71399 Procurement Monitoring and Social Accountability Curriculum Development Program Contents Acknowledgments 2 Executive Summary 3 Abbreviations and Acronyms 4 List of Boxes 4 Introduction 5 Purpose of this Report 5 What is Social Accountability? 5 Scaling Up Social Accountability Pilots with Support from the Norwegian Trust Fund and by Leveraging Complementary Funding 6 The WBI/ANSA-South Asia Partnership: Transferring Management Responsibility for the Procurement Monitoring and Accountability Curriculum Development Program 7 Genesis of the Procurement Monitoring and Accountability Curriculum Development Program 9 Social Accountability Practitioner Consultation 9 Identi�cation of Target Audiences for Social Accountability Curriculum 10 Implementing the Recommendations from the Consultation: Partnering with Training Institutions for a Multifaceted Approach 10 Knowledge Products Developed Under Pilots Supported by the Norwegian Trust Fund and Complementary Funding Leveraged by WBI 13 Snapshots of Each Knowledge Product 13 Interactive Website: The “Social Accountability Curriculum� (CGG) 13 Manual #1: “Social Accountability in the Indian Context� (YASHADA) 16 Manual #2: “Enhanced Transparency in Procurement through Voluntary Disclosure under the [Right to Information] Act (2005)� (YASHADA) 17 Report featuring twelve case studies from South Asia: “Social Accountability in Urban Governance: Indian Case Studies� (ASCI) 20 Report featuring four case studies from Brazil: “Citizen Engagement and Social Accountability: the Changing Face of Subnational Democracy in Brazil� (CEAPG) 23 A curriculum on social accountability and local governance in Sri Lanka (TAF) 26 A series of eight global case studies commissioned by WBI 26 Unpacking the Knowledge Products: A Snapshot of the Lessons Presented 27 Next Steps 30 Conclusion 31 Bibliography 32 1 Acknowledgements M any thanks to representatives of the training institutions who developed the core products and are using them as part of their capacity building programs in their respective institutions - Professor Nasrin Siddiqui (YASHADA); Professor Usha Reddi (Administrative Staff College of India - ASCI); Professor V. Srinivas Chary (ASCI); Dr. Rajiv Sharma (Centre for Good Governance - CGG); and Mr. Satyajit Vagvala (CGG). This paper was written by Craig Hammer (Consultant); Mohini Malhotra and Karen Sirker, World Bank Institute, Washington DC. The World Bank Institute (WBI) would like to gratefully acknowledge the �nancial support of the Norwegian Governance Trust Fund. The trust fund was implemented by the South Asia Agriculture and Rural Development Unit, in collaboration with the South Asia Procurement Hub of the World Bank. The task was jointly managed by a Team led by Asmeen Khan, Joel Turkewitz and Benjamin Powis. Cover photo by Shweta Rajwade Cover design by Colorcom Disclaimer: The �ndings, interpretations, and conclusions expressed in this paper are entirely those of the author(s) and should not be attributed in any manner to the World Bank, to its af� liated organizations, or to members of its Board of Executive Directors or the countries they represent. The World Bank does not guarantee the accuracy of the data included in this publication and accepts no responsibility for any consequence of their use. 2 Executive Summary T he devolution of procurement responsibilities to local levels of government is increasingly occurring across South Asia. This trend is signi�cant because increasingly localized decision-making better enables communities to hold government authorities accountable for the effectiveness of public spending, which can lead to various improved development outcomes, such as improvements in quality of service delivery; greater empowerment and understanding by end-users services supplied through public procurement processes; and improved oversight and accountability of service delivery agencies. World Bank Institute (WBI) sought to build onto existing momentum, both in South Asia and globally, achieved by practitioners and civil society organizations on awareness-raising initiatives and practical applications of social accountability tools and approaches in public procurement processes. The objective of this report is to set out an overview of the strategic approach developed by WBI as a component of the Norwegian Governance Trust Fund (NTF) program, “Procurement and Service Delivery: Establishing effective collaboration between government and bene�ciaries on monitoring procurement outcomes.� WBI received funds under the NTF to facilitate the development of context- and audience-speci�c knowledge products by recognized practitioners and civil society organizations in South Asia as part of a broader effort to create a practical curriculum on social accountability in procurement. This report is intended to signpost the breadth and accessibility of these knowledge products, and an early glimpse into some emerging lessons, albeit in early testing stages. These lessons and experiences will be shared at the South Asia regional workshop on the theme, “Strengthening Citizen Engagement in Procurement: Reviewing experiences, Identifying Challenges and Exploring opportunities� to be convened in from December 8th to 10th, 2009, at the BRAC Centre for Management Development in Rajendrapur, Dhaka, Bangladesh. 3 Abbreviations and Acronyms ANSA-South Asia Af�liated Network for Social Accountability in South Asia APREGS Andhra Pradesh Rural Employment Guarantee Scheme [India] ASCI Administrative Staff College of India [India] CEAPG Public Administration and Government Center (Centro de Administração Pública e Governo) [Brazil] CGG Center for Good Governance [India] CSA Center for Social Accountability (CSA) [India] CUTS-CART Consumer Unity and Trust Society’s program for Consumer Action Research and Training [India] GDP Gross Domestic Product G-Watch Government Watch [Philippines] JNNURM Jawaharlal Nehru National Urban Renewal Mission [India] K-III Greater Karachi Water Supply Scheme [Pakistan] KW&SB Karachi Water and Sewerage Board [Pakistan] NIRD National Institute of Rural Development [India] NREGA National Rural Employment Guarantee Act [India] NTF Norwegian Governance Trust Fund OPEN system Online Procedures Enhancement for Civil Applications [South Korea] PHRD Policy and Human Resources Development Fund PIP Productivity Improvement Program [Philippines] PROOF Public Records of Operations and Finance [India] PSAM Public Service Accountability Monitor [South Africa] PWI Procurement Watch Incorporated [Philippines] SAc Social Accountability SASANET South Asia Social Accountability Network TAF The Asia Foundation TI Transparency International WBI World Bank Institute YASHADA Yashwantrao Chavan Academy of Development Administration [India] List of Boxes Box 1: CGG website 13 Box 2: Social Accountability in the Indian Context 16 Box 3: Enhanced Transparency in Procurement through Voluntary Disclosure under the Right to Information Act 2005 19 Box 4: Social Accountability in Urban Governance: Indian Case Studies 21 Box 5: Changing Face of Subnational Democracy in Brazil 24 Box 6: The Asia Foundation Social Accountability Curriculum 25 4 Introduction G lobally, public procurement has been identi�ed as the government activity most vulnerable to corruption. As a major interface to provide a gloss on lessons learned under the Procurement Monitoring and Accountability Curriculum Development program developed between the public and the private sectors, public by WBI, the management of which will soon be procurement provides multiple opportunities for transferred to the Af�liated Network for Social both public and private actors to divert public funds Accountability in South Asia (ANSA-South Asia). for private gain. Procurement of goods, works and These lessons and experiences will be shared other services by public bodies alone amounts at the South Asia regional workshop on the on average to between 15% and 30% of Gross theme, “Strengthening Citizen Engagement in Domestic Product (GDP), in some countries even Procurement: Reviewing experiences, Identifying more. Few activities create greater temptations or Challenges and Exploring opportunities� to be offer more opportunities for corruption than public convened in from December 8th to 10th, 2009, at sector procurement. Damage from corruption is the BRAC Centre for Management Development estimated at normally between 10% and 25% in Rajendrapur, Dhaka, Bangladesh. and in some cases as high as 40 to 50%, of the contract value (Transparency International 2006). What is Social Accountability? Procurement processes differ widely throughout Social accountability has been de�ned as “an the world, involving complicated regulations and approach towards building accountability that practices in each country. As a result, procurement relies on civic engagement, i.e., in which it is is often opaque and building effective integrity ordinary citizens and/or civil society organizations systems poses signi�cant challenges. While who participate directly or indirectly in exacting procurement is often seen as a highly technical accountability� (Malena, et al 2004). The process, ample evidence is now available which concept refers to the establishment of vertical demonstrates that it can be made accessible to relationships between citizens and government the public. Space is increasingly being made for which are characterized by direct accountability citizens to become engaged at the various stages through a range of “internal� and “external� tools, of the procurement process. or mechanisms initiated and supported by the government, civil society, or both. Purpose of this Report In the last several years, social accountability The objective of this report is to set out an tools have become increasingly sophisticated; overview of the strategic approach developed they have revolutionized ways in which citizens, by World Bank Institute (WBI) as a component communities, independent media and civil of the Norwegian Governance Trust Fund (NTF) society organizations voice views and interact program, “Procurement and Service Delivery: with public of�cials and public servants, to Establishing effective collaboration between hold them to account. These tools have government and bene�ciaries on monitoring likewise gained widespread acceptance and procurement outcomes.� WBI received funds application, particularly in the service delivery under the NTF to facilitate the development context. Examples of these tools include citizen of context- and audience-speci�c knowledge participation in public policy making, participatory products by recognized practitioners and civil budgeting, public expenditure tracking, citizen society organizations in South Asia as part of monitoring of the performance of public service a broader effort to create a practical curriculum delivery and projects or subprojects, independent on social accountability in procurement. This budget analysis, social audits, lobbying and report is intended to signpost the breadth and advocacy campaigns by civil society, and citizen accessibility of these knowledge products, and advisory boards. The effectiveness of these 5 tools depends on the enabling environment, have emerged as effective mechanisms to monitor which refers to the set of conditions which impact government performance, including exposing the capacity of citizens, government of�cials, government failures and transgressions. In the civil society organizations, the media, and other public service delivery context, these tools can actors to engage in social accountability in a promote a ‘virtuous circle’ in which efforts to sustained and effective way at the policy, project strengthen internal accountability mechanisms and program levels. This includes the legal, within the public sector are reinforced by measures regulatory and policy frameworks and political/ to facilitate external control by citizens toward governmental, economic and socio-cultural common goals, including improving delivery of factors. public services. In the empowerment context, these tools can enhance citizens’ voice and A key goal of social accountability initiatives is influence in relation to the government, including to achieve citizen-government partnerships: social groups which are underrepresented in while the responsibility for �nal policy formation formal political institutions, such as women, remains with government, this relationship youth, and poor people. ensures that citizens have greater voice in government decision-making and can help shape the policy dialogue (Caddy, et al 2007). Scaling Up Social Accountability Tools such as participatory budgeting, public Pilots with Support from the expenditure tracking, citizen report cards, Norwegian Trust Fund and by citizen score cards, and other mechanisms Leveraging Complementary which facilitate monitoring and evaluation of public service delivery can complement Funding and reinforce conventional accountability In 2007, the World Bank Institute (WBI) received mechanisms, such as elections, political checks grant support from the NTF to establish a pilot and balances, accounting and auditing systems, program designated, “Procurement and Service administrative rules, and legal procedures. Delivery: Establishing Effective Collaboration Social accountability tools enable civil society Between the Government and Bene�ciaries on to meaningfully contribute to public decision- Monitoring Procurement Outcomes.