Fighting Corruption in the Education Sector Methods, Tools and Good Practices

Transcription

1 Uited Natios Developmet Programme Fightig Corruptio i the Educatio Sector Methods, Tools ad Good Practices

2 Copyright October 2011 Uited Natios Developmet Programme Bureau for Developmet Policy Oe Uited Natios Plaza New York, NY 10017, USA Website: ad Ackowledgemets This study has bee commissioed by UNDP ad was writte by Joh Wood ad Laetitia Atoowicz. The authors are affiliated with Educatio for Chage Ltd., a idepedet cosultig ad research compay with a active portfolio of work i the Uited Kigdom ad iteratioally. The case studies preseted i Aex 5 were writte by Alle Asiimwe with assistace from Ashaba Ahebwa ad Victor Agaba (idepedet cosultats). The views expressed i this publicatio are those of the authors ad do ot ecessarily represet those of the Uited Natios Developmet Programme (UNDP). The study received support from a Advisory Committee that provided guidace ad reviewed the drafts of the report. The Committee comprised Paul Baoba (TI), Daiela Gregr (UNDP), Usma Iftikhar (UNDP), Muriel Poisso (UNESCO), Claire Schoute (Tiri), Stefaie Teggema (GIZ), ad Marijaa Trivuovic (idepedet cosultat). The study also beefited from discussio held at UNDP s Fourth Commuity of Practice meetig ad various workshops orgaized by UNDP durig the 14th Iteratioal Ati-Corruptio Coferece (November 2010, Bagkok, Thailad). Thaks are also due to Gerardo Berthi, Tuva Bugge, Fracesco Checchi, Arka El-Seblai, Samuel de Jaegere, Da Dioisie, Tsegaye Lemma, Siphosami Maluga, Job Ogoda, Christiaa Pagalos, Paavai Reddy, Charmaie Rodrigues, ad Paulie Tamesis, for their helpful iputs ad suggestios that sigificatly cotributed to this project. We would also like to thak Jeff Hoover for copy-editig this report. UNDP is the UN s global developmet etwork, advocatig for chage ad coectig coutries to kowledge, experiece ad resources to help people build a better life. UNDP is o the groud i 135 developig coutries, workig with them o their ow solutios to global ad atioal developmet challeges. Editors: Phil Matsheza, Aga R Timilsia ad Aida Arutyuova Desig ad layout: First Kiss Creative

3 table of cotets Foreword 3 Abbreviatios ad acroyms 5 Executive Summary 6 1. Settig the cotext: Backgroud ad overview About this report Methodology ad scope of report Aalysis ad orgaizatio of documetatio reviewed Limitatios Corruptio ad key educatio-related developmet goals Defiig goverace ad corruptio Other otable backgroud issues for this review Fidigs from the desk review of ati-corruptio tools ad practices Rule of law/itegrity Legislatio Sactios Codes of coduct Public admiistratio ad systems reforms Better fiacial systems Better systems: idepedece ad exterality Better IT for admiistratio Trasparecy ad accoutability Advocacy ad awareess-raisig Ati-corruptio educatio Ope ad trasparet procuremet Participatory moitorig ad social accoutability Iformatio ad the use of media ad iformatio techology Iitiatives to curb teacher abseteeism Surveys 48 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 1

4 Table of cotets 2.4 Capacity developmet Developmet aid to educatio Coclusios Gaps i the reportig Cotext matters 54 Aex 1. Glossary 55 Aex 2. Iteret sources 56 Aex 3. Refereces 59 Aex 4. Proposed terms of referece for coutry cases studies o ati-corruptio i the educatio sector 65 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa 70 2 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

5 Foreword Over the past decade, impressive progress has bee made towards meetig the global commitmets outlied i the Milleium Developmet Goals (MDGs). Legal frameworks, systems ad processes are i place, ad aggregate public spedig o social services such as educatio, health, water ad saitatio has icreased i may coutries. However, disaggregated data o MDG achievemets preset a picture of ueve progress across regios, betwee ad withi coutries. The reaso for isufficiet progress is ot just due to a failure to address etreched disparities ad iequalities or the lack of fiacial resources geerated withi ad/or flowig to developig coutries, but also from the major bottleecks such as systemic corruptio that result i diversio of valuable resources. The poor ad vulerable sectios of the society are ultimately the oes to suffer the cosequeces of corruptio. The outcome documet of the 2010 MDGs Review Summit has idetified corruptio as the major barrier for achievig the MDGs. It calls for decisive steps to be take to combat corruptio i all its maifestatios. This requires a uderstadig o how corruptio maifests itself ad where corruptio risks exist i differet sectors, i order to devise strategies to address the uderlyig goverace ad ati-corruptio bottleecks impedig MDG progress. This UNDP-sposored study presets methods, tools ad good practices to map corruptio risks, develop strategies ad sustai parterships to address challeges ad tackle corruptio i the educatio sector. It complemets UNDP s MDG Acceleratio Framework (MAF), which has bee edorsed by the UN Developmet Group ad eables govermets ad developmet parters, withi established atioal processes, to idetify ad systematically prioritize the bottleecks to progress toward achievig the MDGs, ad the devise ways to overcome them. The study brigs together UNDP s efforts to support coutries to develop frameworks to accelerate their efforts to meet the MDGs, as well as successfully meet the commitmets of the UN Covetio agaist Corruptio. It also specifically takes forward UNDP s ageda to develop sectoral approaches to address corruptio i differet sectors. While all the MDGs are iterliked ad the achievemet of oe has a impact o the achievemet of others, it is widely recogized that meetig the educatio goal is critical for reducig poverty, empowerig wome, ad improvig health, saitatio ad eviromet targets. This study is the first of its kid to review ad map existig literature, methods, tools ad iitiatives i tacklig corruptio i the educatio sector. Most importatly, it highlights growig iterest, across regios ad amog citizes, i improvig access to quality educatio - possibly due to the icreasig value placed o educatio as a key for idividual ad societal developmet. The study presets cocrete evidece for buildig multi-stakeholder parterships, icludig with direct beeficiaries of public educatio sector, to address corruptio i the educatio sector. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 3

6 foreword We sicerely hope that this study will ispire further aalysis of the corruptio risks i the educatio sector at a coutry level. We also expect that the methods, approaches ad good practices preseted i this study will serve as a useful resource for buildig sustaiable parterships to develop ad implemet coutry-level ati-corruptio itervetios to promote accoutability ad improve efficiecy i service delivery. Sicerely, Geraldie Fraser-Moleketi Director, Democratic Goverace Group Bureau of Developmet Policy, UNDP Selim Jaha Director, Poverty Reductio Group Bureau of Developmet Policy, UNDP 4 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

7 abbreviatios ad acroyms CEF CSO DFID EFA EMIS GIZ IMF IT MDG MTEF NGO NORAD PETS PTA SMC SWAp TI TMIS UNDP UPE USAID Commowealth Educatio Fud Civil society orgaizatio UK Departmet for Iteratioal Developmet Educatio for All Educatio maagemet iformatio system (see Glossary) Deutsche Gesellschaft für Iteratioale Zusammearbeit (formerly, GTZ: Germa Techical Cooperatio) Iteratioal Moetary Fud Iformatio techology Milleium Developmet Goal Medium-term expediture framework No-govermetal orgaizatio Norwegia Agecy for Developmet Cooperatio Public expediture trackig survey Paret-teacher associatio School maagemet committee Sector-wide approach Trasparecy Iteratioal Teacher maagemet iformatio system (see Glossary) Uited Natios Developmet Programme Uiversal primary educatio Uited States Agecy for Iteratioal Developmet Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 5

8 executive summary Commissioed by UNDP i 2010, this is a report of the fidigs of a desk review of approaches, tools ad methods to tackle corruptio i the educatio sector. The aim is to assist i idetifyig the coditios for good practices ad their replicatio. Most of the documets reviewed pertaied to the formal public educatio sector, coverig primary, secodary ad post-secodary educatio, icludig reports of ati-corruptio itervetios from a rage of agecies, academic papers ad mauals ad guidelies from agecies ad civil society orgaizatios (CSOs). The review did ot cosider broader goverace iitiatives at macro or atioal level or explore the special circumstaces of post-coflict ad fragile states. The report begis with a review of some of the iteratioal cotexts ad categories of corruptio risks that have framed ati-corruptio work i educatio. The report the focuses o four mai categories of itervetios draw from a review commissioed by the Norwegia Agecy for Developmet Cooperatio (NORAD): 1 rule of law (cotrol ad sactio); public admiistratio ad systems (corruptio prevetio); trasparecy ad accoutability (duty bearers ad rights holders, o-state actors, iformatio, awareess); ad capacity developmet (idividual, orgaizatioal ad istitutioal capacity-buildig). Rule of law Although ati-corruptio laws do ot always directly address the educatio sector ad their admiistrative agecies might have little coectio with lie miistries, the legislative framework is a ecessary coditio to tackle corruptio ad a idicatio of govermet willigess to do so. The lack of sactio, however, is highlighted i the literature. I may coutries codes of coduct for educatioal staff have bee revised or established i recet years to improve professioal behaviour ad performace ad tackle particular issues of abseteeism, private tuitio ad sexual harassmet. The eed for cosultatio, ivolvemet of teacher uios, effective dissemiatio ad eforcemet mechaisms has bee ackowledged. Public admiistratio ad systems Better fiacial systems. Stregtheig fiacial maagemet has bee particularly supported by doors, icludig through the itroductio of medium-term expediture frameworks (MTEFs) ad associated mechaisms. Where macro-level budget trasparecy procedures are i place, oversight of spedig at lower levels is critical. Improved electroic systems for recociliatio of expeditures ad reportig are importat to allow data to be shared ad ispected. 1 NORAD (2008). Ati-corruptio approaches: a literature review. 6 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

9 executive summary Disbursemet of school grats has received icreased iteratioal attetio i the cotext of decetralisatio. The literature reports a rage of experimets to maage school grats, from the use of a third party agecy to the geeralisatio of school bak accouts ad more robust practices aroud returs ad liquidatios. Iformatio trasparecy is a critical measure, particularly cocerig the fudig formulae ad disbursemet procedures of grats. Idepedece ad exterality. Audit ad other exteral oversight bodies have a potetial role i exposig cases of corruptio i educatio. Their idepedece, level of authority to ivestigate cases, ad reportig lies to elected Parliamets ad the judiciary are vital. Overburdeed, these bodies ofte struggle to udertake sustaied sectoral ivestigatios, especially whe more fiacial resposibilities are shifted to lower admiistrative levels. The creatio of exteral bodies to hadle the allocatio of specific allowaces such as scholarships, to supervise uiversity admissios ad etry examiatios, or to oversee teachers examiatio ad appoitmets has resulted i corruptio deterrece for these specific risk areas. The icreased role of parets i school maagemet might prevet some corrupt practices aroud schools, but there are importat ad issues about their capacity ad readiess. IT systems. Robust iformatio systems ad the use of iformatio techology (IT) i the areas of teacher registratio ad maagemet, examiatio ad access to uiversity have prove efficiet i some coutries with regard to addressig challeges such as ghost teachers, patroage/retseekig i career progressio ad plagiarism. UN Photo/Eskider Debebe Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 7

10 executive summary Trasparecy ad accoutability Advocacy ad awareess raisig ati-corruptio campaigs are ofte complemetary measures to educatio reform processes. Ati-corruptio educatio. The educatio sector has proved to be a useful etry poit for aticorruptio educatio, be it delivered through projects or embedded i curricula. Measurig the results of such itervetios presets methodological challeges, although it is uderstood that they are part of loger-term strategies to chage both perceptios ad behaviour. Ope ad trasparet procuremet processes are explored i the literature, particularly aroud the developmet of itegrity pacts betwee suppliers ad commissioers. UN Photo/Milto Grat Participatory moitorig ad social accoutability iitiatives have bee flourishig i the past decade. Such iitiatives iclude the ehaced role of school maagemet committees i moitorig the disbursemet of school grats to budget trackig ad moitorig itervetios udertake by commuity members, sometimes childre, which are coordiated by CSOs at school level. Scorecard methodologies have bee helpful i raisig local awareess o service delivery issues ad idetifyig corruptio risks. Iformatio ad the use of media, buildig o iformatio laws ad free access to public iformatio, have helped reduce leakages, particularly aroud school grats. Accoutability mechaisms aroud teacher abseteeism, icludig commuity moitorig ad other iitiatives such as the use of icetives i curbig the pheomeo, have also bee researched i some coutries. Surveys. Public expediture trackig surveys ad quatitative service delivery surveys are two commo diagostic tools used i the educatio sector. Although they have cotributed to the idetificatio of leakages ad corruptio areas, they remai expesive exercises that provide limited uderstadig of the socio-political cotexts withi which corruptio happes ad cotribute little to the elaboratio of cosesual solutios to tackle corruptio. 8 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

11 executive summary Capacity developmet Documeted iitiatives iclude orgaizatioal ad idividual capacity-buildig as part of large or specific techical assistace projects complemetig door sector support ad Educatio for All s Fast Track Iitiative fuds. Traiig of parliametarias o educatio budgetig ad amog parets ad school maagemet committees o basic budgetig ad school maagemet procedures are deemed useful. The literature specifically addressig ati-corruptio i the educatio sectors is thi, with comprehesive case studies repeatedly cited but overall few documeted examples of good aticorruptio practices (icludig methods ad tools) i the educatio sector. Give this limited backgroud, this study tries to defie what a good ati-corruptio practice i the educatio sector should look like (please see the TOR i the aex). The other major fidig of this study is that atioal iitiatives by govermets ad CSOs are rarely dissemiated whe iteratioal agecies are ot ivolved. The descriptio of approaches ad tools too ofte lacks aalysis of the atioal educatio ad broader political ad social cotext withi which they happe ad of parallel or preparatory work that has cotributed to their implemetatio. This limits opportuities to idetify eablig ad costraiig factors that would iform the replicatio or the geeralisatio of such iitiatives. Most ati-corruptio approaches i the sector have ot bee idepedetly evaluated or oly as part of broader large-scale sectoral evaluatios. This suggests the eed for more focused research ad aalyses of ati-corruptio iitiatives i the educatio sector. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 9

12 1. settig the cotext: backgroud ad overview UN Photo/Eskider Debebe 1.1 About this report This report is the result of a desk review of approaches, tools ad methods to tackle corruptio i the educatio sector udertake i August ad September Commissioed by the UNDP Global Thematic Programme o Ati-Corruptio for Developmet Effectiveess (PACDE), it is oe of three such sector studies the other two focusig o the health ad water sectors. The review aims to iform a series of regioal/atioal studies o ati-corruptio practices i the educatio sector ad to iform a aalysis of the drivers ad coditios for good practice ad their replicatio. 1.2 Methodology ad scope of report Research for the report icluded a desk review of documets, icludig reports of ati-corruptio itervetios, academic papers ad others, ad cosultatios with a expert group. 10 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

13 1. settig the cotext: backgroud ad overview The documet review icluded methodologies ad ati-corruptio iitiatives withi the educatio sector, with the term educatio sector meat to iclude primary, 2 secodary ad post-secodary educatio i the formal ad iformal, public ad private sectors. 3 Most of the material reviewed pertaied to the formal public sector because it has bee the mai focus of developmet regardig the Milleium Developmet Goals (MDGs). Moreover, although the emphasis is o the MDGs, ad therefore mostly o primary educatio, the review ecompasses methods ad approaches used at secodary ad tertiary level. The review does ot cosider iitiatives that have sought to improve goverace at macro or atioal level, such as improved procuremet laws or atioal ati-corruptio agecies, which ormally result from separate legislatio or regulatio without sector-specific focus. The review does, however, cosider atioal level iitiatives that have take specific steps to address corruptio i educatio, icludig sector-specific resposes to overarchig corruptio legislatio, for example. The review does ot seek to explore the special circumstaces of post-coflict ad fragile states i which the focus is o developig the orgaizatioal ad istitutioal capacity to deliver educatio. No time period was specified for the review, but i the ed little material datig from before 2000 was idetified i the documetatio; this aloe uderscores how the area of study ad discussio has grow sice the Aalysis ad orgaizatio of documetatio reviewed Types of documets The documets gathered fall ito four mai categories: reports ad studies from multilateral ad bilateral agecies, UN agecies, foudatios, fuds ad NGOs, academic ad research papers, presetatios from a rage of agecies, ad mauals ad guidelies from agecies ad civil society orgaizatios (CSOs). Aex 2 lists all mai refereces. Categorizatio The documets were categorised usig two dimesios: categories of ati-corruptio approaches ad educatio sector. Each is discussed below. 2 Early childhood educatio is ot withi the scope of this review. 3 Potetially relevat documetatio was collected ad catalogued takig advatage of several cosolidatig websites (listed i Aex 2). This step ad follow-up of primary refereces i key publicatios have provided aroud 100 documets that iclude academic papers, agecy strategies, methods ad practices, ad experieces reported from specific projects or coutries. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 11

14 1. settig the cotext: backgroud ad overview Dimesio 1: categories of ati-corruptio approaches Differet categorisatio systems of approaches ad tools are used by differet agecies, mostly articulated aroud the cocepts of itegrity, trasparecy, capacity, participatio ad accoutability. For the purpose of this study the authors have adopted the classificatio used i a literature review commissioed by the Norwegia Agecy for Developmet Cooperatio (NORAD), 4 which sought to sythesise ad ratioalise the rage of aalytical tools i the literature ito the followig four mai categories: rule of law (cotrol ad sactio); public admiistratio ad systems (corruptio prevetio); trasparecy ad accoutability (duty bearers ad rights holders, o-state actors, iformatio, awareess); ad capacity developmet 5 (idividual, orgaizatioal ad istitutioal capacity-buildig). Types of itervetios were defied accordig to the descriptio of approaches i the documetatio. The terms below therefore spa the tools ad approaches foud i the literature ad arose from a heuristic list from the review. They are orgaized i Table 1 below accordig to the above broad categories. Some documeted itervetios combie actio i several of these areas. Table 1: Categorizatio of ati-corruptio approaches i educatio sector Rule of law Public admiistratio ad systems Trasparecy ad accoutability Capacity developmet Policy Legislatio Codes of coduct Whistle-blower/ complait procedures Iovatios addressig teacher abseteeism Systems improvemet fiaces ad accouts Systems improvemet idepedece ad exterality Systems improvemet techologies Systems improvemet ope procedures Public expediture trackig surveys (PETS), service delivery ad other surveys Iformatio use of the media ad iformatio techology Iformatio systems Participatory moitorig ad social accoutability Parterships ad alliaces Ati-corruptio educatio (i educatio or about the educatio sector) Advocacy ad awareessraisig campaig Wome s participatio Istitutioal reforms Orgaisatioal developmet Traiig 4 NORAD (2008). Ati-corruptio approaches: a literature review. 5 NORAD used the term capacity-buildig, but i keepig with recet practice the authors use capacity developmet istead. 12 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

15 1. settig the cotext: backgroud ad overview Dimesio 2: Educatio sector May itervetios ad approaches, especially those drive by geeral good goverace cocers, cover more tha oe educatio area. The categorisatio is show schematically i Table 2 below, although some details are omitted for clarity. Table 2. Categorisatio framework: Ati-corruptio itervetios Rule of law Public admi ad systems Trasparecy ad accoutability Capacity developmet Educatio areas Policy Legislatio Codes of coduct Whistle-blower/ complaits procedures Iovatios for teacher abseteeism Systems improvemets PETS ad other surveys Participatory moitorig etc. Istitutioal reforms Orgaisatioal developmet Traiig Educatio fiace (school level upwards) Procuremet (textbooks, ifrastructure, etc.) Teacher certificatio, recruitmet ad deploymet Istitutio accreditatio Iformatio systems Allocatio of specific allowaces School grats School maagemet (geeral) School persoel behaviour Educatio aid Examiatios, diplomas, access to uiversity Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 13

