicators to as-sess and monitor whether it is improving for citizens of a country. When there exist multiple indicators for a specific attribute of governance, it is important to ensure that such indicators are balanced.

In terms of different methods and appproaches, several issues warrant highlighting:

� National capacity development. The production and collection of governance data for specific human development reports presents an important opportunity to develop lo-cal capacities in this area as opposed to relying on existing global or regional demo-cratic governance datasets. In particular, NHDR teams could collaborate with national statistical institutions or research centres to institutionalize governance indicators that could continue to after the NHDR publication.

� Mixing qualitative and quantitative data.. Many of the HDRs in the study include a qualitative assessment of governance or at least a combination of quantitative and qualitative tools to add much needed context and depth to the country picture. Quan-titative indicators provide a good snapshot but might not be as useful beyond that. However, a drawback with qualitative assessments is that they can be bulky and hard to summarize. .

� Subjective indicators. Given that often ‘hard data’ is difficult to get in measuring democracy and governance, there can be heavier use of subjective indicators. Several of the case studies presented include comprhensive opinion surveys on governance. Subjective indicators are not necessarily inferior to objective indicators, for several reasons. First, subjective measures can potentially highlight differences between what happens in laws and what happens in practice; second, the perceptions of citizens matter in their own right, and third, some governance areas such as corruption leave no "paper trail," and it is difficult to come up with alternatives to perceptions data. In the area of corruption, a key problem with subjective indicators is that there usually is a time lag with perceptions versus reform. When using survey data, especially in the case of perception surveys, they should be complemented with focus groups or in depth interviews.

� Innovative ways of integrating human development and democratic governance re-search. A future challenge for NHDR country teams is to explore additional ways and methods of integrating human development and democratic governance research at the national level. For example, use of poverty mapping is a tool that has been de-ployed in an increasing number of NHDRs to provide a spatial representation of pov-erty or human development derived from information from national census data or household surveys which is then represented geographically at various sub-national levels.12 These can be effective instruments for presenting regional disparities in hu-man development together with democratic governance both at sub-national levels and allows a comparison of poverty indicators with data on perceptions on public ser-vice delivery, corruption or confidence in state institutions for example.

12 See the NHDRs for Albania 2002 and Egypt 2008 for example.

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PHILIPPINES NHDR 2009: INSTITUTIONS, POLITICS AND HUMAN DEVELOPMENT IN THE

PHILIPPINES

DG theme(s) Sources

Political institutions

Political participation

� Administrative data from a wide range of public institu-

tions

� Worldwide Governance Indicators

� Good Governance Index produced by the Philippines Na-

tional Statistical Coordination Board (NSCB)

� Aassessments produced by the Asian Institute of Man-

agement for city level analysis.

The Philippines HDR for 2009 examines how the quality of public institutions matters in advanc-ing human development. The main hypothesis of the report is that civil service requirements, enforcement of rules and budget allocations are the main factors influencing the performance of the Department of Education. The report’s main findings are that perverse incentives in the civil service, both monetary and nonmonetary, have taken their toll on the bureaucracy, indi-cated by a stagnant or decreasing trend in quality at all levels of the corps; that better (or poorer) quality of bureaucracy is associated with better (or poorer) agency performance which is determined by civil service rules and practices and finally that the budget, on the whole, is constraining rather than enabling of government agencies. The report includes impressive analysis of the budget process as it affects the Department of Education. It notes that the budget is an important instrument for development (financing pub-lic goods and services) and for good governance (it assigns authorities and responsibilities to government units to perform budgeted tasks) and it’s a performance measurement tool in that it exacts desired results from authorized expenditures. The government’s budget cycle has four stages: preparation, legislation, execution, and accountability. Each stage presents opportuni-ties to optimize the use of government resources and exact results for development. The NHDR notes that such opportunities, however, are either not fully implemented or are passed up The influence of the budget process on the effectiveness of governance was measured along six dimensions or performance indicators: (1) accountability, (2) predictability, (3) participation, (4) transparency, (5) beneficiary reach/impact, and (6) compliance to laws. These indicators are based on factors that enhance decision-making toward desired governance outcomes.13 The budget process was tested on the degree by which decision-enhancing governance factors exist or are applied. The responses to questions were based on evidence, i.e., existence or nonexist-ence of documents that prove the validity of responses. A three-tier rating system was used: Excellent (E), Satisfactory (S), Poor (P).

Strengths:

� This NHDR includes a comprehensive analysis of the effectiveness of governance of pub-

lic institutions (the department of education in particular) for human development

through presenting usefully disaggregated and policy/reform relevant indicators.

Weaknesses:

� Dominant reliance on administrative data. It would have been useful to assess the effec-

tiveness and quality of governance of key institutions through using survey data espe-

13 The measurement was adapted, with modification, from the World Bank/Organization for Economic Co-operation and Development’s Public Expenditure and Financial Accountability (2005) and the Budget Trans-parency Index of the Center for Budget Policy and Priorities, International Budget Project.

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cially those of major stakeholders more often. For example, there is an indicator and

data on public approval for the department of education but this kind of data could be

used more.

Indicator examples

BUDGET PREPARATION

Performance In-dicators

Questions Rating Comments

Policy-based budg-eting

1. Is the budget faithful to the development plan and the fiscal plan?

2. Are projections on ex-penditure commit-ments updated annu-ally and prepared pri-or to the budget sea-son?

S P

Synchronizing planning-budgeting sys-tem is being enhanced. Expenditure projections (called forward estimates) are updated but data is un-reliable. Projections were not available on time.

Transparency

3. Are policy and pro-grams announced pri-or to the budget sea-son?

P Priority programs are announced but not in a consolidated way. They are announced during the President’s State of the Nation Address when the budget is almost already done.

Participation .

4. Are nongovernment sectors consult-ed/involved during the budget preparation?

5. Is the budget docu-ment accompanied by easy-to read briefs on the budget proposal?

P/S P

Nongovernment sectors are represent-ed in some policy making bodies (e.g., CARP, NAPC) but participation is lim-ited. There is no simplified version of the budget

Results orientation

6. Is the budget tied to clear performance targets by agencies?

7. Are updated standard costs used as basis for costing expenditures?

S P/S

The Organizational Performance Indi-cator Framework (OPIF) was initially rolled out for BY 2007. However, it is not yet fully linked to the budget. Some departments (e.g., DPWH, DOH, DepEd) use unit costs. These costs are not regularly updated.

Timeliness of budg-et submittal

8. Is the budget proposal submitted within the prescribed time?

E

Submission of the proposed budget never missed the deadline.

Beneficiary reach 9. Are responsibility as-signments followed in crafting the budget?

S

While clear assignments of expenditure based on devolution policies are ob-served, budget items include devolved functions (local road construction, agri-culture extension, subsidies to local hospitals,).

BUDGET LEGISLATION

Performance In-dicators

Questions Rating Comments

Policy-based budg-eting

1. Are congressional budg-et deliberations general-ly based on policy op-tions?

2. Is there a reasonably

sufficient time for Con-gress to debate the budget (at least three months)?

P/S E

Policy debates usually happen in the Senate. Some policy debates happen in the House, but debates are more of-ten based on parochial interests. Congress is given four months to de-bate the budget.

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Participation 3. Are nongovernment sec-tors consulted/involved during the budget prep-aration?

S A group called Alternative Budget Initi-ative (ABI) advocating for MDG fund-ing was heard by Congress and con-sulted on budget allocation. Other ad-vocacy groups prepare position papers.

Results orientation 4. Are performance targets discussed in the budget debate?

5. Were agency perfor-

mance discussed in the budget debate?

P P

The OPIF book came out after the de-bate in the House was finished. The Senate did not use OPIF in the debate. Records of Congress debate proceed-ings showed agency performance was asked intermittently but not adequate-ly.

Performance-based costing

6. Did Congress challenge the cost estimates in the budget proposals?

P Records of proceedings show costings were not asked.

Timeliness of budg-et approval

7. Is the budget approved prior to the onset of the budget year?

P The budget approval was delayed for three months; thus, the 2007 budget was partly reenacted.

Transparency 8. Was the approved budget widely dissemi-nated and explained to the public?

P Except for some news reports, the ap-proved budget and its contents were not thoroughly explained to the public. The GAA component is, however, pub-lished in the DBM website.



URUGUAY NHDR 2008: POLITICS, POLICIES AND HUMAN DEVELOPMENT14

DG theme(s) Sources

Political institutions

Political participation

� Use of regional data on democracy from different regional

studies

� Separate national studies commissioned including two

surveys of political and economic elites in Uruguay and

the other of public opinion on democratic governance.

The 2008 NHDR focuses on how politics and policies are important for human development in

Uruguay. It analyses the political institutions (Executive, Parliament and Justice System), as well

as the development-models applied in Uruguay, in order to determine their contributions to the

welfare of citizens. The main message of the report can be summarized as follows: “politics

matter to human development”. According to the study, regionally high Uruguayan performance

in human development cannot be understood without considering its political history, its poli-

cies, the institutions, the quality of democracy and the political culture which have served hu-

man development in Uruguay well.

