Social Accountability Concepts, Tools & Strategies 1 Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013 A Learning & Sharing Workshop
Feb 25, 2016
Social AccountabilityConcepts, Tools & Strategies
1Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
A Learning & Sharing Workshop
Our Broad Objectives…
• Discuss core principles and concepts of governance and social accountability.
• Profile leading social accountability tools and approaches.
• Identify issues and challenges in implementing social accountability tools and approaches.
• Prepare action plans to be applied in planned or ongoing projects.
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Our Approach
Context
Concepts
Tools
Actions
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Our Roadmap- Day 1(August 20)
4
Morning Session
• Introductions
• Setting Objectives
• Unpacking Core Concepts
Afternoon Session
• Frameworks for Local Governance & Accountability
• Introduction to tools, processes & strategies to develop social accountability work
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Our Roadmap- Day 2(August 21)
5
Morning Session
•Review & Reflection• Technical Session #1: How to make policies and programs inclusive•Technical Session #2: How to undertake budget analysis & advocacy
Afternoon Session
• Technical Session # 2 (Contd.)• Group Work
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Our Roadmap- Day 3(August 22)
6
Morning Session
•Review & Reflection• Technical Session #3: How to track money meant for spending on public services•Technical Session # 4: How to monitor impacts and outcomes of public services
Afternoon Session
• Technical Session # 4: Continued
• Group Work
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Our Roadmap- Day 4(August23)
7
Morning Session
•Review & Reflection• Political Economy Analysis • Advocacy – Getting the politics RIGHT
Afternoon Session
•Development of Action Plans
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
8
Day 1
Session IContext Setting
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
What do we understand by democracy?
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
3 Histories of Democracy
• Assembly democracy (2500 BCE) – epicenter in Arab World (Iraq, Lebanon & Syria) and India
• Representative democracy (10th Cy, CE) – Atlantic region
• Monitory democracy (1950s & 1990S) - Global
Since 1945 more than 100 power monitoring tools have been invented – Guide-dogs, Watch-dogs and Barking-dogs.
10Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Unpacking Democracy
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Ideals
PracticesInstitutions
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Promoting Accountable Democracies
Concepts & Frameworks
12Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
What is Governance?
• “Decision making and exercise of power and authority in which society manages its development process and resolves conflict”.
• Key Questions: What decisions are taken? Who takes these decisions? Whose interests are represented?
GIZ/Actionaid Workshop, June 15-19, 2013Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
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Elements of Governance
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
3 Fundamental Principles
TRANSPARENCY• Information on
government programs are available, accessible and understandable for the public.
ACCOUNTABILITY• Government
representatives and institutions are responsive and answerable to the public.
PARTICIPATION• People actively
participate in decision making, directly or indirectly through groups
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
16S O C I E T A L V A L U E S
P U B L I C A W A R E N E S SM
ED
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CIV
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OC
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PRIV
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CTO
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Governance in Theory
QUALITYOFLIFE
EQUITYJUSTICE
AU
DIT
OR
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RE
GU
LAT
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WAT
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PUB
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RV
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LAT
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EX
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UT
IVE
JUD
ICIA
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GOVERNANCE
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PRIV
ATE
S O C I E T A L V A L U E SP U B L I C A W A R E N E S S
EQU
ITY
JUSTICE
AU
DIT
OR
GE
NE
RA
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WAT
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RYG O V E R N A N C E
CIV
IL SECTOR
SOCIETY
INTE
RN
ATIO
N
L ACTORS
ME
DIA
QUALITYOFLIFE
Governance as we experience!
Why do the Pillars of Governance Collapse?
Weak Foundation (critical awareness & values)Weak Pillars (poor quality of institutions)Heavy Roof (unrealistic or wrong expectations)
18Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
STAKEHOLDER ROLE INTEREST CONTRIBUTION EFFECT
RICE EXERCISE
Roles – What are the roles of the stakeholder in promoting good governance?
Interest – What is the primary interest of the stakeholder?
Contribution – What is the stakeholder doing to promote good governance?
Effect – What is the effect of the stakeholder’s contribution? – Effects can be positive or negative?Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
What is Accountability?
Holding DUTY BEARERS to ACCOUNT!
