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THE TOOLS OF SOCIAL ACCOUNTABILITY STOCKTAKING
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THETOOLSOFSOCIAL
ACCOUNTABILITY
STOCKTAKING
GETTING TO KNOW THE LAY OF THE LAND
Afiliated Network for Social Accountability in
East Asia and the Paciic
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THE TOOLS OF SOCIAL ACCOUNTABILITY STOCKTAKING
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GETTING TO KNOW THE LAY OF THE LAND
The term stocktaking commonly refers to the physical veriication
of the quantities and condition of items held in an inventory as part
of an audit or valuation.1TheFreeDictionary, on the other hand,
deines stocktaking as a reappraisal of a situation, a person, or ones o!n
position or prospects. This second deinition appears to go "eyond "usiness
processes, emphasi#ing its sociopolitical value.
$t is this second sense that %&'% (%) has adopted stocktaking as the
collective term given to the tools in getting to kno! and understanding the
social accounta"ility situation of a speciic area or sector. For %&'% (%),
stocktaking means a re*appraisal +or assessment of a social accounta"ility
situation, including its key players and stakeholders, the processes and
dynamics, the tools and methods, etc.
%&'%*(%)s stocktaking frame!ork uses four tools-scanning, scoping,
mapping, andproiling.(ach one, as it !ere, precedes and prepares the
other like a funnel.
The templates serve as guides, hence the areas of inquiry and the
descriptors are suggestions to help steer the investigator in scrutini#ing
the !ider arena of social accounta"ility. The investigator may add details
and revise the items according to the goals, o"ectives and speciic outputs of
the study.
T
HETOOLSOFSOCIALACCOUNTABILITYSTOCKTAKING
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THE TOOLS OF SOCIAL ACCOUNTABILITY STOCKTAKING
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WHAT IS THE TOOL?
Scanningrefers to the preliminary e8amination of the !ide arena of
governance in a given area, looking for agents, processes, and activities in
the conte8t of social accounta"ility. $t can "e descri"ed as a !ide, s!eeping
search much like moving a light "eam over a targeted area to gain an image
f 9 t t f l 9 f i l t "ilit i t f liti l d i
SCANNING
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identiication of '%c initiatives, those entities doing '%c !ork, a general
description of '%c tools if any, salient governance and political issues,
accomplishments, and prospects.
WHAT IS THE TOOL FOR?
To provide focus, %&'% (%) uses the : )illars of 'ocial %ccounta"ility as
handles. These are- +a government responsiveness and openness, +"
organi#ed and capa"le citi#ens, +c access to information, and +d cultural
and conte8t appropriateness. The information !ill help to-
$dentify citi#ens and citi#en groups that engage in governance !ork !ithin a
speciied region, country or a sector
(8plore the governance locus !here '%c !ork is "eing done- its social, political,
economic, cultural, and historical conte8t that have a "earing on '%c !ork
Determine and descri"e '%c activities and innovations
HOW IS THE SCANNING TOOL USED?
'canning is e8ploratory and descriptive, utili#ing the sno!"all approach
of data collection. $t uses various data gathering techniques such as desk
revie! +online and archival7secondary documents, intervie!s !ith key
informants, and roundta"le discussions !ith e8perts.
;ecause the aim of scanning is to provide an environmental perspective,
key informant intervie!s and roundta"le discussions are optional. Data
analysis is generally qualitative. Descriptive statistics is used to support
qualitative analysis and for comparative purposes.
WHAT ARE THE OUTPUTS AND OUTCOMES OF THE SCANNING ACTIVITY?
% scanning documentation identiies and provides general information
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WHAT IS THE SCANNING DATA FOR?
=hile the information gathered is "road and general, data from
scanning-
)rovides '%c practitioners an initial inventory of the !idth and "readth of
governance !ork in the region, country or sector
)rovides general "ackground information on the conte8t and issues of
governance, e.g. social, political, economic, cultural, and historical information
that may have a "earing on '%c !ork
)rovides initial information on approaches and tools used "y key actors of
governance !ork in a region, country or sector at the national and su"national
levels
%s platform and source material for scoping, mapping, and proiling of '%c
initiatives in a region, country, or sector.
WHAT IS THE SCOPING TOOL?