The report is based on two primary surveys of business/political elites and a survey of the gen-

eral public. The public opinion survey used a representative sample of the 18+ year old popula-

tion in households in all locations with a population more than 3000 people. 900 interviews

were conducted with individuals over 18 years.

The NHDR includes many indicators related to different political institutions and attitudes about

those institutions. For example it examines Uruguayan public opinion to assess the manage-

ment/performance of Parliament as well as the levels of confidence in it. It also uses adminis-

trative data and records to make comparisons over time. Some example indicators include:

� How well represented do you feel by the political party you voted for?

� Do you have confidence in the parliament? What do you feel is the appropriate role of

parliament

� Number of official requests for information to the executive from parliamentary repre-

sentatives (to show that is exercising its oversight function)

� Perceptions on the independence of the judiciary (involvement of courts in political cas-

es) and confidence in getting justice (fair treatment).

� Policy/ideological orientations of Uruguayans: interest in politics and political preferences

in terms of left/right wing

� Participation and support for political parties

� Participation in voluntary social/civil groups

� Levels of public support for democracy as a form of government

� Position of women in political wife (records in terms of female representation)

� Opinions (elite and public) on position of women in political life

In addition, the report proposes prioritizing the political dimension in human development

through the construction of a political development index (PDI) that would complement the

human development index (HDI). This is measured along three dimensions: (1) the existence

and stability of democratic institutions; (2) the existence of high participation in the exercise of

political rights, elections, and (3) the existence of civic values which act as a support for the

democratic institutions. The Index takes all Latin American countries and uses regional data

14 http://hdr.undp.org/en/reports/nationalreports/latinamericathecaribbean/uruguay/name,15334,en.html (Spanish)



collected by Mainwaring (2000), Latinobarometer and International IDEA and UNDP’s Democra-

cy in Latin America report.

Strengths:

� This NHDR is extremely comprehensive and uses indicators from a range of regional and

national sources which allows extensive cross referencing and comparison for example

between the views of the public and elites and between surveys and administrative data.

� It consistently uses indicators that are cross temporal allowing comparisons over time.

� Regional indicators are supplemented with national indicators providing a compelling pic-

ture of the governance situation.

� Introduces an innovative regional index called the Political Development Index in recog-

nition of the importance of democratic governance to human development.

Weaknesses:

� Limited sub-national comparisons i.e. experience of governance within different areas of

Uruguay and amongst different populations. This information may have been collected

but is not presented in the NHDR.

Indicator examples

The Political Development Index: Components and Indicators

Components Institutions: stable democratic elec-

tion

A political community that values

and makes use of these institutions

Indicator Value in the chosen

year's electoral de-

mocracy index (IDE)

(UNDP 2007)

Number of years of

democratic institu-

tions in the past 50

years (data Main-

waring 2000 and

UNDP 2004)

Voter turnout of

the total eligible

voters in the last

10 years (from

Institute for De-

mocracy and

Electoral Assis-

tance)

Average index val-

ues of support for

democracy and sat-

isfaction with de-

mocracy Latino ba-

rometer for the cur-

rent year

Index compo-

nent

Stability Index electoral democracy (IEDE) Index measure of democracy election

(IVDE)

Index pro-

posed

Political Development Index (PDI)

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EGYPT NHDR 2008: EGYPT’S SOCIAL CONTRACT: THE ROLE OF CIVIL SOCIETY15

DG theme(s) Sources

Civil society

� Used a combination of specific surveys on CSOs as well as

application of internationally developed instruments e.g.

CSI and Arvin Framework

Egypt’s NHDR holds that to create and implement a system that delivers necessary social goods

requires new roles and responsibilities for civil society as the ‘third pillar’ of the nation, comple-

menting the state and the private sector. It states that the civil society sector has vast underuti-

lized capacity and resources that can compensate for inadequate government or private sector

capacity to fulfil social targets and programs. The NHDR argues that civil society and its organi-

zations have a significant role to play in national development, in partnership with the state and

the private sector, because of its experience in welfare and social development programs, its

representation of diverse interest groups, and its ability to provide a voice for marginalized

groups.

A variety of tools and instruments are used to assess the state of civil society in the country.

For example:

� A survey taken in 2007 by the Egypt General Federation of Associations collected infor-

mation on the number of CSOs registered by sector (health, education, human rights

etc) and function (advocacy, service delivery etc).

� The survey also included indicators on geographical distribution of NGOs and the eco-

nomic and social contributions of CSOs e.g. size of revenues and expenditures, foreign

funding and employment.

� A 2007 survey undertaken by the Arab Network for NGOs was conducted to monitor and

analyze the features of good internal governance in CSOs. Two tools were designed, the

first a forty-item questionnaire which covered the rule of law, the practice of democracy,

transparency and accountability, partnership with other actors, the extent of perfor-

mance evaluation, as well as other dimensions of good governance. The second tool

used focus group discussions to allow participants the freedom to criticize and speak

openly on sensitive issues not covered in the questionnaire.

� The NHDR also used the Arvin Framework16 (see indicator examples below) for as-

sessing the enabling environment for CSOs (focused in this case on the education sec-

tor) which focuses on CSO ability to achieve five desired outputs: (1) Association, or

freedom of citizens to associate; (2) Resource mobilization; (3) Voice, or the ability to

formulate and express voice; (4) Information, or access to official information; and (5)

Negotiation, or the existence of spaces for negotiation.

� Application of the Civil Society Index developed by CIVICUS in 2006 including indicators

across four main dimensions: (i) structure of civil society, (ii) the environment, (iii) val-

ues and (iv) impact.

� Qualitative analysis of the legal framework affecting CSOs including a comparison with

international benchmarks for CSO legislation developed in the publication the Interna-

tional Guide to Non-Profit Law (Salamon).

15 http://hdr.undp.org/en/reports/nationalreports/arabstates/egypt/name,3450,en.html (English and Arabic) 16 The Arvin Framework: A Way to Assess the Enabling Environment for Civic Engagement is an assessment tool developed by the World Bank and applied in a number of countries, including Egypt, across all regions. See http://go.worldbank.org/378AB9OH00 .



� A chapter exists, but no indicators on access to official/public information.

� There are some indicators on the media in Egypt that can be found in the NHDR back-

ground paper produced by Randa Fouad and there is reference to Egypt’s position on

the World Pres Freedom Index and the Committee to Protect Journalists ‘attacks on

journalists”.

� Indicators on mobile telephone subscribers and internet access included and sourced

http://www.itu.int/ITUD/icteye/Indicators/Indicators.aspx#

Strengths:

� Comprehensive assessment of civil society in Egypt including the application of a range

of assessment instruments including surveys and administrative data.

� Adopts an expansive definition of civil society (not just NGOs) to examine business asso-

ciations and trade union s

� Informative use of disaggregated indicators (not just national level data)

Weaknesses:

� Limited use of temporal comparison i.e. no information on comparison across time

Indicator examples

Legal and Regulatory

Framework

Political and Gov-

ernance Context

Socio-Cultural

Characteristics

Economic Conditions

Association Freedom of Association Recognition and ac-

creditation policies and

procedures

Social capital

Gender barriers

Illiteracy

Cost of legal registra-

tions and accreditations

Cost of convening meet-

ings and forums

Resources Tax systems, fund rais-

ing and procurement

regulations

Government grants,

private funds, con-

tracting, other trans-

ferences

Social philanthropy

(the culture of giving)

History of association-

al life, Self-help and

gap-filling

Size of and stresses in

the economy

Unemployment

Impact of economy on

contribution by members

Infrastructure and cost

of communications

Voice Freedom of expression.

Media and ICT related

laws

Political control of

public media.

Communication prac-

tices (use of media by

different social

groups)

Fees associated with ex-

pressing views in media

(ads vs. op-ed)

Costs to pre-

sent/publish/distribute

views (petitions, news-

letters, radio stations)

Information Freedom of information.

Rights to access public

information

Information disclosure

policies and practices.

Ability to demystify

public policy and

budgets

Information networks,

Illiteracy

the use of word of

mouth

Costs/fees for access to

information



Negotiation Legally established dia-

logue spaces (referen-

dums, lobby regulations,

public forums, etc.)

Political will. Institu-

tionalized dialogues

and social accountabil-

ity mechanisms

Social values and hier-

archies that set who

can speak on what

subject in what con-

text and when

Bargaining power

Impact of economic con-

straints on autonomy

and advocacy



GHANA NHDR 2007: TOWARDS A MORE INCLUSIVE SOCIETY17

DG theme(s) Sources

Political representation and partic-

ipation;

Citizenship;

Access to justice

Administrative records from the Ghana Electoral Commission;

Administrative records from the Parliament

The focus of the Ghana NHDR is on social exclusion. Several factors such as poverty, globaliza-

tion and certain social structures, systems and practices contribute to exclusion in Ghana. In

addition, economic, political and legal drivers also influence exclusion and contribute to its se-

verity. The report states that as a concept, social exclusion typically focuses on deprivation, a

feature that it has in common with poverty. But beyond this the concept is more about the na-

ture of relations that give rise to deprivation in broadly economic, political and social spheres.