� The pilot making and to otherwise hold public actors emphasized the importance of good governance accountable for particular decisions and in public procurement as part of efforts across behavior in more sustainable ways (World Bank regions to move toward localized decision-making; 2006). Social accountability tools additionally this area is a key entry point for the development provide civil society with an array of formal and of social accountability tools. WBI used the informal rewards and sanctions to help ensure funds to have a consultative workshop with key that government acts in the best interests of practitioners and policy-makers in the South Asia all people, including the poor and marginalized region to set the framework for core curriculum on (Malena, et al 2004). social accountability with a procurement focus, develop a series of eight global case studies Procurement monitoring by citizens is a new demonstrating practical social accountability area of social accountability which is in great lessons in public procurement; and channeled demand. Social accountability tools are useful funds to three partner training institutions across contexts, and generally seek to improve (ASCI, YASHADA, and CGG) to develop social governance, enhance or expand public services, accountability knowledge products. and scale up civic empowerment (Public Affairs Foundation, Sirker, and Cosic 2007). In the The NTF program additionally catalyzed governance context, social accountability tools the development of other WBI activities on 6 social accountability and public procurement. accountability in procurement in urban and Speci�cally, WBI supplemented NTF support peri-urban governance in the region; by leveraging Trust Funds from the Policy and • A report featuring four case studies Human Resources Development Fund (PHRD) to from Brazil developed by the Public supplement funding to the three partner training Administration and Government Center institutions mentioned above; and to develop (Centro de Administração Pública e Governo two additional products: case studies on Brazil’s - CEAPG) with funds leveraged by WBI, experience in procurement accountability to be which documents how to strengthen social shared with South Asian peers and the “Capacity accountability at the local level, including in Building Program in Social Accountability� in Sri the procurement context; Lanka. • A curriculum on social accountability and The resultant range of knowledge products were local governance in Sri Lanka developed developed in partnership with internationally by The Asia Foundation (TAF) with funds recognized training institutions, procurement leveraged by WBI, which documents social experts and organizations, several of which accountability approaches and tools at the participated in WBI’s November 2007 workshop. local government level in Sri Lanka; and These knowledge products include: • A series of eight global case studies • An interactive website developed by the commissioned by WBI which document Center for Good Governance (CGG) with social accountability in public procurement NTF support, with portals dedicated to the processes in South Korea, Pakistan, Mexico, mobilization of research, testimonials, and South Africa, Argentina, and the Philippines. good practices on the intersection of social accountability and procurement; the goal of this website and its several informative portals The WBI/ANSA-South Asia is to create a one-stop platform for interested Partnership: Transferring stakeholders on procurement and social Management Responsibility for accountability by referencing international best practice from around the world; the Procurement Monitoring and Accountability Curriculum • Two manuals developed by the Yashwantrao Development Program Chavan Academy of Development Administration (YASHADA) with NTF support, WBI’s strategy was to launch the SAC examining both the right to information and procurement curriculum program and get some how it might be exercised by citizens and initiatives underway, while in tandem the World local-level government to maximum effect Bank was helping to establish and build the (“Enhanced Transparency in Procurement capacity of ANSA-South Asia, a program managed through Voluntary Disclosure under the RTI by the Institute of Governance Studies at BRAC Act 2005�) and more general understandings University in Bangladesh, which aims to improve of the enabling environment for social governance and accountability in South Asian accountability in India (“Social Accountability countries through demand-side approaches, The in the Indian Context�); idea was for ANSA-South Asia to then scale up the pilots in motion as part of its larger portfolio. • A report featuring twelve case studies ANSA-South Asia seeks to promote sustained from South Asia developed by the citizen engagement and develop partnerships for Administrative Staff College of India (ASCI) accountable institutions by providing a networking with NTF support, which documents social platform to enhance practitioner expertise and 7 disseminate knowledge regionally and globally • Providing a knowledge platform for in three areas: budget allocation, expenditure dissemination of best practices; tracking, and performance monitoring. ANSA- • Facilitating networking and regional South Asia also draws on and strengthens exchanges among practitioners to strengthen existing social accountability institutions and local capacity; networks of practitioners throughout the region to scale up and raise the impact of demand- • Providing technical assistance and grants side initiatives at the country level. ANSA-South to practitioners engaged in demand-side Asia’s goals include: governance initiatives; and • Building capacity through training and skills • Conducting and disseminating research on building on social accountability; social accountability. 8 Genesis of the Procurement Monitoring and Accountability Curriculum Development Program Social Accountability Practi- the curriculum subsequently developed by the partner institutions: tioner Consultation The Procurement Monitoring and Accountability • Conceptual understandings of social Curriculum Development program was the result accountability, such as the rationale, of the South Asia Regional Workshop on “Social principles, and de�nitions; Accountability Curriculum Development", which • Enabling environment issues, such as was convened by WBI in New Delhi, India from situational diagnostics, legal framework, November 19-20, 2007. The purpose of the political economy, system of governance, workshop was to bring together a group of leading planning mechanisms, existing accountability South Asian practitioners, training institutions, mechanisms, access to information, and and policy makers to develop a curriculum for rights; social accountability, and to create a space for these partners to decide on which aspects of • Social accountability tools, such as best social accountability and procurement they practices, development of new tools, RTI wanted to focus. WBI organized the workshop Acts, participatory budgeting, performance as a response to demand by several institutions monitoring, participatory policy making, in South Asia for a consultation to develop documentation of processes, and use of ICTs; certi�cate or post diploma learning programs on social accountability, with the aim of increasing • Strategic communication and advocacy; the number of social accountability specialists to • Sustainability (�nancial, institutional fund apply new skills for improved policies, budget and raising, scaling up); and procurement oversight, and better governance and service delivery. The core objectives of the • Monitoring and evaluation and assessing workshop were to develop a curriculum on social impacts. accountability targeted to different stakeholders and to broaden the South Asia Network on social The workshop participants also determined that accountability. the emerging need for a social accountability curriculum is rooted in the increasing demand The workshop was attended by thirty participants, by and expectations of the public for inclusive including social accountability practitioners, growth and development throughout the South academicians, donors, NGO representatives, Asian region. They further agreed that increasing state and local government training institutes awareness of the concept of social accountability from Bangladesh, India, Pakistan, and Sri throughout the region is the result of promising Lanka. A key outcome from the workshop was news of outcome-based budgeting and other broad agreement among participants that there social accountability tools which have already is demand for a social accountability curriculum been put into practice in South Asia and other from multiple sources across the South Asia regions. They concluded, however, that a sizable region. Participants further agreed that there gap remains in the development and application was urgent need for capacity building of social of social accountability methodologies which accountability skills in all countries of the sub- target procurement in South Asia, and of training continent, to improve the quality of governance programs that could lead to the application and and accountability. The participants identi�ed improvement of social accountability practices the priority topics for a social accountability and tools. curriculum which set the following framework for 9 Identi�cation of Target Audiences instrument for development of economic and social activities of the… institutions and for Social Accountability organizations of the State Government.