16 1. settig the cotext: backgroud ad overview Limitatios The literature specifically addressig ati-corruptio iitiatives i the educatio sector is thi (especially i compariso with aalyses of corruptio risks). While there are comprehesive case studies, ad these are repeatedly cited, there remai few documeted examples of methods or tools from which to geeralise. There is of course a recogised difficulty i fidig quatitative iformatio about corruptio ad its impact, ad about ati-corruptio measures ad their impact. However, this apparet shortage of evidece cocerig methods ad tools i the educatio sector suggests the eed for more research ad aalyses of ati-corruptio iitiatives. Other otable limitatios iclude the followig: Idepedet iitiatives. The documet search foud few reports of atioal iitiatives by govermets or CSOs other tha those that have bee reported ad dissemiated by iteratioal agecies. Small, techical ati-corruptio measures, such as chagig the recruitmet procedures for teachers, would be of particular iterest to this study, but documetatio to the ecessary level of detail is ot widely available. Cotext. The descriptio of ati-corruptio approaches ad tools i the available literature too ofte lacks aalysis of the atioal educatioal cotext withi which they happe. Variaces i the level of decetralisatio, arragemets for teacher maagemet ad resource provisio provide substatially differet opportuities or icetives for corruptio. Parallel or preparatory iitiatives that have cotributed to the ati-corruptio work eed to be idetified. Without them it is difficult to aalyse the eablig ad costraiig factors that would iform further research or replicatio of the iitiatives. 6 Evaluatios ad impact assessmet. The majority of ati-corruptio approaches ad tools that have bee used i the educatio sphere have ot bee the object of specific idepedet evaluatios. Rather, they have bee icluded as oe of the may itervetios of educatio programmes i large-scale evaluatios, which meas there are limited opportuities to lear from their specificities ad effectiveess. As a result, there are few comprehesive aalyses of the impact of certai itervetios. While this is a limitatio for this study, it is also a importat fidig to cosider durig further work. 1.3 Corruptio ad key educatio-related developmet goals Corruptio hiders efforts to achieve Educatio for All (EFA) goals (Box 1) ad the educatio-based MDGs (Box 2) by divertig resources away from ivestmets i ifrastructure ad istitutios ad distortig icetives for quality service delivery. 6 The widely reported gais followig the PETS i Ugada i ad 2001 have bee reviewed to show capacity-buildig ad regulatory chages that cotributed to the reported gais. 14 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

17 1. settig the cotext: backgroud ad overview Box 1. Educatio for All goals 7 1. Expad ad improve comprehesive early childhood care ad educatio, especially for the most vulerable ad disadvataged childre. 2. Esure that by 2015 all childre, particularly girls, childre i difficult circumstaces ad those belogig to ethic miorities, have access to ad complete, free ad compulsory primary educatio of good quality. 3. Esure that the learig eeds of all youg people ad adults are met through equitable access to appropriate learig ad life-skills programmes. 4. Achieve a 50 percet improvemet i levels of adult literacy by 2015, especially for wome, ad equitable access to basic ad cotiuig educatio for all adults. 5. Elimiate geder disparities i primary ad secodary educatio by 2005, ad achieve geder equality i educatio by 2015, with a focus o esurig girls full ad equal access to ad achievemet i basic educatio of good quality. 6. Improve all aspects of the quality of educatio ad esure excellece of all so that recogised ad measurable learig outcomes are achieved by all, especially i literacy, umeracy ad essetial life skills. The MDGs are cetral to assistace frameworks ad programmes, icludig poverty reductio strategies, ad have framed developmet cooperatio icludig i the educatio sector sice MDGs 2 ad 3 are directly related to educatio. The idicators for Goal 2, target 2A focus o the erolmet ad completio rates for primary educatio ad to some extet o the quality of educatio (literacy rate of year olds), while those for Goal 3 iclude elimiatig geder disparities i educatio, with a 2005 target for primary ad secodary educatio. Box 2. The eight MDGs 1. Halve extreme poverty ad huger 2. Achieve uiversal primary educatio 3. Promote geder equality ad empower wome 4. Reduce child mortality 5. Improve materal health 6. Combat HIV/AIDS, malaria ad other diseases 7. Esure evirometal sustaiability 8. Create a global partership for developmet 7 As cited o the World Bak s website at ~meuPK:540090~pagePK:148956~piPK:216618~theSitePK:282386,00.html. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 15

18 1. settig the cotext: backgroud ad overview Goal 2 of the MDGs achievig uiversal primary educatio ofte requires icreasig the capacity of the school etworks with facilities ad learig resources, tacklig disicetives to erolmet (particularly the costs), ad esurig that quality services are delivered. Educatio systems require icreased fiacial commitmets for expasio ad operatio, additioal teachers ad admiistrators, ad effective outreach strategies for margialized groups. Icreased procuremet, staff employmet ad deploymet as well as additioal demads o ay systems for oversight icrease the risks of corrupt practices eve as they icrease the likelihood that the MDGs will be achieved. I most coutries the educatio sector is oe of the largest beeficiaries of public fiace ad employer of public servats, ad thus the potetial impact of corruptio is high. I most coutries the educatio sector is oe of the largest beeficiaries of public fiace ad employers of public servats; it is therefore a sector at higher tha average likelihood of at least some corruptio. The potetial impact of corruptio is therefore high. At the same though, the goals of uiversal educatio, the EFA iitiative ad the MDGs have icreased the prioritisatio, icludig fuds, directed to educatio by developmet parters. Harmoisatio ad partership iitiatives arisig for the Paris Declaratio have icreased the exteral imperatives to demostrate proper use of fuds ad maagemet of facilities ad persoel. Parters have become more willig to recogise ad discuss corruptio opely ad develop approaches to tacklig it. UN Photo/Shehzad Noorai 16 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

19 1. settig the cotext: backgroud ad overview 1.4 Defiig goverace ad corruptio I policy-makig discussios regardig the MDGs ad i particular the creatio of a global partership as stipulated i MDG 8 broadly defied good goverace has bee recogised as a importat (eve ecessary) pre-coditio for the achievemet of EFA ad the educatio-specific MDGs. 8 Goverace cocers the way that those with the power ad resposibility exercise it: i regards to commitmet to democratic processes, accoutabilities, admiistrative efficiecy, the rule of law, participatio ad fairess. Defiitios vary slightly (Box 3), but iterestigly oe metio corruptio per se although all ecourage a state of affairs iimitable to corrupt practices by govermet ad its agets. Box 3. Some defiitios of goverace Goverace is the exercise of political, ecoomic ad admiistrative authority to maage a atio s affairs. It is the complex mechaisms, processes ad istitutios through which citizes ad groups articulate their iterests, exercise their legal rights ad obligatios, ad mediate their differeces. (UNDP 9 ) Goverace is the maer i which power is exercised i the maagemet of a coutry s social ad ecoomic resources for developmet. Goverace meas the way those with power use that power. (Asia Developmet Bak 10 ) Goverace is the traditios ad istitutios by which authority i a coutry is exercised for the commo good. This icludes i) the process by which those i authority are selected, moitored ad replaced, ii) the capacity of the govermet to effectively maage its resources ad implemet soud policies, ad iii) the respect of citizes ad the state for the istitutios that gover ecoomic ad social iteractios amog them (World Bak 11 ) The wordig of defiitios of corruptio has proved problematic, particularly i formal ad legal documets. 12 The UNDP Ati-Corruptio Practice Note of 2004, referrig back to a policy paper approved by the Executive Committee i 1998, defies corruptio as: the misuse of public power, office or authority for private beefit through bribery, extortio, ifluece peddlig, epotism, fraud, speed moey or embezzlemet. Although corruptio is ofte cosidered a si of govermet ad public servats, it also prevails i the private sector The 2009 EFA Global Moitorig Report, published by UNESCO, provides the most thorough exploratio of the issues. Olie: uesdoc.uesco.org/images/0017/001776/177683e.pdf. 9 See 10 See 11 See 292~theSitePK:461606,00.html. 12 See for example the discussio i UNODC (2004). The global programme agaist corruptio: UN ati-corruptio toolkit, 3rd editio. 13 See Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 17

20 1. settig the cotext: backgroud ad overview More recetly, UNDP bega to use the broader defiitio of corruptio to accommodate corruptio i the private sector. Corruptio is ow commoly defied as the misuse of etrusted power for private gai (UNDP Primer o Corruptio ad Developmet 2008). Trasparecy Iteratioal uses a simple defiitio to broadly cover its overall work: the abuse of etrusted power for private gai. Both of these defiitios are adequate for this review of the educatio sector. Corruptio i the educatio sector takes may forms ad may occur at atioal, sub-atioal ad istitutioal levels. Corruptio i the sector is defied as follows: the systematic use of public office for private beefit whose impact is sigificat o access, quality or equity i educatio. 14 The examples of corrupt practices i differet areas of educatioal plaig ad maagemet i Table 3 are ot exhaustive, but they evertheless show the rage of risk ad locus of corrupt practice that have bee idetified by observers. 15 Table 3. Corrupt practices i the educatio sector 16 Areas Fiace Specific allowaces (fellowships, subsidies, etc.) Costructio, maiteace ad school repairs Corrupt practices Trasgressig rules/procedures Iflatio of costs ad activities i budget estimates Embezzlemet Favouritism, epotism Bribes Bypassig criteria Discrimiatio (political, social, ethic) Fraud i public tederig Collusio amog suppliers Embezzlemet Maipulatig data Bypass of school mappig Ghost deliveries 14 Hallak & Poisso, A more extesive list of goverace risks i a recet Asia Developmet Bak guidace ote juxtaposes these corruptio risk areas withi other sector goverace cocers. See Asia Developmet Bak (2010). Guidace ote: educatio sector risk assessmet. Olie: Risk-Assessmet.pdf. 16 The source for the iformatio i this chart is the followig: Hallak, J. & Poisso, M. (2007). Corrupt schools, corrupt uiversities: what ca be doe? IIEP UNESCO. 18 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

21 1. settig the cotext: backgroud ad overview Areas Distributio of equipmet, furiture ad material (icludig trasport, boardig, textbooks, catees ad school meals) Writig ad assigig of textbooks Teacher appoitmet, maagemet, paymet ad traiig Teacher/school staff behaviour (professioal miscoduct) Iformatio systems Corrupt practices Fraud i public tederig Collusio amog suppliers Siphoig of school supplies Purchase of uecessary equipmet Bypass of allocatio criteria Maipulatig data Ghost deliveries Fraud i the selectio of authors (favouritism, bribes, gifts) Bypass of copyright law Studets forced to buy materials copyrighted by istructor Fraud i the appoitmet ad deploymet of teachers (favouritism, bribes, gifts) Discrimiatio (political, social, ethic) Falsificatio of credetials/use of fake diplomas Bypass of criteria Pay delay, sometimes with uauthorised reductios Ghost teachers Abseteeism Illegal fees (for school etrace, exams, assessmet, private tutorig, etc.) Favouritism/epotism/acceptace of gifts Discrimiatio (political, social, ethic) Private tutorig (icludig use of schools for private purpose) Sexual harassmet or exploitatio Bribes or favours durig ispector visits Maipulatig data to misrepreset Selectig/suppressig iformatio Irregularity i producig ad publishig iformatio Paymet for iformatio that should be provided free Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 19

22 1. settig the cotext: backgroud ad overview Areas Examiatios ad diplomas, access to uiversities Istitutio accreditatio Corrupt practices Sellig exam iformatio Examiatio fraud (impersoatio, cheatig, favouritism, gifts) Bribes (for high marks, grades, selectio to specialized programmes, diplomas, admissio to uiversities) Diploma mills ad false credetials Fraudulet research, plagiarism Fraud i the accreditatio process (favouritism, bribes, gifts) Corruptio i educatio sector is defied as the systematic use of public office for private beefit whose impact is sigificat o access, quality or equity i educatio. UN Photo/Albert Gozalez Farra 20 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

23 1. settig the cotext: backgroud ad overview 1.5 Other otable backgroud issues for this review Formal vs. o-formal educatio 17 The MDGs have focused attetio o formal schoolig, which is ormally provided i the public sector. However, much educatio is offered by o-formal providers, especially for pre-school ad out-of-school childre. The review foud o documeted aalysis of specific corruptio risks or ati-corruptio measures outside the formal schoolig system ad academic tertiary educatio. The admiistrative ad goverace cotexts of these sub-sectors vary betwee coutries: i may cases, o-formal educatio is outside the purview of atioal ad local govermets, is subject to limited oversight ad, i most cases, has bee margialized i developmet iitiatives sice the MDGs, which have focused o formal schoolig. Similarly the review foud o documeted aalysis of the risks of corruptio, or the presece of targeted ati-corruptio measures, i private schools. I view of the expasio of private educatio provisio i may coutries, of the icreasig ideological support for privatisatio i educatio developmet discourse, ad of the tighter relatioships betwee the public ad private spheres, private provisio merits more attetio where public subsidy is directed to private providers. Decetralisatio The educatio sector has witessed substatial iitiatives, ofte drive by developmet parters, to decetralise maagemet resposibilities, decisio-makig ad fiacial admiistratio to subatioal ad istitutioal levels. Much of the literature of good goverace i educatio, ad that of more explicit ati-corruptio approaches, is withi the cotext of decetralisatio i geeral ad the itroductio of block or capitatio grats to schools more specifically. Such grats provide fiacig a fixed lump sum or a amout proportioal to studet umbers, respectively to be used as schools decide (usually i keepig with a participatory school pla). The World Bak has strogly promoted this modality as part of its larger goverace ageda for commuity accoutability ad participatio. It assumes that decetralisatio reduces leakage ad improves performace i other risk areas because local oversight ad accoutability systems ted to be more effective. I that sese, educatioal decetralisatio ad school-based maagemet are perhaps the most commo The decetralized maagemet of educatio sector reduces leakage ad improves performace because local oversight ad accoutability systems ted to be more effective. However, decetralizatio is o paacea if paret ad commuities groups are captured by corruptig forces or lack the capacity to moitor. 17 Iformal educatio may be offered with flexible hours, with a tailored/flexible curriculum i various settigs, ad focused o respodig to the particular eeds of specific groups of childre or adults. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 21

24 1. settig the cotext: backgroud ad overview approaches to reducig corruptio i the allocatio ad utilisatio of educatioal fiace, ad to esurig appropriate teacher behaviour. However, decetralisatio is o paacea: paret ad commuities groups ca be captured by corruptig forces or may lack capacity to exercise a effective oversight fuctio. Politicised corruptio As a major public service, educatio is a focus of political cocer ad ifluece (as it should be). However, political allegiaces ca corrupt trasactios, for example as a requiremet i appoitmets or promotios, or to distort sactios for corrupt behaviour (although this is ot peculiar to the educatio sector per se). Such iterferece is widely reported i Bagladesh, for example, with its highly politicised bureaucracy See for example Wood, J., Hye, H. & Shrivastava, A. (2003). Bagladesh: developig a risk-reductio strategy for fiacial maagemet ad goverace i PEDP2. 22 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

25 2. fidigs from the desk review of ati-corruptio tools ad practices UNDP Photo / Photographer Name 2.1 Rule of law/itegrity Documeted iitiatives i this category iclude procuremet (of facilities ad teachig ad learig materials) ad staff coditios of service. Methods ad tools iclude recruitmet legislatio, sactios ad teachers codes of coduct Legislatio A adequate legislative framework is a ecessary coditio for tacklig corruptio. Because corruptio has usually bee addressed as a cross-cuttig issue as it is, for example, i the Uited Natios Covetio agaist Corruptio (UNCAC) ati-corruptio legislatio is geerally ot sector specific, although it may make specific provisio. I Viet Nam, for istace, the 2005 ati-corruptio law specifically madates trasparecy i erolmet ad examiatios ad public disclosure of public fuds used i educatioal istitutios 19. The impact of this law has ot bee evaluated. 19 UNDP (2008). Prevetig corruptio i the educatio sector: iteratioal experieces with civil society ivolvemet. UNDP Policy Note, UNDP Viet Nam. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 23

26 2. fidigs from the desk review of ati-corruptio tools ad practices Iformatio o the impact of ati-corruptio legislatio o educatio outcome is rarely available; however, the itroductio or reewal of ati-corruptio legislatio is ofte cosidered to reflect a govermet s willigess to address corruptio ad has a certai level of impact o public discourse o the topic. There is o evidece i the literature of evaluatio of ati-corruptio legislatio ad its impact o educatio. However, the itroductio or reewal of ati-corruptio legislatio is ofte see as a idicatio of a govermet s willigess to address corruptio ad of the impact of a certai level of public discourse ad pressure o the topic. Developmet parters have ofte ecouraged ad facilitated such legislatio. Legislatio may establish ati-corruptio istitutios with powers to ivestigate corrupt practices. Respodets have reported the logical progressio i which geeral legislatio is followed by sectorspecific resposes, icludig for the educatio sector. For istace, i Sierra Leoe the Ati-Corruptio Commissio produced a documet that assessed risk i the educatio sector ad proposed mitigatio measures. 20 Ati-corruptio laws ted to be admiistered by ati-corruptio agecies, ad there is usually little direct coectio with lie miistries. However, i Nigeria the ati-corruptio body maitais offices i the lie miistries, icludig educatio, with established rights to be preset i workig meetigs ad to review documets. Issues for future coutry studies o the impact of ati-corruptio legislatio o educatio: Where there is ati-corruptio legislatio, has it bee mediated ad specifically operatioalised withi the educatio sector? Has the educatio sector proved particularly problematic i regards to itroducig ad implemetig ew legislatio for ay reaso? 20 Ati-Corruptio Commissio (2009). From the abyss back to the Athes of West Africa: a report o systems review of Miistry of Educatio. Miistry of Educatio, Sierra Leoe. 24 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

27 2. Fidigs from the desk review of ati-corruptio tools ad practices Sactios As reported i the literature review, elemets of crimial sactios ad discipliary measures aimed at deterrig corrupt practices i educatio iclude: idepedet complaits systems, ivestigators with authority ad access to relevat iformatio, crimial sactios accordig to the ature ad level of malpractice, discipliary measures (o-judicial), the publicatio of lists showig firms or idividuals guilty of corrupt practices (e.g., blacklists for procuremet cotracts), ad icreased powers of oversight of schools. The literature emphasises the geeral lack of sactio for o-compliace with regulatios, eve i relatively severe cases for which crimial or discipliary measures would seem appropriate. Trasgressios are ot classified as corruptio as per guidelies of the educatio sector, which ormally operates uder some form of the Educatio Act. Pealties i the educatio sector followig idetified corruptio are usually less severe tha those i the ati-corruptio laws. Issues for future coutry studies o sactios ad discipliary measures What are the sactios for corrupt practices? Have they have chaged ad have they bee used? A specific focus might be o whether staff has bee dismissed for corrupt practices ad if so, whether the charges were specifically ati-corruptio or more geeral misdemeaours uder the Educatio Act. To what extet is the ati-corruptio agecy moitorig corruptio i the educatio sector? Codes of coduct The literature shows how codes of coduct for educatio persoel (icludig head teachers, ispectors, educatio authority staff, teachers ad acillary staff) cotribute to improvig professioal behaviour ad performace. 21 The Iteratioal Istitute for Educatioal Plaig (IIEP) recetly has bee workig o a toolkit for teachers codes of coduct. 22 Developmet agecies ad NGOs workig o school maagemet issues ad o school-based violece, icludig violece agaist girls i schools, have also bee advocatig for the review or developmet of codes of 21 va Nulad, S. & Khadelwal, B. (2006). Ethics i educatio: the role of teacher codes i Caada ad South Asia. UNESCO IIEP. 22 Poisso, 2009; Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 25

28 2. fidigs from the desk review of ati-corruptio tools ad practices coducts. I coutries where malpractice ad miscoduct from the teachig force were icreasigly reported i the media (for istace i the Gambia), teacher uios have bee istrumetal i the developmet of such codes. I additio to the Gambia, Sierra Leoe is aother example of a recet developmet of a code of coduct with strog iputs from teacher uios ad sigificat support from agecies, ad particularly NGOs. Fact sheets o the developmet process ca be foud i a recet publicatio by the Uited Natios Childre s Fud West ad Cetral Africa (UNICEF WCARO), Pla West Africa Regioal Office (WARO), Save the Childre Swede ad ActioAid, 23 with a focus o how these iitiatives ca cotribute to curbig violece i schools ad sexual exploitatio of childre. The same publicatio also highlights how school-based codes of coducts, developed with the participatio of childre, teachers ad commuity members (e.g., Côte d Ivoire through Save the Childre s Rewrite the Future programme 24 ) address teacher abseteeism specifically, although they seem ot to address issues of sexual harassmet or sex for grades. Codes of coduct for educatio persoel ca be effective if the teachers ad commuity members are ivolved i developig them, the iformatio ad expectatios i the codes are widely available to ad uderstood by all stakeholders, ad effective mechaisms are i place to eforce the codes. Success factors idetified by these iitiatives iclude maily the strog ivolvemet of teacher uios (through a bottom-up process i the case of the Gambia) ad extesive collaboratio betwee educatio miistries ad uios. Remaiig challeges pertai to the eforcemet of the codes ad the establishmet of bodies resposible for admiisterig sactios. There are however coutries where specific mechaisms or bodies have bee established to esure eforcemet of the codes, with Caada ad Hog Kog beig two examples. 25 The dissemiatio of the codes ad uderstadig of their cotet ad implicatios by educatio staff are critical. All the above-metioed iitiatives have emphasised the eed for cosultatio, validatio ad iformatio dissemiatio at atioal, regioal, local ad school levels, icludig amog childre, teachers, local educatio authorities ad parets. Results The impact of codes of coduct o teacher abseteeism has bee reported, but there is o data o how (or if) codes may be curbig sexual harassmet ad abuse by educatio persoel. The impact of codes may be affected by their lack of dissemiatio, the difficulty of uderstadig them, lack of kowledge amog studets ad the commuity of complaits procedures i case of o-compliace, ad the geeral lack of eforcemet mechaisms Atoowicz, L. (2010). Too ofte i silece: a report o school-based violece i West ad Cetral Africa. UNICEF, Pla West Africa, Save the Childre Swede West Africa ad ActioAid. Olie: 24 Ibid. 25 va Nulad, S. & Khadelwal, B. (2006). Ethics i educatio: the role of teacher codes i Caada ad South Asia. UNESCO IIEP. 26 Atoowicz, L. (2010). Too ofte i silece: a report o school-based violece i West ad Cetral Africa. UNICEF, Pla West Africa, Save the Childre Swede West Africa ad ActioAid. Olie: 26 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