In terms of political and legal exclusion , the report argues that it is critical to examine how in-

stitutional arrangements affect the ways in which certain individuals or groups experience lim-

ited and inequitable access to political assets, political capabilities, and political voice. In this re-

spect the report focuses on political participation indicators (for example representation of spe-

cific groups in political institutions and participation in elections) but also includes indicators re-

lated to lack of legal protections and legal (for example indicators on the cost of formal court

processes and the geographic distribution of High Courts, Circuit Courts and District Courts in Ghana).

The use of political and legal indicators focused on women is comprehensive and includes not

only representation indicators for major institutions but also their participation in important pro-

cesses such as different parliamentary select committees thereby illustrating the sex/distribution

of members across policy areas. There are also indicators on land holdings for men compared

to women in different regions. The report explores the participation of women in traditional po-

litical institutions but does not include indicators.

Strengths:

� Excellent use of comparative data to show trends and patterns in political representation

especially in terms of gender.

� Illuminating presentation of a wide range of potential indicators including indicators re-

lated to the “exclusion” of children e.g. forced child marriage, domestic violence, female

genital mutilation as well as the disabled as another vulnerable group e.g. indicators on

rate of employment for disabled compared with rate of employment for general popula-

tion). However there is limited data on these potential indicators in the report.

Weaknesses:

� In terms of the information presented on political exclusion, there is a predominant reli-

ance on official statistics and administrative data. It would have been opportune and

appropriate to also include data collection methods that provide a voice for the social-

17 http://hdr.undp.org/en/reports/nationalreports/africa/ghana/name,3458,en.html



ly/politically excluded i.e. targeted and representational surveys, focus group interviews

etc.

� Limited data on political exclusion/inclusion of other groups e.g. disabled, the poor etc or

people living in certain geographic areas.

Indicator examples

Gender Representation on Parliamentary Select Committees

Committee Total number Men% Women %

Lands & Forestry 18 17 (94) 1 (6)

Agriculture 20 15 (75) 5 (25)

Food & Cocoa 20 17 (85) 3 (15)

Local Government & Rural Development 18 17 (94) 1 (6)

Constitutional, Legal & Parliamentary Affairs 18 18 (100) 0 (0)

Health 20 17 (85) 3 (15)

Communication 20 15 (83) 3 (17)

Roads & Transport 18 17 (94) 1 (6)

Defence & Interior 18 17 (94) 1 (6)

Foreign Affairs 20 17 (85) 3 (15)

Youth, Sports & Culture 18 17 (94) 1 (6)

Education 19 18 (95) 1 (5)

Mines & Energy 18 16 (89) 2 (11)

Environment, Science & Technology 18 17 (94) 1 (6)



PANAMA NHDR 2007: INSTITUTIONS AND HUMAN DEVELOPMENT 18

DG theme(s) Sources

Perceptions of state institutions � Perception data based on a representative national sur-

vey19

� Extensive survey data disaggregated by ethnicity, age,

sex, educational levels, demography, political affiliation

etc.

The Panama 2007 NHDR presents an analysis of institutional problems focused on the role

played by formal and informal institutions in the country's human development. One aspect that

is innovative in this NHDR is that it seeks to analyze the institutional problem from the voices,

views and concerns of different groups and sectors that represent the complexity of Panamani-

an society. The report combines important survey data on the perceptions and views of citizens

with the perceptions and views of a cross section of Panamanian leaders. Common themes and

areas of concern emerged from these sources such as strong feelings of scepticism and lack of

confidence in important political institutions.

The report is based on three main sources:

1. A survey at the national level with a sample of 1200 homes in all the provinces, with

representativeness from urban and rural areas, the metropolitan region (Panama and

Columbus) and the rest of the country. The tool included 98 questions that covered per-

ceptions on the subject of Panamanian institutions. Indicators included:

� Confidence in state institutions

� Perceptions on corruption in different sectors

� Perceptions about the functioning of the rule of law in Panama

� Perceptions on citizens’ collective action

� Perceptions on types of authorities and leaders in Panama

� Perceptions on political parties and key political institutions such as the National As-

sembly in Panama

� Perceptions on the role of the state and society in national development

� Preferences on the criteria to be used for the allocation of public resources

2. A series of in-depth interviews with leading figures from politics, economics and culture

in Panama. In total 40 interviews were conducted, 16 with politicians from all political

parties, 10 with businessmen and 14 in other activities (academia, journalisms, religious

leaders and other opinion leaders). To preserve objectivity, the interview process and

analysis were conducted by international experts from other countries in the region. The

aimed to identify perceptions about the current state of Panamanian society and to clari-

fy the problems that people identified as sources of crisis in society and the country.

3. For the analysis of public institutions existing secondary studies prepared by the World

Bank, IDB, Transparency International, Office of Administration, Pact for Justice, Ministry

of Economy and Finance, Panama Strategic Development Plan 2004-2009 , among oth-

ers were reviewed.

18 http://hdr.undp.org/en/reports/nationalreports/latinamericathecaribbean/panama/name,14111,en.html (Spanish only) 19 The national survey was conducted among 1,161 respondents with a survey questionnaire developed by UNDP. The same questionnaire was distributed to 143 participants from citizen forums across 6 Bulgarian municipalities. The data from the forums was run against those of the national survey. http://www.undp.bg/user_files/en/documents/publications/nhdr/nhdr_2001/3%20english.doc



The report also draws on the Worldwide Governance Indicators for 2005 for a global compari-

son and draws on Latinobarometer for survey data on confidence in government institutions for

2006 for a regional comparison.

Strengths:

� The Panama NHDR is a hugely rich source of democratic governance indicators based

primarily on subjective indicators. One of the most heated debates among users and

producers of governance indicators is over the relative usefulness of subjective or per-

ceptions-based measures of governance versus objective or fact-based measures. Many

now agree that subjective indicators provide information when objective data may not

be relevant or available and thus should be considered complementary rather a substi-

tute to objective indicators. They are also useful in highlighting the views and opinions

of different groups in society.

� The indicators, based on the views of Panamanians, have strong policy relevance in that

they can inform a national strategy for institutional reform that is more responsive to

people.

Weaknesses:

� Limited temporal comparison for most indicators

� Limited disaggregation amongst citizen groups (for example the poor versus the non-

poor, the views of indigenous people etc).

� Limited spatial disaggregation for the country’s regions and sub-national units

Indicator examples

Citizen perceptions: Reasons to become a member of a political party Percentage

To gain personal benefits

50.2%

For a specific use

30.5%

To support its ideals

6.3%

For tradition

5.8%

In order to participate in the decision making

5.3%

Because it is an obligation

1.9%

Ӆ



KOSOVO NHDR 2004: THE RISE OF THE CITIZEN: CHALLENGE AND CHOICES20

DG theme(s) Sources

� Civil society and civic en-

gagement

� Electoral systems

� Justice and security

� Decentralization

� Municipal Human Development Survey (perception indica-

tors)21

� Social Capital Index22

� Administrative data

The Kosovo report created a separate HDR survey due to existing poor data (especially at the

municipal level), which includes several indicators relevant to governance. The report empha-

sizes the need to create a statistical baseline of indicators for Kosovo municipalities. The Social

Capital Index (based on the HDR survey) attempts to measure people’s ability (disaggregated

by municipality and ethnicity) to take part in and influence the decision-making process. The

index ranking provides policy-makers with cues as to where civic participation needs to be

strengthened. The ethnic disaggregation for most governance indicators serve to point out ex-

isting inequalities with regards to participation and public service delivery. The report includes

innovative use of governance indicators such as “Distance from Health and Education Facilities

and Likelihood of Political Activity” and “Relationship between Satisfaction and Participation”.

Strengths:

� Strong policy recommendations to increase participation and representation that flowed

from the governance indicator findings

� Strong spatial and demographic disaggregation (data for all municipalities)

� Strong focus on the need for more national and sub-national statistics (e.g. capacity

building of NSO and housing census to include governance data)

Weaknesses:

� Limited temporal comparison for most indicators

� Limited focus on accountability, transparency and rule of law indicators

Indicator examples

Forms of civic participation % of population: Social Capital Index

� Took part in trade union activities (3.8%)

� Took part in public discussion (6.7%)

� Took part in citizen initiative (6.4%)

� Signed petition (6.1%)

� Participated in public protest (21.8%)

Trends in Satisfaction with Institutions in Kosovo

20 http://www.kosovo.undp.org/hdr-new/index.html 21 6,000 households across all 30 municipalities 22 The Social Capital Index is calculated from the Human Development Survey.

绀Г



UNMIK SRSG Government Assembly KFOR

Nov 2002 63.8 73.1 74.1 76.7 87.8

March 2003 51.9 64.1 74.9 71.9 85.5

July 2003 43.1 71.4 78.1 74.7 81.4

Nov 2003 28.4 43.1 68.5 65.3 77.6

March 2004 24.9 32.4 73.9 64.3 83.0

Distance from Health and Education Facilities and Likelihood of Political Activity

Distance to nearest basic health and educa-

tional facilities

Member of household in local government or-

political party (%)

Less than 1 km 52

From 1 to 3 km 35

From 3 to 5 km 9

From 5 to 10 km 3

Over 10 km 1.2

Г



BURKINA FASO NHDR 2003: CORRUPTION AND HUMAN DEVELOPMENT23

DG theme(s) Sources

� Anti-corruption

� Public administration

� Corruption questionnaire including perception surveys

across seven target groups:

� General public)24

� Economic actors

� Public administration experts

� Private sector experts

� Public institutions

� Opinion leaders

� Other experts

The Burkina Faso report’s use of national perception data for corruption is groundbreaking. The

NHDRs (and HDRs) that have dealt with corruption rely on global indicators such as the Corrup-

tion Perception Index25. The national indicators allow for disaggregation and provide policy

makers with information on where corruption is most prevalent (the global indicators simply

provide a ranking based on business perception for the entire country).