COMMUNITY
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
3 Principles of Accountability
Responsibility
EnforceabilityAnswerability
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Concepts of Accountability
• Horizontal Accountability
– Political mechanisms (Separation of powers, Parliamentary committees etc.)
– Fiscal mechanisms (Audit)
– Administrative mechanisms (Rules & norms)
– Legal mechanisms (Judiciary, Anti corruption agencies)
• Vertical Accountability (CSOs & Media)- Elections- Social Accountability
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
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Diagonal A
ccounta
bility
Bad Governance Impacts Strongly on Delivery of Public Services
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Context for Social Accountability
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Social Accountability?
• Holding institutions of the state accountable
• Draws moral imperatives from the wellsprings of democracy
• Asking the RIGHT questions
• Change is a collective expression
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Features of Public Services
Delivery of goods (water, electricity, power) or services (credit, policing, social protection) to all members of society.
Can be completely free, subsidized or fully charged
Heavily targeted towards the poor
Meant to protect fundamental rights – right to water, right to food, right to health, right to education
26Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Common Challenges
Monopoly Power – Lack of Exit Option
Lack of information on standards and norms
Issues of access, availability & quality – weak accountability
Weak accountability – poor incentives, weak sanctions & penalties
27Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
C = M+D-A-T
CORRUPTION = MONOPOLY + DISCRETION –ACCOUNTABILITY
–TRANSPARENCY
The Klitgaard Equation (Robert Klitgaard)
28Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Understanding Governance & Accountability in the context of
Public Services
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013 29
Let us start with a simple unit of governance – Household!
30Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
The Household Political Economy
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HH
Needs
ResourcesDecisions
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
How does an household operate
1. Identifying needs - Deciding what to spend (Planning)
2. Deciding how much to spend (Budgeting)
3. Checking income & expenses (Tracking)
4. Finding out if needs have been met (Monitoring outcomes)
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
National Political Economy
33
Bhutan
Needs
ResourcesDecisions
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
This leads to questions…
1. Who decides on priorities? Whose needs are addressed? Who participates in planning & policy making?
2. How are resources allocated? Who makes these decisions? Are these decisions based on needs? How are revenues generated?
3. Is money allocated spent on the correct purposes? Are there leakages?
4. Are citizens benefitting from the services? Why do schools have no teachers? Why do hospitals have no medicines? Why are roads so bad?
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
ServiceDelivery
How needs & priorities are identified?
How resources are allocated?
How money is being spent?
What impacts and outcomes are produced?
Dr. Gopakumar Thampi. SDC/ACC Workshop.
Thimphu, August 20-23, 2013
Why things go wrong… Biased considerations influencing planning &
prioritization processes – Adhoc Policies Spending on wrong goods and people – Budget
Allocation Problem Resources fail to reach service providers or users
- Expenditure Tracking Problem Weak supervision for effective, efficient &
equitable service delivery - Problem of Monitoring/Accountability
Demand-side constraints - Problem of Participation/Awareness - VOICE
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
ServiceDelivery
AdhocPolicies
WrongAllocation
Leakages
Poor Outcomes
Dr. Gopakumar Thampi. SDC/ACC Workshop.
Thimphu, August 20-23, 2013
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
PLANNING / PRIORITY SETTING
BUDGETING EXPENDITURE TRACKING
OUTCOME MONITORING
Participatory Planning
Budget Analysis PETS Mystery Visitor
Citizen’s Jury Budget Advocacy Community Scorecard
Community Scorecard
Participatory Budgeting
Public Hearings Citizen Report Card
Public Hearings
SA DOMAINS AND TOOLS
Some Examples of Accountability Work
Strengthening people’s awareness on RIGHTS & ENTITLEMENTS and DUTIES & RESPONSIBILITIES
Making planning and decision making processes inclusive (All Voices Count!)
Analysing local budgets and advocating for need-based allocations
Tracking how money has been spent for intended objectives
Monitoring final impacts and outcomes of money spent on the lives of people.
Dr. Gopakumar Thampi. SDC/ACC Workshop. Thimphu, August 20-23, 2013
Right to be Heard
(VOICE)
Right to Know(INFORMATI
ON)
Right to Organize
(ASSOCIATION)
Right to Participate
(NEGOTIATION)
SAc
Dr. Gopakumar Thampi. SDC/ACC Workshop.
Thimphu, August 20-23, 2013