29 2. Fidigs from the desk review of ati-corruptio tools ad practices Issues for future coutry studies o codes of coduct Where codes of coduct are i place: How were they developed? What aspects of behaviour do they cover? What are the eforcemet mechaisms? How have eforcemet mechaisms bee used? Ghost teachers ad teacher abseteeism ca be tackled by ivolvig commuities. To what extet are commuities egaged i the developmet ad eforcemet of codes of coduct? How are codes of coduct liked to formal discipliary processes? What is the impact of scorecards where commuities rak schools performace? 2.2 Public admiistratio ad systems reforms Documeted iitiatives i this category cover systems improvemet (better fiacig ad accoutig systems, icreased use of idepedet ad exteral bodies, use of software ad techology to prevet corruptio); iformatio systems; commuity participatio; ad oversight of school fiace ad maagemet, policy developmet ad wome s participatio. Although iitiatives i this category focus maily o the educatio system i geeral, specific educatio areas addressed iclude educatio aid, educatio fiace, school grats, procuremet, teacher certificatio, recruitmet ad deploymet, examiatios, ad etrace to uiversity ad schools. Box 4. Costructig Philippie educatio, oe school buildig at a time: the Bayaihag Eskwela story The Govermet Watch (G-Watch) of Ateeo School of Govermet has implemeted Bayaihag Eskwela sice The programme is a commuity-based moitorig of the Philippies govermet s school-buildig projects that aims to esure that high quality school-buildig projects are implemeted at the right time where they are eeded most. The programme has mobilized over 700 commuity-based moitors i its three rouds, who have esured that 133 classrooms costig millio Philippie pesos (US$2.8 millio) were costructed accordig to stadards. The programme has bee officially adopted by the Departmet of Educatio as the commuity-based moitorig compoet of its schoolbuildig programme that esures trasparecy ad accoutability i programme executio. This social accoutability experiece has geerated rich lessos i prevetig aomalies ad corruptio i service delivery, thereby improvig effectiveess of services, through citize egagemet i goverace. Bayaihag Eskwela follows the G-Watch social accoutability approach, which icludes iovative features that respod to limits ad gaps of previous examples of civil society egagemet i Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 27

30 2. fidigs from the desk review of ati-corruptio tools ad practices goverace. Bayaihag Eskwela is desiged i a way that from the preparatio to the actual moitorig to the processig of results, represetatives from the govermet ad civil society costructively egage o tasks ad resposibilities critical to the success of the project. It icludes a coordiatio-commuicatio mechaism betwee ad amog civil society ad govermet actors ad participats that facilitates exchage of iformatio, problem-solvig ad quick respose. This makes Bayaihag Eskwela a joit govermet-civil society moitorig iitiative, which uderscores how distict it is from other moitorig efforts. Bayaihag Eskwela also follows G-Watch s approach to curbig corruptio, which is prevetive ad pre-emptive. By clarifyig stadards i the implemetatio of school-buildig projects ad moitorig the compliace to these stadards, deviatio ad corruptio are preveted. The moitorig of compliace to stadards becomes a stimulus that ecourages resposible actors to behave as expected. Key to the desig of Bayaihag Eskwela is the participatio of the commuity ad the coduct of the moitorig at the commuity itself. This esures stakeholders owership of the iitiative ad cuts the cost of moitorig sice the moitors o loger icur trasportatio costs. Commuity-based moitorig teams are created i each school, composed of the pricipal, the project egieer, scouts ad represetatives of paret-teacher associatios ad NGOs. At the heart of Bayaihag Eskwela is its easy-to-use ad simple moitorig tool. The tool is a checklist with yes-or-o questios basically askig whether stadards are followed i the school-based project implemetatio. Durig the first ad secod rouds of Bayaihag Eskwela, the tool was maily lookig ito school-buildig costructio specificatios ad the madatory activities before ad after the costructio that esure the participatio of key stakeholders ad the trasparecy of the process. O the third roud, the Bayaihag Eskwela moitorig tool was revised to also cosider whether the schools are built where there is acute classroom shortage (i.e., demostratig resposiveess to eed) ad whether the classrooms are coducive to learig. I this regard, the tool covers factors such as vetilatio, lightig, space, saitatio ad safety of locatio as well. Fially, the moitorig results of Bayaiahag Eskwela are backed up by evidece, which iclude official documets, recordigs ad photos. Moitors are taught the importace of gatherig evidece to support the results of their moitorig ad esure the objectivity of the moitorig coducted. The approach has prove to be replicable as it has bee adopted for G-Watch s moitorig of textbooks ad huma rights compliace, particularly the right to suffrage of persos deprived of liberties ad right 28 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

31 2. fidigs from the desk review of ati-corruptio tools ad practices to food of iterally displaced people. Curretly, G-Watch is testig the applicatio of the approach i the service delivery of local govermet uits, particularly i regards to health, educatio, agriculture, ifrastructure ad the eviromet. UN Photo/L. Rajaoia Better fiacial systems Fiacial maagemet Stregtheig fiacial systems has bee oe of the ati-corruptio methods used by doors ad govermets to combat corruptio i the educatio sector ad improve fiacial plaig ad maagemet overall. Developmet parters have supported public fiacial maagemet (PFM) ad public expediture maagemet (PEM) to establish soud budget systems ad ease accout geeratio ad cosolidatio of expeditures. Fiacial capacity is cetral i cosiderig budget support ad similar fiacial modalities, as well as sector-wide approaches (SWAps). Medium-term expediture frameworks (MTEFs) are multi-year public expediture exercises that are used to set out the future budget requiremets for existig services ad to assess the resource implicatios of future policy chage. 27 They have bee itroduced i the past decade as a way to stregthe ad ratioalise budget processes. MTEFs are rollig programmes based o a three- to fiveyear plaig ad budgetig framework, with aual fixed budgets. They improve predictability of fuds, efficiecy ad accoutability because implicatios of policy decisios must be costly. Lastly, MTEFs ca give priority to budget expeditures that are pro-poor. 27 Pearso, M. (2002). Medium-term expediture budget frameworks: a itroductio. DFID Health Systems Resource Cetre. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 29

32 2. Fidigs from the desk review of ati-corruptio tools ad practices I Bagladesh, a medium-term budgetary framework (the most basic type of MTEF) is beig bee piloted with seve miistries, icludig the Miistry of Educatio, with support from the UK Departmet for Iteratioal Developmet (DFID), the World Bak ad the Iteratioal Moetary Fud (IMF) to address some of the idetified fiduciary risks. This has eabled miistries to esure cosistecy of allocatios with fiscal ad policy objectives ad to stregthe some of their fiacial capacities. I Bagladesh for istace, this led to improved speed i geeratig accouts ad to the publicatio of mothly fiscal reports by the govermet. 28 UNESCO Asia ad the Pacific Regioal Bureau for Educatio also commissioed a series of i-depth studies o educatio fiacial plaig i Asia (Mogolia, Nepal, the Republic of Korea, Thailad ad Viet Nam), focusig o MTEFs. 29 These publicatios do ot ecessarily tackle ati-corruptio per se but evertheless provide useful iformatio o MTEFs as they apply to educatio, implemetatio challeges, ad clarity over allocatio rule per type of educatio iputs. Elsewhere the literature metios how exteral expert ratigs of budget performace are also beig tested at the sector level, icludig educatio, to track budget credibility ad istitutioal performace. 30 While such macro-level methods help icrease budget trasparecy ad may reduce the opportuities for educatio fuds to be misused ad diverted at the atioal level, it is i the maagemet of their disbursemet, recociliatio of expeditures ad oversight of spedig at the lower levels where opportuities persist for both mismaagemet ad corruptio. The most useful itervetio i this regard is improved electroic systems ad use of the bakig system, rather tha cash, to make paymets for teacher salaries or school grats. PFM iitiatives, icludig the oe i Bagladesh cited above, work towards atioal systems with shared records, etc. Importat steps at the techical level iclude itegratig fiacial systems for recocilig paymets made, based o stadardised codig ad icreased use of electroic systems that allow fiacial data to be shared ad ispected. While macro-level itervetios to icrease budget trasparecy reduce the opportuity for educatio fuds to be misused, the disbursemet of fuds, recociliatio of expeditures ad oversight of spedig at the lower levels provide opportuities for both mismaagemet ad corruptio. It is ackowledged that such practices may ot specifically address corrupt practices idetified at atioal level, but may istead cotribute to the overall good goverace ageda at govermet ad miistry levels. There seems to be a cotradictio betwee itroducig electroic fiacial maagemet ad devolvig fiacial fuctio dow to istitutioal level, where skills ad ifrastructure may ot be available. 28 World Bak (2006). Program documet for a proposed Secod Programmatic Educatio Sector Developmet Support Credit to the People s Republic of Bagladesh. Huma Developmet Sector, South Asia Regio. 29 See coutry-examples-of-educatio-mtef/. 30 Lewis, M., Pettersso, J. (2009) Goverace i Educatio: Raisig Performace, 22 December Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

33 2. Fidigs from the desk review of ati-corruptio tools ad practices Results The search foud o evaluatios of direct impact of these fiacial maagemet processes o the reductio of corruptio, or of the specific type of corruptio i educatio that might be addressed. Overall, however, the literature refers to icreased fiacial capacity of govermet ad lie miistries ad to better systems creatig a eablig eviromet for good goverace. Where budgetary iformatio has bee geerated i shorter cycle, there have bee potetially more opportuities for exteral oversight. This is perhaps due to the absece of baselie iformatio, ad to the multiple objectives of such itervetios i terms of better goverace. Issues for future coutry studies o fiacial maagemet systems What is the level of itroductio of accoutig systems, at sub-atioal offices ad agecies? Have robust fiacial maagemet mechaisms bee itroduced with a specific corruptio reductio goal? If so, what were the ature, the size ad the locatio of the risks? For the itroductio of ew fiacial maagemet mechaisms: Who is ivolved? What are the drivers at govermet level? What admiistrative structure eeds to be i place to eable such mechaisms to have a impact? School grats disbursemet School grats have become icreasigly commo i the past two decades, drive by a portfolio ageda for improved local resposiveess, decetralisatio ad the explicit ati-corruptio aim for fuds to be subject to oversight of beeficiaries ad mai stakeholders (pupils ad parets). The literature presets a rage of parameters to be take ito accout whe devisig school grats disbursemet systems, i particular aroud the allocatio formulae ad the possible disbursemet chaels. Ati-corruptio approaches withi them have icluded the followig. Use of a third party for disbursemet. I Sierra Leoe, two routes were compared for grat disbursemet from cetral to school level, through educatio secretaries ad district educatio offices ( ) ad through the use of a third party, amely KPMG (a global auditig firm), i The secod method resulted i almost o leakage compared with the first, with 98.6 percet of the fuds trasferred to KPMG reachig schools i cotrast to oly 45 percet of the fuds whe disbursed cetrally. 31 This system has however ceased to exist. With the Local Govermet Act of 31 Lewis, M. & Pettersso, J. (2009). Goverace i educatio: raisig performace. World Bak. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 31

34 2. Fidigs from the desk review of ati-corruptio tools ad practices UN Photo/Albert Gozalez Farra 2004 ad the devolved fuctio of primary educatio to local coucils, grats are ow disbursed from the cetral govermet to local coucils, ad from the coucils to school bak accouts. Textbook grats trasfer to schools. I Keya, textbook grats were trasferred directly to school bak accouts for purchasig textbooks locally. Accordig to a follow-up audit, little leakage was discovered. 32 (Cetralised textbook procuremet ad distributio is a recogised corruptio risk i may coutries, ad this trasfer of the resposibility ad fuds to schools is a rare example of a method that might address that risk.) School bak accouts. Most coutries itroducig block or capitatio grats have requested schools to ope bak accouts i order to avoid full disbursemet of the grat i cash. I most istaces there are three sigatories to the accout: the head teacher, the school maagemet committee (SMC) chair ad a treasurer or a local educatio officer. Returs ad liquidatios. Grats ted to be disbursed at differet periods across the school year, usually per term. There are fiacial processes to be followed by schools to justify their spedig of the fuds before beig etitled to the disbursemet of the secod or third traches of the grats. This is the case 32 Ibid. 32 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

35 2. Fidigs from the desk review of ati-corruptio tools ad practices i Sierra Leoe, for istace, where the grats for primary educatio are disbursed every term by local coucils to school bak accouts. Schools have to accout for all their expeses ad provide receipts to the coucils. Failure to do so results i the o-disbursemet the followig term. Other methods. The literature shows other approaches to esure proper disbursemet ad utilisatio of school-grats. They iclude: systems to improve validity ad timeliess of iformatio about schools withi atioal educatio maagemet iformatio systems to esure grats (especially formulae-drive grats) match schools eeds; ad active attempts to esure public awareess of grats ad commuity oversight of school fiaces. These methods are discussed later i the cotext of iformatio, trasparecy ad participatory oversight. Results The literature idicates that positive results i terms of reduced leakage due to a give itervetio i fiacial maagemet flows may ot mea the problem is eradicated but, rather, that it may be trasferred, with leakages happeig at aother level whe systems have curbed them i other places. Examples documeted i the literature iclude: Whe school grats i Sierra Leoe were disbursed via a third party (KPMG), the process esured the grats reached schools. However, this process could ot cotrol possible leakages at the school level itself. I Cambodia, the formula-based allocatio method ad the programme budget structure i place aroud grats for schools ( Priority Actio Programme 2.1 fuds ) resulted i fuds mostly reachig schools. However, the 2005 Public Educatio Trackig Survey raised cocers that the tighter cotrol ad moitorig procedures aroud the grats had shifted corruptio to other budget lies i particular the budget lie that covers work-related travel, equipmet ad accommodatio for educatio officials. 33 Aother issue raised i the documetatio is that public accoutig procedures (record keepig ad supportig documetatio) ca coceal fiacial mismaagemet or corrupt practices whe accouts o paper do ot correspod to the reality of fuds usage World Bak Group (2005). Cambodia public expediture trackig survey (PETS) i primary educatio. 34 Hallak. J. & Poisso, M. (2007). Corrupt schools, corrupt uiversities: what ca be doe? IIEP UNESCO. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 33

36 2. Fidigs from the desk review of ati-corruptio tools ad practices Issues for future coutry studies o school grats disbursemet Where there have bee grats to schools: How are grats disbursed? How are schools beig held to accout for the grats? Do approaches aticipate the chages of the itroductio of a ew fiacial or disbursemet system oto others? How is this doe? What is the role of school level goverace (school committees or parets associatios) i approvig expediture ad accoutig ad how ope is such school-level fiacial oversight? Evaluatio of good practices should look ot oly at results i the area targeted by aticorruptio, but also widely to esure o improper trasfers have take place. Are data-collectio systems i place to complemet fiacial maagemet/ accoutig practices to corroborate what is o paper? Better systems: idepedece ad exterality Educatio i geeral At the iitiative of govermets, with some pressure from developmet parters goverace agedas, coutries have take steps to set up ad stregthe idepedet audit bodies. The literature alludes to the work udertake by these but lacks detail o its impact o corruptio deterrece, beyod the ivestigatio of cases that led to actios agaist corrupt officials ad to dismissals of miisters or corrupted civil servats. The most commoly cited issues refer to the fiacial idepedece of these audit bodies, their o-reliace o govermet for admiistrative decisios, their level of authority to ivestigate cases ad cotracts, ad their reportig lies (to Parliamet ad the judiciary i particular). I may developig coutries, atioal istitutioal arragemets lack the huma or fiacial resource capacity to provide adequate oversight of educatio istitutios, icludig importat moitorig fuctios. I most cases, resposibilities for audit ad oversight are delegated to sub-atioal admiistrative uits. Natioal istitutioal arragemets for public audits across sectors lack the huma or fiacial resource capacity (or both) to provide adequate audit oversight of educatio istitutios. That situatio is aggravated as more resposibility is beig delegated to istitutios ad sub-atioal admiistrative uits. I the literature surveyed, there are o reports of ay iitiatives to shift atioal audit ad oversight fuctios to decetralised systems. Also, at school level the reliace is usually o commuity oversight. 34 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

37 2. Fidigs from the desk review of ati-corruptio tools ad practices Beyod audit bodies, other mechaisms ca be used to scrutiise public fiaces ad icrease trasparecy ad accoutability. This is the case for istace of the Public Accouts Committee (PAC) i Nepal. The PAC is oe of the select committees of the preset Legislature-Costituet Assembly. Its mai fuctio is to examie the public accouts ad the report of the Auditor Geeral to reduce misuse ad abuse of public fuds. It is empowered to direct cocered departmets to explai fiacial irregularities, ad also to pursue the clearace of arrears, that might have bee specified i the report of the Auditor Geeral. 35 Followig a probe by the Parliamet s Public Accouts Committee o the miister of educatio, ad with support from doors, the miister resiged over corruptio charges i early This occurred i a cotext of icreased public awareess of corruptio ad how it affects service delivery as a result of civil society ad media pressure. The successful probe was also fostered by the fact that the PAC holds ope deliberatios which receive extesive media coverage. 36 Issues for future coutry studies o geeral oversight ad moitorig The existece of audit bodies as well as their status, role ad level of authority should be ivestigated i the coutry studies. Examples of ivestigatios by such bodies i the educatio sector should be aalysed. Do the results of audits lead to sactios, if deemed appropriate? Do parets play a role i reviewig educatio boards, icludig scrutiizig accouts ad trackig expeditures? How are discrepacies reported? School grats Idepedet etities have also bee used to assess compliace ad moitor disbursemet of scholarships ad school grats. The literature refers to the example of the Cetral Idepedet Moitorig Uit (CIMU), set up to moitor school grats ad ivestigate complaits i Idoesia. 37 The CIMU, which was established at the recommedatio of developmet parters, idepedetly reviews the school ad district grats that were itroduced as part of a major decetralisatio iitiative. By desig, the CIMU was headed by a iteratioal cosultat deemed more able to resist the pressures to which the CIMU might be subjected. The CIMU exposed a umber of cases of misuse ad diversio of fuds, thus publicizig the issue. Issues for future coutry studies o moitorig school grats Are there idepedet bodies with resposibility for ati-corruptio oversight ad actio for the educatio sector? How are they costituted ad their idepedece maitaied? What is role of parets associatios ad school boards? 35 Asia Developmet Bak (2009). NEP: goverace risk assessmet report prepared for the Nepal Coutry Partership Strategy ( ). 36 Ibid. 37 Baies, S. (2005), Towards more trasparet fiacial maagemet: scholarships ad grats programmes i Idoesia. UNESCO IIEP. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 35

38 2. Fidigs from the desk review of ati-corruptio tools ad practices Examiatios, diplomas ad etrace to uiversity Although tertiary educatio is ot a specific target of the MDGs, the developmet of the tertiary system ad its ability to produce graduates is critical for the educatio sector i geeral, ad the achievemet of the MDGs i particular. Uiversities ad other tertiary educatio istitutes such as teacher traiig colleges have a key role to play i both access to ad quality of educatio. Without teachers i the classroom coutries that have committed to free ad compulsory primary educatio caot hold their promise to provide access for all. Similarly, teachers who have ot bee properly traied caot deliver a educatio of quality. Educatioal prospects may also play a role i a family s decisio to support the educatio of girls ad boys from primary school owards, ad is critical i trasitio from primary to juior secodary. As a result, the review exteded its coverage to iclude tertiary educatio. Corruptio at uiversity etrace has bee well described, for istace i ex-commuist states. Corruptio risks are particularly high where the relevat examiatios ad tests are coducted iterally. The literature metios how the creatio of exteral bodies to hadle ad supervise uiversity admissios ad etry examiatios, such as the State Studet Admissios Committee appoited by the Govermet of Azerbaija 38 or the Natioal Assessmet ad Examiatio Cetre i Georgia, 39 has reduced corruptio i uiversity admissios. 40 Issues for future coutry studies o corruptio risk i tertiary educatio Idetify the existece, status ad remit of examiatio or studet commissios i a coutry, ad articulate their role. What is the role of studet associatios ad parets boards i tertiary educatio? Teacher certificatio The literature provides examples of idepedet bodies i charge of dealig with teachers examiatio ad appoitmets, as part of a effort to overcome political patroage or epotism i recruitmet. I Bagladesh for istace, the No-Govermet Teacher s Registratio ad Certificatio Authority (NTRCA) has sice 2005 had a remit to coduct teachers registratio examiatios for the selectio of competet teachers for o-govermet juior high schools, secodary schools, colleges, madrasahs, techical schools ad vocatioal istitutios i a bid to esure that school maagemet committees ad college goverig bodies could ot appoit teachers without the required skills. I parallel, the high risk area of primary teacher recruitmet i Bagladesh has bee affected by the implemetatio of measures to reduce corruptio such as decreasig the importace of the iterview mark (more proe to corrupt practices) i compariso with the examiatio mark i the recruitmet process Chapma, D. (2002). Corruptio ad the educatio sector. Sectoral Perspectives o Corruptio, USAID. 39 Meier, B. & Griffi, M., eds. (2005). Stealig the future: corruptio i the classroom: te real world experieces. Trasparecy Iteratioal. 40 Chapma, D. (2002). Corruptio ad the educatio sector. Sectoral Perspectives o Corruptio, USAID. 41 Bagladesh Miistry of Primary ad Mass Educatio: Goverace Report Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