For a government committed to combat corruption there are clear policy implications from this

type of national survey. The surveys are important because they go beyond economic corrup-

tion and address corruption from other human development aspects such as health, education

and governance. Ideally, the surveys would be conducted regularly to allow for time series

analysis and methodological improvements such as expanding the sample and correcting the

urban and male bias of survey respondents. The innovation and novelty of the survey, however,

outweigh the methodological shortcomings of the report.

Strengths:

� First NHDR on corruption to use national surveys as a measurement tool

� Governance indicators in the report have clear policy implications (in-depth analysis

based partly on indicator findings)

� Allows for some disaggregation

Weaknesses:

• Does not allow for temporal comparison and limited spatial disaggregation

• Methodological concerns with using expert groups e.g. urban and male bias

• Survey is not nationally representative

Indicator examples

Survey data on corruption in various sectors - % of respondents answering ‘very corrupt’

23 http://www.pnud.bf/RAPDH2003.htm 24 The general public survey is based on households of 5 villages and 10 cities. The survey does not purport to be nationally representative. 25 http://www.icgg.org/corruption.cpi_2004.html

Г



Police 58%

Customs 78%

Justice 52%

Local administration/Mayor’s office 46%

Health 21%

Education 21%

Media 13%

Knowledge of government agencies tasked to combat corruption - % of respondents not famil-iar with the agency

Inspector general of finance 74%

Coordination office for combating poverty 74%

Inspector general 86%

Court on account auditing 74%

National committee on ethics 72%

High commissioner on anti-corruption 62%

Г



THAILAND NHDR 2003: COMMUNITY EMPOWERMENT AND HUMAN DEVELOPMENT26

DG theme(s) Sources

� Decentralization and local

governance

� Public administration reform

� Civil society and participation

� Access to information

Human Achievement Index (HAI) uses mostly HDI indicators

with some additional governance indicators such as a Partici-

pation Index, a Family and Community Life Index and a

Transportation and Communication Index27

The Thailand NHDR is a good example of how governance indicators can be adapted to fit the

national and sub-national context. The Human Achievement Index (HAI) expands the human

development framework by adding governance data such as political participation and public

service-delivery indicators. The proposed studies on “Community-level Well-being Indicators”

and “Happiness Indicators” are very interesting with regard to making cultural-specific govern-

ance indicators. Although there is no data available for these indexes they illustrate how meas-

urement tools intended for policy-making need to take national and regional culture into con-

sideration. The high level of participation and ownership of the report is also reflected in the

strong geographical disaggregation of the indicators (data available for all provinces). The rank-

ing of provinces (top five and bottom five) is a useful tool to highlight geographical inequalities

in, for example, service delivery of public goods. The ranking is also an effective tool to elicit

debate regarding decentralization and local governance.

Strengths:

• Innovative use of human development and governance indicators

• Strong policy relevance: the inter-province ranking can guide decision-makers to priori-

ty-attention areas

• Good spatial disaggregation: data available for all provinces and regions

Weaknesses:

• No data collected for Community-level well-being Indicators and the Happiness indica-

tors.

• Several methodological questions/concerns on how to develop such indicators

• No qualitative indicators

Indicator examples28

Housing and living conditions index: Top 5 and Bottom 5 provinces

26 http://hdr.undp.org/reports/view_reports.cfm?year=2003&country=C234&region=0&type=0&theme=0 27 The HDI methodology used in HDRs is also applied to the HAI. The additional HAI components are la-belled governance indicators as they go beyond the standard HDI. 28 The data for these indicator samples can be found in the NHDR Annex (http://www.undp.or.th/publications/NHDR03/7-Data_Tables.pdf)



� Houses with permanent materials (%)

� Urban Households in slum (%)

� Households with refrigerator (%)

� Households with cooking gas or electric stove (%)

Transportation and communication Index: Top 5 and Bottom 5 provinces

� Villages with convenient access to nearest district (%)

� Population per telephone (persons)

� Population with access to internet (%)

Participation Index

� Political participation: Voter turnout (%)

� Civil society participation:

� Community groups (per 100,000)

� Households participate in local groups (%)

� Households participate in social service (%)

Other governance indicators of interest:

� Violent crimes reported by province (per 100,000)

� Drug-related arrests (per 100,000)

� Working children aged 15-17 by province (%)

� Households with debt by province (%)

� Social security by province (%)

葰ψ



BULGARIA NHDR 2001: CITIZEN PARTICIPATION IN GOVERNANCE-FROM INDIVIDUALS

TO CITIZENS29

DG theme(s) Sources

� Participation (civic and politi-

cal participation)

� Civil society

� Perception data based on a representative national sur-

vey30

� Survey data run against citizen forums’ responses to same

questionnaire

� 88 indicator questions along disaggregated matrix: ethnic-

ity, age, sex, educational levels, demography, political af-

filiation etc.

The Bulgaria NHDR 2001 demonstrates how democratic governance indicators can be helpful to

address policy issues through a human development and democratic governance framework.

This report is one of the NHDRs that uses governance indicators (at least perception indicators)

most comprehensively.

The disaggregation and innovative indicator questions allow for in-depth findings and analysis.

The emphasis on participation and empowerment is backed up by statistical evidence to high-

light to what degree citizens feel they are able to participate and influence public policy. The

policy recommendations in the NHDR are based on governance indicators that represent na-

tional opinion (disaggregated by ethnicity, social-econ status, political affiliation etc.) rather

than international/national experts.

The high level of disaggregation also allows policy-makers and other stakeholders to determine

what areas (both issues and geographically) deserve priority attention. The strength of this re-

port, however, depends on the follow-up of surveys and further data collection, which would

enable monitoring progress/regress in the various areas.

Strengths:

� Indicator questions address wide spectre of governance issues

� Broad participation (national survey and focus groups using same questionnaire)

� Strong demographic and geographic disaggregation

� Questions are specific to regional/national and sub-national context

� Survey is nationally representative

Weaknesses:

� Does not allow for comparison across time (one-off survey)

� Lack of non-perception governance indicators

29 http://www.undp.bg/en/publications.php?content=yes&ID=35 30 The national survey was conducted among 1,161 respondents with a survey questionnaire developed by UNDP. The same questionnaire was distributed to 143 participants from citizen forums across 6 Bulgarian municipalities. The data from the forums was run against those of the national survey. http://www.undp.bg/user_files/en/documents/publications/nhdr/nhdr_2001/3%20english.doc

淀К



Indicator examples

Ways to influence the Municipality and the Government [Average values according to a 1-3 scale]

Municipality Government

A representative survey 2.23 2.29

To provide the possibility for a certain minimum of people (for in-

stance, 7000) to submit a draft law to the National Assembly

2.14 2.26

Referendum 2.48 2.61

Protests 2.03 2.02

Elections 2.55 2.62

Public meetings 2.23 2.18

To present my opinion personally 1.86 1.76

Act trough an NGO 2.34 1.80

淀К



COSTA RICA NHDR 2000: STATE OF THE NATION REPORT ON SUSTAINABLE HUMAN

DEVELOPMENT31

DG theme(s) Sources

� Electoral system

� Public administration

� Decentralisation

� Political institutions

� Participatory method using limited but targeted surveying

and administrative data.

The Costa Rica NHDR 2001 is the sixth in an annual series of such reports assessing and in-

forming citizen views on the country’s development. It addresses social, economic, environmen-

tal and political development, providing specific indicators at the national and local levels. An

extensive statistical compendium compiled from 32 official sources includes some limited data

disaggregated by sex or region. The basic conclusion of the report is that Costa Rica is a coun-

try with many accomplishments, but that there is concern that such standards might not be up-

held in the future.

The report’s methodology emphasizes ownership and legitimacy through participatory process-

es, including focus groups to determine themes, a consultative council comprised of prominent

and informed individuals including government, and consultative workshops with academics and

civil society. Thus the content of the report is largely shaped by its potential users. The fact that

it appears annually allows for detailed updates and specific monitoring.

A key aspect of human development in Costa Rica is the strengthening of democracy. The re-

port notes clear advances in political management, especially in terms of realizing infrastructure

investment and employment security, but it says that efforts have failed to meet citizen de-

mands for better governance as reflected in indicators on trust in electoral processes and in

elected officials. Qualitative information on democracy and good governance is informed by a

Citizens’ Audit on the Quality of Democracy as well as various data from governmental account-

ability bodies and some external sources. The Citizens’ Audit in particular is an extensive and

disaggregated survey of public and official views on a range of topics such as participation, po-

litical representation, accountability, etc.