� Curriculum YASHADA typically trains approximately The workshop participants agreed that while 50,000 people per year, including trainee multiple audiences needed to be targeted by the groups of government of�cials and non- social accountability curriculum, the initial focus of�cials, executives of NGOs and members ought to be on public sector of�cials (at the local, of academia. Approximately 1,200 state and national levels), to sensitize them to the institutional and off-campus training courses importance of social accountability, and to raise are conducted annually, including: induction awareness of the importance of partnering with courses for newly recruited or promoted the community to advance meaningful public state government of�cers; refresher and policy and programs. orientation courses for in-service government of�cers; and workshops, seminars and conferences on issues related to Implementing the Recommenda- development administration for of�cers from tions from the Consultation: various departments of the Central and State Partnering with Training Governments, public sector undertakings and Institutions for a Multifaceted non-government organizations. YASHADA Approach was selected because it was already a partner with WBI on an urban management WBI adopted a multifaceted, collaborative program, and YASHADA had proposed approach to implement the recommendations integrating social accountability into its from the consultation. To start, WBI issued a call urban management program initially and for proposals from recognized training institutions then mainstream it across its various training to develop knowledge products to contribute to programs for government of�cials. The the development of the social accountability institution additionally has signi�cant scale curriculum in light of the priority areas and target and well-developed outreach to the target demographics identi�ed during the consultation. demographics of the social accountability As indicated above, WBI leveraged resources curriculum, particularly among local, state to complement NTF support to develop further and national government of�cials. knowledge products which identify distinct lessons and global good practices that are salient • The Administrative Staff College of India to the South Asia context. Ultimately, proposals (ASCI): ASCI was established in 1956 at were selected from the following partner training the initiative of the government and the institutions: private sector as a college for practicing managers. The mission of ASCI is to “bring • The Yashwantrao Chavan Academy of together men and women from all spheres Development Administration (YASHADA): of administration - private and public sector, YASHADA was established in 1963 in industry and commerce and government Maharashtra as a training center for modern service - to study the administrative problems management and administration practices. which in one form or another are common It is also one of a few national training to all organizations.� ASCI focuses on institutions on the Right to Information professionalizing management and offers Legislation. Among other priorities, the structured training courses to develop mission of YASHADA is to “to promote strategic thinking, reformist leadership, modern management science as a major and state-of-the-art skills among practicing 10 managers throughout the developing world. among government and civil society as an Approximately 75,000 participants from effective training organization. Adding a industry, government and non-government module on social accountability in public organizations have taken advantage of the procurement onto CGG’s website allowed more than 200 management development the program to add to the momentum of the programs offered by ASCI every year, presence CGG has already established, and including training in urban governance and to tap into its established and well-respected infrastructure development; management brand. studies; poverty and rural development; • The Center for Studies in Public Administration innovation and technology; economics and and Government (Centro de Administração �nance; human development; and public Pública e Governo - CEAPG): CEAPG is part policy, governance and performance. ASCI of the São Paulo Business School (Escola was selected because it, too, is a long-term de Administração de Empresas de São partner of WBI. ASCI also collaborated with Paulo), and operates under the auspices of WBI to develop India’s �rst urban certi�cation the Getúlio Vargas Foundation (Fundação program. The institution has signi�cant scale Getúlio Vargas). CEAPG developed and and well-developed outreach to the target runs the Program for Public Management demographics of the social accountability and Citizenship, which has compiled an curriculum, including local, state and national open source database of more than 8,200 government of�cials, and ASCI proposed to case studies of governance innovations integrate the SAC curriculum into its highly between 1996 and 2005. CEAPG uses this demanded urban management certi�cate database to develop networks to discuss program. issues across thematic areas, including • The Center for Good Governance (CGG): The governance; transparency and social control; CGG was established by the Government local development and poverty reduction; of Andhra Pradesh in October 2001 to help public policies; and evaluation of actions and facilitate the achievement of the statewide policies. These networks raise awareness goal of ‘transforming governance.’ CGG was of new, effective governance initiatives selected because it has already previously worldwide, including the application of partnered with the World Bank to develop assessment techniques developed to and host the South Asia Social Accountability promote inclusive governance and civic Network (SASANET), an online platform engagement in public policy-making. CEAPG which offers an extensive database of tools, was selected because of its international best practices and case studies created to reputation for developing and disseminating facilitate enhanced social accountability in effective instruments to reduce poverty and governance. The platform was designed to social exclusion. Speci�cally, CEAPG hosts raise awareness among government and and maintains the Technological Incubator members of civil society of the use of social of Popular Co-ops, a social networking accountability tools in the promotion of good website to establish partnerships (or co-ops) governance. CGG is tasked with hosting the among social accountability practitioners, site for the broader purpose of developing a government of�cials, and the general public cadre of trainers able to support government which encourage the inclusion of the poor and and civil society to use these tools, as well as vulnerable across thematic areas, including to assist them to pilot programs and identify in public policy-making and procurement good practices. CGG develops its own peer- processes. The website further houses reviewed content and has a solid reputation an open source, online platform which 11 provides the general public with access to The selected proposals identi�ed key knowledge a comprehensive database of research and gaps to be addressed through the proposed case studies on local governance. products, and the processes to be used to mainstream the knowledge products into • The Asia Foundation (TAF): TAF is a non- ongoing training programs. Multi-layered peer pro�t NGO which supports leadership and review processes were next implemented for institutional development, exchanges, and each knowledge product as they were being policy research in Asia at the country and developed. The �rst layer was comprised of peer regional level. It is headquartered in San review processes institutionalized by the partner Francisco, and has of�ces across Asia, institutions themselves. For example, YASHADA including in Afghanistan, Bangladesh, undertook two peer review meetings attended Cambodia, China, East Timor, Hong by the target audience of the two manuals under Kong, Indonesia, Japan, Korea, Malaysia, development. During these meetings, public Mongolia, Nepal, Pakistan, Philippines, Sri of�cials and NGO leaders respectively reviewed Lanka, Thailand, and Vietnam. As of 2008, the content of the manuals and provided the Foundation disseminated educational comments to better tailor the content to demand. materials, more than one million books, and ASCI likewise undertook peer review meetings other knowledge products throughout Asia. It with public of�cials, who were the target audience further provided more than USD $87 million for the twelve case studies under development. in program support during in 2008, including CGG similarly undertook an online peer review on improving governance, law, and civil by a large number of SASANET contributors and society; women's empowerment; economic users. reform and development; and international relations. The mission of the Foundation is WBI then convened working group meetings to develop “a peaceful, prosperous, just, and with several of the partner organizations during open Asia-Paci�c region.� TAF was selected the development of their knowledge products. because it has extensive experience with and During these meetings, expert-practitioners a strong reputation for piloting effective local from YASHADA, ASCI, and CGG presented governance activities. The World Bank has information to WBI counterparts and several previously partnered with TAF to pilot a range respected practitioners and received comments. of technical assistance activities on local They further examined overlaps and synergies governance in Asia, including supporting among and between each institution’s knowledge Afghanistan’s election process, launching products in discussions with WBI counterparts, civic engagement activities for the poor and to explore how regional partnerships might be marginalized in Laos, and benchmarking developed to wholesale knowledge and learning corruption trends in Mongolia. and develop centers of excellence. 12 Knowledge Products Developed under Pilots Supported by the Norwegian Trust Fund and Complementary Funding Leveraged by WBI E ach of the knowledge products – were developed by training institutions and expert-practitioners using extensive outreach (CGG) – shared their perspectives to provide further context on the projected uses of the knowledge products and the challenges they and analysis. Outreach included interviews face in deploying these products effectively as and in some circumstances �eld studies with training tools. The discussion that follows draws individuals, organizations, advocacy groups, on interview these WBI partners, which were training institutes, and government agencies conducted in November 2009. undertaking projects and initiatives focusing on social accountability in public procurement. Snapshots of Each Knowledge In terms of analysis, of the various initiatives Product identi�ed, detailed information was collected on those examples which provide valuable, practical Interactive Website: The “Social lessons about local or regional conditions and Accountability Curriculum� (CGG): other motivating factors which have led to the development of particular tools to improve social The “Social Accountability Curriculum� is an accountability. The knowledge products then online platform developed by CGG. The platform point to the lessons learned from these initiatives. is comprised of six main chapters, as well as a Bibliography and a Glossary. The scope of Additionally, the leaders of several of the the curriculum is comprehensive, and the main knowledge products – Professor Nasrin Siddiqui chapter headings are: (YASHADA); Professor Usha Reddi (ASCI); • CHAPTER 1: Introduction; Professor V. Srinivas Chary (ASCI); Dr. Rajiv Sharma (CGG); and Mr. Satyajit Vagvala • CHAPTER 2: Social Accountability Concept; Box 1: CGG website. The website is comprised of portals which provide snapshots of topics and good practices on social accountability, including public procurement. for example, the Procurement Monitoring portal details and series of tools and methods used to promote social accountability: Integrity Pact: details that pacts can be executed between parties to a public procurement contract which specify rights and obligations of those involved, including prohibitions on bribery and collusion, disclosure requirements for bidders, and levying sanctions for violations. Public Hearing: explains that well-publicized, open public hearing can raise public awareness effectively and serve as a platform for public comment. External Monitoring: explains different forms of civil society monitoring, emphasizes that monitors must be independent, and details selection criteria for monitors. Price Comparisons: explains how to collect and publish price information to reduce gouging and shed light on corrupt practices. 