Sixth ICP Regional Coordinator Workshop

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Designing Accountability Mechanisms A review of
78 Countries
Presented by Monica Dorhoi PREM Public Sector
Governance The World Bank May, 2 2007 Washingt
on, DC
Presented at The Round Table organized by the I
nternational Business Ethics Institute (IBEI) and
GWs Center for International Business Education
and Research and the Global Stakeholder
Strategies Program of the Institute for Corporate
Responsibility (ICR) of The George Washington
University
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• Questions yet to be answered
• When anti-corruption reforms should be adopted?
  What types of reforms and with what results?
  
• Does the quality of legislation changes over time
  (improves or diminishes over time)? What
  influences it?
  
• Is there a gap between in law and in practice?
• How to develop actionable indicators to measure
  their variability and performance (no matter how
  defined)?
  

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• Lack of data on measuring the impact of such
  public
  
• policy interventions
• Data focuses on perceptions (e.g., World Bank
  BEEPS Governance Indicators)
  
• Too limited criteria in the Public Integrity
  Index of Global Integrity
  
• Suggest two new diagnostic tools
• Anti-corruption Assessment Index (ACAI)
• Developed in Anti-corruption Strategies and
  Fighting Corruption in Central and Eastern
  Europe, PhD Dissertation, Michigan State
  University, 2005
• Public Accountability Index (PAI)
• Developed by the World Bank (Forthcoming)

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Anti-corruption Assessment Index (ACAI)

• Quantitative Index that measures the quality of
  the legal and institutional framework (in law and
  in practice) in 12 areas
  
• 9 core anti-corruption areas and their
  application across the three branches of
  government (executive, legislative, judiciary)
  
• Anti-corruption strategy
• Anti-corruption policy
• Political party financing
• Asset monitoring disclosure
• Conflict of interest
• Freedom of information
• Public procurement
• Financial control and audit
• Immunity
• Core anti-corruption policy areas defined by
• TI Source Book (1997), Open Society Institute
  (2002), Stapenhurst and Kpundeh (1999), Council
  of Europe Anti-corruption Evaluations
  (2003-2006), OECD Anti-corruption Guidelines
  (2003)

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ACAI Key Elements

• Quantitative Index that measures the quality of
  the anti-corruption legal and institutional
  framework countries have put into place across 15
  Central and Eastern European countries
• 144 questions (criteria) divided between 12
  areas
  
• Maximum score 144, minimum 0 (zero)
• 3 Measurements in time (1995, 2002, 2003)
• Why is it important?
• 144 criteria (ACAI) vs. 18 criteria (Public
  Integrity Index of Global Integrity)
  

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Factors that shape anti-corruption reforms

• Evidence found
• The legal and institutional framework does
  improve with time although at different rates
  across countries
  
• Time factor - Newly adopted laws tend to be more
  
  
• coherent and comprehensive
• Membership or accession negotiations in
  International organizations (in 1995 to Council
  of Europe, by 2002 to European Union)
  
• Increased political competition (increased
  turnover in government party fragmentation)
  
• Level of unemployment

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Public Accountability Project

• The quality of the legal framework in law as of
  July 2006 for Asset Disclosure, Conflict of
  interest, Freedom of Information and Immunity
  
• Data collection
• Primary sources laws, regulations
• Secondary sources reports, evaluations
  interviews with 3 in-country experts
  
• 24 questions (criteria)
• Scores varying from 100 (all legal and
  institutional provisions) to 0 (no provisions)
  

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78 Countries (53 IDA)
Latin Central America (4) Bolivia, Dominican Re
public, Guyana, Honduras
Middle East and North Africa (2) Algeria, Morocco
Europe and Central Asia (25) Albania, Armenia, Az
erbaijan, Bosnia and Herzegovina, Bulgaria,
Croatia, Czech Republic, Estonia, ., Slovenia,
Slovak Republic, Tajikistan, Turkey, Ukraine,
Uzbekistan
East Asia (14) Cambodia, Fiji, Indonesia, Lao PDR
, Mongolia, Palau, Papua New Guinea, Philippines,
Solomon Islands, Taiwan, Timor Leste, Tonga,
Vanuatu, Vietnam
Africa (28) Angola, Benin, Botswana, Burkina Faso
, Burundi, Congo, DRC, Ethiopia, Gambia, Ghana,
Guinea, Kenya, Madagascar, Malawi, Mali, ,
Nigeria, Senegal, Sierra Leone, South Africa,
Tanzania, Uganda, Zambia, Zimbabwe
South Asia (5) Bangladesh, India, Nepal, Pakistan
, Sri Lanka
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Asset Disclosure Findings