Strengths:

� Emphasis on participatory method for topical focus, data collection and review give re-

port strong policy relevance and local ownership.

� Regional disaggregation provides a more complete governance picture and allows for

targeted reforms.

Weaknesses:

� Results from Citizens’ Audit on the Quality of Democracy are not tabulated.

� Data are not disaggregated among citizen groups (e.g. the poor or other underprivi-

leged groups).

� Limited disaggregation by gender.

31 http://www.estadonacion.or.cr/Info2000/nacion6/indice.html

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Indicator examples

Perception of the leadership of President Rodriguez

Opinions September

1998

January

1999

May 1999 September

1999

January

2000

Good, very

good

37.3 21.1 29.6 26.6 30.8

Normal 38.0 40.5 33.8 42.0 40.6

Poor. very

poor

20.4 34.7 34.6 29.4 27.3

Differential* 16.9 -13.6 -5.0 -8.3 3.5

Differential = good. very good opinions minus poor. very poor opinion

淀К



FINDINGS AND CONCLUSIONS

The case studies illustrate both strong and weak governance indicator use. The most recurring issues in the case studies include the balance of administrative data and survey data, the im-portance of spatial and demographic disaggregation for policy relevance and the use (or lack) of comparative time data to show trends (which is not so common given that NHDR theme changes every year). At the heart of most of these concerns are data collection challenges.

The disaggregated data challenge is probably the most critical for NHDRs. Disaggregated data is important for two principal reasons: 1) To make information "actionable" and 2) to identify vulnerable and marginalized groups. “Actionability” implies greater clarity on the steps that governments can take to improve performance. An actionable indicator is one in which data al-low disaggregation to pinpoint bottlenecks and inefficiencies within the public administration and wider systems of accountability. In addition, data should be able to correctly attribute change to policy initiatives and tell to what extent observed changes are the results of govern-ment actions or caused by external factors. Yet as Daniel Kaufmann cautions, an excessively narrow emphasis on "actionable" indicators detailing specific policy interventions immediately under the control of governments can divert attention from equally-important discussions of which of the indicators are "action-worthy" in the sense of significantly impacting on outcomes of interest.32

Identification of vulnerable groups requires data that can be disaggregated by income, gender and other markers such as region, age, ethnicity, religion, sexual orientation, disability and so on, depending on the scope, country context and objective of the assessment. This may require surveys with sample sizes large enough to allow extensive disaggregation of the results or indi-vidualized questionnaires targeted toward vulnerable groups. Qualitative research techniques such as focus groups, consultations and interviews may offer insights for formulating question-naires and interpreting results, as well as more in-depth information about social groups.

Both “actionability” and a focus on vulnerable groups, means governance indicators need to be country contextualized (global datasets will not be sufficient) and the need to secure primary data produced within countries.

There are two global governance indices that are referred to often in NHDRs and these are the Worldwide Governance Indicators33 and the Corruption Perceptions Index34. These can be helpful for comparing countries but do not provide the country specific disaggregated infor-mation that human development reports have come to be known for. What is needed therefore, is an investment in national data collection efforts to conduct surveys and help improve the col-lation of governance related administrative data and statistics. Furthermore, there is an im-portant and underutilised opportunity in the preparation of governance focused NHDRs to sup-port projects that assist national institutions’ regular monitoring of democratic governance indi-cators.isaggregated data is important for two principal reasons: 1) To make in-formation "actionable" and 2) to identify vulnerable and marginalized groups.

· Actionability implies greater clarity on the steps that governments can

take to improve their scores on an indicator. The trend toward more actionable

indicators can be seen both at global and national levels, which emphasizes the

demand for better national-level data also from global indicator producers. An

actionable indicator is one in which data allow disaggregation to pinpoint bot-

tlenecks and inefficiencies within the public administration and wider systems

of accountability. In addition, data should be able to correctly attribute change

to policy initiatives and tell to what extent observed changes are the results of

government actions or caused by external factors.

· Identification of vulnerable groups requires data that can be disaggre-

32 See “Governance Indicators: Where Are We, Where Should We Be Going?” Daniel Kaufmann and Aart Kraay. The World Bank October 2007. http://info.worldbank.org/governance/wgi/pdf/GovernanceIndicatorsSurvey.pdf 33 http://info.worldbank.org/governance/wgi/index.asp 34 http://www.transparency.org/policy_research/surveys_indices/cpi/2009

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gated by income, gender and other markers such as region, age, ethnicity, re-

ligion, sexual orientation, disability and so on, depending on the scope, country

context and objective of the assessment. This requires household surveys with

sample sizes large enough to allow extensive disaggregation of the results. It

also may require individualized questionnaires targeted toward vulnerable

groups, such as a women's questionnaire. Qualitative research techniques such

as focus groups, consultations and interviews may offer insights for formulating

questionnaires and interpreting results, as well as more in-depth information about social groups.

33

Annex 1: Overview of NHDRs and description of governance indicators used (2000-2009)

Country/Title Year Governance Theme Relevant Chapter Description of indicators and data sources

Burundi: Bonne gouver-nance et developpement durable

2009 Electoral system. political insti-tutions. participation

� No specific governance indicators in summary report; full report not yet publicly available.

Chile: La Manera de hacer las Cosas

2009 Good governance in general All chapters. especially Part 6: ¿Que aprendimos de las practicas?

� Human Development Survey of public opinion was carried out as part of the report � Qualitative information was gathered from focus groups and interviews with workers

Nepal: State Transfor-mation and Human Devel-opment

2009 Political parties. electoral sys-tem

Chapter 4: Political Inclusion and Human Devel-opment

� Representation of caste/ethnic groups and gender in the FPTP electoral system of the Constitu-ent Assembly (CA)

� Number of seats of political parties in CA election

� Representation of different caste/ethnic groups and gender in the house of representatives

� Representation of caste and ethnicity in different sectors of society

� Representation of caste and ethnicity in state organs

� Participation of caste and ethnic groups in the leadership positions of judiciary. executive. legis-lature and constitutional bodies

� Participation of caste and ethnic groups in the central level committee/bureau

� Participation of caste and ethnic groups in the leadership positions of civil society organizations

� Quotas for excluded caste and ethnic groups and region in the Constituent Assembly

� Women’s representation in the CA

� Women’s representation in local government

� Women’s representation in civil service by class and level

Philippines: Institutions. Politics and Human Devel-opment in the Philippines

2009 The quality of governance in-stitutions for improving human development focusing on pub-lic sector reforms. budget pro-cess. and accountability mech-anisms in government.

Chapter 1: Institutions. politics and human de-velopment

� The National Statistical Coordination Board (NSCB has constructed a Good Governance Index at the provincial level based on administrative data. The index is an aggregate of many measures. including per capita spending on social services. crime solution rate. and per capita revenue index. The Asian Institute of Management (AIM). in its City Competitiveness Program. has also generated what may be considered measures of governance quality at the city level.

� These measures are based on scores given by “experts.” Among these measures are: need for bribes to secure business permits in local government offices; honesty and transparency of lo-cal government; conduciveness of regulatory environment for business; simplicity and efficien-cy of securing a business permit; local government has online services

� The influence of the budget process on the effectiveness of governance was measured along six dimensions or performance indicators: accountability. predictability. participation. transpar-ency. beneficiary reach/impact. and compliance to laws

Uruguay: Politics. Policies and Human Development

2008 Political institutions; political participation

Part 1: Democracy and human development in Uruguay. Part 3: The political institutions and human development. political culture and quality of democracy in Uruguay:

� Use of regional data on democracy from different regional studies

� Separate national studies commissioned which have generated data including two surveys: 1. of political and economic elites in Uruguay and the other of public opinion on democratic gov-ernance in Uruguay.

Lebanon: Toward a Citi-zen's State

2008 Citizenship Chapter 3: Political Citizenship and the Sectarian State; Chapter 5: Culture and the Question of Citizenship; Chapter 6 : Toward a Citizen's State

� Use of citizen surveys through a series of polls conducted by the Lebanese Opinion Poll Com-mittee www.lebaneseopinion.org on attitudes towards democracy and governance focused on political systems (e.g. attitudes towards multi party vs. one party systems. power sharing ar-rangements in terms of sectarianism vs. national unity. and views on the place of religion in politics and the separation of religion and state)

� Also administrative data such as data collected by government relating to NGO registration in-cluding sectarian affiliation. geographic distribution and provision of services.

� A project “101 Stories to Tell“ that recorded citizenship initiatives in public life.