13 • CHAPTER 3: Enabling Environment; the site) accounts for about 50% of total users, while indirect traf�c (i.e. users who reach the site • CHAPTER 4: Communication & Advocacy; through a search engine) comprise about 35%, • CHAPTER 5: Capacity Building for Social with the remainder accessing the site through Accountability; and links on websites of partner organizations or • CHAPTER 6: Social Accountability Themes. other avenues. Approximately 60% of users are �rst-time visitors to the platform and nearly 40% Each main chapter contains between one and are revisiting it. Dr. Rajiv Sharma characterizes eight sub-chapters which sign-post the subject its reception by the CGG’s target audience – matter. When the user clicks on the chapter or civil society and NGOs in particular – as “good sub-chapter link, a new window opens containing to excellent� and feels that platform access the content of the curriculum. Each chapter and reflects a good balance of new and returning sub-chapter is generally between one and two users. According to CGG research the majority pages long and is presented in an introductory of the platform’s users are in India, but it has format. The content of the curriculum does not also been accessed across regions, including by use overly technical jargon. users in the United States, Kenya, Bangladesh, the United Kingdom, Sri Lanka, the Philippines, The aim of the curriculum is to strengthen the Brazil, Tanzania, and Norway. capacities of social accountability practitioners and to help them apply their skills for improved The ‘Procurement Monitoring’ sub-chapter policies, budget and procurement oversight, of the curriculum under Main Chapter 6 and better governance and service delivery. (“Social Accountability Themes�) provides a The SASANET website (www.sasanet.org), digestible introduction to signs, types, and maintained by the CGG, is the host website. The impacts of mismanagement and corruption in website indicates that the target audience of the and on procurement processes. It thereafter curriculum is broad, including policy makers and identi�es principles and good practices in public other supply-side (local and national government) procurement, including the importance of: stakeholders, social accountability practitioners, • Policies: Robust policies are the �rst line civil society, and researchers; the content is of defense against corruption, including accordingly geared toward users with limited or mandating transparency, accountability and no familiarity with social accountability concepts. the establishment of regulatory processes to CGG launched the website in March 2009 and detect and prevent corruption. has since embarked on an extensive outreach • Sound Legal and Institutional Frameworks: campaign to raise awareness of the platform and A comprehensive legal framework is to solicit feedback on its content. Speci�cally, necessary to guide the entire public CGG leadership and staff have sent emails procurement process, including legal and and written correspondence to more than 250 regulatory controls which de�ne standard agencies of the Government of India, NGOs, tender documents, guide authorities in CSOs, political parties and others to scale up assessing and processing tenders, clarify usage which is occurring each day. The CGG responsibilities up and down the procurement has mobilized signi�cant data on usage of its chain, and establish safeguards against and social accountability platform. Between March penalties for corruption; and November 2009, the website had more than 20,000 hits at approximately 10 to 15 clicks • Control Systems: Independent internal per user, with an average of 2.5 pages viewed and external control systems can enhance per visit. Direct traf�c (i.e. users looking for accountability and transparency in public 14 procurement by detecting and preventing an elementary fashion to provide �rst-time users corruption, and can include internal audits, with an accessible introduction to the concept �nancial risk analyses, management control of social accountability, but that CGG plans to systems, performance audits, and external develop a parallel curriculum which provides a �nancial audits; more advanced treatment of the content in the mid-to-long term, for the bene�t of practitioners • Complaints and Review Mechanisms: and experts. To improve on the multiplier effect of Complaints and appeal mechanisms provide the platform’s content; CGG is also considering participants in procurement processes, as having it translated into a small number of local well as the general public, the opportunity languages, based on the availability of funds. to voice concerns or bring violations to light, and should be established by clear rules to CGG is also planning to undertake another stem possible abuse; outreach campaign geared speci�cally toward universities and other academic institutions, • Sanctions: Effective, standardized to increase use of the platform and its content sanctioning systems should be established by mainstreaming the substance into courses to prevent and respond to instances of for students and adult education. CGG further corruption in public procurement processes. plans to develop new modules geared toward the • Professionalism/Training: Public procurement impact of social accountability in practice areas of�cials should be well trained, including in the including, for example, procurement, health, correct application of rules and procedures, education, and more. This is a particularly the identi�cation of corruption risks, and valuable area for development for CGG, on the relationship between integrity and since the Government of India is increasingly effectiveness. incorporating social accountability tools into national-level activities; for example, CGG has • E-Procurement: E-Governance, including been commissioned by the Ministry of Housing e-procurement, is an increasingly available and Urban Poverty Alleviation to develop social option to increase transparency and accountability tools for government-sponsored ef�ciency in public procurement, as well as to activities in urban areas. lower costs and reduce transaction time. In the longer term, CGG plans to scale up usability The platform has provided an avenue to receive of the platform beyond the South Asian context, user feedback: the website’s main page has a including adding to or revising the platform’s “Post it and Share� option, which allows users content to increase its relevance to users in other to comment on the platform’s content as well regions. Plans are also under way to partner as to share good practices in and lessons from with other social accountability organizations in social accountability work. However, this feature South Asia and beyond, to share components of is not widely used and that CGG has relied the curriculum and incorporate good practices, primarily on outreach to pursue user feedback. lessons learned and innovations from other To accomplish this outreach, CGG issues regular regions, such as case studies on e-governance. email updates and newsletters to more than 150 Dr. Sharma and Mr. Vagvala of CGG feel that with NGO’s throughout South Asian countries. careful planning, the platform can be replicated. In terms of the projected uses of the website in From inception to launch, the planning and the mid- to long-term, CGG is looking to involve development of the platform took between seven outside experts and practitioners for insights and and eight months, which was followed by an inputs as it continues to re�ne the content. The intensive peer review process. Speci�cally, CGG website content (as it currently stands) is set out in convened two peer review workshops on the 15 platform’s content, which was widely attended by • CHAPTER 3: The Indian Context for Social representatives from social accountability NGOs, Accountability; including representatives from ILA, CUTS-CART, • CHAPTER 4: Citizen Initiatives in Social NIRD (the National Institute of Rural Development), Accountability – Four Case Studies from and other local organizations in Hyderabad. The India; substance of the comments arising from these workshops is being incorporated in the design • CHAPTER 5: Government-Driven Supply- and content of platform. For example, CGG Side Social Accountability; will soon seek to develop practical examples or case studies of social accountability initiatives • CHAPTER 6: Legal, Judicial Framework for in particular sectors (starting, for example, with Social Accountability; and procurement monitoring, impact evaluation, and • CHAPTER 7: Making Social Accountability a budget monitoring). Reality. Manual #1: “Social Accountability in The manual is intended for use in training of the Indian Context� (YASHADA): government of�cials initially in the state of This 87-page manual was principally authored Maharashtra. Accordingly, the manual sets out by Professor Nasrin Siddiqui at YASHADA. The a comprehensive gloss on the general concept manual is comprised of the following seven of social accountability, including de�nitions and chapters, along with bibliographical end-notes: principles, which it subsequently re�nes in light of recent social and policy developments in • CHAPTER 1: Social Accountability – the India. The chapters also describe the concept of Conceptual Framework; demand-side accountability and anti-corruption • CHAPTER 2: Social Accountability – the strategies contextually, using four case studies in Global Scenario; Chapter 4, between one and �ve pages in length. Box 2: Social Accountability in the Indian Context The case studies comprise contextual summaries of social accountability initiatives, and point to lessons which might gleaned by readers. For example, the Bhagidari case study is set out to express the following lessons: Bhagidari. Bhagidari is a state initiative to promote broad-based civic participation in local governance (bhagidari translates to mean “people partnership� in Hindi). The broad goal of Bhagidari is to facilitate “greater transparency and accountability in administration… [to improve] the quality, ef�ciency and delivery of public services� (Siddiqui 2009). This program facilitated increased public awareness of the concept of social accountability. From Bhagidari emerged the ‘My Delhi – I Care’ initiative, which provided a further rationale for social accountability across sectors, including in public procurement, and emphasized the importance of citizen-government partnership to respond to public concern. Under ‘My Delhi – I Care’ broad consultations were held with various civil society organizations, such as the Resident Welfare Associations, the Market and Traders Associations, and with agencies of the Municipal Corporation of Delhi, such as the Delhi Development Authority, the New Delhi Municipal Council, the Delhi Vidyut Board, the Delhi Jal Board and the Delhi Police. Partnerships were established between civil society and these and other government agencies under Bhagidari, which has grown from twenty to more than 1,600 citizen groups representing more than three million people in the last ten years. 16 Each of these case studies describes a social and accountability to the public. Professor accountability initiative in Maharashtra, India, Siddiqui has noticed that new (in many cases through the prism of: younger) members of the Indian bureaucracy have personal views that comport with these • Social Accountability Advocacy (The Case of approaches to government and procurement, Anna Hazare on page 39); and may be more inclined to put them into • Budget Advocacy (The DISHA Initiative on practice than mid-career of�cials. YASHADA page 41); intends to modify both products iteratively, based on feedback from participants in both the pilot • Empowerment in Urban Governance program and the ‘foundation program’ in an effort (Advanced Locality Management on page to keep the content relevant. 