Scopingcarves out information from the scanning activity and highlights
all kno!n social accounta"ility !ork !ithin that environment. 'coping sets
the "oundaries or demarcates the coverage of possi"le social accounta"ility
initiatives or interventions.
'coping thus sets the "oundaries or demarcates the coverage of possi"leinitiatives or interventions so that the outcomes7effects could "e "etter
anticipated and are those that are most likely to "e signiicant. $t determines
!hat should "e included and e8cluded +!hat is in and !hat is out.
'coping clariies the validity of issues, the comple8ity of the situation, the
SCO$ING
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WHAT IS THE SCOPING TOOL FOR?
'coping identiies speciic organi#ations and institutions engaged in
social accounta"ility. 'coping is used to-
Dra! up an inventory of organi#ations and institutions that actually practice
'%c +identiied and validated during the scanning process
$dentify overlaps, links and colla"orations among key or primary '%c agents
+organi#ations, individuals, net!orks, etc.
Determine key issues and concerns pertaining to social accounta"ility
$dentify and eliminate from the study those issues that are not signiicant to
'%c, or issues that have "een analy#ed in previous revie!s
Deepen understanding of key factors and forces that play mediating roles in the
interface "et!een citi#ens groups and governments, such as ones socio*
cultural, historical, and political conte8t
To identify cross*cutting '%c practices, approaches, tools and mechanisms
HOW IS THE SCOPING TOOL USED?
=hile scoping is e8ploratory and descriptive in nature like scoping, itprovides a more detailed output in terms of deining and setting the
"oundaries of organi#ations or institutions that practice '%c. $t is a more
focused use of the '%c : )illars to frame, investigate, collect, and analy#e
information. 'coping utili#es the documentation provided "y the scanning
activity as a primary source of information and as a starting point for an in*
depth gathering of data. 3ike scanning, this activity is conducted through-
Desk revie! +online and archival7secondary documents
$ntervie!s !ith key informants
6oundta"le discussions !ith e8perts
Data validation "y e8perts +usually through a !orkshop
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%n inventory of citi#en and government groups that actually practice '%c
%n overvie! of factors and forces that mediate the dynamics of and interface
"et!een citi#ens groups and government, "ringing into focus the region,
country, or sectors sociocultural, historical, and political conte8t
% general description of '%c practices, approaches, tools and mechanisms that
are prevalent in the region, country or sector
WHAT IS THE SCOPING DATA FOR?
The scoping information is useful "ecause of the follo!ing-
)rovides a general "ack*ground of '%c initiatives in the region, country or
sector
5ore speciic than scanning> mapping identiies and "rings into focus
organi#ations and institutions actually practicing '%c
'ituates the practice of '%c in the sociocultural, historical, and political conte8t
of the region, country or sector
$dentiies the general '%c agenda and issues
)rovides general information and trends on each of the '%c Four )illars
;roadly, the scoping information facilitates ones kno!ledge regarding
the follo!ing-
(nriching '%c kno!ledge in a region, country or sector
$dentifying and esta"lishing net!orks and other entry points for '%c !ork
(sta"lishing general trends in the data thus allo!ing for a more accurate
rendering of thematic patterns
3ocating and planning initiative or intervention in light of the emerging agenda
and issues facing '%c
%A$$ING
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5apping provides a more comprehensive appreciation of the spread,
intersects and links of information gathered from the more "asic
information gathered from the getting*to*kno!*you questions of !ho are
doing '%c in the scanning and scoping activities. $n a mapping e8ercise the
question asked is ? !hat e8actly are the agents7actors7stakeholders doing>
ho! long they have "een doing it, !here they are doing it, ho! they are
doing it, in !hat manner and "y !hat means, etc.
5apping like!ise addresses the question of conte8t "y looking at the
organi#ation or institutions sociocultural, historical, and political milieu in a
more detailed manner. 5apping here is considered as a more integral ne8t
step to scoping. +2o!ever, it must "e noted that "oth scanning and scoping
activities often involve some type of mapping and proiling of stakeholders
or key drivers of '%c.
WHAT IS THE MAPPING TOOL FOR?
5apping aims to provide a more detailed description and indepth
analysis of '%c initiatives in the conte8t of the region, country or sectorssociopolitical, historical, and cultural milieu.
