A Users' Guide to Measuring Local Governance

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6 Methodological Guidelines for Local Governance Analysis Producer UNDP, Regional Project on Local Governance for Latin America History In Latin America, the devolution of power from central to sub-national government has been uneven but steady. There has been a significant increase in the volumes of funds managed directly by regional and local administrations, which are now responsible for providing basic social services. Elections are also increasingly held at regional and local levels. However, the formal authority and responsibilities devolved to local governments have not always been fully granted in practice, sometimes due to capacity deficits in local administrations, sometimes due to central administrations holding on to their centralizing tendencies. As such, one of the most urgent tasks for local governance in Latin America is to consolidate the empowerment of local governments as they try to redefine their role and identity in this newly decentralized setting. In this context, the need for a framework for assessing the state of decentralization and local governance was identified by UNDP, both as a normative reference to guide the ongoing decentralization process, and as a diagnostic tool to help identify governance dysfunctions which could be addressed through the design of development projects. Objectives The overall purpose of the Agenda on Local Governance in Latin America is to help inform the design of projects to enhance local governance and to introduce an instrument to help monitor and promote good governance processes at the local level. The guidelines have two specific objectives: • to develop a diagnostic tool about local governance conditions; and • to help formulate an action plan to strengthen or maintain the quality of local governance. Applicability The indicator set can be used by any group of local stakeholders interested in undertaking a selfassessment of local governance. The assessment results and Guidelines are also expected to be used by UNDP national offices in Latin America, to help them incorporate activities aimed at strengthening governance in ongoing local development projects. Types and sources of data used The information collected is both subjective and objective: citizen surveys (generally through personal interviews); city (and national) statistics and regulations; available administrative data. Methodology The guidelines suggest that good local governance presupposes six specific requirements: strategic vision, legitimacy and leadership, active and positive relationships between actors, appropriate institutional capacity, citizen participation, and a focus on human development. These six requirements are assessed based on specific targets and indicators (see Table 9). For each indicator, various evaluation criteria are proposed against which the actors involved can make the assessment. The evaluation involves expressing a judgement with respect to the various criteria, on a numerical scale between 1 and 5, while explaining the reason for the response.The evaluation can include statements (1 = totally disagree,to 5 = totally agree) or percentages (1 = 0-20%, 2 = 21-40%, 3 = 41-60%, 4 = 61-80%, 5 = 81-100%). After analysing the results, the local actors involved are expected to propose an action plan to strengthen the quality of local governance. 78 UNDP Oslo Governance Centre
Table 9: Methodological Guidelines for Local Governance Analysis – Key themes and indicators 1 Strategic Vision 2 Legitimacy and Leadership Target 1.1 The existence of a strategic plan for local development which will contain the consensual formulation of a strategic vision. 1.1.1 Existence of a general plan or sector plans 1.1.2 Coordination of the Plan with national or sector plans 1.1.3 Level of consensus achieved in the formulation of the Plan 1.1.4 Consistency between public policy and the strategic plan 1.1.5 Coincidence of expected scenarios and actual scenarios 1.1.6 There are experiences of long-term private-public commitment in this region/place Target 1.2 Continuity of Public Policy 1.2.1 Duration of periods of office of local administrations and possibility of rewarding good administration. 1.2.2 Degree of public support for policies 1.2.3 Opportunity Target 2.1 Identification of individuals and organizations with drawing power. 2.1.1 Degree of confidence in institutions (opinion polls) 2.1.2 The individuals attitude to the future Target 2.2 Public support for processes undertaken 2.2.1 Level of public knowledge of the process 2.2.2 Public expectations of the results of the process 2.2.3 Public support 3 Active and Positive Relationship Between Actors 4 Institutional Capacity Target 3.1 Full exercise of the right to self-determination 3.1.1 Existence of and respect for the rules of power-distribution between sub-national administrations 3.1.2 Harmonious relations between local government and national and regional government. 