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� Indicators on honor crimes: this study is based on a sample of 66 cases of women murdered by a relative or an associate in the 6 mohafazat of Lebanon. While not entirely representative they give an indication of the general trends in honor crimes in the country

� Civil and political indicators came from two distinct sources: the NHDR survey on education and citizenship that covered 3111 9th grade students in 113 private and public schools in the 6 Mo-hafazat of Lebanon. and studies and opinion polls on identity and belonging issues. undertaken by reputable private institutions. These highlight the paradoxes of difference and belonging in a multi-cultural and multi-religious setting as the one in Lebanon and their impact on civic values and behavior

� A NHDR/Ministry of Education survey on education and citizenship that assessed the concepts. knowledge. attitudes. and actions of ninth grade students on citizenship and democracy includ-ing 3.111 students in 113 public and private schools. It also included questionnaires for school principals and civic education teachers. Indicators included:

− Expectations of Future Political Participation

− Culture of Law

− Trust in Institutions

− Public roles of women

Egypt: Egypt’s Social Con-tract: The Role of Civil So-ciety

2008 Civil society

Chapter 3: A Mapping of Civil Society in Egypt; Chapter 4: Civil Society in Egypt: External and Internal Obstacles; and Chapter 11: The Role of Information. Communication and the Media

� General Federation of Associations (GFA) Survey taken in 2007 which collected information on number of CSOs registered by sector (health. education. human rights etc) and function (advo-cacy. service delivery etc). Also indicators on geographical distribution of NGO and the econom-ic and social contributions of CSOs e.g. size of revenues and expenditures. foreign funding and employment. :

� A 2007 survey undertaken by the Arab Network for NGOs was conducted on behalf of the EHDR 2008 to monitor and analyze the features of good internal governance in civil society or-ganizations. Two tools were designed. the first a forty-item questionnaire which covered the rule of law. the practice of democracy. transparency and accountability. partnership with other actors. the extent of performance evaluation. as well as other dimensions of good governance. The second tool used focus group discussions to allow participants the freedom to criticize and speak openly on sensitive issues not covered in the questionnaire.

� Application of the Arvin Framework for assessing the enabling environment for CSOs (in this case the education sector) which focuses on CSO ability to achieve five desired outputs: (1) As-sociation – or freedom of citizens to associate; (2) Resource mobilization; (3) Voice – or ability to formulate and express voice; (4) Information – or access to official information; and (5) Ne-gotiation – or the existence of spaces for negotiation.

� Application of the Civil Society Index developed by CIVICUS in 2006 including indicators across four main dimension: structure of civil society. the environment. values and impact.

� Qualitative analysis of the legal framework affecting CSOs including a comparison with interna-tional benchmarks for CSO legislation developed in the publication the International Guide to Non-Profit Law (Salamon).

� A chapter exists. but no indicators on access to official/public information.

� There are some indicators on the media in Egypt that can be found in the NHDR background paper produced by Randa Fouad and reference to Egypt’s position on the World Pres Freedom Index and the Committee to Protect Journalists ‘attacks on journalists”.

� Indicators on mobile telephone subscribers and internet access included and sourced http://www.itu.int/ITUD/icteye/Indicators/Indicators.aspx#

Chile: Institutional Re-forms and Subjective Per-ceptions

2008 Citizen satisfaction of govern-ance in rural Chile

All chapters � Opinion polls dealing with subjective perceptions of life’s opportunities and satisfaction in Chile. comparing the results of similar surveys from 1999 and 2008 to identify trends and analyse how Chile has changed in the last ten years.

� Other elements to measure the status of human development in the country include indicators

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regarding the performance of public institutions. the private sector and the daily life (such as domestic violence).

� Methods included six focus groups with people in rural locations. on various themes and con-texts related to the subject and the environment of rural life.

� Along with this an opinion poll was conducted of rural elites. From the view of a panel of ex-perts identified a structural sample of 240 cases of members of local elites and provincial of ru-ral areas of the country.

Benin: Social Responsibil-ity. Corruption and Sus-tainable Human Develop-ment

2008 Corruption Chapter 3: Companies: Between Corruption and Social Responsibility

� Presents data from Transparency International’s Corruption Perceptions Index.

� Presents a range of indicators from national survey tools including indicators on:

− Incidence of corruption by government department (as claimed by respondents in a sur-vey)

− Incidence of corruption on the level of the companies (frequency of the bribes offered) − Incidence of corruption according to the legal form of the companies − Incidence of corruption according to the turnover of the companies − Incidence of corruption according to the educational level of the head of the company − Survey of non-Benin companies on perceptions of corruption in Benin − Number of companies that state they have a policy against corruption − Perceptions of non-Benin companies on whether government has taken appropriate

measures against corruption

Sierra Leone: Empower-ing Local Government For Sustainable Human Devel-opment And Poverty Re-duction

2007 Empowering local government Chapter 4: Status of Socio-Economic Indicators; Chapter 6: Decentralization in Sierra Leone

� Good descriptions for conditions for successful decentralization including policy and legislative environment but no indicators or data for Sierra Leone on this.

� Qualitative examination of the decentralization/devolution of power to different local govern-ment institutions and their capacities by sector (education and sector) but no comprehensive indicators on this.

� Provided indicators on the participation of women in politics i.e. seats in parliament and women in government at ministerial level.

Panama: Institutions and Human Development

2007 Perceptions of state institutions Chapter 3: Institutional Change in Panama

� A national representative survey with indicators on:

− Confidence in state institutions − Perceptions on corruption in different sectors − Perceptions about the functioning of the rules in Panama − Perceptions on citizens’ collective action − Perceptions on types of authorities and leaders in Panama − Perceptions on political parties and key political institutions such as the National Assem-

bly in Panama − Perceptions on the role of the state and society in national development

− Preferences on the criteria to be used for the allocation of public resources

Ghana: Towards a More Inclusive Society

2007 Political representation and participation; citizenship; ac-cess to justice

Chapter 5: Social Exclusion: The Political and Legal Dimension

� Data on women’s seats in parliament and district level assembly as a measure for women’s po-litical participation (compares data between 2000 and 2004)

� Data on number and percentage of women candidates and proportion elected (across different regions of Ghana)

� Data on gender representation in parliamentary select committees

� Data on gender representation in membership on public boards

� Data on gender representation in senior positions in central ministries

� Data on distribution of High Courts. Circuit Courts and District Courts in Ghana by Region for 2005

� Data on distribution of Juvenile Courts by Region for 2006

Bolivia: State of the State 2007 Government effectiveness All chapters � Public data from the monthly surveys on the current situation and perspectives of the Bolivian public opinion on key policy issues.

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� National survey (rural and urban areas) of 2000 people as well as more in-depth interviews of around 800 people.

� Data from a national urban survey conducted by the staff of the Human Development Report of UNDP and International IDEA. This survey aimed to analyze the perceptions. attitudes and val-ues of the Bolivian population on the existing constitutional order and its principles and on the main institutions that ensure compliance and to guide discussions and work reform proposals in the Constituent Assembly.

Peru: Towards a Decen-tralization with Citizenship

2006 Decentralization Chapter 5: Voices of the citizens in the regions � Limited indicators even with extensive narrative on citizenship and local government.

� Includes indicators on revenues and expenditures by government department and costs exe-cuted per capita by government levels. according to department

� Sources and distribution of royalties and other transferable resources

Kenya: Human Security and Human Development: A Deliberate Choice

2006 Political security i.e. basic hu-man rights and freedoms: trust in the Government; Govern-ment capacity involvement; Involvement in politics; Per-ceptions of corruption.

Chapter 3: Initiatives in response to Human Se-curity

� No national governance data on political security presented in the report

Guinea Bissau: Political reform for the MDGs

2006 Quality of governance Chapter 3: Reasons for Poor Human Develop-ment in Guinea-Bissau

� Uses Worldwide Governance Indicators for Guinea-Bissau comparing data for 2000 with 2004

Congo: Governance. Co-hesion and Social Devel-opment

2006 Good governance including corruption

Chapter 3: Characteristics of Governance in Congo

� Worldwide Governance Indicators for Congo for 2005

� Transparency International’s Corruption Perceptions Index for Congo for 2005

� Specific study on corruption commissioned by the Anti Corruption authority which included sur-veys capturing citizens’ perceptions on:

− The sectors of activity most touched by corruption e.g. customs the taxes the police force. the courts. school system employees etc and perceptions on those institutions that are viewed as least affected

− Perceptions on who is personally gaining from corruption e.g. agents using their office for personal gain

− Perceptions on causes of corruption

� Indicators related to the governance of private and public companies including staff turnover in larger state enterprises

Serbia: The strength of diversity

2005 Underrepresented groups All chapters. � Several locally implemented surveys of sociocultural information. especially the Standard of Living survey by the statistical office

Uzbekistan: Decentralisa-tion and Human Develop-ment

2005 Local governance Chapter 4: Public Administration Reform for Human Development

� Limited national democratic governance data/indicators presented

� Number of Managerial Personnel in State Management Bodies

� Number of civil servants in public and economic governance bodies

Romania: Local Govern-ance and Human Devel-opment

2005 Local governance Chapter 2: Local Governance in Romania; Chap-ter 4: Local Governance. Decentralization and Citizen Participation

� Size of Local Government Expenditure as Share of Total Public Expenditure and of GDP (1993-2002)

� Breakdown of Expenditure in Local Government Budgets in Romania

� Share of Personal Income Tax for Local Governments

� Share of Personal Income Tax for Local Governments

� Survey on whether Romanian citizens identity more with local community. region. country. Eu-rope

� Representative survey on the question of how satisfied local residents were towards the way the local administration delivers services and views on what organizations in their communities could do a better job in delivering services.

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� Survey of residents on attendance at local council meetings and whether they knew they could attend council meetings.