To provide a detailed description and indepth analysis of '%c practices per
organi#ation7institution +and across organi#ations7institutions, speciically
focusing on key stakeholders and partners +including their understanding of
'%c, historical evolution, approaches and methodologies, and tools and
mechanisms
To identify and esta"lish patterns, themes, and trends as a result of dataanalysis
To identify emerging issues and concerns related to '%c !ork
To systematically use the '%c Four )illars as a ilter to collect and analy#e
data-
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The mapping process uses the scoping output as a platform to investigate
further and in more detail '%c initiatives in a region, country or sector.
@utputs from revie! of literature +secondary source of data are utili#ed to
investigate and generate ne! data, as !ell as to pro"e and validate
information, using key informant intervie!s and focus group discussions.
Data analysis looks for patterns, themes, and categories ? thus providing a
deeper understanding of '%c initiatives in the region, country or sector.
%s !ith scanning and scoping, the initial results of a mapping study are
like!ise su"ected to validation involving key stakeholders, usually in a
!orkshop setting.
WHAT ARE THE OUTPUTS AND OUTCOMES OF THE MAPPING ACTIVITY?
% mapping documentation that provides detailed information and
analysis on-
=ho are doing '%c, !hat e8actly they are doing, ho! long they have "een doing
it, !here they are doing it, !ho they are doing it !ith, in !hat manner, and "y
!hat means
The organi#ation or institutions sociocultural, historical, and political conte8t
in a more detailed manner
$dentiied patterns, themes, and trends as a result of data analysis
Detailed information and analysis from the perspective of the '%c Four )illars
frame!ork
(merging issues and concerns related to '%c !ork
(lements, opportunities, and entry points for '%c net!orking, advocacy, and
capacity*"uilding
WHAT IS THE MAPPING DATA FOR?
The mapping information is useful "ecause of the follo!ing-
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THE TOOLS OF SOCIAL ACCOUNTABILITY STOCKTAKING
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'tarting point for detailed proiling of institutions and organi#ations doing '%c
!ork
WHAT IS THE PROFILING TOOL?
Proilingtakes a more detailed look using a descriptive assessment of the
mapping questions, investigating the makeup of speciic social accounta"ility
agents and intermediaries +organi#ations or institutions doing social
accounta"ility !ork "y appraising its strengths and !eaknesses> its
strategy, structure, systems, stafing, skills, leadership style, and sharedvaluesC> and the challenges it faces.
% proile can also provide information on the level of interest that
organi#ation mem"ers may have in "eing actively involved in a '%c
undertaking and their preferred method of engagement. The understanding
provided "y proiling can assist in the development of an engagement
strategy and lead to more effective proects and programs as these aretailored to the needs and characteristics of the people involved.
%nother important element in proiling is the capacity assessment of the
agents, lead partners or stakeholders of '%c.
WHAT IS THE TOOL FOR?
)roiling aims to assess the strengths and !eaknesses of speciic '%cagents targeted or considered as part or partner of the planned undertaking
or '%c initiatives +proects or programs. The o"ectives are-
To assess the strengths and !eaknesses of speciic '%c agents to undertake '%c
!ork in terms of strategy structure systems stafing skills and competencies
$&OFILING
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To provide information on the agents social and economic characteristics, its
net!orking capa"ilities, and social infrastructures that it provides
To provide information on the level of interest +and !here possi"le,
commitment of organi#ation mem"ers and stakeholders to undertake '%c
!ork and preferred method of engagement
To identify the capacity "uilding agenda for '%c stakeholders or speciic groupsor clusters of actors
HOW IS THE TOOL USED?
The proiling process uses the scoping and mapping outputs as its
sources as !ell as platforms to investigate speciic agents +organi#ations and
institu*tions that are possi"le %&'%*(%) partners. @utputs from revie! of
literature are utili#ed to e8amine and generate ne! data, as !ell as to pro"e
and validate information, using key informant intervie!s and focus group
discussions. %rchival and secondary data from the targeted organi#ations
are used to provide a more complete picture.
The initial results of the proiling study undergo a validation !orkshop
!ith the organi#ation or institutions stakeholders.
%nother method is the use of a capacity assessment focused on
predetermined set of competencies or capacities required for speciic '%c
!ork.
WHAT ARE THE OUTPUTS AND OUTCOMES OF THE PROFILING ACTIVITY?