43); and In the mid-to-long term, YASHADA plans to • Citizen-Government Partnerships (The expand its already extensive reach to train Bhagidari System on page 47). broader segments of government of�cials from both rural and urban areas since India is facing The manual also substantiates the challenges to increasing pressure to develop, improve, or social accountability in India by pointing to further reform its national and local-level procurement authoritative analysis, including by Transparency environment and infrastructure as a result International and UNDP, which demonstrate that of broad FDI. YASHADA might translate the while India has achieved much as a democracy it manual from English into at least two local can nevertheless be described as an environment languages as a start, to better communicate key that “lack[s] … respect for social accountability social accountability and procurement lessons to and the rule of law� (Siddiqui, et al 2009). By district functionaries and local representatives. detailing challenges in the enabling environment, YASHADA is additionally planning to develop including corruption, inef�cient bureaucracy, and more training modules for rural communities low public con�dence in government, the manual under a Center for Citizens’ Empowerment, which addresses issues felt across the South Asia might rely on the manual as a training tool, and region. it may eventually deploy the manual on a pan- Indian basis. There is great interest in deploying the manual, or components of it, in YASHADA training programs. Manual #2: “Enhanced Transparency Speci�cally, in December 2009 YASHADA plans to in Procurement through Voluntary launch a pilot program which deploys the manual Disclosure under the [Right to in a 5-day training program which will target group Information] Act (2005)� (YASHADA): will be mid-career of�cials in regulatory sectors, such as the IAS, Indian police, and other parts This 145-page manual was principally authored of government peopled with local-level unelected by Mrs Kishori Gadre of YASHADA. The manual of�cials where social accountability mechanisms identi�es not only government of�cials as a key and expectations are in large measure absent. target audience, but also bidders and the public at large. The manual is accordingly comprised YASHADA also plans to pilot the manual in a of the seven chapters, along with bibliographical training module in one of its 3-day ‘foundation references and a 79-page booklet comprised of programs’ which targets new members of the ten annexures to provide as comprehensive an local and state-level bureaucracy in the near-to- analysis as possible to a wide audience. These mid term, in an effort to alter perceptions about chapters include: power and discretion early in of�cials’ careers, • CHAPTER 1: Introduction; to emphasize the importance of fair dealing 17 • CHAPTER 2: The Approach; and public health. This included visits to these agencies to study the effectiveness of different • CHAPTER 3: Right to Information and Other types of transactions, including procurement of Vigilance Mechanisms; goods, works contracts, service contracts, rate • CHAPTER 4: Basis of the Study; contracts, public/private partnership contracts, and consultancy contracts, as well as to observe • CHAPTER 5: Analysis of Procurement; and compare decision-making criteria against each agency’s standard operating procedures. • CHAPTER 6: Stage-Wise Analysis of The team further studied right to information Procurement; and initiatives, including e-governance pilots, which • CHAPTER 7: Recommendations. have been launched by the governments of Andhra Pradesh, Chattisgarh, Assam, Karnataka, Chapters 1 through 4 set out a comprehensive and Maharashtra, as well as monitoring summary and analysis of the Right to Information activities implemented by several NGOs, such (RTI) Act (2005) as a social accountability as Parivartan, Open Space, and Sajag Nagrik tool to empower citizens of India. Speci�cally, Manch. Chapters 1 through 3 begin by setting out the legal framework which governs public Chapter 6 summarizes the comprehensive list procurement in India, which is further supported of social accountability tools the principle author by the promulgation of the RTI Act. Chapter 4 observed in use at the local and state levels in next explains that procurement processes are Maharashtra related to the four stages of public still quite vulnerable to corruption and provides procurement: planning; pre-tender; tender; and a snapshot of tools which have decreased execution, with remarks on effective processes, graft, such as e-governance, though it cautions as well as gaps in effectiveness. that there must be fundamental changes to the enabling environment in India and broad Chapter 7 sets out a series of recommendations understanding of the value of the concept of to scale up transparency and accountability in social accountability before sustainable progress procurement processes in Maharashtra and might be made. Chapter 4 then posits that the close the gap between actual practice and RTI Act is a step in the right direction because the standards articulated in the RTI Act. The it creates the space for civil society to become recommendations include: engaged in public procurement processes, • Disseminate Disclosure Rules: Instructions including pressing for improved accountability of governing which types of documentation may public agencies and increased transparency of be disclosed needs to be updated throughout public spending in India. the state, and procurement of�cers should be Chapter 5 provides a detailed analysis of the provided with checklists which detail these usefulness of the RTI Act in the public procurement updated disclosure rules; context. This chapter details public procurement • Deploy E-Governance Tools: E-procurement processes required under the Act. To develop in particular should be scaled up at both local this chapter, the manual’s principle author and and state levels of government since it is an her team studied and evaluated procurement effective (and cost effective) way to manage processes of various service delivery agencies procurement processes from planning to at state and local levels of government in execution; Maharashtra, including public works, water supply and drainage, road development, transport, • Enhance Accountability of Procurement telecommunications, housing (urban sector), Of�cials: Powers, duties and accountability 18 mechanisms of all procurement of�cers and and ‘how’ of accessing disclosed documents, consultants should be disclosed and made including how to access project particulars accessible by the public; and acts, rules, Government Resolutions (GRs), circulars and traditions, and evaluation • Fully Disclose Public Works Information: criteria; and Information related to public works projects, including the scope of and need for the • Disseminate Procurement Steps: All steps in project, an accounting of the cost, and a the bidding process for public procurement calendar detailing the delivery schedule contracts should be disclosed and easily should be disclosed and made accessible by accessible, including proceedings of pre- the public; tender meetings; summaries of technical • Develop a Citizen’s Guide: A uniform ‘citizens and �nancial bids; summaries of negotiations guide’ or primer should be developed with the lowest bidder; the minutes of any on the procedures and norms governing procurement committee meetings related to the procurement process in general, acceptance or rejection of a demo or tender; including introductory material on document any special conditions progress report (which terminology and the ‘what,’ ‘when,’ ‘where,’ detail quality requirements of material, Box 3: Enhanced Transparency in Procurement through Voluntary Disclosure under the Right to Information Act 2005. The manual distills complex components of India’s RTI Act (2005) into digestible summaries. For example, the manual summarizes the legal frameworks which govern public procurement in India using non-technical language, and explains how these frameworks are supported by the promulgation of the RTI Act: Public Procurement. The manual begins by pointing out that while there is no law in India which exclusively governs public procurement, the Indian Contract Act (1872) and the Sale of Goods Act (1930) clarify standards and the General Financial Rules (GFR) (2005) provides a regulatory framework. The manual explains this framework and cautions that procurement processes are vulnerable to corruption, and so provides a snapshot of social accountability tools which have effectively decreased graft at the local and national levels. Mandatory Government Disclosures. The manual next provides a detailed break-down of the RTI Act itself. For example, it explains that Section 4 of the Act establishes a legal-institutional, rights- based framework for mandatory disclosure by government of certain information to the public within a speci�ed period. Section 4 also urges all branches of government to adopt social accountability tools, such as computerization of records, to better enable citizens to access disclosed information. Section 6 of the Act vests all citizens of India (except the population of Jammu and Kashmir), with the right to information and empowers them to have access to, inspect, and possess copies a wide range of government documents with certain exceptions (speci�ed under Sections 8 and 9 of the Act). Information Delivery. The manual then explains that the RTI Act establishes mechanisms to deliver disclosed information; it provides for the appointment of Public Information Of�cers within public authorities and mandates the appointment of Information Commissioners to inquire into complaints, hear appeals, and guide the implementation of the Act. These Information Commissions are empowered to levy penalties, recommend disciplinary proceedings against of�cers who fail to execute their responsibilities properly, and award damages and compensation to the wronged. 19 manpower, outcome, and conditions for that it is targeted at both primary and secondary payment); and the schedule of inspections target audiences. Primary targets include policy expected during procurement process. makers; city and procurement of�cials; social development experts; and training and academic Overall, the manual has value as a training tool institutions. Secondary targets include of�cers in general, and particularly throughout India since of the Indian Administrative Service; and private various local and national government initiatives sector representatives. explicitly require government procurement of�cials to have a broad understanding of the In the report’s introduction, it sets out a general RTI Act (2005) to implement programs, such conceptual framework for social accountability, as the National Rural Employment Guarantee and identi�es entry points and good practices Act (NREGA) and the Andhra Pradesh Rural in the public procurement context in India. The Employment Guarantee Scheme (APREGS). introduction also discusses the characteristics of an enabling environment for social accountability, YASHADA plans to pilot this manual as well in and the bene�ts which might be realized by both a training module in one of its 3-day ‘foundation the society and the state. programs.’ In the mid-to-long term, it might The key features of the report are twelve social additionally translate the manual from English into accountability case studies from across India, one or more local languages, and may integrate each of which is between �ve and nine pages the manual, or components of it, into training long, which detail initiatives in urban, peri-urban, modules currently it plans to develop under a and rural settings. The case studies look at how Center for Citizens’ Empowerment. the initiative was formulated, implemented and According to Professor Siddiqui of YASHADA, monitored, and also summarize the impacts. voter priorities in India are changing in that Each provides a glimpse of the enabling national elections are increasingly won or lost environment which facilitated the development on governance issues and as a result, there of particular social accountability tools; an is increased awareness of and need for social explanation of tools used to make the initiative accountability training, particularly in public successful; and an account of how the tool has procurement. She has cautioned that social been institutionalized to promote sustainability. accountability initiatives cannot be imposed onto The case studies additionally point out factors Indian communities, but rather they should be which did not contribute to the sustainability driven by local and national government since of certain initiatives, and examines key issues broad sections of the public in India cannot be and challenges faced by both government and accurately described to be empowered, and stakeholders who contributed or challenged the so demand for social accountability is absent initiative. The case studies include: across states. YASHADA accordingly plans to • CHAPTER 1: Citizen Report Card: Bangalore deploy this manual in an effort to help facilitate and Beyond (Karnataka); a government-supplied