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The Tools of the Trade: An Overview of Diagnostic and Assessment Instruments. April 21 Francesca Recanatini, WBI Outline of the Session. A working framework to select among tools Conceptual design Empirical tools Implementation process

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the tools of the trade an overview of diagnostic and assessment instruments

The Tools of the Trade: An Overview of Diagnostic and Assessment Instruments

April 21

Francesca Recanatini, WBI

outline of the session
Outline of the Session
  • A working framework to select among tools
    • Conceptual design
    • Empirical tools
    • Implementation process
    • Sampling and Field work
    • Analysis and use of the data
  • A few country-specific illustrations

How to choose among governance tools?

  • Which are the key elements for a governance assessment?
  • Which empirical tools and approaches are already available?
  • How can we select among them?
  • How can such assessments be used for policy purpose?
governance assessment one or many approaches
Governance assessment: one or many approaches?

The characteristics of a governance assessment are a function of the objective of the assessment

key starting points
Key starting points

1. What is the purpose of the assessment?

  • Research and analysis
  • Awareness raising
  • Policy and Action planning
  • Capacity building
  • Monitoring
key starting points1
Key starting points

2. What is the focus of the assessment?

  • Governance as a whole
  • Corruption
  • Performance of a specific agency/sector
  • Quality of a specific public service delivered
suppose we have determined
Suppose we have determined….
  • The final purpose of the assessment
  • The focus of the assessment

What next?

an example peru 2002
An example – Peru 2002
  • Issue: the government wanted to monitor progress in terms of
    • Transparency of public administration activities
    • Civil society “participation” and voice
    • Quality of public services
peru 2002 cont
Peru 2002, cont.
  • Purpose of assessment: monitoring
  • Focus of the assessment:
    • Transparency
    • Citizens’“Participation” and Voice
    • Quality of public services

What next?

existing empirical tools


Public Official surveys



Score Cards

Investment Climate Surveys

EC Audits





Case Studies

HIPC Exp. Tracking


Existing Empirical Tools

which are the key elements of a governance assessment
Which are the key elements of a Governance Assessment?

Four dimensions:

  • Conceptual
  • Empirical
  • Process / Capacity Building
  • Analytical and Policy
conceptual dimension
Conceptual dimension
  • Clear definition of the variable we focus on and its manifestations
  • Translation of the definition into observable and measurable components
  • Selection of methodological approach
  • Understanding of the links between governance and
    • Performance outcomes
    • Development outcomes
linking the tools to the blueprint





EC Audits

Public Official Surveys

IGR & GAC & Governance Cross-Country Ind.







Linking the Tools to the Blueprint
conceptual dimension cont
Conceptual dimension, cont.
  • Finding answers may require single or multiple methods and data forms
  • The methodological approach can be a combination of different methods (for example, qualitative, quantitative or mixed)
  • To each method corresponds a set of empirical tools that we can use
  • Data can also be qualitative and/or quantitative

For more information on alternative methods

examples of existing empirical tools
Qualitative method

Budget use monitoring

Video Observations

Judicial Investigations


Quantitative method

Investment Climate Surveys


Public official surveys


Examples of Existing Empirical Tools
  • Mixed method
    • Governance Diagnostic Surveys
    • Score Card approach
    • PER
empirical dimension
Empirical dimension
  • Focus on institutions vs. individuals
  • Experiential vs. perception data
  • One vs. many types of respondents
  • Standard vs. customized empirical tools
  • Definition of sample and field work details
  • Open end vs. close end questions
linking the tools to the respondents
Linking the Tools to the Respondents

Score cards

Civil Society











Government Officials


Private Sector

The State

process capacity building dimension
Process / Capacity Building dimension

To increase impact and sustainability:

  • Consultative and participatory approach to discuss purpose, use and features of the assessment
  • Engage local NGOs and academic institutions to adapt/revise tools
  • Public dissemination of results
  • Joint design of policy recommendations
process an illustration

Stages for Development of the National

Anti-Corruption Strategy

Process – An illustration

7. Monitoring and Evaluation of NAS

Country Implemented

6. Implementation by Government

5. Revision of the NAS

4. Public dissemination + discussion

WBI Technical Assistance

3. Draft of the NAS

2. Diagnostic surveys + analysis

1. Establishment of Steering Committee

Key Partnership: Government + Civil Society

analytical and policy dimension
Analytical and Policy dimension
  • Distill key links between manifestations of governance and:
    • Quality of services
    • Growth
    • Specific characteristics of public sector
  • Results could be used as one input for policy purpose
the power of diagnostic data and key dimensions for analysis
The power of diagnostic data and key dimensions for analysis
  • Identify both weak institutions (in need of reform) and strong institutions (example of good governance)
  • Unbundle corruption by type – administrative, capture of the state, bidding, theft of goods and public resources, purchase of licenses and regulations
key dimensions cont
Key dimensions… Cont.
  • Assess the cost of each type of corruption on different groups of stakeholders
  • Identify key determinants of good governance
  • Develop policy recommendations
in sum how to select among instruments
In sum, how to select among instruments?

EC Audits?

HIPC Ex.Tr.?



Pub. Officials?





Score cards?





Case study?

use a working framework
Use a working framework….

Conceptual dimension

- Analytical Framework -

- Analytical Framework -

Governance Assessment

Implementation process

Empirical tools & sample


& use

peru 2002
Peru 2002
  • Purpose of assessment: monitoring
  • Final users: government and civil society
  • Key feature:
    • Comparability across time
    • Ability to identify progresses
  • Type of information needed: agency-specific
  • Approach: objective, and based on citizen’s feedback
peru 20021
Peru 2002
  • Conceptual dimension
    • Transparency in the management of resources
    • Quality of basic health and education services
    • Quality of complaint and feedback mechanisms
  • Empirical Tool
    • Score card/Questionnaire to households
    • Focus on agency-specific information
    • Objective, experiential data
    • Close-end questions
peru 20022
Peru 2002
  • Process/Capacity building:
    • Partnership between WBI and with National Statistical Office on methodological issues
    • Data and results publicly available
  • Analytical dimension
    • Monitoring of indices’ performance over time
    • Link between indices of performance and measures of poverty
peru 2002 decisions taken
Peru 2002 – Decisions taken
  • To develop the following yearly indicators:
    • Index of transparency and civil society participation
    • Index of quality of public services
  • To focus on households/users only
  • To promote a partnership between the National Statistical Agency and citizens