% documentation descri"ing the capacity and, conversely, the capacity
needs of '%c agents, !hich are considered as potential partners and
colla"orators of %&'% (%) in undertaking '%c initiatives. The
documentation provides the follo!ing information a"out the organi#ation or
i i i
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THE TOOLS OF SOCIAL ACCOUNTABILITY STOCKTAKING
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$nformation on the agents social and economic characteristics, its net!orking
capa"ilities, and social infrastructures that it provides
$nformation on the level of interest +and !here possi"le, commitment of
organi#ation mem"ers and stakeholders to undertake '%c !ork and preferred
method of engagement
WHAT IS THE PROFILING DATA FOR?
The proiling data provides a detailed and indepth assessment of the
capacities of the targeted '%c agent +organi#ation or institution that can
assist in the development of common partnership '%c undertakings.
'peciically, the proiles have the follo!ing "eneits-
5apping of environmental and organi#ational issues
Facilitate in the design of a capacity "uilding program "ased on the needs of the
organi#ation or institution
%s entry points for engagement, net!orking and capacity "uilding
Facilitate in the conduct of planning of programs and proects
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TEMPLATE FOR SOCIAL ACCOUNTABILITY SCANNING
This template is a tool for scanning the social accountability environment within the bigger context
of governance. The information generated and gathered is intended to examine the bigger societal
environment within which social accountability is embedded.
The template is a guide, hence the areas of inquiry and the descriptors are suggestions to help
steer the investigator in scrutinizing the wider arena of social accountability. The investigator may
add details and revise the items according to the goals, objectives and specific outputs of the study.
The objectives of scanning are
!. To explore the locus and context where "#c wor$ is being done, e.g. the social, political,economic, cultural, and historical aspects that have a bearing and impact on "#c wor$
%. To identify and gather information on citizens groups that engage in governance wor$ in a
region, country or a sector at the national and sub&national levels
'. To initially identify and gather information on "#c agents and their initiatives and activities
AREA OF INQUIRY DESCRIPTOR DATA
1. Geographic and
demographic
ac!gro"nd
a( )eographic characteristics
b( *opulation characteristics
c(
*opulation distribution +sex, age,
geographic, urban&rural, etc.(
#.
$rie% hi&'orica(
ac!gro"nd
). Socio*c"('"ra(
ac!gro"nd
a( anguage and ethnic groupings
b(
-eligions and faith systems
c( edia, communications, /T
d( 0nique cultural characteristics +family,
property, women1children, etc.(
e(
2ultural factors that promote1hindercitizen engagement with government
+ Socio*economic
a(
3atural resources
b( ajor sources of livelihood1revenues
+agriculture, mining, trade,
manufacturing, oil, etc.(
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AREA OF INQUIRY DESCRIPTOR DATA
political setup +e.g. colonization,
geopolitics(
d( "tate of electoral system and
mechanisms
e( *olitical factors that promote1hinder
citizen engagement with government
-.
Goernance and
'he po(ic/
enironmen'
a(
2entralized vs decentralizedb( egislations and policies that
promote1hinder citizen engagement
with government
c(
"tatus of government service delivery
systems and mechanisms
d( "tatus of the public finance
management system +planning,
budgeting, expenditure management,
performance monitoring(
e( 6xtent to which citizens and citizen
groups engage and1or participate in
these processes
f( *ublic grievance mechanisms
g( "ocial accountability champions in
government +individuals or institutions(
h(
4actors in governance and policyenvironments that contribute
to1hinder citizen engagement with
government
0. Goernmen' and
NGO1re(a'ion&hip
a( 7rief historical bac$ground of
government&3)8 relationship,
including evolution of 3)8s
b( )eneral attitude of government1public
officials towards efforts by citizen
groups to engage government
c(
6xtent of 3)8 participation and
influence in governance processes, e.g.
in the public finance management
cycle
d( 6xtent of access to information by
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AREA OF INQUIRY DESCRIPTOR DATA
. Organi2ed ci'i2en
gro"p&
a( 3umber of active 3)8s1278s%
b( 3umber +and : of total( of 3)8s1278s
that actually engage government +in
whatever form or capacity(
c( "tatus of inter&3)8 relationships
d(
"upport for 3)8s1278s +local and
foreign(
e( )eneral attitude of 3)8s1278s
towards efforts to engage government
f( 2ategorization and proportion +:( of
3)8s1278s according to type of
engagement with government, e.g.