approach to social • CHAPTER 2: Bhagidhari: ‘Citizen accountability. -Government Partnership’ (Maharashtra); Report featuring twelve case • CHAPTER 3: Public Records of Operations studies from South Asia: “Social and Finance (PROOF) (Maharashtra); Accountability in Urban Governance: • CHAPTER 4: Participatory Budget of Pune Indian Case Studies� (ASCI): City Corporation (Maharashtra); This 94-page report was principally authored by • CHAPTER 5: Sarva Shiksha Abiyan in Professor Usha Reddi of ASCI. The report states Kolhapur (Maharashtra); 20 • CHAPTER 6: National Rural Employment • CHAPTER 10: E-procurement (Andhra Guarantee Act (NREGA) (Andhra Pradesh); Pradesh); • CHAPTER 7: NREGA (Rajasthan); • CHAPTER 11: Lokvani Initiative (Uttar Pradesh); and • CHAPTER 8: An Evaluation of MDMS, CUTS (Rajasthan); • CHAPTER 12: Versatile Online Information for Citizen Empowerment (Andhra Pradesh). • CHAPTER 9: Testing the Potential of RTI Act as a SAc tool (Rajasthan); At the conclusion of each case study, the report Box 4: Social Accountability in Urban Governance: Indian Case Studies The case studies comprise contextual summaries of social accountability initiatives, and point out the utility of each tool for broader implementation. For example, the “Citizen Report Card: Bangalore and Beyond� case study describes a public watchdog campaign which achieved some success in pressing local urban government to disclose quarterly �nancial statements for public scrutiny: Citizen Report Card: Bangalore and Beyond: in 1993, the Public Affairs Center (PAC), a small civil society NGO in Bangalore, convened a series of public discussions of service delivery in the city and found broad public agreement that improvements needed to be undertaken by local government. PAC thereafter launched the Bangalore Citizen Report Card on Public Services, a survey of local households to gather feedback on the types of problems they experienced with public services. Structured questionnaires were designed for �eld interviews; questions included: • How satisfactory are the public services from the user’s perspective? • What aspects of the services were satisfactory and what were not? • What were the direct and indirect costs incurred by the users for these services? Marketing and Business Associates, a market research �rm, carried out the survey itself. The survey covered approximately 1200 randomly selected middle and low-income households, using separate, contextualized questionnaires for each demographic. Three citizen report card surveys were held to track public opinion and progress of improvements to service delivery over time. The �rst report card (in 1994) revealed relatively uniform public disapproval of Bangalore’s public service delivery. The second (in 1999), revealed partial improvements in public satisfaction with the seven service providers covered. The third (in 2003) indicated further improvements in Bangalore’s delivery of public services. Respondent satisfaction with the service providers covered signi�cantly improved. For example, respondent satisfaction with the Bangalore Water Supply and Sewerage Board increased to 73%. However, respondents did indicate that there remained room for improvements to enhance the quality of services. In terms of impact, the results yielded by the Citizen Report Cards helped to inform service providers of problems encountered by service users. For example, the Bangalore Municipal Corporation instituted property tax reforms to improve transparency and reduce corruption, such as loss of revenue from graft. Likewise, the Karnataka Electricity Board and the Bangalore Water Supply and Sanitation Board instituted reforms to respond to complaints of over-billing. 21 provides two sections to promote active learning: and Public Grievances to mobilize research an “Issues to Reflect� section and a series of on case studies which evince good practices exercise questions. These sections are designed in governance and public procurement to to enable readers to consider what they have read, implement the prestigious Prime Minister’s test themselves, and draw their own conclusions Awards for Excellence in Public Administration. about the social accountability tool’s practicality As a result, ASCI amassed a signi�cant amount and potential for replication. Moreover, in the of data on social accountability initiatives launch �nal chapter entitled “Notes for Trainers,� the by the government. After a comprehensive report provides guidance for instructors and other review of this data, twenty-�ve supply-side users of the report on how to structure short case studies were selected for further review. and long training sessions, and provides talking ASCI staff contacted representatives for these points. The report speci�es that the purpose initiatives to achieve a better understanding of of these notes is to align trainers’ perspectives the lessons that might be learned from each. with the authors’ and to provide some guidelines From there, ASCI narrowed the cases down to on different ways in which the cases can be twelve, which are currently featured in the �nal used. While these notes are not prescriptive, product, and which represent urban and peri- they provide instructions on deploying the case urban initiatives where government of�cials are studies as part of a learning program. actively engaged. ASCI sought to provide an accurate snapshot of public procurement social The report indicates that it will be subject to accountability initiatives, so as not to “paint too further iterative peer review and subsequently good to too bad a picture�; ASCI further provided used in several training programs developed and cases which demonstrate sustainability, as delivered by ASCI, starting with the Certi�cate well as cases which do not. The goal of this Program in Urban Management. It further approach has been to encourage government states that ASCI intends to integrate the social of�cials to reflect on the value of these supply- accountability into the content of several of its driven approaches. executive leadership programs, including the development of an online platform to deliver In terms of the projected use of the report, the both real-time training and web-based modules report might be integrated into a ten-day ASCI to scale up delivery among a larger cohort of course on urban governance management government of�cials. taught by Professor V. Srinivas Chary. The course targets mid-career government of�cials Professor Reddi of ASCI notes that NGOs in (twenty-�ve participants per course) and awards India which emphasize the importance of social a certi�cate to participants who successfully accountability in government services have been complete it. Two courses are convened per year met with signi�cant resistance from government for a total of �fty participants annually. ASCI’s of�cials, and as a result it has been dif�cult goal is integrate the content of the report into to persuade government of�cials to improve the course by spending one full day of the ten- public procurement. ASCI’s approach when it day course on social accountability and public developed the report was to mobilize research procurement, with an emphasis on using the and conduct case studies of supply-side initiatives case studies. ASCI will subsequently request where government itself has attempted to bring in feedback from course participants and will social accountability through civic engagement or strive to make the cases even more accessible, where government has otherwise partnered with perhaps by distilling the key background details, citizens to promote social accountability. good practices and takeaways into a more To do so, ASCI partnered with the Government digestible format. On the longer term, ASCI of India’s Department of Administrative Reforms may seek to develop a more in-depth three-day 22 course focused solely on social accountability Report featuring four case studies and public procurement, which could also use from Brazil: “Citizen Engagement and the case studies instructively. ASCI is also Social Accountability: the Changing interested in developing an online learning Face of Subnational Democracy in platform around the case studies to facilitate Brazil� (CEAPG): wider dissemination, to add onto the multiplier This 61-page report was principally authored effects of the �fty participants per year in by Professors Peter Spink and Marco Antonio Professor Chary’s course. Teixeira of CEAPG. The report is comprised ASCI is moving away from a ‘wholesaling’ of an introduction, four case studies, and knowledge and learning approach in favor concluding remarks. The case studies are each of a more retail-oriented one in light of the between eight and ten pages long and examine particularized needs by urban managers for the following four social accountability tools and social accountability training across sectors approaches in Brazil: throughout India, which is itself a response to • “Building Bridges: the Pernambuco State the sweeping state and national reform agenda. Accounting Tribunal� describes why political While the case studies in the report have not yet will by state institutions is important for been fully mainstreamed into Professor Chary’s community participation in public spending; certi�cate program, they were used modestly as part of a learning module in October 2009, and • “Community Managed Water and Sanitation the response from the participants was positive. Services For Rural Villages� demonstrates Professor Chary plans to highlight the cases as how ‘learning by doing’ and transparent the primary topic of a two or three-day module in accounting can create a basis for community a certi�cation program he is scheduled to teach empowerment and ownership of a key from December 14 to 25, 2009. This module will resource; focus on the urban case studies, and isolate good practices and lessons in social accountability. • “Building a Formal Economy with Over time, ASCI may further seek to convert the Transparency and Community Supervision� case studies into an e-learning project as well. demonstrates how a community was able to bring about a signi�cant shift in the use In the longer term, ASCI will seek to partner with of public funds by collectively assuming the the Government of India to deploy the case studies responsibility for “changing the frame� of as learning modules in several government- local development; and sponsored initiatives related to the promulgation • “Participatory Budgets: from Setting Priorities of national community participation legislation, to Social Control� demonstrates how a additional public disclosure legislation, and the second-generation participatory budget has establishment of a community participation fund. spurred the development of citizen-driven In light of steady improvements in the enabling approaches to participate in �scal policy environment for social accountability in India, decisions by government, oversee public ASCI plans to pursue further partnerships with works procurement processes, and confront the Government of India over time, particular endemic to the community, such as cronyism relating to the government’s flagship urban and corruption. development program, the Jawaharlal Nehru National Urban Renewal Mission (JNNURM), The target audiences of the report include training which is supporting sixty-�ve urban governments institutions, government, and the public at large. to institute social accountability training across The social accountability initiatives discussed in the country. each case run parallel to initiatives detailed in the 23 other knowledge products described in this report. and spells out key lessons to be learned. It further These parallel initiatives include: budgets; policy- provides ‘how-to’ advice on replicating some making and planning; public goods and services; approaches and tools used in the case studies, expenditures; public oversight and monitoring. such as detailing operating costs, improving The report further explains that while there is not impacts by developing civil society-government necessarily a “one size �ts all� approach to social relationships and widespread community accountability in Brazil’s procurement context, organizations to act