39 2. Fidigs from the desk review of ati-corruptio tools ad practices Issues for future coutry studies o teacher certificatio I critical poits for recruitmet ad promotio, are there ay opportuities for exteral oversight of procedure? School level There is some evidece i the literature that devolutio of power to parets ad commuities to ru schools has reduced corruptio. I El Salvador for istace a pilot project established that close paretal cotrol of schools had a impact o detectig ad prevetig corrupt behaviours. 42 However, there are a rage of factors to be cosidered whe etirely devolvig school maagemet to parets, icludig those related to commuity willigess, readiess ad capacity to udertake such a task. Issues for future coutry studies o school maagemet How are parets ivolved i the oversight of schools ad do they have opportuities to act agaist corrupt practices? What is the role of differet parets associatios i regards to such issues? Better IT for admiistratio The literature metios how software ad the use of iformatio techology (IT) ca reduce corruptio, i particular i the areas of teacher registratio ad paymet, studet records, examiatios ad access to uiversity. Teacher deploymet ad paymet The literature provides example of how reliable educatioal maagemet iformatio systems (EMIS) ad teacher maagemet iformatio systems (TMIS) bolster the fight agaist corruptio. Better iformatio systems ca reduce opportuities for corruptio i teachers paymet ad appoitmets. Examples iclude the iformatio systems i Colombia 43 ad payroll maagemet tools i Zambia. 44 Payroll clea-up through radom physical verificatio i schools was also used i Ugada. 45 Although i Ugada there was a reductio i the umber of ghost teachers, the literature caot attribute this developmet solely to the payroll clea-up ad teachers cesus. The ivolvemet of parets or boards that ca detect ghost teachers has also cotributed. Aother example from the Gambia highlights how a detailed TMIS system that records a rage of skills ad competeces of teachers ca provide iformatio to support teacher assigmet 42 UNDP (2008). Prevetig corruptio i the educatio sector: iteratioal experieces with civil society ivolvemet. UNDP Policy Note, UNDP Viet Nam. 43 Hallak, J. & Poisso, M. (2007). Corrupt schools, corrupt uiversities: what ca be doe? IIEP UNESCO. 44 U4 Ati-Corruptio Resource Cetre (2006). Corruptio i the educatio sector. U4 Issue 4 45 Lewis, M. & Pettersso, J. (2009). Goverace i educatio: raisig performace. World Bak. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 37

40 2. Fidigs from the desk review of ati-corruptio tools ad practices to schools accordig to their eeds ad provide the basis to challege decisios based o retseekig, favouritism ad epotism. 46 Ufortuately, though, there are o impact evaluatios of these promisig iitiatives ad the documets referrig to them curretly provide scarce iformatio. Therefore this report caot elaborate o these examples. Higher educatio IT has bee used to tackle recogised corruptio risks i higher educatio. For example: Software to fight plagiarism has bee developed ad is beig widely used i academic istitutios i may developed coutries. 47 With the use of IT, admissio processes ca be automated. This limits the opportuity for maual maipulatio, 48 especially whe govermets pay fees directly to uiversities for some of the studets they are sposorig. Issues for future coutry studies teacher deploymet ad paymet Are EMIS or TMIS used? Do they allow teachers ad/or third parties to make reality checks? Are there IT systems i place that ca be used to validate the admiistrative ad fiacial processes that are at risk? 2.3 Trasparecy ad accoutability Documeted iitiatives regardig trasparecy ad accoutability i the educatio sector iclude advocacy campaigs; awareess-raisig ad ati-corruptio educatio; the use of media i iformatio dissemiatio; PETS, service delivery ad other surveys; commuity oversight; childre s moitorig; iovative approaches to reduce teacher abseteeism; ad more ope procedures. The mai educatio areas to which these approaches are applied are educatio fiace, school grats, school maagemet, school persoel behaviour, ad procuremet. Local ad appropriate tools, such as fiacial reportig o school otice boards ca iform local oversight. 46 Chapma, D. (2002). Corruptio ad the educatio sector. Sectoral Perspectives o Corruptio, USAID. 47 Eckstei, M. (2003). Combatig academic fraud: towards a culture of itegrity. UNESCO IIEP. 48 UNESCO IIEP (2006). Advaced traiig workshop o Resource leakage ad corruptio i the educatio sector i Keya: capacitybuildig for KESSP ivestmet programme maagers. 38 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

41 2. Fidigs from the desk review of ati-corruptio tools ad practices Box 5. Ati-Corruptio Participatory Moitorig (ACPM) i Armeia The implemetatio of the Ati-Corruptio Participatory Moitorig (ACPM) project i Armeia aimed to assess the impact of ati-corruptio iitiatives ad measures i the educatio sector through commuity moitorig. The effort cosisted of a three-tiered moitorig system that tracked ad evaluated systemic issues, corruptio risks ad maifestatios of corruptio through four itertwied ad complemetary aspects: quality of access to services, fiaces ad shadow moetary circulatios, rights ad legality, ad admiistratio ad fuctios. While commuity moitorig priciples are well kow, the project first eeded to develop specific tools to esure quality cotrol, such as guidelies o resposibilities of a commuity group s members, orms of ethics, ad groud rules ad istrumets for coductig observatios, expert iterviews, focus groups ad i-depth iterviews. Commuity groups egaged to carry out the moitorig were thus equipped with the ecessary tools ad kowledge to udertake the effort, eve if some of them had o previous relevat experiece. The moitorig was carried out from April to October 2007 i Yereva, the capital, ad 10 other tows ad cities i differet regios of the coutry. A total of 44 educatioal istitutios were reviewed. The project outputs described the baselie situatio i the educatio sector, i particular corruptio risks ad maifestatios i various aspects ad levels of educatio system (basic, secodary, etc.). O this basis, recommedatios for systemic chages were developed ad commuicated to the resposible State authorities ad Prime Miister s Office. I the ed, a majority of the project recommedatios were accepted ad icluded i the ew atioal ati-corruptio strategy. Source: the%20ati-corruptio%20participatory%20moitorig%20coducted%20i%20the%20health%20 ad%20educatio%20sectors%20by%20civil%20society%20ati-corruptio%20groups%5b1%5d.pdf Advocacy ad awareess-raisig The literature metios a few stad-aloe ati-corruptio i educatio advocacy campaigs (Mali, Peru). Campaigig, which is usually a accompayig measure to other ati-corruptio approaches, ca icrease buy-i ad mobilise public eyes ad ears for ati-corruptio iitiatives. Lessos ca be leared from the 2006 advocacy campaig i Peru, the objective of which was to make ati-corruptio a essetial compoet of educatioal reform. 49 The campaig, which was joitly supported by Proética, Trasparecy Iteratioal s chapter i Peru, ad the ombudsma s office (Defesoría del Pueblo), aimed to expose areas proe to corruptio i the educatio sector by aalysig complaits of corruptio at regioal level. The campaig led to a icreased umber of complaits ad icreased awareess of teachers, parets, childre ad local commuities of 49 U4 Ati-Corruptio Resource Cetre (2008). Corruptio-free educatio: lessos from a state ad civil society joit iitiative i Peru. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 39

42 2. Fidigs from the desk review of ati-corruptio tools ad practices corruptio issues i the sector. This resulted i i) some of the cases beig referred to the competet authorities ad dealt with, ii) the govermet s commitmet to set up a commissio to develop a probity policy for the educatio sector as well as multi-stakeholder ati-corruptio forums, ad iii) the review of regulatios pertaiig to the ivestigatio of teachers ivolved i acts of corruptio. Factors that cotributed to the success of the campaig icluded: i) the eablig political eviromet (icludig ew educatio legislatio passed two years before the campaig ad ogoig decetralisatio); ii) the widow of opportuities provided by the implemetatio of this legislative chage; iii) the readiess of the public already egaged i discussios o educatio; ad iv) a strog partership betwee civil society ad a public istitutio. The mai limitatio of the campaig was that it lacked direct liks with chage processes i the educatio sector, ad this impeded attempts to tur the campaig s success ito trasformative actios. I Mali, the advocacy campaig Eradicate corruptio i educatio was led by the Associatio of Jouralists agaist Corruptio with the support of USAID ( ). It worked with atioal ad school stakeholders from the Miistry of Educatio to teacher uios to paret-teacher associatios (PTAs) to raise awareess about the drastic effects of corruptio o the educatio system. The campaig resulted i the establishmet of a more trasparet studet evaluatio system, icludig exams, ad i less opacity i the scholarship process ad award criteria. 50 Measurig the impact of advocacy ad awareess-raisig campaigs is always a challege, ad campaigig orgaizatios ted to put a positive light o their results to geerate additioal support. Moreover, the cotext ad eablig eviromet should ot be uderestimated whe tryig to determie the cotributio of campaigs to tagible results ad chages. Give that advocacy ad awareess is oe of the importat aspects of the prevetio chapter of the UNCAC, door parters icludig GIZ (Deutsche Gesellschaft für Iteratioale Zusammearbeit, formerly, GTZ: Germa Techical Cooperatio) ad UNDP are advocatig for youth educatio o corruptio. Issues for future coutry studies o advocacy ad awareess-raisig Eablig ad hiderig eviromet of the campaig (political, social, ecoomic, cultural cotext) Modality, stregths ad weakesses of parterships Likages betwee campaig outputs ad trasformative actios Ati-corruptio educatio Most ati-corruptio awareess ad educatio activities discussed i the literature focus o aticorruptio geerally rather tha o specific sectors. However, may of the ati-corruptio awareess 50 USAID (2004). Fightig corruptio i Mali s educatio system. Olie article: ID=277&coutryID=14&sectorID=0&yearID=4. 40 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

43 2. Fidigs from the desk review of ati-corruptio tools ad practices activities are implemeted i the educatio sector, whether through specific modules or embedded i subjects such as moral educatio or citizeship educatio. This results i corruptio i the educatio sector beig a particularly useful etry poit to discuss corruptio i geeral. It may allow studets to reflect upo experieces of corruptio i their eviromet, ad it offers a uique opportuity for discussig corrupt practices i the educatio sector ad how they affect studets educatio rights. The partership betwee GIZ ad the ati-corruptio commissio i Sierra Leoe is oe recet example of such a approach. 51 From 2005 to 2008, GIZ worked with the commissio to curb the egative political ad socio-ecoomic impacts of corruptio, which were cited as oe of the factors of civil strife ad coflict i recet years. The project combied awareess-raisig through radio ad TV programmes ad educatioal material for youg people with supportig teacher aids (cartoos, posters, etc.). Six itegrity clubs i secodary schools were also piloted, with studets takig a active role i raisig awareess o corruptio amog their fellow studets ad the wider educatio commuity. 52 Results of such itervetios are ot aalysed i depth i the literature. Although the argumet that ati-corruptio educatio leads to greater self-disciplie ad awareess of the rights ad duties of citizes, 53 icludig childre ad youg people, is well articulated, studies lack evidece that specific ati-corruptio educatio iitiatives have resulted i behaviour ad attitude chage or led to a reductio i corruptio i educatio. I a huma rights-based approach, ati-corruptio educatio provides a soud basis for rights holders to claim their educatio rights ad demad accoutability ad trasparecy from the govermet ad other educatio stakeholders. Whe ati-corruptio educatio is preseted as moral educatio, with the emphasis o the idividual ad his or her ow behaviour, such itervetios may ot be as relevat or effective, particularly i cotexts where corruptio is edemic ad embedded i the power structures. Such ati-corruptio educatio iitiatives may be based i the atioal curriculum or maaged as extra-curricular additios; the latter optio, however, is more risky i regards to sustaiability. Issues for future coutry studies o ati-corruptio educatio Where awareess campaigs ad ati-corruptio educatio iitiatives complemet ati-corruptio itervetios i the educatio sector, they should be aalysed to assess their value ad idetify lessos leared to help guide their use Ope ad trasparet procuremet The literature captures some of the key steps towards ope ad trasparet procedures i procuremet. A well-documeted case study is the procuremet of textbooks i Argetia. 54 A 51 GTZ UNCAC Project (2008). Ati-corruptio i educatio: supportig the Ati-corruptio commissio i Sierra Leoe. 52 See 53 See the work of Hog Kog s Idepedet Commissio Agaist Corruptio (ICAC) i that area. 54 Meier, B. & Griffi, M., eds. (2005). Stealig the future: corruptio i the classroom: te real world experieces. Trasparecy Iteratioal. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 41

44 2. Fidigs from the desk review of ati-corruptio tools ad practices rage of combied ad simultaeous strategies were used to address allegatios of corruptio i the textbook tederig process: i) trasparecy i the selectio process of the Natioal Advisory Committee members, with published profiles of experts ad a commuicatio lie opeed for publishers to commet o the proposed experts ad idetify possible coflicts of iterest; ii) ope discussio o procuremet criteria ad biddig documets with publishers, ad iii) a itegrity pact betwee publishers ad the Miistry of Educatio regardig the procuremet process that was formalized with a siged declaratio by all stakeholders. Each strategy led to specific results: i) the exclusio of usuitable experts from the Natioal Advisory Committee, ii) refied procuremet criteria to accommodate publishers feedback, ad iii) sigature of the itegrity pact by 48 publishers. Some observers highlighted the lack of sactios i the itegrity pact, but others have stressed the positive effect that the ew procedures have had o the process ad o the quality of the products purchased. Eve with these importat chages, however, textbook procuremet remais a high cost ad high risk activity i regards to corruptio. Issues for future coutry studies o procuremet What steps have bee take to itroduce better procuremet systems? What is doe to reduce the risks, especially aroud textbook supply? Participatory moitorig ad social accoutability The literature reveals a rage of participatory moitorig ad social accoutability iitiatives with various degrees ad modalities of participatio. The stated objectives of these methods may explicitly seek to address corruptio, but more ofte they are see as part of broader good goverace agedas that aim to improve oversight ad accoutability o the part of commuity stakeholders that are properly orgaized ad supported to provide it. Role of school maagemet committees I lie with decetralisatio processes, the decetralisatio of fuds from cetral govermets to schools has bee icreasig i the past 20 years, especially i developig coutries. This has led to the establishmet of school maagemet committees (SMCs) also kow as school boards, or boards of goverors i secodary schools with resposibility for oversight of school plaig, school budgetig ad school fiaces. SMCs typically have a membership prescribed by law or decrees; amog the 6 to 10 members are the head teacher (pricipal), a SMC chair ad a treasurer. The membership may iclude represetatives from commuity orgaizatios, religious groups, local educatio authorities, ad local coucils or assemblies. I most cases SMCs iclude at least oe woma. Although studet membership is ot yet widespread, it has become a tred i some coutries. The impact of SMCs ivolvemet i school moitorig varies across coutries ad regios. While i some coutries there are reports of icreased oversight ad better usage of school fuds, i others SMC chairs ad head teachers appear to have domiated committees ad rarely allowed 42 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

45 2. Fidigs from the desk review of ati-corruptio tools ad practices other members to oversee fiaces or raise their cocers. 55 This may be especially likely i SMCs where the oly literate members are the head teacher ad the chair, ad where people have limited uderstadig of accoutacy ad fiaces. 56 The literature provides a rage of examples of icreased trasparecy as a result of paretal ivolvemet through SMCs. For istace i Bagladesh, the reformulatio of the role ad the compositio of the SMCs icreasig paretal participatio ad the participatio of wome i particular led to a reductio i the proportio of studets asked to pay bribes to beefit from a govermet stiped scheme to support poor childre, a scheme the studets were etitled to. 57 I Idoesia, parets ivolvemet i school maagemet has also reduced opportuity for corruptio aroud school grats. 58 Box 6. Wome ad corruptio Wome s participatio i public life ad politics as a mea to reduce corruptio has bee debated i the past decade without ay clear coclusios beig reached. There is some idicatio, though, that wome are less susceptible to bribes. 59, 60 There is o evidece pertaiig to the educatio sector specifically, but wome s participatio is described i some documetatio as a possible tool to fight corruptio i this sector. 61 A potetial area of ivestigatio could be whether there are geder-related correlatios i the level of corruptio at school level. For example, is corruptio less commo whe head teachers ad/or SMC chairs are female? Ad if so, why? Issues for future coutry studies for participatory moitorig ad social accoutability What is the membership of SMCs i primary ad secodary educatio? How are their capacity developmet eeds assessed ad addressed? What role do they play i overseeig fiaces? Are there examples of SMCs that have exposed the wrogdoigs of school maagemet? 55 Lugaz, C. & De Grauwe, A. (2010). Schoolig ad decetralisatio, patters ad policy implicatios i Fracophoe West Africa. IIEP/ UNESCO. 56 Atoowicz, L., Lesé, F., Stasse S. & Wood, J. (2010). Good goverace lessos for primary educatio i Africa Educatio Watch series. Trasparecy Iteratioal. 57 World Bak (2006). Program documet for a proposed Secod Programmatic Educatio Sector Developmet Support Credit to the People s Republic of Bagladesh. Huma Developmet Sector, South Asia Regio. 58 Chapma, D. (2002). Corruptio ad the educatio sector. Sectoral Perspectives o Corruptio, USAID. 59 Azfar, O., Kack, S., Lee, Y. & Swarmy, A (1999). Geder ad corruptio. Workig paper 232, IRIS Ceter. 60 A discussio of the issue, icludig refereces, may be foud at 61 Chee, M. (2009). Geder, corruptio ad educatio. U4 Expert Aswer, U4 Ati-Corruptio Resource Cetre ad Trasparecy Iteratioal. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 43

46 2. Fidigs from the desk review of ati-corruptio tools ad practices Budget trackig ad moitorig Oe of the distictive features of budget-trackig itervetios is the ivolvemet of CSOs; budget trackig has bee promoted by several such groups, icludig the Commowealth Educatio Fud (CEF). 62 Their ability to participate effectively is ot always guarateed, however. The literature highlights the importace of establishig a eablig eviromet for budget trackig by NGOs ad CSOs to get recogitio ad support whe udertakig this type of work. 63 A good example is provided by a CEF project that was fuded by DFID betwee 2002 ad 2008 ad joitly maaged by ActioAid, Oxfam ad Save the Childre. The project sought to ehace local commuity participatio i moitorig educatio budgets ad expeditures at local ad atioal level. It was udertake i Bagladesh, Cameroo, the Gambia, Ghaa, Idia, Keya, Lesotho, Malawi, Mozambique, Nigeria, Pakista, Sierra Leoe, Sri Laka, Pakista, Ugada, the Uited Republic of Tazaia, Zambia ad Zimbabwe. CEF through various parterships at atioal ad local level with NGOs ad CSOs piloted a rage of tools ad approaches ad leared may lessos. Tools ad mauals have bee fie-tued to eable geuie participatio from parets, ad procedures have bee developed for idepedet board moitors (such as workig i groups to avoid bribes). 64 Positive impact o good goverace ad better quality educatio has bee reported, as has the recovery of some misappropriated fuds. 65 However, the log-term impact of such iitiatives is said to be limited due to the lack of follow-up of exposed cases of corruptio. Scorecards There is evidece that commuity scorecards or report cards are used i a rage of coutries, icludig Armeia 66, Ghaa 67, Tazaia 68, Sierra Leoe 69, Ukraie ad Bagladesh (regardig textbook distributio) 70. Report cards are see as flexible ad are cosidered useful i helpig build local awareess of service delivery issues ad perhaps idetifyig mismaagemet ad corruptio. They are used by CSOs workig with commuities to provide the perspective of the users/beeficiaries. Commuity scorecards are a tool used to structure the way that resposibility for trackig is delegated to beeficiaries ad may be udertake over a loger period. However, some documetatio provides a cautioary ote that a ecessary pre-coditio is that the beeficiaries care eough to do the work required, ad are ot costraied by fear of reprisal should their scorecards reveal 62 For examples, see: 63 U4 Ati-Corruptio Resource Cetre (2009). Cofrotig corruptio i educatio: advacig accoutable practices through budget moitorig. U4 Brief Ayuru, M. (2006). Experieces of the Apac Ati-Corruptio Coalitio (TAACC), CCF Acelworo Childre ad Family Programme, ad Ugada Adult Educatio Network (UGAADEN). Best practices i budget ad ati-corruptio work, Commowealth Educatio Fud Ugada. 65 Hart, J. (2008). Educatio budget work: civil society actio agaist corruptio. Commowealth Educatio Fud, presetatio at the 13th Iteratioal Ati-Corruptio Coferece, Athes, Greece. 66 World Bak (2005). Social accoutability ad participatory moitorig approaches i Armeia: experieces ad opportuities. 67 Robiso, L. (2004). Commuity scorecards. Module 1: facilitatig the commuity scorecard. Norther Ghaa Network for Developmet. 68 Twaweza (2008). Program Compoets. Tazaia. 69 Natioal Accoutability Group (2006). Participatory service delivery assessmet of the activities of local coucils i the metal health ad saitatio, agriculture ad educatioal sectors i Sierra Leoe, a citize report card o 19 local coucils. 70 Ochse, K. (2004). Prevetig corruptio i the educatio sector: a practical guide. GTZ. 44 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