health, education, public finance
management, etc.
g(
#pproaches and modalities of engaging
+or ways of wor$ing with( government,
e.g. opposition, collaboration,
partnership, etc.
h( Tools and mechanisms generally used
in engaging government, e.g.
community scorecard, participation in
planning and budgeting, procurement
monitoring, etc.
i( 2hallenges commonly faced by 3)8s in
engaging government
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TEMPLATE FOR SOCIAL ACCOUNTABILITY SCOPING
This template is designed as a scoping tool to carve out and put into the spotlight all known SAc work in a region, country, or a sector. Scoping
brings into focus known SAc initiatives specifically citien groups engaged with government in the universe of governance work.
The ob!ectives of scoping are"
#.
To come up with an inventory of SAc agents $organiations and institutions% that actually practice social accountability, e.g. those have
been initially identified and validated in the scanning process%
&.
To identify cross'cutting SAc practices, approaches, tools and mechanisms
(.
To identify and validate key issues of stakeholders and key beneficiaries $whether citien groups or government% of SAc products or tools
).
To identify and eliminate from the study those issues that are not significant to SAc, or issues that have been analyed in previous
reviews
*.
To deepen understanding of key factors and forces that have a role in the interface between citien groups and government
The template is a guide. The investigator may add details and revise the items according to the goals, ob!ectives and specific outputs of the
study.
A.
Organization
+A- / 01A+23AT2+
A40+56A770-8AT2+
A990-SS
S42A: A44;+TA72:2T5
4+TA4T ebsite
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B.
Please tickin which SECTOR your organization is engaged in:
-ducation
?ealth -nvironment6+atural 0esource anagement
0ural 9evelopment
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ther remarks"
a.
>hat are the problems encountered in conducting the abovementioned SAc activitiesB
b.
>hat are the results of these activitiesB
c.
2n what ways are the initiatives"
i.
SustainedB
ii.
Scaled upB
iii.
0eplicatedB
d.
n a scale of @ to ), with @ as lowest and ) as highest, rate the following by encircling the appropriate number"
Low High0-4-A0-+-SS
Cuality of level of awareness of government6government partners on SAc activities that
contribute to the abovementioned activities.@ # & ( )
Cuality of level of awareness of citiens on the abovementioned SAc activities. @ # & ( )
:-8-: / 2+8:8--+T2nvolvement of public officials in the abovementioned activities. @ # & ( )
2nvolvement of citiens in the abovementioned activities. @ # & ( )
+. Pu'lic Re)enues and Budget,Related SAc -ork
Activity Type Timeframe Partners Involved in the
Engagement
Specific SAc Tools
a.
onitor government revenues
b.
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ther remarks"
a.
>hat are the problems encountered in conducting the abovementioned SAc activitiesB
b.
>hat are the results of these activitiesB
c.
2n what ways are the initiatives"
i.
SustainedB
ii.
Scaled upB
iii.
0eplicatedB
d.
n a scale of @ to ) $with @ as lowest and ) as highest% rate the following by encircling the appropriate number"
Low High0-4-A0-+-SS
Cuality of level of awareness of government6government partners on SAc activities that
contribute to the abovementioned activities.@ # & ( )
Cuality of level of awareness of citiens on the abovementioned SAc activities. @ # & ( )
:-8-: / 2+8:8--+T2nvolvement of public officials in the abovementioned activities. @ # & ( )
2nvolvement of citiens in the abovementioned activities. @ # & ( )
. /onitoring and E)aluation o Pu'lic Ser)ices and 0oods
Activity Type Timeframe Partners Involved in the
Engagement
Specific SAc Tools
a.
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ther remarks"
a.
>hat are the problems encountered in conducting the abovementioned SAc activitiesB
b.
>hat are the results of these activitiesBc.
2n what ways are the initiatives"
i.
SustainedB
ii.
Scaled upB
iii.
0eplicatedB
d.
n a scale of @ to ) $with @ as lowest and ) as highest% rate the following by encircling the appropriate number"
Low High0-4-A0-+-SS
Cuality of level of awareness of government6government partners on SAc activities that
contribute to the abovementioned activities.@ # & ( )
Cuality of level of awareness of citiens on the abovementioned SAc activities. @ # & ( )
:-8-: / 2+8:8--+T2nvolvement of public officials in the abovementioned activities. @ # & ( )
2nvolvement of citiens in the abovementioned activities. @ # & ( )
1. Pro)iding Pu'lic O)ersight 2re3orts4 5onitoring6
Activity Type Timeframe Partners Involved in the
Engagement
Specific SAc Tools
a.