as watchdogs, and scaling the tools described in the cases are relatively up leadership skills at the grassroots level. standard and have nevertheless been effective. The case studies are presented in an introductory Under each case study, the report examines the fashion and do not use technical jargon. The enabling environment for social accountability, report emphasizes that many of the most effective identi�es trends, points to measurable impacts, approaches to scale up social accountability in Box 5: Changing Face of Subnational Democracy in Brazil. The case studies are presented in narrative fashion, to provide readers with contextual understandings of social accountability in public procurement. The case study on Vitoria da Conquista, a municipality of some 300,000 inhabitants in Bahia, is a good example of the narrative style of the report and how each case study provides a practical gloss on the evolution of participatory budgeting processes within a community: Vitoria da Conquista: In 1997, the newly elected government of Vitoria da Conquista launched efforts to make good on its campaign promises to scale up public participation in municipal �nancial decisions. This process started with discussions with business, commerce and civic associations to achieve consensus on tax regimes, and the government agreed to send monthly �nancial statements to members of the public, including representatives of civil society organizations and private industry, and to solicit input. This approach soon developed into real-time participatory budget meetings, which at the early stages focused heavily on local taxation and improving the ef�ciency of tax collections. Subsequent debates were convened, in which the public requested adjustments to tax calculation protocols for land and home ownership (IPTU). Eventually, district-based delegates from both urban and rural areas were chosen. Next, delegates were selected to represent particular thematic areas (municipal workers; social work; public health; culture; agriculture; social movements; alternative economic development; sports and leisure; and education). These delegates convened meetings with government counterparts and not only discussed priorities with government counterparts but also, for example, visited sites of government works projects for discussions with developers. Public requests in the budgeting and procurement contexts were increasingly taken up by government so that in the subsequent year, government was able to successfully respond to some 80% of public priorities. However, by 2000 a backlog had accumulated, which took some time to rectify. A number of reforms were thereafter instituted to protect against a similar problem and more delegates were elected (the total rose from 222 to 476). The post of Participatory Budget Coordinator was reformed and became an elected, rather than appointed, post. The report indicates that these participatory processes continue to evolve as broader segments of the public become increasingly engaged. 24 Box 6: The Asia Foundation Social Accountability Curriculum. The curriculum includes practical instructions for trainers on how to integrate the case studies and the PowerPoint slides into either a ‘brief’ or ‘longer’ training course on social accountability. These instructions include: Brief Training Course: the following steps are recommended: • A subject matter expert (such as a local government of�cial) should present the case studies; • Use the PowerPoint slides and other visual aids to make the practical examples in the case studies accessible. • Presentations should be followed by questions and answer sessions so participants may clarify issues and enhance their understanding; and • Trainer/moderator should ask probing questions to highlight lessons and key take-aways from the case studies. Longer Training Course: the following steps are recommended: • Participants should be formed into focus groups (six per group), keeping a balance in diversity (i.e. gender, and a mixture of experience); • Copies of the case studies should be distributed; the group should read them before commencing a discussion. Questions are encouraged at this stage to get clarity and better understanding of the case material; • Commence group discussion; • Trainer/facilitator should pose in-depth ‘focus questions’ (and hand out worksheets with space to respond); • Groups engage in follow-up discussions, to enable them to identify and assimilate the social accountability lessons from the case studies; • Members of the small groups should be expected to 1) outline the purpose of the case study and demonstrate they can apply social accountability concepts in realistic situations; 2) demonstrate their ability to relate the analysis to the “big picture� of local governance in speci�c local and country contexts, as well as to particular issues in their own communities; 3) consider how social accountability tools and approaches in each case study might be tailored to meet needs in their communities; and 3) see that social accountability tools can yield constructive outcomes; • Small groups should next prepare a brief presentation; • Trainer/facilitator should guide the presentations and repeat insights from the group salient to the case studies’ social accountability lessons. public procurement were small when they were worry about the big picture, pick up a bit and launched by civil society. The report concludes begin� (Spink and Teixeira 2009). with a �nal piece of advice to readers: “don’t 25 A curriculum on social accountability Fiscal Planning; and local governance in Sri Lanka • Sustaining Effective Citizen Participation; (TAF): • Budget Advocacy and Monitoring Techniques; This curriculum is comprised of the following six • Social Audits and Public Procurement; main learning modules • Civic Engagement of Government on Road • MODULE 1: Conceptual Understanding of Maintenance; Social Accountability; • Civic Engagement of Government on Water • MODULE 2: The Enabling Environment for Supply Issues; Social Accountability; • Civic Engagement of Government on Post- • MODULE 3: Bringing Social Accountability to Disaster Management; Sri Lankan Local Authorities; • Institutionalizing Grievance and Response Mechanisms at the Local Government Level; • MODULE 4: Strategic Communication and and Information; • Developing a Citizen's Charter. • MODULE 5: Performance Monitoring; and The target audience of the curriculum is primarily • MODULE 6: Impact Evaluation. training institutions; the curriculum includes a The scope of the curriculum is comprehensive; brief note entitled, “The Social Accountability each main learning module contains between (SAc) Curriculum - How to Use the Case four and thirty-�ve sub-modules which sign-post Studies,� which sets out two detailed models for the curriculum’s topic areas. These modules are trainers of both brief courses (comprising one or complemented by six PowerPoint presentations two days) and longer courses (comprising three (one per main learning module) which are or more days). These models provide advice between eleven and sixty-�ve slides long, and on small group activities, the kind of expert who which provide brief summaries of the content of should present the case studies, the use of focus each learning module. The curriculum further questions to promote thoughtful discussions, and contains twenty-one case studies of social other activities which allow students or trainees to accountability approaches and tools at the local demonstrate what they have learned. government level in Sri Lanka. These case A series of eight global case studies: studies are presented as either written analyses or video documentaries and focus on the WBI commissioned eight cross-regional case enabling environment for social accountability, studies, which are between six and nine good practices in local-level governance, and pages long each. The target audiences of the impacts of tools. They also identify lessons to case studies include training institutions and be derived and provide hints about how positive government of�cials. The case studies examine outcomes of planning, budgeting, management, the following social accountability tools and service delivery, and citizen participation might approaches in the following countries: be replicated in different regional contexts. The case studies include materials and lesson from • Argentina: Poder Ciudadano (“Civic urban and rural locations in Sri Lanka on, among Engagement�), an NGO, inaugurated the other issues: Program for Transparent Contracting in the city of Morón, Buenos Aires to increase • Promoting Civic Participation in Local Village the transparency of local government Development; procurement and scale up civic participation • Participatory Budgeting and Collaborative in procurement-related decisions. 26 • Mexico: Fundar, an independent CSO, has • Philippines: The Naga City government launched a series of pilot activities designed to institutionalized the Productivity increase public access to government budget Improvement Program (PIP) and more information. Fundar also leverages national recently the i-Governance program to scale freedom of information laws to monitors up civic engagement in local government national-level government procurement and decision-making by increasing access to expenditures, and provides government with procurement-related and service delivery feedback to influence expenditures on HIV/ information, as well as to improve local AIDS research and treatment. government service delivery by orienting practices more to meet public demand. The • Pakistan: The Greater Karachi Water Supply PIP additionally increased the transparency Scheme (K-III) operates under the auspices of procurement-related and service delivery of the City of Karachi’s 13-point Program for information. Economic Revival of Karachi and seeks to improve water supply and service delivery. To • South Africa: Public Service Accountability implement K-III, Transparency International Monitor (PSAM), an NGO, operates under (TI) Pakistan and the Karachi Water and the auspices of the Center for Social Sewerage Board (KW&SB) launched an Accountability (CSA), an independent ‘integrity pact’ to improve transparency of institute af�liated with Rhodes University. procurement for local water service delivery PSAM promotes a rights-based approach to and to otherwise promote good governance social accountability and seeks to achieve in Karachi’s water sector. the realization of social and economic rights • Philippines: Government Watch by monitoring local government procurement (G-Watch), an NGO which operates under and service delivery in the Eastern Cape. the auspices of School of Government at • South Korea: the Online Procedures Ateneo University, develops and tests social Enhancement for Civil Applications accountability tools to monitor delivery (OPEN) system was institutionalized by of basic government services, including the Seoul Metropolitan Government to the implementation of Textbook Count, improve transparency of local government the national textbook delivery program. procurement and other decisions by scaling This includes integrating participatory up access to local government information mechanisms into Textbook Count and related to public services, civil permits, and monitoring the production and delivery of licenses. This information is publicly available textbooks to 40,000 elementary schools online, without charge. throughout the country in three phases: procurement, printing, and distribution. Unpacking the Knowledge • Philippines: Procurement Watch Products: A Snapshot of the Incorporated (PWI), an NGO, seeks to increase public oversight of national-level Lessons Presented government procurement by using print, The knowledge products developed under the radio, and TV media to raise the news pro�le Procurement Monitoring and Accountability of corruption in government procurement, Curriculum Development program detail as well as by engaging civil society groups social accountability tools and approaches to rally public support. PWI has developed driven by government, by civil society, or both. ‘public bidding checklists’ which facilitate its They present practical models for