47 2. Fidigs from the desk review of ati-corruptio tools ad practices bad practice ad mismaagemet. 71 The arragemets by which scorecards are aalysed ad put ito actio are therefore critical to their effectiveess. Much experiece is based o pilots i which exteral agecies lead this role, rather tha it beig istitutioalised. Box 7. Moitorig the itegrity of the Romaia higher educatio system 72 I respose to perceived high levels of corruptio i higher educatio, a coalitio of NGOs i Romaia the Coalitio for Clea Uiversities lauched a iitiative to defie ad eforce a set of itegrity priciples that should gover the sector. Academic itegrity was defied ad evaluated accordig to the followig four key categories ad their idicators, for a possible total of 100 poits: Admiistrative trasparecy ad probity: publicatio/public access to documets such as accoutig ad procuremet records; icome declaratios ad declaratios of iterests; documets attestig that the idividual staff member had ot bee ivolved with the Commuist political police (30 poits) Academic fairess: plagiarism, performace i research ad teachig, efficacy of complaits mechaisms (20 poits) Quality of goverace: epotism, studets participatio i decisio makig, promotio ad reward practices (35 poits) Fiacial maagemet: discretioary expediture, procuremet processes (15 poits) The assessmet of uiversities was carried out by five teams of exteral evaluators, each composed of a seior scholar ad a studet, usig a stadard istrumet a questioaire developed for the project. Special attetio was paid to the idepedece ad objectivity of the assessors, i particular by esurig that they had o liks with the istitutios they were evaluatig. The iitiative evolved i phases, with the first, pilot phase (October 2007 to May 2008) desiged to defie ad test the moitorig methodology i a select umber of istitutios. The iitial effort was followed up by a broader atioal project durig the academic years ad , which icluded the moitorig ad evaluatio of 42 public uiversities i Romaia. The iitiative is see to have had a decisive impact i establishig itegrity stadards for higher educatio i Romaia, may of which were later reflected i the policies of govermetal bodies resposible for educatioal reform i the coutry. 71 Baerjee, A. & Duflo, E. (2006). Addressig absece. Joural of Ecoomic Perspectives, 20(1): See also full accout by author of the methodology: Alia Mugiu-Pippidi (Hertie School of Goverace), Civil society ad cotrol of corruptio: assessig goverace of Romaia Public Uiversities, i Iteratioal Joural of Educatioal Developmet, March 2011; olie at Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 45

48 2. Fidigs from the desk review of ati-corruptio tools ad practices Issues for future coutry studies o budget trackig ad moitorig Are there examples of trackig iitiatives that have also icluded strategies to esure case follow-up ad eforcemet of legislatio? Are there iitiatives for local oversight of services ad/or fiaces? UN Photo/Bikem Ekberzade Childre s moitorig Although may NGOs have egaged i participatory commuity oversight of school fiaces ad educatio budget trackig, few have sought childre s participatio i such processes. Child participatio i school maagemet has bee ecouraged as a cotributio to good goverace. A well-documeted case-study i Ugada 73, 74 demostrates the role that studets ca play i moitorig school grats ad cotributig to school maagemet. Childre s moitorig was perceived as positive for reportig teachers abseces ad iappropriate behaviours. Idetified cases of corrupt head teachers ad of school staff impregatig girls were reported to the authorities. 73 Ayuru, M. (2006). Experieces of the Apac Ati-Corruptio Coalitio (TAACC), CCF Acelworo Childre ad Family Programme, ad Ugada Adult Educatio Network (UGAADEN). Best practices i budget ad ati-corruptio work, Commowealth Educatio Fud Ugada. 74 Hart, J. (2008). Educatio budget work: civil society actio agaist corruptio. Commowealth Educatio Fud, presetatio at the 13th Iteratioal Ati-Corruptio Coferece, Athes, Greece. 46 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

49 2. Fidigs from the desk review of ati-corruptio tools ad practices For such itervetios to be successful there eeds to be strog political will at the local level ad a readiess amog commuities to liste to childre s voices. Key challeges pertai to law eforcemet ad the follow-up of cases by authorities (be they educatioal or judiciary), but also to the possible maipulatio of childre ad their exposure to potetially dagerous situatios whe reports idetify malpractice. Issues for future coutry studies o childre s participatio i moitorig Are there attempts to empower childre, ad to provide ways that their voices ad kowledge ca be mobilised agaist corruptio? Iformatio ad the use of media ad iformatio techology The literature uderlies the importace of egagig with the media i ati-corruptio work. Most projects udertake i the last decade icluded a media compoet with strategic parterships for iformatio dissemiatio, traiig o ivestigative jouralism ad reportig, etc. The case of Ugada is aalysed at legth, with regards to the role played by iformatio dissemiatio i the PETS ad the reductio of leakages aroud school grats. 75 Natioal ad local ewspapers published iformatio about the size of the grats that were to be paid to schools, ad this step was associated with a reductio i losses (through corruptio ad mismaagemet). While some argued that public access to iformatio i Ugada was strogly correlated with the reductio i capture of school fuds, 76 others have established that despite the key role played by public access to iformatio, positive results i terms of corruptio reductio would ot have bee achieved if other factors had ot proved ifluetial at the time of the media itervetio. Amog those factors were restructurig of grats ad the itroductio of uiversal primary educatio, 77 as well as other associated capacity developmet activities. With the emergece of ew media ad the Iteret, opportuities for iformatio dissemiatio ad public scrutiy of public expediture have icreased. Examples of publicly accessible procuremet systems to eable public scrutiy are foud i the literature, but the impact of such practices has yet to be fully articulated. 78 It is importat that media coverage is ot limited to the exposure of corruptio. Sustaied relatioships with the media are ecessary to esure a costat flow of iformatio o corruptio issues that cotributes to accurate public kowledge, reduces public tolerace of corrupt practices i the educatio sector, ad leads to actio or behavioural chage. 75 Hubbard, P. (2007). Puttig the power of trasparecy i cotext: iformatio s role i reducig corruptio i Ugada s educatios sector. Ceter for Global Developmet Workig Paper Number Reiikka, R. & Svesso, J. (2004). The power of iformatio: evidece from a ewspaper campaig to reduce capture. Policy Research Workig Paper No. 3239, World Bak. 77 Hubbard, P. (2007). Puttig the power of trasparecy i cotext: iformatio s role i reducig corruptio i Ugada s educatios sector. Ceter for Global Developmet Workig Paper Number Hallak, J. & Poisso, M. (2007). Corrupt schools, corrupt uiversities: what ca be doe? IIEP UNESCO. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 47

50 2. Fidigs from the desk review of ati-corruptio tools ad practices Issues for future coutry studies o the role of media Assess how feely ad completely media outlets report o corruptio ad act to icrease public awareess aroud corruptio i educatio Iitiatives to curb teacher abseteeism Teacher abseteeism is ackowledged to be a major maagemet cocer for educatio i may coutries. Whe teachers are abset without legitimate reaso they divert public resources to their ow purposes to the detrimet of the educatio of their pupils. Beyod participatory moitorig itervetios which usually focus o moitorig teachers presece i schools, CSOs have piloted a rage of iitiatives desiged to curb abseteeism. The iitiatives emphasize the role of direct icetives for teachers. Two expert observers, Baerjee ad Duflo, 79 explore further the role of icetives by comparig approaches ad coclude that better attedace results are obtaied through systems mechaically ad systematically implemeted rather tha systems ivolvig headmasters who may, for a variety of reasos, maipulate teacher attedace records. Their coclusios are based o two iitiatives. The first oe required teachers to take a picture of themselves i frot of the classroom at the begiig of every day of the week with a digital camera with date ad time fuctios. Regular checks helped determie whe teachers had ot bee i schools, ad uexplaied abseces resulted i salary loss for days ot worked. The secod iitiative etrusted head teachers to moitor teachers presece ad to offer a bicycle to teachers with a good attedace record. Moitorig of both experimets took place with cotrol schools. The first iitiative showed a positive differece i teacher attedace betwee schools usig ad ot usig cameras. The secod iitiative did ot show a sigificat differece, which the authors explai by statig that whe huma judgmet is ivolved i a system where rules are ofte bet, icetives may easily be perverted. Issues for future coutry studies o teacher abseteeism What are coutries doig to esure teachers attedace ad reduce abseteeism? What is the evidece at the school level? Surveys The types of surveys ecoutered i ati-corruptio work iclude public expediture trackig surveys (PETS), quatitative service delivery surveys, ad other types of diagostic surveys or social audits. 80 Although such surveys are ot ati-corruptio itervetios per se, their results ca be 79 Baerjee, A. & Duflo, E. (2006). Addressig absece. Joural of Ecoomic Perspectives, 20(1): Ochse, K. (2004). Prevetig corruptio i the educatio sector: a practical guide. GTZ. 48 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

51 2. Fidigs from the desk review of ati-corruptio tools ad practices used to assess the potetial impact of specific itervetios (e.g., a chage i disbursemet of fuds, or a procedure to disburse fuds), ad to raise awareess ad dissemiate quatitative evidece o corruptio i a give sector i a give coutry. 81 They also provide a shared startig poit for aalysig risks ad poits of potetial actio. No rigorous comparative data was foud o the impact of PETS. Oe reaso is that some of the surveys are too recet to have bee evaluated. However, there is icreasig cosesus that PETS may be useful oly i certai circumstaces, especially i cotexts where cosesus ca be achieved to act o results. The early rush of ethusiasm has bee tempered ad it is icreasigly recogised that the ovelty of PETS is ot a iovative tool per se. Yet at the same time, it seems that PETS ca be help overcome shortcomigs i admiistrative/fiacial data. Other commetators ote the followig regardig PETS: 82 PETS do ot ted to provide a process or strategy by which the techical recommedatios that are provided ca be implemeted. They do ot ecessarily trigger a public debate. Beyod the Ugada experiece (see below) i which there was political will for educatio ad strog developmet partership, there is little evidece of PETS capturig the public imagiatio or leadig to cocerted pressure for reform. Essetially, a PETS does ot do aythig. It is merely a survey, ad it is oly useful if its fidigs are acted upo. It is therefore importat that a PETS is see as oly oe part of a larger strategy. Although this might seem obvious, it is strikig how little attetio is paid to the eed for (ad possible difficulty of) follow-up actio i policy discussios leadig to decisios to coduct a PETS. These limitatios are oteworthy i regards to the two PETS case studies that receive substatial attetio i the existig literature: Ugada ad Tazaia. 83 The Ugada PETS i educatio has bee much quoted as idetifyig the level of leakage i the distributio of school grat fuds ad stimulatig actio, most otably the pro-active iformatio about grat amouts discussed i Sectio The Tazaia PETS is reported to have bee less immediately successful ad demostrates lessos about the eed for commo uderstadig ad agreemets about methodologies, especially where developmet parters are the mai drivers of the study. I the Tazaia case, the PETS idetified cocers regardig the overly complex fiacial structures ad lack of iformatio, but did ot lead to cosesus ad actio. The govermet was critical of the methodology (which was described by others as robust ) ad o respose to the fial study was made 81 Reiikka, R. & Smith, N. (2004). Public expediture trackig surveys i educatio. IIEP/UNESCO. 82 Sudet, G. (2008). Followig the moey: do public expediture trackig surveys matter? U4 Issue 2008:8. 83 U4 Ati-Corruptio Resource Cetre (2007). Public expediture trackig surveys: lessos from Tazaia. U4 Brief 14. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 49

52 2. Fidigs from the desk review of ati-corruptio tools ad practices Issues for future coutry studies o surveys Has there bee a PETS or survey with itetio to idetify leakage or risks? What happeed to the results? World Bak / Alfredo Srur 2.4 Capacity developmet Documeted iitiatives i the literature o ati-corruptio approaches focusig o capacity developmet cover istitutioal, orgaizatioal ad idividual capacity usig techical assistace ad traiig as the two mai implemetatio strategies. Iitiatives commeted upo i the literature ted to be compoets of wider educatio programmes ad itervetios. This is for istace the case i Hoduras, were the GIZ programme to support the quality of basic educatio i the framework of the EFA Fast Track Iitiative provided techical assistace to the Trasparecy Departmet of the Miistry of Educatio, ad also assisted i traiig teachers uios, PTAs ad CSOs o corruptio issues i the educatio sector. 84 Similarly, the Commowealth Educatio Fud project described i Sectio was active i buildig the capacity of CSOs, parets ad childre i moitorig ad trackig budgets. 85 This work reported impact o the atioal coalitio s ability to discuss educatio budgets with educatio miistries, ad (i best cases) with fiace miistries. 84 Teggema, S. (2010). Ati-Corruptio i sectors: good practices ad lessos leared from coutry experieces. Coferece of the Arab Ati-Corruptio ad Itegrity Network, Saa a, Yeme. PowerPoit presetatio. GTZ. 85 Perry, V. (2008). Civil society egagemet i educatio budgets: a report documetig Commowealth Educatio Fud experieces. Commowealth Educatio Fud. 50 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

53 2. Fidigs from the desk review of ati-corruptio tools ad practices Parliametarias are also targeted by traiig o educatio budgetig, of which ati-corruptio may be a sub-compoet. Traiig iitiatives focusig o Parliamets have bee reported i Keya 86 ad Tazaia amog other places; i both cases, efforts focused o buildig the capacity of Parliamet Educatio Committees to scrutiise budgets ad esure they are i lie with educatio policies. But it is withi the cotext of decetralisatio ad icreasig resposibility ad accoutability of head teachers ad SMCs that most traiig ad capacity-stregtheig programmes have bee framed to address these actors. The role of head teachers is critical i school maagemet, yet i may coutries, especially i sub- Sahara Africa, head teachers ted to be teachers promoted after a umber of years i service, ad through processes that may be subject to patroage. Their terms, coditios ad career maagemet rarely reflect the icreased resposibilities that are beig delegated to them. Head teachers do ot ormally receive ay maagemet traiig before begiig their ew jobs. Buildig their capacities i school maagemet ad fiace has bee recogised as a priority i a umber of coutries, with a focus o their accoutability roles i decetralisatio iitiatives. These, however, are ew skills; existig evidece shows a wide gap betwee expectatios ad impact (for example i Trasparecy Iteratioal s Africa Educatio Watch survey). Issues for future coutry studies o capacity developmet i the educatio sector What capacity developmet iitiatives have cotributed to ati-corruptio efforts i the educatio sector? What have bee the differet capacity developmet methodologies used (target groups, implemetatio strategies, activities, sustaiability elemets, etc.)? 2.5 Developmet aid to educatio Multilateral ad bilateral agecies have prioritised the corruptio ageda over past 10 years; they have bee drive by cocers regardig wastage of developmet aid, the distortios caused by corruptio, ad icreasig criticisms from their ow costituecies. The EFA goals ad the MDGs for educatio have, alog with the global harmoisatio ageda, provided a cotext to icrease ad share accoutability for aid ad its results. I extreme ad high profile cases, such as i respose to high-level corruptio i Keya, agecies have halted disbursemet of fuds to govermets. 87 Actio by doors agaist corrupt suppliers is ogoig, ad procedures to reduce risks are uder costat developmet. 88 Agecies act by exertig their agedas i programme developmet to iclude ati-corruptio (or more ofte goverace ) iitiatives i programme desig, by itroducig atioal ati-corruptio 86 U4 Ati-Corruptio Resource Cetre (2006). Corruptio i the educatio sector. U4 Issue See for example: 88 See for recet example: Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 51

54 2. Fidigs from the desk review of ati-corruptio tools ad practices UN Photo/Olivier Chassot programmes ad by workig to reduce the risks of mismaagemet of the cocered fuds. Thus, for example, NORAD has three mai approaches to tackle educatioal fiacig ad corruptio: ati-corruptio clauses i developmet cooperatio agreemets, support ad participatio i public expediture reviews/pets, ad fiacial reviews Norad (2006). Educatioal fiacig ad-corruptio. PowerPoit documet. 52 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

55 3. Coclusios 3.1 Gaps i the reportig Most existig ati-corruptio approaches ad tools address trasparecy ad accoutability ad public admiistratio ad system reforms. There are few examples of iitiatives seekig to stregthe the rule of law or buildig capacity to combat corruptio i the educatio sector. This might be explaied by the fact that ati-corruptio legislatio ofte addresses the macro level rather tha sectors idividually, ad that ati-corruptio issues are maistreamed i capacity-buildig activities rather tha beig the mai focus of specific capacity iitiatives. Most educatio-related itervetios have prioritized educatio fiace, school grats ad school maagemet i geeral. Surprisigly, the literature does ot preset may tools for kow risk areas for corrupt practices, such as teacher accreditatio, appoitmets, deploymet ad paymet, or procuremet of ifrastructure. Most importatly, itervetios are reported without precise iformatio as to the magitude/level of risk of the educatio area or trasactio they address, or the reasos why these are so proe to corruptio i compariso with others. Where impact measures do exist, they ofte provide little help i idetifyig the impact of itervetios o iputs or outputs. 90 To date, ati-corruptio itervetios i educatio sectors have primarily targeted the areas of educatio fiace, school grats ad school maagemet i geeral, ad have placed comparatively less focus o iitiatives aimed at addressig the corruptio risks related to the teacher accreditatio, appoitmets, deploymet ad paymet, or procuremet of ifrastructure. To date, ati-corruptio itervetios i educatio sectors have primarily targeted the areas of educatio fiace, school grats ad school maagemet i geeral, ad have placed comparatively less focus o iitiatives aimed at addressig the corruptio risks related to the teacher accreditatio, appoitmets, deploymet ad paymet, or procuremet of ifrastructure. Although this review has focused o ati-corruptio itervetios, it appears that the majority of itervetios described as ati-corruptio iitiatives are, i fact, about wider goverace aims such as itegrity, trasparecy, participatio, accoutability ad capacity that do ot explicitly discuss corruptio. Is this simply a case of overlappig categories or of expectatios that these importat elemets of good goverace are implicitly cosidered part of the toolkit for ati- 90 UNDP (2008). A user s guide to measurig corruptio. See corruptio.pdf. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 53

56 3. Coclusios Cotexts are importat to uderstadig curret situatios ad attemptig to replicate success stories. Oe approach for ati-corruptio itervetios i the educatio sector would be to highlight the coditios that create a eablig eviromet for ati-corruptio work i a particular area of the educatio system. corruptio? Or is the discourse of goverace beig used to avoid discussig corruptio directly? It is ot easy or simple to kow how to respod to these questios. A area which is ot explored by the literature is how ati-corruptio itervetios of differet types ad i differet educatio areas combie to have a greater impact. Also ot kow i this regard is which combiatio of itervetios is most effective, ad at what level such itervetios are likely to result i the most sigificat improvemet. Moreover, as some examples have show, aticorruptio iitiatives may lead to the migratio of corruptio from the targeted area to oe or more other areas. 3.2 Cotext matters The drivers ad coditios for chage are frequetly overlooked i the literature, although it has bee established that corruptio is liked to power dyamics amog groups, behaviours of elites ad idividuals, ad the political cotext. Drivers ad pre-coditios for chage should therefore be ivestigated withi the cotext i which ati-corruptio iitiatives take place. Cotextual iformatio might iclude: atioal, historic ad political cotext regardig corruptio; educatio system (level of decetralisatio, level of govermet ivolved i school fudig, etc.); goverace systems, icludig legislative ad regulatory frameworks, the fuctioality of court systems ad eforcemet mechaisms, orms ad customs, ad fiacial flows; the level of press freedom ad jouralist ethics, ad the overall role of the media; aalysis of each risk ad the power dyamics, values ad cultural practices that are embedded i idividuals ad groups attitudes towards risks areas ad corruptio; ad political will. 54 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