4itiens rating report of local government
unit performance
b.
0esearch6studies $e.g. corruption, human
rights%
c. versight committees
d. :egislature6parliamentary monitoring
e.
4ourt $of !ustice% monitoring
f. thers $specify%"
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ther remarks"
a.
>hat are the problems encountered in conducting the abovementioned SAc activitiesB
b.
>hat are the results of these activitiesBc.
2n what ways are the initiatives"
i.
SustainedB
ii.
Scaled upB
iii.
0eplicatedB
d.
n a scale of @ to ) $with @ as lowest and ) as highest% rate the following by encircling the appropriate number"
Low High0-4-A0-+-SS
Cuality of level of awareness of government6government partners on SAc activities that
contribute to the abovementioned activities.@ # & ( )
Cuality of level of awareness of citiens on the abovementioned SAc activities. @ # & ( )
:-8-: / 2+8:8--+T2nvolvement of public officials in the abovementioned activities. @ # & ( )
2nvolvement of citiens in the abovementioned activities. @ # & ( )
E. ! your organization is in)ol)ed in other SAc rele)ant areas and acti)ities4 3lease ill u3 the ollowing:
Other relevant SAc areas Activities in these SAc areas
#.
&.
(.
(. Area o co)erage
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TEMPLATE FOR SOCIAL ACCOUNTABILITY MAPPING
Mapping is the gathering and analysis of information to establish the breadth and depth of SAc
initiatives in an area of interest (geographic or thematic). It helps identify significant issues related
to SAc work and is a useful tool for discovering alternatives to a proposal or significant impacts that
may be otherwise overlooked. The mapping process helps SAc practitioners to define the issues to
be eamined and to identify the concerns of citi!ens groups and government agencies.
The following is a list of "uestions anchored on the #our $illars of Social Accountability. The
purpose of the list is to provide the researcher with an in"uiry guide in order to map social
accountability in the researcher%s area of interest. It combines "uantitative and "ualitative
approaches. The researcher may design the "uestions as she&he sees fit' depending on the
obectives of the research and the nuances of the respondents% contet.
A. DESCRIPTION OF THE ORGANIZATION/INITIATIVE
.
*ame of +rgani!ation or ,roup
-.
ocation of +rgani!ation or ,roup
/.
0ate +rgani!ation was formally organi!ed
1.
Type of +rgani!ation (Alliance' 2oalition' #ederation' $artnership' Single +rgani!ation)3.
Sectoral Make4up of +rgani!ation
5.
,eographic scope of organi!ation
6.
*umber of total members
7.
0ate initiative was started
8.
9stimated Total $erson 0ays&Months spent on Initiative
:.
9stimated Total 2ost spent on Initiative
.
Initiative as a percentage of total organi!ational effort to date
B. GENERAL QUESTIONS
Social Accountability (SAc) is a process of constructive engagement between citi!ens and
government. It is a process of constructive engagement between citi!ens and government
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/.
=hat are the outputs and results of their efforts> =hat are their victories> =hat are the
challenges or issues they are facing>
1.
=hat is it in their SAc eperience that is driving their engagement with government> =hat
obstructs this engagement>
3.
=hat is the future direction of SAc as a practice>
5.
=hat are the gaps that need to be addressed>
C.
THE FOUR PILLARS
1.
ORGANIZED AND CAPABLE CITIZEN GROUPS
The capacity of civil society actors is a key factor of successful social accountability. The level of
organi!ation of citi!en groups' the breadth of their membership' their technical and advocacy
skills' their capacity to mobili!e and effectively use media' their legitimacy and representativity
and their level of responsiveness and accountability to their own members are all central to the
success of SAc activities. In many contets' efforts to promote an enabling environment for civil
society and to build the capacity (both organi!ational and technical) of citi!en groups are re"uired.
.
Are there organi!ed citi!en groups that are registered&accredited by the government to
conduct SAc activities> (Identify and provide a list.)If yes' to which sectors are they identified>
-.