knowledge monitoring practices. exchanges, multi-stakeholder dialogues, policy 27 debates, �eld visits, and awareness-raising to discuss public service delivery needs and activities for civil society organizations, local allocate funds accordingly, such as the Pune and national leadership, and practitioners Participatory Budgeting initiative (an ASCI case to build consensus and coalitions for social study), as well as the iterative process undertaken accountability in public procurement. in Vitoria da Conquista, Brazil (a CEAPG case study). Civil society might additionally deploy Government-driven social accountability efforts social accountability tools such as citizen report might include strict compliance with legislation cards, community score cards, and participatory which drives social accountability, such as expenditure tracking surveys to ascertain public India’s RTI Act (2005), by proactively publicizing priorities in the service delivery context, such as and disseminating information, and otherwise the initiative to implement NREGA in Rajasthan, responding to information requests as the India (an ASCI case study). law requires, such as the Online Procedures Enhancement for Civil Applications (OPEN) There are also intermediate models, or those system institutionalized by the Seoul Metropolitan which combine efforts driven by both government Government, South Korea (a global case study and civil society as well, such as the establishment commissioned by WBI) and otherwise detailed of Mohalla Committees (a YASHADA case study) in the manual on the RTI Act 2005 (a YASHADA and Advanced Locality Management groups knowledge product). Other government-driven (a YASHADA case study). A further model activities might include proactive disclosures of demonstrates that social accountability reforms procurement information, such as service delivery can be achieved not by civil society in the �rst budgets, service types, delivery schedules, instance, but through the efforts of a high visibility bene�ts and procedures, at government- advocate, such as the case of Anna Hazare in convened town hall meetings to facilitate the village of Ralegan Siddhi, India (a YASHADA public discussions and create opportunities for case study). community members to voice concerns, such as Practical training materials can promote use the Productivity Improvement Program launched and awareness of these government-driven, in Naga City, Philippines (a global case study civil society-driven, and intermediate social commissioned by WBI), or the Gramastha Din accountability tools and approaches across project launched by the state government of regions. For example, the CGG website Maharashtra, India (a YASHADA case study) presents both context-neutral summaries of key and the Bhagidari Program in Delhi, India (a social accountability concepts and practical case YASHADA case study). examples of how tools have been implemented and approaches have been undertaken in the Civil society-driven social accountability efforts Indian context, which have instructive value in the might include community-based social audits, broader South Asia context as well as globally. where affected people in rural or urban areas Similarly, the curriculum on social accountability mobilize themselves to demand information, and local governance (the The Asia Foundation such as procurement budgets, under the knowledge product) provides a series of case auspices of RTI legislation to research any studies on local level social accountability discrepancies between proposed and actual initiatives in Sri Lanka, and includes instructions spending and convene public debates to hold for trainers on how to encourage trainees to government of�cials accountable, such as the maximize their ability to replicate successful DISHA initative (a YASHADA case study). Civil initiatives. society organizations might additionally launch participatory budgeting activities by convening Overall, the knowledge products demonstrate that members of the public and government of�cials strong mechanisms can be established effectively 28 either by government or civil society to promote scaling up citizens’ ability to hold government accountability up and down the service delivery accountable for how it actually allocated public chain, between policymakers who allocate monies after budgets have been devised, such procurement resources, providers responsible as by public expenditure tracking surveys, social for delivering the public services, and the public audits, and public hearings; and other efforts end-users, including poor and middle-income to improve public oversight and continued households, to improve procurement processes monitoring, such as by independent citizen and service delivery outcomes. The products also oversight committees or watchdog groups. show how and why civic empowerment is a key Outcomes of these social accountability initiatives starting point for scaling up social accountability. have included decreases in waste of public Transparency and RTI regimes in the enabling resources, instances of corruption (particularly environment are also important drivers, including as a result of technological advancements, such scaling up or institutionalizing proactive public as e-procurement), improvement in ef�ciency of engagement and participation in the formulation service delivery, and responses to local needs of public policies in the preparation of budgets; and conditions. 29 Next Steps T he World Bank and ANSA-SA have jointly organized a South Asia regional workshop on the theme “Strengthening Citizen Engagement in • Identify potential areas/themes/gaps for sustaining civic engagement in procurement related work; and Procurement: Reviewing Experiences, Identifying • Develop a community of practice of key Challenges and Exploring Opportunities.� The stakeholders in the Region to strengthen workshop will bring together participants from and sustain further action in this area and Bangladesh, India, Pakistan and Sri Lanka connecting this Community of Practice to representing a wide cross section of stakeholders, similar initiatives in other regions. including policy-makers, civil society practitioners, media, donors, private sector, World Bank staff • ANSA-South Asia will additionally work and international resource persons from Latin to build citizen engagement in public America and East Asia. procurement during the next three years. Speci�cally, ANSA-South Asia will pursue the As part of its larger portfolio, ANSA-South Asia following key strategies: will collaborate with partners to carry forward the • Advancing the knowledge in themes related dissemination of lessons and knowledge from to procurement (case studies, fellowships). the pilots and the resultant range of knowledge The emphasis here will be to commission products to different stakeholders, such as local research and documentation interventions governments, procurement agencies, regulatory to deepen our understanding of procurement bodies, training institutions and civil society processes, assess vulnerabilities and risks, organizations, to promote further action in the and identify enabling environments and South Asia region. ANSA-South Asia will also practices. work to achieve the following priorities: • Promoting practices (grants for action • Understand the state of play in civic projects). There is a steady groundswell engagement in public procurement in of interest among citizen groups to engage the region and discuss the challenge of proactively in the procurement process. developing civic engagement in procurement, ANSA-South Asia will provide project Grants with a focus on mechanisms of engagement, to support promising initiatives. institution building strategies and partnership with governments; • Facilitating learnings (workshops). ANSA- South Asia will create learning forums and • Assess the speci�c challenges of local events to facilitate peer to peer exchanges level procurement, and the speci�c and sharing of experiences in the region. opportunities for civic engagement, drawing • Strengthening Community of Practices on the experiences emerging from the NTF (seeding forums). ANSA-South Asia will build supported project in South Asia and other and sustain communities of practices and regional and global experiences; practitioners in South Asia to deepen and • Discuss salient insights and learning from widen citizen engagement activities in public various initiatives and experiences; procurement process. 30 Conclusion T he devolution of procurement responsibilities to local levels of government is increasingly occurring across South Asia (World Bank 2003). broadened understanding of the contextual realities of social accountability approaches in public procurement in South Asia and across This trend is signi�cant because increasingly regions. The establishment of these partnerships localized decision-making better enables has also been (and will continue to be) key to the communities to hold government authorities further development of processes launched by accountable for the effectiveness of public the Procurement Monitoring and Accountability spending, which can lead to various improved Curriculum Development program. The number development outcomes, such as improvements in of partners is presently growing, which will self- quality of service delivery; greater empowerment sustain and drive these processes forward and understanding by end-users services through a widening network of practitioners and supplied through public procurement processes; experts both in the region and globally. This and improved oversight and accountability of network has also been an effective medium in service delivery agencies. which practitioners from disparate parts of the region have shared experiences and knowledge WBI sought to build onto existing momentum, to shore up gaps in training and practice. both in South Asia and globally, achieved by Moreover, these partnerships shed signi�cant practitioners and civil society organizations light on the Indian context in particular, in a more on awareness-raising initiatives and practical effective way than had WBI solicited analyses applications of social accountability tools and from a smaller group of consultants. approaches in public procurement processes. WBI accordingly undertook a strategic, It is important to note that the products are still multifaceted approach, a component of a very much in the testing phase and thus it is too program launched by the NTF, to facilitate the early to draw lessons on experience in their use development of context- and audience-speci�c in training public of�cials. The partner institutions knowledge products by recognized training have underscored that the development of each institutions and practitioners which present key knowledge product has been and will continue lessons and examples of good practices in social to be an iterative process, and that while the accountability and procurement in South Asia and knowledge products are comprehensive and globally. These knowledge products have been ready to be deployed in training activities, they developed as part of a broader effort to create are still in many ways works in progress. Also, a practical curriculum on social accountability in recent events such as two general elections in procurement. Looking ahead, it is anticipated that India followed by a swine flu outbreak, and then ANSA-South Asia will continue this work through state elections, including in Maharashtra, India, collaborating with the various partner institutions have postponed the deployment of several of and others to help scale up and deploy the the knowledge products in training courses knowledge products. until 2010. Plans are underway to fully test the learning products both at ASCI and at Yashada The partnerships forged by WBI with the various early in 2010. training institutions and expert practitioners 31 Bibliography Caddy, J., Peixoto, T., & McNeil, M. (2007). Siddiqui, N., et al. (2009). Social Accountability in Beyond Public Scrutiny: Stocktaking of Social the Indian Context, YASHADA. Accountability in OECD Countries. OECD Spink, P. & Teixeira, M. (2009). 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