57 Aex 1. Glossary Educatio maagemet iformatio system (EMIS) The ways i which maagemet data o the educatio sector are collected, aalysed ad made available to admiistrators, policy makers ad others. Normally uses computerised data storage ad trasmissio ad sometimes the term is used to describe the replacemet of maual systems. Formal, o-formal ad iformal educatio 91 Formal educatio: the hierarchically structured, chroologically graded educatio system ruig from primary school through uiversity ad icludig, i additio to geeral academic studies, a variety of specialised programmes ad istitutios for full-time techical ad professioal traiig. No-formal educatio: ay orgaized educatioal activity outside the established formal system whether operatig separately or as a importat feature of some broader activity that is iteded to serve idetifiable learig clieteles ad learig objectives. Iformal educatio: the truly lifelog process whereby every idividual acquires attitudes, values, skills ad kowledge from daily experiece ad the educative iflueces ad resources i his or her eviromet from family ad eighbours, from work ad play, from the market place, the library ad the mass media. Paret-teacher associatio (PTA) Normally used to describe a group with less maagemet resposibility tha a SMC but which evertheless provides a forum for discussio o school practices ad for parets to orgaize support to schools. School maagemet committee (SMC) ad school boards Normally used to describe a group with maagemet ad oversight resposibilities for schools, which may iclude plaig ad fiacial oversight. Characteristically represetative of the overall school commuity, icludig parets ad, icreasigly, childre. Roles ad represetativeess vary eormously amog coutries. Teacher maagemet iformatio system (TMIS) Refers to the ways i which maagemet data for teachers is collected ad used, icludig for paymet ad career assessmet. Uiversal primary educatio (UPE) Refers to situatios i which all childre atted primary school. Commoly used to idetify policy actios, otably the abolitio of fees, iteded to ecourage full erolmet. 91 For more i-depth discussio of these essetially admiistrative defiitios, see, for example: Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 55

58 Aex 2. Iteret sources The followig websites iclude iformatio ad resources regardig ati-corruptio i educatio. Several of the websites have cross-likages as well as liks to uique URLs for academic papers i jourals. Several collected documets are sourced via bibliographies of these pages or their resources. Name URL Commets UNDP aticorruptio Web page UNDP aticorruptio portal IIEP UNESCO IIEP ETICO database World Bak s goverace ad ati-corruptio site World Bak s educatio site IMF eg.htm aspx Icludes overview ad liks to top-level UNDP aticorruptio publicatios ad ewsletter, Ati-Corruptio Guidace Note ad Asia- Pacific HDR 2008 Portal with U4, UNDP ad UNESCO resources o educatio ad corruptio icludig coutry-specific data. Requires userame ad password. Wide-ragig resources, especially o teacher codes of coduct ad academic fraud (e.g., examiatios, plagiarism). Resources o ethics ad corruptio i educatio. Liks to Trasparecy Iteratioal s CORIS Web portal. World Bak, Trasparecy Iteratioal ad academic papers icluded. Empirical diagostic surveys ad resources focusig o state-level itervetios judicial reform, public sector goverace. Some resources by sector, icludig educatio. Iformatio o school-based maagemet, fiace ad expeditures i educatio. IMF research searchable page with various papers o good goverace ad aticorruptio, icludig liked to educatio. 56 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

59 Aex 2. Iteret sources Name URL Commets OECD s bribery ad corruptio site e_2649_37447_1_1_1_1_37447,00.html Focus o bribery ad goverace; some resources coectig corruptio with the educatio sector. OECD regioal ati-corruptio programmes site USAID Orgaisatio for Security ad Cooperatio i Europe (OSCE) Ope Society Foudatio s Educatio Support Programme U4 Ati-Corruptio Resource Cetre Goverace ad Social Developmet Resource Cetre (GSDRC) Global Itegrity Report Trasparecy Iteratioal Freedom House Coutries at the Crossroads e_2649_37447_ _1_1_1_1,00. html ad_goverace/techical_areas/aticorruptio/ Documets other_thematic_issues/educatio cfm?page=139&editio=8 Liks to regioal pages of geeral ati-corruptio data icludig some o educatio sector. Icludig USAID s aticorruptio strategy ad descriptio of programmes. Icludes best practices i combatig corruptio. Overview of OSI-supported ati-corruptio iitiatives i educatio Wide-ragig collectio of resources icludig expert aswers o ati-corruptio ad educatio. Gateway to geeral, thematic ad regioal resources across the web, icludig liks to NGOs, UN agecies ad door Web pages. Assessmet of atioal aticorruptio systems across tes of coutries. Overview of atioal issues gives idicatio of issues but ot educatio sector specific. Educatio theme page with several ati-corruptio i educatio reports, may school ad commuity level. Survey ad data o goverace, icludig aticorruptio ad trasparecy, i 70 coutries. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 57

60 Aex 2. Iteret sources Name URL Commets Overseas Developmet Istitute s resource sectio Workig papers ad opiio papers o aticorruptio i educatio, particularly i humaitaria ad post-war cotexts. Eldis Searchable database with U4, IEP, Trasparecy Iteratioal, NGO, door ad academic reports ad articles Regioal Aticorruptio Iitiative Ati-corruptio Studet Network i South East Europe Small library of regioal ati-corruptio resources; focuses o Southeast Europe. Iformatio o studet iitiatives to fight corruptio i higher educatio i the regio. ikow Politics Iformatio o wome ad corruptio. Iformatio portal o goverace ad corruptio i Africa Coferece reports, charters ad acts from souther Africa related to corruptio. Focus o legislatio. 58 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

61 Aex 3. Refereces Alatasa, V.,Camero, L., Chaudhuri, A., Erkal, N. & Gagadharab, L. (2006). Geder ad corruptio: isights from a experimetal aalysis. No 974, Departmet of Ecoomics Workig Papers Series from The Uiversity of Melboure. ANPPCAN Chapter, Ace Lworo Project, Kigulu Developmet Group (2006). Natioal dissemiatio report: UPE moitorig report. Ati-Corruptio Commissio (2009). From the abyss back to the Athes of West Africa: a report o systems review of Miistry of Educatio. Miistry of Educatio, Sierra Leoe. Atoowicz, L (2010). Too ofte i silece: a report o school-based violece i West ad Cetral Africa. UNICEF, Pla West Africa, Save the Childre Swede West Africa ad ActioAid. Atoowicz, L., Lesé, F., Stasse S. & Wood, J. (2010). Good goverace lessos for primary educatio i Africa Educatio Watch series. Trasparecy Iteratioal. Ayuru, M. (2006). Experieces of the Apac Ati-Corruptio Coalitio (TAACC), CCF Acelworo Childre ad Family Programme, ad Ugada Adult Educatio Network (UGAADEN). Best practices i budget ad ati-corruptio work, Commowealth Educatio Fud Ugada. Aruatilake, N., de Silva, R. (2004). Overview of educatio budgetig ad resource allocatio processes i Sri Laka. Istitute of Policy Studies, Sri Laka. Asia Developmet Bak (2010). Guidace ote: educatio sector risk assessmet. Asia Developmet Bak (2009). NEP: goverace risk assessmet report prepared for the Nepal Coutry Partership Strategy ( ). Azfar, O., Kack, S., Lee, Y. & Swarmy, A (1999). Geder ad corruptio. Workig paper 232, IRIS Ceter. Baies, S. (2005). Cotrollig corruptio: lessos from the School Improvemet Grats Program i Idoesia. Baies, S. (2005), Towards more trasparet fiacial maagemet: scholarships ad grats programmes i Idoesia. UNESCO IIEP. Baerjee, A. & Duflo, E. (2006). Addressig absece. Joural of Ecoomic Perspectives, 20(1): Bagladesh Miistry of Primary ad Mass Educatio: Goverace Report Barrett, L. (2004). Corruptio ad ati-corruptio measures i educatio: the CIS ad the Wester Balkas. A report for the Educatio Support Program, Ope Society Istitute. Budiee, V., Poisso, M. & Hallak, J. (2004). Corruptio, trasparecy ad accoutability i educatio: Kazakhsta, Kyrgyzsta ad Tajikista. Report of joit OSI/IIEP missio, UNESCO IIEP. Carrillo, S. & Fall, M. (2007). Coutry-level goverace diagostics: stregtheig local capacities for greater govermet effectiveess. The World Bak Istitute. Catalyst, H. (2007). Follow the moey: a resource book for traiers o public expediture trackig i Tazaia. Local Govermet Group of the Policy Forum. Chapma, D. (2002). Corruptio ad the educatio sector. Sectoral Perspectives o Corruptio, USAID. Chee, M. (2009). Geder, corruptio ad educatio. U4 Expert Aswer, U4 Ati-Corruptio Resource Cetre ad Trasparecy Iteratioal. Civil Society Coalitio for Quality Basic Educatio (2005). A report o the spot check exercise for the 2004/5 fiacial year: have the resources tickled dow to schools? Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 59

62 Aex 3. Refereces Claase, M. (2008). Makig the budget work for educatio: experieces, achievemets ad lessos from civil society budget work. Commowealth Educatio Fud. Commowealth Educatio Fud (2009). A budget guide for civil society orgaisatios workig i educatio. De Grauwe, A., Lugaz, C., Baldé, D., Diakkate, C., Dougo, D., Moustapha, M. & Odushia, D. (2005). Does decetralisatio lead to school improvemet? Fidigs ad lessos from research i West Africa. Joural of Educatio ad Iteratioal Developmet 1(1). Dimitrove, N. (2000). Itroductio of aticorruptio educatio i Bulgaria secodary schools. CSO case study 7, Research ad Policy i Developmet. Doig, A., Watt, D. & Williams, R. (2006). Hads-o or hads-off? Ati-corruptio agecies i actio, door expectatios, ad a good eough reality. Public Admiistratio ad Developmet, 26: Dollar, D., Fisma, R. & Gatti, R. (1999). Are wome really the fairer sex? Corruptio ad wome i govermet. Policy research report o geder ad developmet, Workig Paper Series 4, The World Bak Developmet Research Group/ Poverty Reductio ad Ecoomic Maagemet Network. Dyer, K. (2003). A simple guide to workig with fiaces ad educatio. Oxfam ad TEN/MET. Eberlai, W. & Fuhrma, B. (2004). Fightig poverty ad corruptio: itegratig the fight agaist corruptio ito the PRS process aalysis ad recommedatios for developmet cooperatio. GTZ. Eckstei, M. (2003). Combatig academic fraud: towards a culture of itegrity. UNESCO IIEP. Elimu Yetu Coalitio (2002). A tool for trackig budgetary allocatios, disbursemet ad utilizatio for basic educatio i Keya. Elimu Yetu Coalitio (2004). Moitorig of the free primary educatio ad establishig the uit cost of primary educatio i Keya. Goetz, A. (2005). Political cleaers: how wome are the ew ati-corruptio force. Does the evidece wash? Istitute of Developmet Studies. Goetz, A. & Jekis, R. (2001). Geder-sesitive local auditig: iitiatives from Idia to build accoutability to wome. GTZ (2009). Fightig corruptio i ad through educatio: experiece of Germa Techical Cooperatio. GTZ UNCAC Project (2008). Ati-corruptio i educatio: supportig the Ati-corruptio commissio i Sierra Leoe. Gupta, S., Davoodi, H. & Tiogso, E. (2000). Corruptio ad the provisio of health care ad educatio services. IMF Workig Paper 00/116. Hallak, J. & Poisso, M. (2007). Corrupt schools, corrupt uiversities: what ca be doe? IIEP UNESCO. Hart, J. (2008). Educatio budget work: civil society actio agaist corruptio. Commowealth Educatio Fud, presetatio at the 13th Iteratioal Ati-Corruptio Coferece, Athes, Greece. Heyema, S. (2004). Educatio ad corruptio. Iteratioal Joural of Educatioal Developmet, 24 pp Heyema, S., ed. (2009). Buyig your way ito heave: educatio ad corruptio i iteratioal perspective. Global Perspectives o Higher Educatio 15, SesePublishers, the Netherlads. 60 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

63 Aex 3. Refereces Hubbard, P. (2007). Puttig the power of trasparecy i cotext: iformatio s role i reducig corruptio i Ugada s educatios sector. Ceter for Global Developmet Workig Paper Number 136. Huma Rights Commissio of Pakista (2004). The educatio budget i Pakista. Commowealth Educatio Fud. Huma Rights Commissio of Pakista (2005). A guide to participatory budget aalysis for primary educatio. Huma Rights Commissio of Pakista (2005). Trackig of the educatio budget: maual. I collaboratio with the Commowealth Educatio Fud. Karim, S., Satizo Rodall, C. & Cabero Medoza, E. (2004). Trasparecy i educatio: report card i Bagladesh; Quality Schools Programme i Mexico. UNESCO IIEP. Kee, E. (2000). Fightig corruptio through educatio. COLPI Papers 1, Ope Society Istitute. Kiiza, J. (2006). Nature ad extet of corruptio i Uiversal Primary Educatio (UPE) i Ugada: a research report. Makerere Uiversity, Ugada. Levacic, R. & Dowes, P. (2004). Formula fudig of schools, decetralizatio ad corruptio: a comparative aalysis. UNESCO IIEP, Paris. Lewis, M. & Pettersso, J. (2009). Goverace i educatio: raisig performace. World Bak. Loliche, PJ. (2006). Childre as iformed participats i goverace. Iteratioal NGO Joural 1 (2), pp Lugaz, C. & De Grauwe, A. (2010). Schoolig ad decetralisatio, patters ad policy implicatios i Fracophoe West Africa. IIEP/UNESCO. Meier, B. & Griffi, M., eds. (2005). Stealig the future: corruptio i the classroom: te real world experieces. Trasparecy Iteratioal. Melikidze, V. (2003). Role of the formal decisio makig i emergig of the ew corruptio i a school educatio i trasitioal societies (case of Georgia). Michael, B. (2004). What do Africa door-sposored ati-corruptio programmes teach us about iteratioal developmet i Africa?, Social Policy ad Admiistratio 38, No. 4, pp Mullochaev, M. (date ukow). The state ad ways of achievemet of trasparecy i the educatio system of Tajikista. Natioal Accoutability Group (2006). Participatory service delivery assessmet of the activities of local coucils i the metal health ad saitatio, agriculture ad educatioal sectors i Sierra Leoe, a citize report card o 19 local coucils. Natioal Assembly Select Committee o Educatio ad Traiig (2005). Report o schools survey. Republic of the Gambia. Natioal Semiar o Ati-corruptio issues i educatio (Baku, Azerbaija: February 2006). Ethics ad corruptio i educatio. Ope Society Istitute, The Ceter for Iovatios i Educatio, UNESCO IIEP. NORAD (2008). Ati-corruptio approaches: a literature review. Nuwagaba, E, Nakabugo, M. & Jjuuko, R. (2005). Basic educatio budget trackig: facilitators guide. Ugada Adult Educatio Network. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 61

64 Aex 3. Refereces Ochse, K. (2004). Prevetig corruptio i the educatio sector: a practical guide. GTZ. Pamoja Trust (2006). Civil society capacity developmet o primary educatio budget trackig: facilitators guide. Pearso, M. (2002). Medium-term expediture budget frameworks: a itroductio. DFID Health Systems Resource Cetre. Perry, V. (2008). Civil society egagemet i educatio budgets: a report documetig Commowealth Educatio Fud experieces. Commowealth Educatio Fud. Pliksys, A., Kopicka, S., Hryevych, L. & Palicarsky, C. (2009). Trasparecy i educatio i Easter Europe. UNESCO IIEP. Poisso, M. (2009). Guidelies for the desig ad effective use of teacher codes of coduct. UNESCO IIEP. Pro-Poor Advocacy Group (2004). Expediture aalysis o the ature ad magitude of resource allocatio i the educatio sector ( ). Commowealth Educatio Fud. Ramkumar, V. (2008). Our moey, our resposibility: a citizes guide to moitorig govermet expeditures. The Iteratioal Budget Project. Reiikka, R. & Svesso, J. (2003). Survey techiques to measure ad explai corruptio. World Bak Policy Research Workig Paper Reiikka, R. & Svesso, J. (2003). The power of iformatio: evidece from a ewspaper campaig to reduce capture. Policy Research Workig Paper No. 3239, World Bak. Reiikka, R. & Smith, N. (2004). Public expediture trackig surveys i educatio. IIEP/UNESCO. Reiikka, R. & Svesso, J. (2003). Survey techiques to measure ad explai corruptio. World Bak Policy Research Paper Reiikka, R. & Svesso, J. (2004). Fightig corruptio to improve schoolig: evidece form a ewspaper campaig i Ugada. World Bak. Reiikka, R. & Svesso, J. (2005). Improvig schoolig by combatig corruptio: evidece from a ewspaper campaig i Ugada. Robiso, L. (2004). Commuity scorecards. Module 1: facilitatig the commuity scorecard. Norther Ghaa Network for Developmet. Seats, E. & Vardama, S. (2009). Lessos leared fightig corruptio i MCC threshold coutries: the USAID experiece. USAID. Stecher, B. & Kirby, S., eds. (2004). Orgaizatioal improvemet ad accoutability: lessos for educatio from other sectors. RAND Corporatio. Sudet, G. (2008). Followig the moey: do public expediture trackig surveys matter? U4 Issue 2008:8. Swamy, A., Kack, S., Lee, Y. & Azfar, O. (2000). Geder ad corruptio. World Bak. Tazi, V. (1998). Corruptio aroud the world: causes, cosequeces, scope ad cures. IMF Staff Papers, Vol. 45, No. 4. Teggema, S. (2010). Ati-corruptio i sectors: good practices ad lessos leared from coutry experieces. Coferece of the Arab Ati-Corruptio ad Itegrity Network, Saa a, Yeme. PowerPoit presetatio. GTZ. Topuzya, A. (date ukow). Steps to prevet corruptio i the educatio system i Armeia. 62 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

65 Aex 3. Refereces Trasparecy Iteratioal (2007). Corruptio i the educatio sector. Workig Paper No. 04/2007. Trasparecy Iteratioal Keya (2006). Itegrity study Teachers Service Commissio. Twaweza (2008). Program Compoets. Tazaia. U4 Ati-Corruptio Resource Cetre (2006). Corruptio i the educatio sector. U4 Issue 4. U4 Ati-Corruptio Resource Cetre (2007). Public expediture trackig surveys: lessos from Tazaia. U4 Brief 14. U4 Ati-Corruptio Resource Cetre (2008). Corruptio-free educatio: lessos from a state ad civil society joit iitiative i Peru. U4 Ati-Corruptio Resource Cetre (2008). U4 Brief. 6. U4 Ati-Corruptio Resource Cetre (2008). Teachers ad taxis: corruptio i the educatio sector i Hoduras. U4 Brief 16. U4 Ati-Corruptio Resource Cetre (2008). The power of data: ehacig trasparecy i the educatio sector i Sierra Leoe. U4 Brief 22. U4 Ati-Corruptio Resource Cetre (2009). Cofrotig corruptio i educatio: advacig accoutable practices through budget moitorig. U4 Brief 7. UNDP (2008). A user s guide to measurig corruptio. UNDP (2008). Prevetig corruptio i the educatio sector: iteratioal experieces with civil society ivolvemet. UNDP Policy Note, UNDP Viet Nam. UNDP (2008). Corruptio ad developmet: Ati-corruptio itervetios for poverty reductio, realizatio of the MDGs ad promotig sustaiable developmet, UNDP Primer. UNDP (2008). Tacklig corruptio, trasformig lives: acceleratig huma developmet i Asia ad the Pacific. UNDP (2010). Fightig corruptio i post-coflict ad recovery situatios: learig from the past. UNESCO IIEP (2006). Advaced traiig workshop o Resource leakage ad corruptio i the educatio sector i Keya: capacity-buildig for KESSP ivestmet programme maagers. UNESCO IIEP (2008). Workshop o Ehacig trasparecy ad accoutability i the educatio sector i Sierra Leoe. UNESCO (2005). Decetralisatio i educatio: atioal policies ad practices. Educatio Policies ad Strategies. UNESCO (2007). Educatioal goverace at local level. Divisio for the Promotio of Basic Educatio. UNODC (2004). The global programme agaist corruptio: UN ati-corruptio toolkit, 3rd editio. USAID (2009). Ati-corruptio assessmet hadbook, fial report. Valk, M., Cuigs, S. & va Dam, H., eds. (2004). Geder, citizeship ad goverace: a global source book. KIT (Royal Tropical Istitute). va Nulad, S. & Khadelwal, B. (2006). Ethics i educatio: the role of teacher codes i Caada ad South Asia. UNESCO IIEP. Withrop, R. & Graff, C. (2010). Beyod madrasas: assessig the liks betwee educatio ad militacy i Pakista. Ceter for Uiversal Educatio Workig Paper 2. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 63