3.1.3 Capacity of the courts to influence local politics 3.1.4 Degree of transfer of competency and funds to sub-national government Target 3.2 Harmony in horizontal power relations 3.2.1 Electoral system and party system, locally Target 3.3 3.3.1 Existence of private organizations that participate in the achievement of public objectives 3.3.2 Correlation of public support between actors in tension Target 4.1 Transparency in public administration 4.1.1 Clear rules of the game in administration processes 4.1.2 Existence of mechanisms of control by society and public knowledge public administration 4.1.3 Corruption: policies, indicators and Perceptions Target 4.2 A technically qualified team 4.2.1 Degree of professionalization or personnel and selection criteria 4.2.2 Installed technical capacity Target 4.3 Financial sustainability of processes 4.3.1 Financial Indicators Target 4.4 Effectiveness of the law 4.4.1 Mechanisms of access to justice 4.4.2 Crime Indices Target 4.5 Quality in the delivery of services 4.5.1 Mechanisms for attention to citizens 4.5.2 Quality of Service 5 Citizen Participation 6 Results in Human Development Target 5.1 Significant electoral participation 5.1.1 Positive attitude towards election processes Target 5.2 Promotion of civic participation 5.2.1 Participation mechanisms and scenarios 5.2.2 The implementation of programs, projects, etc with civic participation 5.2.3 Organizations devoted to the promotion of civic participation 5.2.4 Formation programs 5.2.5 Positive attitude towards the citizen-government relationship Target 6.1 Establishment of aims in human development 6.1.1 Local situation of human development 6.1.2 Effects on human development foreseen in the conception, design and implementation of local actions 6.1.3 Effective impact of the actions applied on local human development A Users’ Guide to Measuring Local Governance 79
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A Users’ Guide to Measuring Local
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Contents Acknowledgements Acronyms
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Acknowledgements AUTHORS Alexandra
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Introduction This Guide is intended
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1 Assessments of Local Governance
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Decentralized governance for develo
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and local specificity. In order to
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A critical step in developing an as
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Box 5. Key phases in a governance a
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achieve the results. These can incl
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Gender-sensitivity in governance is
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1.11 Key contextual factors influen
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findings of the assessment in ways
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for union parishads (UPs) comprise
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Box 14. Short-, Medium- and Long-Te
Page 35 and 36: Voices from the Trenches 2 2.1 Choo
Page 37 and 38: governments, and representatives of
Page 39: the assessment - in terms of social
Page 43 and 44: Case Studies 3 The following four f
Page 45 and 46: Case Study 2: Moving from governmen
Page 47 and 48: Case Study 3: Balancing comparabili
Page 49 and 50: Case Study 4: Ensuring uptake of as
Page 51 and 52: References • Aberbach, J.D. and R
Page 53 and 54: Source Guide
Page 55 and 56: The summary matrix also indicates w
Page 57 and 58: Summary matrix: Main features of to
Page 65 and 66: Table 3: UGI sub-indices and indica
Page 67 and 68: Weaknesses • While the UGI helps
Page 69 and 70: Table 4: Local Governance Barometer
Page 71 and 72: Table 5: Scale to assess local gove
Page 73 and 74: Jean-Michel Dufils, PACT (Madagasca
Page 75 and 76: Table 6: Principles and indicators
Page 77 and 78: Where to find it The initiative is
Page 79 and 80: Table 7: Local Democracy Assessment
Page 81 and 82: Poverty focus Not explicit. The onl
Page 83 and 84: Local governance performance measur
Page 85: Europe. They have first been used i
Page 89 and 90: 7 Governance Index (Indonesia) Prod
Page 91 and 92: Table 12: Example of form for colle
Page 93 and 94: Where to find it The initiative is
Page 95 and 96: Table 15: MIDAMOS’s themes, indic
Page 97 and 98: Table 17: Grading System Qualificat
Page 99 and 100: Table 18: Framework of module on
Page 101 and 102: Key actors/stakeholders The initial
Page 103 and 104: Table 20: Indicators belonging to t
Page 105 and 106: y the State and the municipality as
Page 107 and 108: 11 Council of Europe’s Guide to D
Page 109 and 110: Table 25: Evaluation and comments f
Page 111 and 112: 12 Citizen Report Cards (CRC) Produ
Page 113 and 114: Box 5: Citizen Report Card applicat
Page 115 and 116: 13 Social Audit of Local Governance
Page 117 and 118: Box 7: Sample indicators for Social
Page 119 and 120: 14 Social Audit of Governance and D
Page 121 and 122: Box 8: Report extract - The Social
Page 123 and 124: Table 26: Themes and issues analyse
Page 125 and 126: 15 Local Governance Self-Assessment
Page 127 and 128: Table 27: EXAMPLES OF KEY ISSUES FR
Page 129 and 130: 16 Governance for Local Development
Page 131 and 132: Coverage Following the pilot testin
Page 133 and 134: Table 32: PBGS in Uganda, Tanzania
Page 135 and 136: Table 34: Nepal - Summary of the st
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Manual for assessment of Minimum Co
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Table 35: LGPMS - perfofrmance them
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Coverage The LGPMS was field-tested
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19 Index of Responsibility, Transpa
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Gender focus Not explicit. Poverty
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Table 39: Dimensions for the standa
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21 Local Integrity Initiative Produ
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Table 42: Integrity Indicator score
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Figure 6: 2008 Scorecard Summary: L
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Table 43: Two examples of questions
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Where to find it Users’ Guide & s
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