Identify specific SAc programs' proects' and activities in which they are involved. ?ate the
etent of their participation. (1= lowest; 5=highest) =hy this rating>
/.
?ate the technical capacity of these groups in their involvement in SAc programs' proects' and
activities. (1= lowest; 5=highest) =hy this rating>
1.
=hat are the ways by which these citi!en groups able to influence governance decision4
making> 2ite eamples&cases.
3.
?ate the etent to which these citi!en groups are able to influence government decision4
making processes. (1 = not much; 5 = very much) =hy this rating>
5.
Are these groups networked&linked with each other> =hat is the nature of their
network(s)&linkage(s)> (Examples alliance! coalition! federation! partnership! single
organi"ation)?ate the etent to which their network(s) facilitate their individual efforts.(1 =
not much; 5 = very much) =hy this rating>
6.
2ite and describe SAc tools or mechanisms used by these citi!en groups. Are these SAc
tools&mechanisms institutionali!ed> @ow effective are these tools&mechanisms>(1 = not
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2.
ENABLING ENVIRONMENT
In the contet of social accountability' an enabling environment for citi!ens% engagement refers to
the set of conditions or interrelated factors that impact on the capacities of ordinary citi!ens or
citi!en groups to engage with government in a sustained and effective manner. Such engagement is
directed at holding government officials accountable for their conduct and performance in terms of
delivering better services' improving people%s welfare' and protecting people%s rights. Thus' the role
and effectiveness of citi!en groups as partners in ensuring good governance critically depend on the
efforts of both government and citi!en%s groups to create such enabling environment.nderstanding eisting conditions and how these can be improved to better nurture civic
engagement are essential to the design of capacity building programs for social accountability
.
=hat are the policies or laws that uphold the right of citi!ens to participate and engage
government> $lease cite specific policies&laws. (#pecific policies$laws may %e categori"ed into
national and su%&national.)
-.
=hat strategies and actions have the government taken in the past' or is currently undertaking'
to motivate citi!ens% groups to participate and engage government> @ow effective were these
strategies and actions> (1 = not effective; 5 = very effective) =hy this rating>
/.
=hat policies&practices does the government have that provide mechanisms for dialogue and
engagement between citi!ens% groups and government> To what etent are these mechanisms
effective> (1 = not effective; 5 = very effective) =hy this rating>
1.
=hat agency&ies in the government is&are responsible in registering&accrediting citi!en groups>
2ompare actual procedures&practices with eisting guidelines or policies in registering citi!en
groups. =hat issues commonly arise in the accreditation process> @ow are these issues
addressed>
3.
In what ways do politicians (national and sub4national) influence the selection and approval
process of citi!ens% groups> =hat are the criteria in selecting "ualified citi!en groups>
5.
@ow do government officials view citi!ens&citi!en groups articulating their views' organi!ing to
assert their rights' or engaging with government to improve SAc practices>
6.
?ecommend ways by which an enabling environment' including SAc champions in government'
can be fostered at the national and sub4national levels.
3. CONTEXT & CULTURAL APPROPRIATENESS
The parameters for social accountability are largely determined by the eisting political contet and
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the environment for social accountability (and the risks they entail) must be undertaken and
appropriate strategies for addressing potential barriers developed.
.
=hat beliefs' attitudes' or cultural factors (if any) pose barriers to women' young people'
senior citi!ens' and other marginali!ed groups in participating in governance processes> To
what etent do these factors impact on these groups% capacities to engage with government>
-.
=hat beliefs' attitudes' cultural practices (e.g.' views on leadership' governance' citi!ens%
participation' etc.) pose barriers to citi!ens% access to information>
/.
$lease describe the bureaucratic&administrative culture of the government (national and sub4
national). In what ways does this culture impact on citi!ens% participation> (#acilitating>
@indering>)
1.
$lease describe the political culture of the government (national and sub4national). In what
ways does this culture impact on citi!ens% participation> (#acilitating> @indering>)
3.
=hat are the beliefs' attitudes' and cultural views of each organi!ation to the following>
Social accountability
2onstructive engagement with government (national and sub4national)
Transparency and access to information
+rgani!ed citi!enry engaged with local government
5.
?ecommend ways by which contet and culture can be integrated into SAc proects and
activities in your country (national and sub4national levels).