66 Aex 3. Refereces Wood, J., Hye, H. & Shrivastava, A. (2003). Bagladesh: developig a risk-reductio strategy for fiacial maagemet ad goverace i PEDP2. World Bak (2005). Social accoutability ad participatory moitorig approaches i Armeia: experieces ad opportuities. World Bak (2006). Program documet for a proposed Secod Programmatic Educatio Sector Developmet Support Credit to the People s Republic of Bagladesh. Huma Developmet Sector, South Asia Regio. World Bak (2008). Implemetatio completio ad results report o a credit i the amout of millio to the People s Republic of Bagladesh for a Educatio Sector Developmet Support Grat. Huma Developmet Sector, South Asia Regio. World Bak Group (2005). Cambodia public expediture trackig survey (PETS) i primary educatio. Rahma, H. & Ali, K. (2005). Quest for quality primary educatio: where are the etry poits? PPRC Policy Brief. 64 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

67 Aex 4. Proposed terms of referece for coutry cases studies o ati-corruptio i the educatio sector Backgroud Corruptio hiders efforts to achieve the MDGs by reducig access to services ad divertig resources away from ivestmets i ifrastructure, istitutios ad social services. Success i meetig the MDGs will therefore largely deped o the quality of goverace ad the level of effectiveess, efficiecy ad equity i resource geeratio, allocatio ad maagemet. As highlighted by UNESCO i its Educatio for All Global Moitorig Report 2009, good goverace matters for educatio. This implies ot just trasparecy ad accoutability, but also a commitmet to equal opportuity for all citizes. Failure to tackle corruptio has particularly damagig cosequeces for the poor. Whe resources do ot reach schools, or whe schools levy uauthorised fees, it is the poor who are least able to pay. I the absece of good goverace, parets ad commuities face educatio provisio that is uresposive to their eeds ad ieffective i raisig learig achievemets. It leaves commuities ad regios with childre sittig i classrooms lackig basic teachig materials, ad supervised by utraied ad demotivated teachers. I some cases, bad goverace also meas that fiacial resources allocated to schools do ot arrive; teacher quality declies eve if the teacher-studet ratio icreases; resources are spet ieffectively because of lack of mechaisms to moitor ad assess the impact; ad most of all, weak decetralised strategy ad accoutability structures ultimately hider progress. A literature review coducted iteratioally reveals that ati-corruptio iitiatives i the educatio sector are ot well documeted or reported upo. Opportuities for sharig learig o best practice across coutries ad agecies are scarce. Moreover, the literature review establishes the eed to icrease the uderstadig of the eablig eviromet for ati-corruptio work i educatio, ad to more systematically evaluate ati-corruptio itervetios to gauge their results o corruptio reductio, their value added for the educatio sector i geeral, ad their sustaiability. Purpose ad scope The field research should look at methods ad tools that have bee used ad describe them i detail. Take i cosideratio should be their cotexts, eablig ad costraiig factors, ad to the extet possible, their success ad impact o corruptio reductio. Ivestigatio questios Core questios What are the cotextual parameters of corrupt practices ad ati-corruptio iitiatives? What ati-corruptio itervetios have bee iitiated? What were the drivers? What specific corruptio risks have they addressed? What has bee the approach of the ati-corruptio itervetio? Through what implemetatio partership was the itervetio coducted? How have activities tackled the diverse rage of factors of the idetified corrupt practice or risk? Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 65

68 Aex 4. Proposed terms of referece for coutry cases studies o ati-corruptio i the educatio sector What have bee the results of the ati-corruptio itervetio? Supported by what evidece? What have bee the eablig ad hiderig factors of the ati-corruptio itervetio s results? How have costraits ad obstacles bee overcome durig itervetio implemetatio? What sustaiability mechaisms were built ito the ati-corruptio itervetio? Have these bee effective? What lessos ca be draw from the ati-corruptio itervetio? What elemets of replicability could be sigled out from the itervetio? Issues to be explored i field work: Legislatio Where ati-corruptio legislatio exists, has it bee mediated ad specifically operatioalised withi the educatio sector? Has the educatio sector proved to be a particularly problematic sector i which to adopt ad implemet ew legislatio for ay reaso? How cosultative has bee the process leadig to ati-corruptio legislatio? What are the eforcemet mechaisms i place? Is there evidece of their effectiveess? Do sactios for corrupt practices exist? If so, have they chaged ad how have they bee used? Is iformatio available as to whether staff have bee dismissed for corrupt practices? Codes of coduct Where codes of coduct for educatio staff ad civil servats are i place: How were they developed (political will, cosultatio process, leadership, etc.)? What aspects of behaviour do they cover? What are the eforcemet mechaisms? How have eforcemet mechaisms bee used? Better fiacial systems Fiacial maagemet What is the level of itroductio of accoutig systems, at sub-atioal offices ad agecies? Have robust fiacial maagemet mechaisms bee itroduced with a specific corruptio reductio goal? If so what were the ature, the size ad the locatio of the risks? I regards to the itroductio of ew fiacial maagemet mechaisms: Who is ivolved? What are the drivers at govermet level? 66 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

69 Aex 4. Proposed terms of referece for coutry cases studies o ati-corruptio i the educatio sector What admiistrative structure eeds to be i place to eable such mechaisms to have a impact? School grats disbursemet Where there have bee grats to schools: How are grats disbursed? How are schools beig held to accout for the grats? How are cetral ad district levels accoutable to schools regardig grat disbursemet? Do approaches aticipate the chages of the itroductio of a ew fiacial or disbursemet system oto others? How is this doe? Have evaluatios of good practices looked at results i the area targeted by ati-corruptio? Have they also looked widely to esure that o trasfers have take place? Do data collectio systems complemet fiacial maagemet / accoutig practices to corroborate what is o paper? Better systems idepedece ad exterality The existece of audit bodies, their status, role ad level of authority is to be ivestigated i the coutry studies. Examples of ivestigatios by such bodies i the educatio sector are to be aalysed. Focus o whether audit commets are followed through ad lead to sactios, i ay cases. Examiatio, diplomas ad etrace to uiversity Idetify the existece, status ad remit of examiatio or studet commissios i coutry, ad articulate their role. Idetify stregths ad weakesses i these. Teacher certificatio, deploymet ad salaries Are there ay opportuities for exteral oversight of procedure i critical poits for recruitmet ad promotio? What mechaisms are i place to esure teachers receive their full salary? School level How are parets ivolved i the oversight of schools? Do parets have opportuities to act agaist corrupt practices? Better iformatio techology (IT) for admiistratio Are there systems i place? If so, are they beig used to validate the admiistrative ad fiacial processes that are at risk? Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 67

70 Aex 4. Proposed terms of referece for coutry cases studies o ati-corruptio i the educatio sector Are EMIS ad TMIS beig dissemiated i a way that third parties may be able to use them ad make reality checks? Trasparecy ad accoutability Advocacy ad awareess-raisig Elemets to cosider iclude: Eablig ad hiderig eviromet of the campaig (political, social, ecoomic, cultural cotext) Partership: modality, stregths ad weakesses Likages betwee campaig outputs ad trasformative actios Ati-corruptio educatio This is ot a priority area for ivestigatio. However, where awareess campaigs ad ati-corruptio educatio iitiatives complemet ati-corruptio itervetios i the educatio sector, they should be reported ad aalysed to articulate their value added ad lear lessos o how best to use them. More ope ad trasparet systems or procedures What steps have bee take to itroduce better procuremet systems? What is doe to reduce the risks, especially aroud textbook supply? Participatory moitorig ad social accoutability Role of SMCs A potetial area of ivestigatio could be whether there are correlatios i corruptio survey at school level betwee female head teachers or female chair of SMCs ad reduced perceptio of corruptio i compariso to male-led schools. Budget trackig ad moitorig Scorecards Examples of iitiatives that have also icluded strategies to esure case follow-up ad eforcemet of legislatio? Are there iitiatives for local oversight of service ad/or fiace? Childre s moitorig Are there attempts to empower childre, ad to provide ways that their voice ad kowledge ca be mobilised agaist corruptio? 68 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

71 Aex 4. Proposed terms of referece for coutry cases studies o ati-corruptio i the educatio sector Iformatio ad the use of media ad iformatio techology Assess how feely ad completely the press reports o corruptio ad acts to icrease public awareess aroud corruptio i educatio. Iitiatives to curb teacher abseteeism What are coutries doig to esure attedace of teachers? What is the evidece at the school level? Surveys Has there bee a PETS or survey with itetio to idetify leakage? What happeed to the results? Capacity developmet What iitiatives have cotributed to ati-corruptio efforts i the educatio sector? What have bee the differet methodologies used (target groups, implemetatio strategies, activities, sustaiability elemets etc.)? Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 69

72 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa 92 UNESCO/Marc Hofer The aim of these case studies is to documet good ati-corruptio practices i the educatio sector i sub-sahara Africa that ca be used to iform reforms elsewhere ad cotribute to the acceleratio of the attaimet of the MDGs. These case studies focus o idetifyig key issues ad documetig good practices ad lessos i a umber of coutries i sub-sahara Africa. Limited cosultatios have bee udertake where possible; however, they have largely bee desk-based, with the majority of iformatio sourced olie ad from accessible materials. Poor documetatio ad the paucity of updated olie materials o most istitutioal websites i Africa has limited the scope ad quality of the research. It is recommeded that coutry studies ad evaluatios be udertake at a later stage to obtai first-had isights ad updates o issues ad lessos leared from good practices. These cases highlight good practices of commuity ivolvemet ad participatio i budget moitorig i Ugada ad Malawi ad public expediture trackig i Ghaa as examples of good ati-corruptio practice i the educatio sector i Africa. 1. Ugada Case Study: Budget Trackig of Resources i the Educatio System 1.1 Itroductio: access to educatio The Ugada educatio sector, which comprises primary, secodary/tertiary ad uiversity levels, has made remarkable progress with substatial icreases i coverage i both rural ad urba areas. Util the early 1990s the educatio system remaied uchaged with disparities i erolmet, geder, dropout rates, performace ad geeral attaimet arisig from historical ad cultural 92 These cases studies were commissioed by UNDP ad prepared by AVID Developmet Ltd i March The desk research was coducted by Alle Asiimwe with assistace from Ashaba Ahebwa ad Victor Agaba. 70 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

73 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa factors. However, a shift was evideced i the mid-1990s with the iclusio of educatio as a basic right uder the Costitutio. 93 Followig the liberalizatio of the educatio sector ad the itroductio of uiversal primary educatio (UPE) i the 1990s, erollmet at all levels has icreased tremedously. For istace, erollmet at primary level doubled from about 3.5 millio i 1997 to over 7 millio by the ed of The subsequet itroductio of uiversal secodary educatio i 2006 has led to a dramatic icrease i erollmet levels at secodary level. This has created great opportuities for private ivestors i the post-primary educatio sub-sector so as to ehace absorptio capacity. For istace, a total of 512,057 cadidates registered for the primary leavig examiatios i 2010, with 84.2 percet of them comig from UPE schools ad the remaiig 15.8 percet from private schools. This massive growth has had its attedat challeges largely i the poor quality of educatio, low retetio rates ad low absorptio capacity withi istitutios. For istace, the capacity i public-sector secodary schools is oly 200,000 studets, a limit that has created ot oly a challege but also a opportuity for the private sector to help meet demad. 1.2 Reforms i the educatio sector A umber of reforms have bee istituted across govermet, some of them specific to the educatio sector. Reforms iclude: A clear educatio-specific legal ad policy framework based o the 1992 Govermet White Paper o Educatio ad the 1995 costitutioal provisios o the basic right to educatio Holistic approach to plaig ad maagemet as articulated i the Educatio Sector Strategic Ivestmet Pla , which icorporates as key targets those commitmets i the MDGs ad the Educatio for All campaigs. Equitable access to UPE i 1997 ad later itroductio of uiversal secodary educatio i 2006 Icreased participatio of the public through decetralisatio uder the Local Govermet Act of 1997, which trasfers authority to formulate, approve ad execute developmet plas for service delivery i key sectors icludig health, educatio, ad agriculture to the districts. For istace, registratio for UPE childre, distributio of textbooks ad mothly remittaces for schools from cetral govermet are all chaelled through district admiistratios. Clear istitutioal ad maagemet framework through the sector-wide approach, i which roles ad resposibilities of key actors i the educatio system are clear Stable sector fiacig regime ad a more comprehesive ad coheret approach to aid maagemet. Uder the School Facilities Grat (SGF), the Govermet covers the cost of tuitio fees ad basic school operatioal costs while families still eed to provide writig materials, uiforms ad luches. Clear ad coordiated moitorig, evaluatio ad reportig framework that culmiates i the Joit Govermet/Developmet Parters Sector Review (JSR) forum held aually to carry out 93 Article 30 ad 34 of the Costitutio of the Republic of Ugada, 1995 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 71

74 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa a comprehesive review of the performace of the sector as per agreed udertakigs based o four parameters of access, equity, quality ad efficiecy. These reforms have cotributed to the progress evideced i the educatio sector. Accordig to Ugada s third progress report o the MDGs status, 94 the MDG o access to educatio has bee achieved as erollmets rates have icreased to over 90 percet ad there is geder parity betwee boys ad girls i primary educatio. However, the rates of completio of a full course of primary educatio have stagated i recet years, particularly for girls. A umber of factors are resposible for this state of affairs, icludig poverty ad a poor political eviromet ad facilities to support educatio; poor quality of the educatio system; mismaagemet ad extesive corruptio. 1.3 Corruptio i the educatio sector Give the large volume ad scale of ivestmets through the Schools Facilities Grat ad the Poverty Actio Fud, the opportuities for corruptio have mushroomed. Massive wastage ad leakages have characterized the educatio sector ad it has bee foud to be oe of the corrupt sectors i various atioal surveys icludig the Natioal Itegrity Survey 2008 ad the Natioal Services Delivery Survey At oe time, it was reported that o average oly 13 percet of cetral govermet allocatios for owage costs reached Ugada schools betwee 1991 ad Massive corruptio cases ivolvig billios of shilligs have bee reported i the educatio sector, particularly i the costructio of school facilities; recruitmet ad iclusio o the payroll of ghost teachers; procuremet ad distributio of school materials; ad leakages i the trasfer of resource ad materials from the Miistry of Educatio to the districts ad schools. Box 1. High risk areas i the educatio system Leakages i the trasfer of resources ad materials from the Miistry of Educatio to the districts ad schools Legthy supply chai ad delays i the trasfer of resources uder the School Facilities Grat ad Poverty Actio Fud Procuremet of supplies; biddig for costructio of facilities Ifrastructure/costructio of buildigs (schools, teachers accommodatio) Recruitmet ad iclusio of teachers o the payroll Teacher abseteeism estimated at approximately 30 percet 94 Milleium Developmet Goals Report for Ugada 2010: Special theme: Acceleratig Progress towards improvig materal health. Miistry of Fiace, Plaig ad Ecoomic Developmet, September UN Milleium Trackig Project (2005). Towards Uiversal Primary Educatio: Ivestmets, Icetives ad Istitutios. 72 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

75 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa Over the years, corruptio i the educatio sector has maifested itself i various ways icludig at a grad level. Delays 96 ad leakage of fuds from the Miistry of Educatio to the districts, ad embezzlemet of fuds iteded for teachig materials, school buildigs, etc., have resulted i sub-stadard educatioal materials beig purchased due to maufacturers bribes, istructors copyrights, etc. Ghost teachers are o the pay roll, ad high levels of abseteeism persist. Schools have also moopolized provisio of basic services such as meals ad uiforms, resultig i low quality ad high prices. Petty corruptio has largely maifested itself through paymet of illegal fees such as charges levied o childre s school admissio forms eve though educatio is supposed to be free; use of school materials for private ad commercial purposes; school places auctioed out to the highest bidder; good grades ad exam passes obtaied through bribes to teachers ad public officials; ad poor studets frequetly margialized because compulsory topics are addressed oly i private tutorig sessios. 1.4 Ogoig reforms to tackle corruptio i the educatio sector A umber of ati-corruptio reforms are ogoig at atioal level largely through eactmet of key laws such as the Ati-Corruptio Act 2008 ad the Whistle-blowers Protectio Act 2010; ad istitutioal stregtheig of key ati-corruptio agecies such as the Ispectorate of Govermet ad the Ati-Corruptio Divisio of the High Court. At sectoral level, the Miistry of Educatio has passed a umber of by-laws to address issues of abseteeism ad petty corruptio focusig o icreasig studets ad teachers attedace ad prohibitio of private coachig. There have also bee iitiatives to reduce leakages of trasfers through budget trackig udertake by the Miistry of Fiace i partership with the Miistry of Educatio. I the 1990s, the cetral govermet lauched a trasparecy drive ad bega aoucig its mothly budget trasfers i various media outlets icludig ewspapers ad radio, ad schools were required to post their receipt of fuds. As a result of these ad other measures, the flow of fuds leapt to 90 percet i 1999, reflectig the importace of trasparecy ad of commuity oversight of schools. 97 I 2010, a commissio of iquiry headed by a seior judge was appoited by the presidet to ivestigate allegatios of corruptio i the educatio sector with specific focus o the uiversal primary educatio. Curretly, iquiries are ogoig at atioal ad sub atioal level. These reforms have, however, largely bee drive by the govermet with limited egagemet from the public; they have therefore had limited impact o miimizig leakages at district level. I recet years, there have bee efforts to icrease public participatio ad oversight through public 96 The Budget Moitorig ad Aalysis Uit of the Miistry of Fiace, Plaig ad Ecoomic Developmet reported that there were delays i trasfer of moey ad materials from the ceter ad discrepacies i reportig by the cetral miistry ad the receivig educatio istitutios at district level. BMAU report October-December 2009; March UN Milleium Trackig Project (2005). Towards Uiversal Primary Educatio: Ivestmets, Icetives ad Istitutios. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 73

76 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa expediture moitorig. I this case the public is mobilized through CSOs to track the trasfer of resources ad materials from the cetral govermet to the districts ad evetually to the primary schools. They do so by detectig ad highlightig bottleecks, iefficiecies ad corruptio thereby icreasig trasparecy, opeess ad accoutability i the delivery of services. A umber of NGOS icludig the Ugada Debt Network, Forum for Wome i Democracy ad NGO Forum focus o budget aalysis, moitorig, advocacy ad ati-corruptio activities. A Civil Society Budget Advocacy Group (CS-BAG) was also established to coordiate the activities of all NGOs i this area ad moitor govermet progress i meetig the goals of the UPE programme ad addressig gaps i service delivery (De Rezio, P., Azeem V. & Ramkumar V., 2006). 1.5 Commuity moitorig of public expediture i primary schools: TAACC project Public expediture moitorig by the citizes at district level was orgaized ad supported by The Apac Ati-Corruptio Coalitio (TAACC). 98 This coalitio was part of the CS-BAG coalitio, fuded by the Commowealth Educatio Fud (CEF), ad has employed budget moitorig as a tool to combat corruptio i local schools i the Apac District of orther Ugada. 99 The overall objective of this iitiative was to esure that public fuds allocated for educatio were used accordig to plas developed by commuities, ad ot misappropriated by idividuals for their ow persoal use. The TAACC traied moitors who have bee successful i drawig attetio to corruptio i the educatio system, exposig corrupt district educatio officials ad head teachers (U4 Brief, 2009). Moitors draw from the commuities were ofte members of various commuitybased orgaizatios ivolved i moitorig govermet programmes. TAACC employed a umber of approaches: Sesitizig commuities through radio discussios, commuity evets ad public demostratios o their costitutioal resposibility i moitorig the implemetatio of public programmes ad o the egative impact of corruptio o service delivery. Traiig idepedet budget moitors (IBMs), elected by local commuities, i uderstadig the various educatio grats remitted by the govermet icludig the uiversal primary educatio capitatio ad school facilities grat as well as budgetig processes at both atioal ad local levels ad coductig moitorig of the educatio sector budget. The IBMs were tasked with verifyig whether these grats were beig properly used by district educatio offices. Documetig ad exposig corrupt practices at the district through use of simple tools, e.g., photographig poorly costructed buildigs ad the absece of materials i libraries. TAACC s budget trackig ad ati-corruptio work led to the ivestigatio, iterdictio, ad dismissal of district educatio officials ad head teachers who had misappropriated fuds. They also 98 TAACC is a umbrella ati-corruptio CSO operatig i orther Ugada ad affiliated with the Natioal Ati-Corruptio Coalitio of Ugada (ACCU). 99 It should be oted that similar budget trackig exercises were carried out by CSOs i a umber of districts coutrywide. For istace, the Acelworo programme of the Christia Childre s Fud (CCF) ivolves primary pupils i school goverace by allowig them to take resposibility for moitorig UPE grat expeditures i their schools. 74 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