• 65 out of 78 countries (83)
• Africa 21 out of 25 countries
• Europe and Central Asia 24 out of 25
• Latin American and Caribbean 4 out of 4
• Middle East and Northern Africa 2out of 2
  countries
  
• East Asia and Pacific 9 out of 14 countries
• South Asia 5 out of 5 countries

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Asset Disclosure (ADEX) Example
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Good Quality of Asset Disclosure (ADEX)
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Asset Disclosure Major Problems

• Coverage
• Enforcement mechanism
• Penalties
• Audit
• Public Access

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Does Asset Disclosure Legislation Have the
Potential to Work?

• Only 30 of the laws have all of the key/critical
  elements
  
• Only 40 of declarations are designed to include
  the minimal sources of income a public official
  might have
  
• Only 26 of countries require audit of the
  content
  
• Only 30 of countries require declarations to be
  made public
  

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Freedom of Information (FOIEX)

• Why are FOI important?
• 35 out of 78 countries (45)
• Africa - 4 out of 28 countries
• Europe and Central Asia - 24 out of 25 countries
• Latin America Caribbean - 2 out of 4
  countries
  
• Middle East and North Africa - 1 out of 2
  countries
  
• South East Asia - 2 out of 5 countries
• East Asia - 2 out of 14 countries

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Freedom of Information Example
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Good Quality Freedom of Information (FOIEX)
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FOI Major Problems

• Exemptions and tests to override them
• Appeal and enforcement bodies/authorities
• Public access to information (time spans and
  costs)
  
• Penalties for officials not applying the
  legislation
  

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Do FOI Have the Potential to Work?

• Only 12 of FOI have all of the key criteria
• Only 18 have enforcement mechanisms
• Only 13 have penalties for public officials not
  applying the legislation
  
• Only 12 have clearly defined exemptions as well
  as tests to override non-disclosure
  

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Immunity Index (IMEX)

• 76 out of 78 countries
• Honduras Solomon Islands have no formal
  immunity provisions
  
• Only 10 have all the key elements
• Less than 35 limit inviolability from applying
  to ALL offenses (excludes flagrant delict)
  
• Less than 10 have clear procedures for lifting
  immunity in individual cases
  

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Immunity example
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Major issues.

• Only 14 of the provisions are working
  satisfactorily
  
• Inviolability
• Less than 29 of the countries limit the types
  of offences covered by immunity
  
• 52 of countries allow for Investigations prior
  to lifting of immunity
  
• 57 allow for arrest if caught in flagrant
  delict
  
• 14 and 29 of countries have procedures that
  are unduly complicated to allow immunity to be
  lifted in case of arrest and prosecution
  
• Less than 10 have clear procedures for lifting
  immunity in individual cases

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What Happens Over Time? Should We Support such
Reforms?
Dorhoi (2005) Anti-Corruption Strategies and
Fighting Corruption in Central and Eastern
Europe, Michigan State University, PhD
Dissertation
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Dorhoi (2005) Anti-Corruption Strategies and
Fighting Corruption in Central and Eastern
Europe, Michigan State University, PhD
Dissertation
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Dorhoi (2005) Anti-Corruption Strategies and
Fighting Corruption in Central and Eastern
Europe, Michigan State University, PhD
Dissertation.
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Next steps

• The 2006 Public Accountability Index is currently
  being reviewed within the Bank and will
  officially be launched end of April 2007
  
• Mid-2007 second round of data collection
• Further refinement of the questionnaire add
  criteria on institutional arrangements
  
• Expand the number of countries
• (to 150 by December 2007)
• Include the conflict of interest area
  (information already collected) and add new area
  civil service
  
• Expansion from in law to in practice

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Contact informationMonica DorhoiThe World
BankPREM Public Sector Governance1818 H
StreetWashington DC 20433202-458-8982202-522-71
32 (fax)idorhoi_at_worldbank.org
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• Discussion

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Comparison to Other Instruments
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Actionable indicators
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Quality of Asset Disclosure provisions (ADEX)
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Quality of Asset Disclosure (ADEX)
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Quality of Freedom of Information (FOIEX)
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Quality of Freedom of Information (FOIEX)
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Quality of Immunity provisions (IMEX)
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Quality of Immunity (IMEX)