� Survey on whether residents (rural and urban) had seen the budget for their municipality. or were made aware of it being made public. before being submitted for adoption by the local council.

� Citizens' input in the budgetary process

� Citizens’ awareness of the Romanian Freedom of Information Act and their confidence in gov-ernment responding to requests for information

� Rate of Participation in the Local Elections of 2004 by County

� Survey questions to residents on candidates in local elections changing party affiliation

Philippines: Peace. Hu-man Security and Human Development in the Philip-pines

2005 Human security (which in-cludes political security i.e. electoral integrity. corruption. accountability. responsiveness and transparency of local gov-ernment/institutions and ca-pacities of local bodies to de-liver social services). respect for human rights by the. mili-tary and security forces.

Chapter 1: Human Security and Armed Conflict � Limited governance data but does include survey data on discrimination against Muslims

Kyrgyzstan: The Influ-ence of Civil Society on the Human Development Pro-cess in Kyrgyzstan

2005 Civil society Chapter 2: Independent Kyrgyzstan: Creating and Developing Civil Society

� Detailed studies were undertaken for the NHDR on the role of CSOs in policy making (including surveys and focus group discussions)

� Extensive use of the database of the Counterpart Consortium which includes range of NGO in-dicators

� Number of non-government organizations officially registered in the Kyrgyz Republic

� Growth in CSOs in terms of numbers employed by CSOs

� Financial resources allocated to CSOs (international donor agencies)

� Indicators on number of CSOs by function/focus

� Data on financing of business associations by membership fees

� Data on “women’s NGOs’: number and function

� Percentage of women occupying top positions and running public organizations (by region)

� Data on emergence of political parties

Bosnia and Herze-govina: Better Local Gov-ernance in Bosnia and Herzegovina

2005 Local governance and local democracy

Chapter 3: Building a responsive and accounta-ble local governance system

� Very limited governance/democracy data and indicators presented. Exceptions include:

� Voter turn out rates

� Revenue Source Shares for Municipalities

� Indicators on access to local services (health and education. sanitation related services and other utilities)

Egypt: Choosing Decen-tralisation for good gov-ernance

2004 Decentralisation. accountabil-ity. participation

All chapters. with focus on accountability in Chapter 4: Fiscal autonomy and accountability in local government; focus on participation in Chapter 10: Role of participation and collabora-tion

� HD indicators by local governorate � Development participation indicators � A survey carried out by the Cairo Demographic Center identified the opinions and attitudes of

both staff and management of the local administration units on the current application of de-centralization. the constraints thereto. the extent to which decentralization can contribute to enhancing performance. and the variations between sectors in this regard.

� Various indicators of local fiscal accountability � Performance indicators for micro-finance institutions

Nepal: Empowerment and Poverty Reduction

2004 Electoral system Chapter 3: Barriers to Empowerment � Human Empowerment Index: Political Empowerment indicators: 1) Voter turnout and 2) candi-dacy per seat in local election

� Quantitative indicators available for political empowerment.. Technical annex not available

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Kosovo: The Rise of the Citizen: Challenge and Choices

2004 Electoral system. decentraliza-tion. justice. public administra-tion

Chapter 2: Taking A Closer Look: Disaggregating Kosovo Human Development Indicators; Chapter 3: Taking A Closer Look: Disaggregating Kosovo Human Development Indicators; Chapter 4 : Taking A Closer Look: Disaggregating Kosovo Human Development Indicators; Chapter 5: Si-lent Majority

� Forms of civic participation (e.g. % of population that participated in public protests)

� Voter turnout and election data

� Trends in satisfaction with institutions (government and international)

� Data on composition of Kosovo police service

Macedonia: Decentraliza-tion for Human Develop-ment

2004 Decentralization and local gov-ernance

Chapter 1: Decentralized government and local development in Macedonia; Chapter 4: The so-cial sector and the challenges of decentralization

� Administrative data on:

− Gender disaggregation (GEM and beyond)

− Food security

− Access to information and communication

− Environmental degradation

Kenya: Participatory Gov-ernance for Human Devel-opment

2004 Democratic governance includ-ing corruption

Chapter 3: Democratic Pluralism and Participa-tory Governance; Chapter 4: Governance. Re-source Mobilization and Management; Chapter 6: Linking Participatory Governance to Human Development

� No national governance data/indicators presented

� Uses Worldwide Governance Indicators 1999 data for Kenya.

Jordan: Building Sustain-able Livelihoods

2004 Local governance Chapter 8: Local Development. Participation and Governance

� Governance focus but no governance indicators or data presented

Moldova: Good Govern-ance and Human Devel-opment

2003 Good governance in general and including civil society. pub-lic administration reform. rule of law. political parties. etc.

All chapters � Selected HD indicators at local level � Discussion of performance on Worldwide Governance Indicators and Corruption Perceptions In-

dex � Public Opinion Barometer Survey carried out by the NGO Institute for Public Policy

Ukraine: The Power of Decentralization

2003 Decentralisation All chapters. especially for survey results Chap-ter 1: Human development trends in Ukraine. Chapter 3: Decentralization and people's devel-opment. Chapter 4: Decentralization and peo-ple's living environment. Chapter 5: Moving for-ward through decentralization - an action pro-gram for human development.

� Survey: Decentralization and Human Development: People’s Perceptions of the Quality of Gov-ernance and Social Services Delivery. conducted by the Social Monitoring Center

Thailand: Community Empowerment and Human Development

2003 Decentralization. public admin Chapter 5: Human Development Indices � Index of Human Deprivation

� Human Achievement Index (HAI); 9 components.

� Governance data on participation (voter turnout and results). socio-econ survey provides some governance info across 9 components. also crime statistics

Tajikistan: Water Re-sources and Sustainable Human Development

2003 Water governance Chapter 3: Legacy of the centralized Soviet wa-ter management system for the current situation

� Participatory and qualitative research that considers the experiences and opinions of the water consumers themselves

� Mostly HD indicators. public service delivery. especially water

Morocco: Governance and Accelerated Local Hu-man Development

2003 Local governance; decentrali-zation

Chapter 2: Institutional framework for local hu-man development; Chapter 3: Decentralization for better governance and local human devel-opment; Chapter 4: Devolution for better gov-ernance and local human development; Chapter 5: General conclusions

� Local government expenditures

Egypt: Human Develop-ment Report

2003 All chapters � Voter turnout

� Media indicators

Burkina Faso: Corruption 2003 Public administration and anti- Chapter 2: Perception of Corruption; Chapter 3: � Measured by surveys: the burkinabé perception of corruption; 7 expert groups. including gen-

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and Human Development corruption analysis of relation b/w corruption & economic governance

Chapter 4: analysis of relation b/w corruption & democratic governance (corruption’s negative impact on the state of democratic governance)

eral public. male and urban bias among respondents

Bulgaria: Rural Regions 2003 Decentralization etc. Chapter 3 � Public perceptions of policies

� Mostly economic/farming subsidies public policy perceptions

� Helpful “policy recommendation-suggested measurement” matrix. but no data available

Libya Arab Jamahiriya: National Human Develop-ment Report. Decentraliza-tion.

2002 Report not publicly available. thus complete information could not be included.

Slovak Republic 2002 Political participation. political governance

Chapter 2: The state of human development � Public opinion surveys by various local groups on attitudes towards democracy and other is-sues

Occupied Palestinian Territories: Palestine Human Development Re-port

2002 Decentralization

Chapter 2: The human development environ-ment in the West Bank and Gaza Strip; Chapter 3: Community participation in local government and development

� Limited indicators on civic participation and political representation

Haiti: Governance for Human Development: A Major Challenge for Sus-tainable Development in Haiti

2002 Political governance Chapter 3: Governance Actors in the Human De-velopment Perspective; Chapter 4: Administra-tive and Economic Governance Deficits

� Overall limited data and use of indicators. some interesting examples such as constitution framework using indicators to highlight progress and setbacks. not much disaggregation. some governance policy recommendations

� Institution confidence survey (one-off survey)

� Legislative numbers

� Some justice indicators. e.g. case backlog

� Public administration data

Bolivia: Political capabili-ties for Human Develop-ment

2002 Political and socio-economic governance

Chapter 3: State transformations and political institutions; Chapter 4: Mass media and deliber-ative democracy; Chapter 6: Perceptions and outlooks of the poor: In search of lost trust and dignity; Chapter 7: Capabilities and political po-tential of the people

� No real governance indicators or data

Albania: Challenges of Local Governance and Re-gional Development

2002 Local governance; decentrali-zation; civil society participa-tion

Chapter 3: Centralised Decentralisation � No quantitative indicators on local governance but qualitative assessment of the levels of com-pliance with the basic provisions of the European Charter of Local Self-Government. Other de-centralisation related indicators include:

− Expenditures and revues by sector

− Local government expenditures compared to state budget

− Allocation from the national budget to the districts

Senegal: Governance and Human Development

2001 Political institutions. corruption. public administration. civil so-ciety. press freedom. electoral system. political parties

Chapter 1: Developpement humain et bonne gouvernance: instruments de mesure. Chapter 2: Fonctionnement et dysfonctionnements insti-tutionelles: les enjeux d'une bonne gouvernance