4. ACCESS TO INFORMATION
The availability and reliability of public documents and data is essential to building social
accountability. Such information is the basis for social accountability activities' and thus its "uality
and accessibility is a key determinant of the success of social accountability mechanisms. In many
cases' initial social accountability efforts may need to focus on securing freedom of information
legislation' addressing a lack of political will to disclose or strengthen the technical capacity of
public institutions to record' manage and make available relevant data.
Accessibility here has two connotations' physical access to documents' and their availability in a
format that is understandable to in"uirers. Because not all information is in documents' access also
means to people (officials) and places.
Are there government regulations or policies on citi!ens% access to public information (people
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1.
2ite eamples or cases when access to information by citi!ens or citi!en groups was actually
practicedby the government. =hat were the reasons> =hat are the factors that facilitate
access to information>
3.
2ite eamples or cases when access to information was actuallywithheldby the government
from its citi!ens. =hat were the reasons> =hat are the constraints that hinder access to
information>
5.
=ho (or which office) has the duty to provide access to information>
6.
In what ways is access to information related to social accountability>
7.
?ecommend ways to promote access to information.
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TEMPLATE FOR SOCIAL ACCOUNTABILITY PROFILING
The McKinsey 7S Framework
This template sets forth a guide on how to assess the SAc agent (e.g. organization, institution) is
positioned to achieve its intended objective. The template is adapted from the Mcinse! "S
#ramewor$ developed b! Tom %eters and &obert 'aterman of the Mcinse! ompan!
consulting firm. The basic premise of the model is that there are seven internal aspects of an
organization that need to be aligned if it is to be successful.
The seven organizational elements are divided into *hard+ or *soft+ elements
-A& S/#T
0.
S!stem
1.
Structure
2.
Strateg!
3.
Shared 4alues
5.
S$ills
6.
Staff
".
St!le
7-ard7 elements are easier to define or identif! and management can directl! influence them
These are strateg! statements8 organization charts and reporting lines8 and formal processes and 9T
s!stems.
7Soft7 elements, on the other hand, can be more difficult to describe, and are less tangible and
more influenced b! culture. -owever, these soft elements are as important as the hard elements if
the organization is going to be successful.
The wa! the model is presented in #igure 0 below depicts the interdependenc! of the elements and
indicates how a change in one affects all the others.
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:et;s loo$ at each of the elements specificall!
Strategy:the plan devised to maintain and build the agenc!
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TEMP!TE F"# P#"F$$%&
Strategy
'hat is the agenc!practice7
hierarch!
-ow do the various components=departments=offices coordinate activities
-ow do the team members organize and align themselves
9s decision ma$ing and controlling centralized or decentralized 9s this as it
should be, given what the agenc! is doing
'here are the lines of communication B?plicit and implicit
Systems
'hat are the main s!stems that run the organization onsider financial
and -& s!stems as well as communications and document storage.
'here are the controls and how are the! monitored and evaluated
'hat internal rules and processes does the agenc! use to $eep on trac$
Shared Values
'hat are the core values
'hat is the prevailing culture of the agenc!
-ow strong are the values
'hat are the fundamental values that the compan!=team was built on
'hat do !ou measure and reward
Style
-ow would !ou describe !our SAc wor$ -ow would !our partners
(communities, sta$eholders, government) describe !our SAc wor$
-ow participative is the management=leadership st!le
-ow effective is that leadership
0*lient+ ma! refer to partner communities, sectors, or government with whom the agenc! wor$s to promote SAc initiatives.
1*Bnvironmental issues+ refers to the Strengths, 'ea$nesses, /pportunities, and Threats (S'/T) of the agenc!.
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o emplo!ees=team members tend to be competitive or cooperative
Are there real teams functioning within the organization or are the! just
nominal groups
'hat will have to change for the SAc agenc! to grow
Staff
-ow man! emplo!ees=volunteers in the agenc! %rovide demographic
profile.
'hat positions or specializations are represented within the agenc!
'hat positions need to be filled
-ow are emplo!ees=volunteers recruited
Are there gaps in re@uired competencies
Skills
'hat are the strongest s$ills represented within the agenc!
Are there an! s$ills gaps
'hat is the agenc! $nown for doing well
o the current emplo!ees=volunteers have the abilit! to do the job 'hat
s$ills will !ou need in about 1 !ears from now
-ow are s$ills monitored and assessed
'hat capacit! building needs does the agenc! have