� potential indicators for a range of governance issues are discussed but not calculated � selected statistics on political institutions

Comoros: Governance. Poverty and Social Capital


Somalia: Human Rights and Governance

2001 State formation and political governance. civil society. secu-rity and rule of law. human

Chapter 1: Trends in human development. Chapter 4: Human rights and governance

� only HD indicators

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rights. media

Nepal: Poverty Reduction and Governance

2001 Decentralisation. political insti-tutions. participation

Chapter 3: Policies and programmes for poverty reduction. Chapter 6: Decentralized governance. Chapter 7: Mobilizing people

� HD indicators at local level � Public opinion survey on service delivery

Kyrgyzstan: Democratic Governance: Alternative Approaches to Kyrgyz-stan's Future Development

2001 Decentralisation. participation. civil society

Chapter 2: Democratic governance and the de-centralization of power. Chapter 3: Agents of democratic governance: the broadening of community participation

� HD indicators at local level � focus group survey with NGO representatives � focus group on information sources (media)

Indonesia: Towards a New Consensus: Democra-cy and Human Develop-ment

2001 Democratic institutions. politi-cal parties. electoral system. decentralisation

Chapter 2: Consolidating Indonesia's democracy. Chapter 5: Putting people first: A compact for regional decentralization

� HD indicators at local level

Lebanon: Globalisation: Towards a Lebanese Agenda

2001 Human rights and justice

Chapter 8. Human Rights Rule of Law and the Renewal of the State

� Justice and human rights

� Treaty ratifications

� World Conference on human rights indicators

Bulgaria: Citizens Partici-pation in Governance

2001 Participation in governance All chapters � Perception data. based on a representative national survey

� Survey data run against citizen forums’ (6 municipalities) responses to same questionnaire

� 88 indicator questions along disaggregated matrix

Georgia: Access to social rights. especially health care and education

2000 Human rights. press freedom Chapter 1: Life. Liberty. and Security of Person � Human rights reporting from public defender's office � macroeconomic and socioeconomic data from governmental sources

Benin: Human Develop-ment Report on Govern-ance

2000 Political institutions. electoral system. civil society. press freedom. political parties. pub-lic administration. decentralisa-tion

Chapter 2: La gouvernance politique. Chapter 3: La gouvernance administrative et locale

� selected statistics on political institutions

Congo. Dem. Rep.: Gov-ernance for Human Devel-opment


Gambia: Promoting Good Governance for Human Development And Poverty Eradication

2000 Good governance. political in-stitutions. decentralisation. civil society

Chapter 1: Background. Chapter 3: Governance in the Gambia

� no governance indicators. but a variety of poverty and health indicators developed by the na-tional statistical office

Madagascar: The Role of Governance and Decen-tralization in poverty re-duction

2000 Decentralisation and local gov-ernance. rule of law. participa-tion

All chapters � HD indicators at local level

Zimbabwe: Human De-velopment Report on Gov-ernance

2000 Electoral system. political insti-tutions. political parties. partic-ipation. corruption. local gov-ernance and decentralisation. civil society

Chapter 3: The political and institutional dimen-sions of governance. Chapter 4: Local govern-ance and participation. Chapter 6: Civil society. human development and governance

� Opinion survey of users of government services

Mongolia: Reorienting the state

2000 Public administration. decen-tralisation. civil society

Chapter 6: A new state of mind � No specific governance indicators � Public opinion survey on living conditions. Ministry of Health and Social Wefare

Kyrgyzstan: Democratic Governance for Human Development

2000 Public administration. partici-pation. civil society. media. de-centralisation

Chapter 3: Preventive development: A new ap-proach for social progress. Chapter 4: Regional policy and human development


Colombia: Human Rights and Human Development

2000 Participation Chapter 5: La participacion como derecho colec-tivo y su relacion con el desarrollo humano


Costa Rica: State of the Nation Report on Sustain-

2000 Electoral system. public admin-istration. decentralisation. po-

Chapter 5: Fortalecimiento de la democracia � Auditoria Ciudadana sobre la Calidad de la Democracia [Citizens' audit on the quality of democ-racy]

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able Human Development litical institutions � indicators of strength of democracy � compendium of political statistics

Armenia: Human Rights and Human Development

2000 Human rights and justice All chapters � Administrative data used as indicators/proxies for various human rights:

− Crime Stats − Laws in effect relative to hr − Judges disaggregated by gender/ nr of yrs experience − Newspaper circulation − Employment data as proxy for right to work − Proxies on cultural rights

� Household surveys of vulnerable groups: poor households and refugees:

− Social indicators

− Flows of aid sources

� Global indicators of select countries:

− Transparency International’s Corruption Index

− Freedom House Survey of Freedom

Romania 2000 Chapter 2: Good Governance: the Backbone of the Process of European Union Accession

� Voter participation

� “Political opinions and attitudes of the Romanian Electorate” (national sample survey)

� Violence and crime stats

42

Annex 2: Overview of NHDRs focused on democratic governance by region (2000-2009)

Region Country Year

Africa

1. Burundi: Bonne gouvernance et developpement durable 2009

2. Benin: Social Responsibility. Corruption and Sustainable Human Develop-ment

2008

3. Ghana: Towards a More Inclusive Society 2007

4. Sierra Leone: Empowering Local Government For Sustainable Human Devel-opment And Poverty Reduction

2007

5. Congo: governance. cohesion and social development 2006

6. Guinea Bissau: Political reform for the MDGs 2006

7. Kenya: Human Security and Human Development: A Deliberate Choice 2006

8. Kenya: Participatory Governance for Human Development 2004

9. Burkina Faso: Corruption and Human Development 2003

10. Senegal: Governance and Human Development 2001

11. Comoros: Governance. Poverty and Social Capital 2001

12. Somalia: Human Rights and Governance 2001

13. Benin: Human Development Report on Governance 2000

14. Congo. Dem. Rep.: Governance for Human Development 2000

15. Gambia: Promoting Good Governance for Human Development And Poverty Eradication

2000

16. Madagascar: The Role of Governance and Decentralization in poverty reduc-tion

2000

17. Zimbabwe: Human Development Report on Governance 2000

Arab States

1. Egypt: Egypt’s Social Contract: The Role of Civil Society 2008

2. Lebanon: Toward a Citizen's state 2008

3. Egypt: Choosing Decentralisation for good governance 2004

4. Jordan: Building Sustainable Livelihoods 2004

5. Egypt: Human Development Report 2003

6. Morocco: Gouvernance et Accéleration 2003

7. Libya Arab Jamahiriya: National Human Development Report. Decentraliza-tion

2002

8. Occupied Palestinian Territories: Palestine Human Development Report 2002

9. Lebanon: Globalization 2001

Asia/Pacific

1. Nepal: State Transformation and Human Development 2009

2. Philippines: Institutions. Politics and Human Development in the Philippines 2009

3. Philippines: Peace. Human Security and Human Development in the Philip-pines.

2005

4. Nepal: Empowerment and Poverty Reduction 2004

5. Thailand: Community Empowerment and Human Development 2003

6. Nepal: Poverty Reduction and Governance 2001

7. Indonesia: Towards a New Consensus: Democracy and Human Develop-ment

2001

8. Mongolia: Reorienting the state 2000

Europe

1. Serbia: The strength of diversity 2005

2. Bosnia and Herzegovina: Better Local Governance in Bosnia and Herze-govina

2005

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3. Kyrgyzstan: The Influence of Civil Society on the Human Development Pro-cess in Kyrgyzstan

2005

4. Romania: Local Governance and Human Development 2005

5. Uzbekistan: Decentralisation and Human Development 2005

6. Macedonia: Decentralization for Human Development 2004

7. Kosovo: The Rise of the Citizen: Challenge and Choices 2004

8. Moldova: Good Governance and Human Development 2003

9. Ukraine: The Power of Decentralization 2003

10. Bulgaria: Rural Regions 2003

11. Tajikistan: Water Resources and Sustainable Human Development 2003

12. Slovak Republic 2002

13. Albania: Challenges of Local Governance and Regional Development 2002

14. Kyrgyzstan: Democratic Governance: Alternative Approaches to Kyrgyzstan's Future Development

2001

15. Bulgaria: Citizens Participation in Governance 2001

16. Georgia: Access to social rights. especially health care and education 2000

17. Armenia: Human Rights and Human Development 2000

18. Romania 2000

19. Kyrgyzstan: Democratic Governance for Human Development 2000

Latin America

1. Chile: La Manera de hacer las Cosas 2009

2. Chile: Institutional Reforms and Subjective Perceptions 2008

3. Uruguay: Politics. Policies and Human Development 2008

4. Bolivia: State of the State 2007

5. Panama: institutions and human development 2007

6. Peru: Towards a decentralization with citizenship 2006

7. Bolivia: Political capabilities for Human Development 2002

8. Haiti: Governance for Human Development: A Major Challenge for Sustaina-ble Development in Haiti

2002

9. Colombia: Human Rights and Human Development 2000

10. Costa Rica: State of the Nation Report on Sustainable Human Development 2000

NHDRPaper_ogc11_0

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