77 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa were able to expose ghost schools ad teachers. The IBMs also idetified fraudulet cotractors, ad commuicated their fidigs to the relevat govermet istitutios resposible for blacklistig ad legal redress. Key success factors The followig factors ad activities helped esure the success of the project: Egagemet of the local commuities i moitorig trasfer ad utilizatio of fuds meat for educatio ad other govermet programmes at the commuity level. Capacity buildig ad awareess raisig for commuity moitors o the various aspects of the educatio sector, the budget process. The emergece of a eablig political eviromet for ati-corruptio work i Ugada. Durig the period of the budget trackig iitiatives, the Directorate for Ethics ad Itegrity i the Office of the Presidet was coductig itegrity promotio workshops for local govermet officials, ad emphasizig the role of CSOs i fightig corruptio. The workshops atteded by CSOs i the area resulted ito the formatio of district itegrity forums with TAACC as a active member (DEI Progress Report, 2008). As a result, TAACC gaied the support of the Apac District Coucil, which passed a resolutio i support of the coalitio s work. Buildig strategic parterships with stakeholders at the district level: the close relatioship with the district coucil eabled TAACC to successfully lobby the coucil for a idepedet foresic audit of the district fiace departmet (U4 Brief, 2009). A challege for TAACC ad the IBMs has bee to prosecute corrupt officials through the justice system. TAACC s efforts have bee thwarted by the absece of a well-resourced ivestigative arm of govermet to effect proper ivestigatios ito reported cases of corruptio (Ayuru, 2006). Hece, corrupt practices that were exposed have i most cases ot bee successfully ivestigated ad prosecuted, a situatio that has cotributed to growig levels of impuity at the commuity level. 2. Ghaa Case Study: Usig Scorecards to Moitor Educatio Service Delivery 2.1 Overview of the educatio system Ghaa has developed a decetralized political ad admiistrative system i primary schools with legal guaratees of free primary educatio. These reforms are largely i respose to the iteratioal commitmets to Educatio for All (EFA) at the Dakar Coferece i 2000, ad the MDGs. To compesate schools for the elimiatio of fees ad to give them some fiacial cotrol, Ghaa itroduced a system of school block grats, kow as capitatio grats, which are trasferred directly to schools by the State ad are proportioal to the umber of studets erolled. Such grats are a importat part of the decetralizatio process, ad are viewed as oe way i which a part of the operatioal fudig of schools ca be subjected to greater local oversight ad used to respod to locally determied demads. The Ghaaia govermet claims that capitatio grats cotribute to improved equity by reducig costs to the poor ad by esurig that schools servig the poorest commuities receive at least miimum resources (TI Africa Educatio Watch, 2010). Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 75

78 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa World Bak / Curt Caremark,1993 Ghaa also itroduced school-based, participatory plaig that is supposed to help stakeholders to share iformatio withi the local commuity o school improvemet plas ad their associated budgets. Ghaa implemets a sector-wide approach (SWAp) to educatio developmet with priorities cotaied i a agreed strategic pla ad with pooled fiacial support. The SWAp provides a opportuity for developmet parters ad govermets to establish shared agedas ad procedures; amog the shared objectives are a drive for icreased school commuity participatio, ad for tacklig mismaagemet, corruptio ad issues relatig to overall fiduciary risk. As a result of the above iitiatives, schools i Ghaa have take over resposibilities for admiisterig school fiaces. Part of the ratioale for the icreased fiscal decetralizatio is that it will icrease resposiveess to local eeds ad, critically, subject schools to more effective local oversight ad make them more accoutable to the commuity. Decetralizatio i schools is therefore desiged to chage the locus of, ad persos ivolved i, decisio-makig ad executio of resposibilities (TI, 2010). There have bee sigificat efforts, primarily through reducig direct costs to parets, to icrease primary school erolmet ad to improve the efficiet ad proper use of public fuds through reducig waste, mismaagemet ad leakage. A assessmet by UNESCO 100 shows that i a umber of coutries surveyed i the regio the gross itake rate of studets i primary educatio icreased by 22 percetage poits i betwee 1999 ad 2006 (from 90 percet to 111 percet), although educatioal iequalities persist ad there are about 35 millio out-of-school childre i the regio. 100 Trasparecy Iteratioal ad Africa Educatio Watch (2010), Good goverace lessos for Ati-corruptio. (Lessos from Ghaa, Madagascar, Morocco, Niger, Seegal, Sierra Leoe ad Ugada). 76 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

79 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa The amout of resources at stake i the educatio system is relatively high. As part of the govermet s commitmet to esure UPE, teachig ad learig materials were to be provided to both public ad private schools free of charge, to cover a cycle of basic educatio (six years of primary educatio ad the first three years of juior secodary school). The govermet also allocated a capitatio grat of Ghc 30,000 (US$3) per child per year for primary educatio, with the itetio of reducig the fiacial burde o parets of accessig educatio for their childre. Despite these commitmets, the UPE programme has bee challeged by poor ifrastructure, isufficiet teacher umbers, ad iadequate learig support materials. Poor school goverace ad a lack of paretal ad commuity ivolvemet are also see as key hidraces to the attaimet of UPE goals. 2.2 High risk goverace areas High risk areas that impact goverace i decetralized educatio systems, icludig Ghaa s, iclude the followig: Multiple sources of primary educatio resources icludig the cetral govermet, decetralized admiistratios, NGOs, the private sector or idividual doatios ad parets. The resources may be cash or equivalet (e.g., grats), or i kid (e.g., textbooks, huma resources, school supplies, equipmet, food, fuel, or labour). The fiacial codig systems used by schools do ot map oto those used by the districts, which meas that budget cosolidatio ad recociliatio is at risk because of codig errors. Weak fiacial ad professioal capacity at sub-atioal levels to maage ad oversee the capitatio grats leadig to low absorptio capacity ad opportuities for leakage. Risk of ret-seekig i teacher recruitmet ad deploymet. The potetial for leakages for ay major procuremet programmes, icludig textbooks. Poor record keepig by schools ad districts. Low paret ivolvemet i local accoutability ad maagemet structures. Isufficiet access to iformatio, such as regardig time of release ad amout of capitatio grat ad other plaig processes. For example, the a 2010 Africa Educatio Watch (AEW) report cocluded that the School Performace Improvemet Pla (SPIP) provides a forum that could be a driver for paretal participatio, but i practice few parets are aware of its existece. 2.3 Corruptio i primary educatio Trasparecy Iteratioal idetifies may istaces of uethical behaviour, corruptio ad abuse of etrusted power for private gai i may schools i coutries surveyed, icludig Ghaa (TI, 2010). They iclude askig for fees to erol i schools where such fees have bee waived by the State, or sellig textbooks that are supposed to be distributed for free. Bribes are paid to obtai services that the bribe receiver is prohibited from providig, such as chagig exam results. Table 1 below summarizes the forms corruptio i educatio i Ghaa takes. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 77

80 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa Table 1. Forms of corruptio i Ghaaia primary schools Illegal charges levied o childre s school admissio forms which are supposed to be free School places auctioed out to the highest bidder Childre from certai commuities are favoured for admissio, while others are subjected to extra paymets Good grades ad exam passes obtaied through bribes to teachers ad public officials. The prices are ofte well kow, ad cadidates are expected to pay upfrot Examiatio results oly released upo paymet Overcomig the cosequeces of failig exams by (re-)admittig studets uder false ames Embezzlemet of fuds iteded for teachig materials, school buildigs, etc. Sub-stadard educatioal material purchased due to maufacturers bribes, istructors copyrights, etc. Schools moopolizig meals ad uiforms, resultig i low quality ad high prices Private tutorig outside school hours give to payig pupils, which reduces teachers motivatio i ordiary classes ad compulsory topics are addressed oly i private tutorig sessios (ad thus ot available to pupils who do ot or caot pay) School property used for private commercial purposes Pupils carryig out upaid labour for the beefit of the staff Staff exploitig ad abusig pupils i may differet ways (physically, sexually, etc.) Teacher recruitmet ad postigs iflueced by bribes or sexual favours Exam questios sold i advace Ghost teachers persist: salaries are draw for staff who are o loger (or ever were) employed for various reasos (icludig havig died). This affects de facto studet-teacher ratios, ad prevets uemployed teachers from takig vacat positios High abseteeism, with severe effects o de facto studet-teacher ratios Liceses ad authorizatios for teachig obtaied o false grouds via corrupt meas Iflated studet umbers (icludig umbers of special-eeds pupils) quoted to obtai better fudig Bribes to auditors for ot disclosig the misuse of fuds Embezzlemet of fuds raised by local NGOs ad parets orgaizatios Politicias allocatig resources to particular schools to gai support, especially durig electio times Source: U4 Ati-corruptio Resource Cetre Docs Corruptio ofte icreases trasactio costs, reduces the efficiecy ad quality of services, distorts the decisio-makig process, ad udermies social values. I some cases, corrupt or uethical practices have become a way of life ad are tolerated by the commuities e.g., abseteeism, acceptace of bribes to awardig better grades ad/or to access school etrace, chargig of fees for studets access to textbooks, ad the utilizatio of school property for private commercial purposes. (TI, 2010). 78 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

81 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa For decisio-makig ad the maagemet of educatioal systems to improve, efforts must be made to itegrate goverace ad corruptio cocers i educatioal plaig ad admiistratio (IIEP, 2005). Public participatio ad oversight is key to moitorig educatio budgets ad assess service delivery; i Ghaa, this has bee evideced through the use of commuity scorecards. 2.4 Usig commuity scorecards to moitor budgets i schools The Ghaaia NGO Itegrated Social Developmet Cetre for Budget Advocacy (ISODEC) ad the Pa-Africa Orgaizatio for Sustaiable Developmet (POSDEV) participated i budget processes at both atioal ad local levels; amog priority activities, they coducted budget aalysis ad expediture trackig, i additio to buildig the capacity of commuities to do budget moitorig. ISODEC provided techical support to the Norther Ghaa Network for Developmet (NGND) ad to the Ghaa Natioal Educatio Campaig Coalitio (GNECC), as well as to the Norther Network for Educatio Developmet (NNED) ad to Actio for Rural Educatio (ARE), to expad their budget work programmes i the educatio sector. These CSOs, all of which had operatios at a local level, sought to icrease public debate aroud the educatio goals ad promote greater trasparecy i educatio budgets. They did this by adoptig similar strategies which ivolved: commuity awareess ad mobilizatio, commuity capacity-buildig, budget trackig, service delivery moitorig, ad lobbyig local authorities ad leaders. 2.5 NGND project The Ghaa Network for Developmet (NGND) is a umbrella orgaizatio of NGOs operatig i three orther regios of Ghaa. The three regios are kow for high levels of poverty, as well as for havig the highest illiteracy rates i the coutry. The aim of the project udertake by NGND ad three of its parters across four districts was to icrease commuity ivolvemet i school goverace by stregtheig accoutability ad trasparecy amog commuities ad the Ghaa Educatio Service ad other stakeholders, icludig paret-teacher associatios (PTAs), school maagemet committees (SMCs) ad head teachers. NGND cocetrated its efforts o the challeges i educatio service delivery ecoutered at commuity level, may of which were related to the resource allocatios as part of the Free Compulsory Uiversal Basic Educatio (FCUBE) programme. NNED ad GNECC sought to build the capacity of budget moitors District Educatio for All Teams (DEFATS) to create commuity awareess of FCUBE ad esure commuity ivolvemet i school goverace, as a meas of moitorig FCUBE implemetatio at district level. Educatio delivery issues were addressed o commuity scorecards, which were desiged to track educatio budgets ad assess service delivery by moitorig of educatio budgets ad service delivery. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 79

82 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa The commuity scorecard project was developed to examie educatio expediture ad service delivery at local level. Fidigs from the project were used at regioal ad atioal levels for advocacy work with govermet officials. The commuity scorecard project was also iteded to eable service users (e.g., parets ad childre) to assess the performace of service providers (e.g., educatio officials, teachers ad SMCs), ad to provide the opportuity for service users to discuss the cocers ad challeges they ecoutered directly with service providers A pilot project was desiged ad implemeted i 16 commuities i the Bogo district ad Tamale metropolita areas of Ghaa. The project was later expaded to two other districts i the orther regio. Each of the districts was selected o the basis of differig socio-ecoomic coditios: the Bogo district is recogized as beig the least resource-edowed district i Ghaa, while Tamale is the oly tow withi the three orther regios. Commuities withi the districts were selected o the basis of their geographical diversity ad the govermet s iteded itervetios. The key activities of the scorecard project icluded: buildig capacity of commuities to moitor educatio service delivery; usig the scorecard by the commuity to examie educatio expediture; assessig the school eeds, as well as the impact of iputs ito the primary educatio sector; ad improvig the flow of iformatio betwee the various actors withi the educatio system. School authorities ad teachers were also asked to evaluate their performace i terms of ivolvig the commuity i plaig ad budgetig processes while the service users provided iformatio o the ature ad quality of service received. Commuity members evaluated the outputs ad outcomes of primary educatio agaist pre-determied criteria, such as whether fuds trasferred to schools had bee used for the iteded purposes Implemetatio of the NGND project The implemetatio process took several phases. At the start, stakeholder meetigs were held with the Miistry of Local Govermet ad Rural Developmet, the Miistry of Educatio, ad the Ghaa Educatio Service at atioal ad regioal levels to gai support for the project. They were ecouraged to demostrate their support by composig a letter to district educatio directorates that would allow voluteers from NGND commuity-based orgaizatios to access school ad district educatio records. Although this did ot mea that the relevat iformatio o budget allocatios ad expeses, or o the availability of teachig ad learig materials, was always easy to obtai, it did facilitate the process. Voluteers were traied as commuity facilitators to support the commuity itervetios. The NGND ad commuity facilitators held a geeral meetig i each commuity, which ivolved key educatio stakeholders to outlie the objectives ad pla for the project ad to eable commuity members to idetify themes ad idicators for assessig the quality of educatio service provisio 80 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

83 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa i their respective commuities. Commo themes idetified durig these meetigs that related to the school budget icluded: the capitatio grat allocated per child, items the capitatio grat was spet o, ad commuity ivolvemet i the school plaig ad budget processes. Subsequetly, a umber of focus groups were established to assess the quality of educatio service delivery i their respective commuities, based o the idicators developed. The focus groups allocated scores to the idicators, based o the followig ratig: 3 = Good 2 = Average (i eed of improvemet) 1 = Poor (i eed of urget attetio). The commuity facilitators also held a series of self-assessmet workshops for head teachers iteded to create a opportuity for service providers to assess their ow services, ad to coduct a iput trackig workshop o the school iput trackig scorecard. Score poits were awarded accordig to a framework provided i that trackig scorecard, as idicated i Table 2 below: Table 2. Iput trackig scorecard for a primary school Idicator Score Remarks Was the total amout budgeted actually disbursed for the costructio project? Site ispectio: Are the stated expeditures for the school block realistic? Average umber of teachers per studet: Does our school compare favourably with the district average? 1 The approved budget for the project was Ghc 100 millio, but oly Ghc 50 millio was disbursed. 1 The existig structure could have bee built for Ghc 20 millio, but Ghc 50 millio is reported to have bee spet. 3 Our school has more teachers per studet tha the district average. The umber of teachers kow to us agrees with the official staff roles: thus there are o ghost teachers. Source: NGND (2004) commuity scorecards module 1: Facilitatig the commuity scorecard, Tamale: Norther Ghaa Network for Developmet, p.17preparatio Commuity Scorecard Project Seve Budget iformatio relatig to allocatios ad expediture o textbooks ad other learig materials was used to moitor school budgets. The fial phase of the commuity itervetios ivolved brigig together both service users ad providers PTAs, SMCs ad educatio circuit supervisors to esure that the commuity scorecards represeted a accurate reflectio of the situatio. This provided a opportuity for commuity members ad educatio providers to debate educatio service delivery cocers. The outcome was to have cosesus o the overall scorig of the quality of educatio delivery i their commuities. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 81

84 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa I summary, the scorecard project icluded the followig seve steps: Step 1: Preparatory work Actio Create awareess of the project amog service providers Collect supply side iformatio Select participatig commuities Trai facilitators Stakeholders Miistry of Local Goverace ad Rural Affairs, Miistry of Educatio, Ghaa Educatio Service Step 2: Commuity itervetios first meetig Actio Commuity members idetify themes ad idicators Stakeholders PTAs, SMCs, circuit supervisors, district educatio directorate officials, District assembly members Step 3: Commuity itervetios focus groups Actio Establish focus groups Decide scores accordig to idicators create iput trackig card Stakeholders Head teachers, teachers Step 4: Commuity itervetios iterface meetig Actio Focus group presets scorecards to service providers Potetial solutios discussed ad agreed Stakeholders PTAs, SMCs ad circuit supervisors 82 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

85 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa Step 5: Sythesis workshop Actio Compile results Pla district-level multi-stakeholder forum Stakeholders Focus groups, beeficiaries, PTAs, SMCs Step 6: District-level multi-stakeholder forum Actio Presetatio of scorecard fidigs Reactios from service providers Stakeholders Ghaa Educatio Service officials, district educatio directorate officials, beeficiaries Step 7: Dissemiatio ad advocacy Actio Publish report o scorecard results Dissemiate to media Feed results ito policy ad advocacy processes Source: Assessig educatio delivery: the commuity scorecard project Key fidigs ad advocacy activities associated with the NCNB project Despite the govermet commitmet to abolish school fees uder the FCUBE programme, the NCNB commuity scorecard project foud that the cost of accessig educatio cotiued to lie largely with parets, which preseted a barrier for icreased educatioal erolmet ad retetio. The scorecards showed that there were hidde costs to schoolig, icludig the purchase of school uiforms ad textbooks; the pritig of examiatio papers; ad other charges levied by the schools. I some cases, childre had bee dismissed for o-paymet of school fees with the schools arguig that the FCUBE capitatio grat was isufficiet to cover the cost of educatig these childre. As a result of the scorecard project parets held school meetigs to demad explaatio from school admiistrators, ad it was agreed that childre who had bee dismissed would be allowed to retur to school. I some cases, it was foud that the capitatio grat was ot spet as iteded, but was istead used to fud head teacher travel to the district educatio office to report o capitatio grat expediture. Each of these visits would cost o average as much as Ghc 30,000 (US$3), ad meat that more tha 10 pupils capitatio grats were used for trasport each year. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 83

86 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa These scorecard fidigs were used i advocacy with the atioal govermet, but the capitatio grat was ot icreased, as the Miistry of Educatio claimed that a lack of reveue meat it was uable to icrease the capitatio grat (GNECC ad NNED, 2007). NGND ad other CSOs i the educatio sector argued for a more equitable distributio of resources that takes ito accout the socio-ecoomic status of childre ad their families. Fidigs were dissemiated through a variety of forums, icludig: A sythesis workshop to collate ad share iformatio collected from the commuities ad to pla for the district level multi-stakeholder forum, where fidigs were shared with regioal, district ad school level educatio officials, as well as with commuity orgaizatios, parets ad childre. The district forums provided stakeholders with the opportuity to commet ad give their feedback o the fidigs before the fial reports were published. This was also a opportuity for commuity members to raise ad debate educatio service delivery cocers with the service providers, who had to give immediate feedback o these cocers. A fial report of the fidigs was compiled ad dissemiated aually to the various stakeholders ivolved i the scorecard project. Fidigs were used by commuity orgaizatios i support of their FCUBE advocacy work with govermet officials at district ad atioal levels Achievemets of the NCNB project The NCNB scorecard project has had especially importat impact i the areas ad primary school where it has bee used. The fidigs have eabled parets ad childre to assess the performace of educatio officials, teachers ad school maagemet committees, ad have provided them with a platform to voice their cocers over aspects of service delivery i their commuities ad to egage with service providers. The commuity scorecard project determied the outcome of resources allocated to primary educatio. Budget iformatio relatig to allocatios ad expediture o textbooks ad other learig materials were used to moitor school budgets. The project has worked to improve the flow of iformatio betwee stakeholders. Key success factors for the NCNB project icluded the followig: Way of work: Over the last decade, budget work has become a icreasigly importat tool for holdig govermets ad o-state actors accoutable for their policy commitmets, budget allocatios ad expediture. CSOs have adopted budget work as a key part of their advocacy for chages i govermet policy or performace i recogitio that democratic priciples are essetial for the achievemet of huma developmet goals (Robiso, M., 2006). Access to iformatio: without the ecessary kowledge ad iformatio o the budget ad the budget process, public participatio is meaigless (Foster, M. & Fozzard, A., 2000). Participatio: esurig that commuities were empowered to share their kowledge ad experieces of educatio service delivery withi their commuities. 84 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

87 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa Owership: esurig that commuities took owership durig the iitial stages of the project by ivolvig them i the plaig, fieldwork, ad advocacy i partership with other stakeholders. 3. Malawi Case Study: Usig Budget Trackig to Esure Quality Service Delivery i Primary Schools UN Photo/Eva Scheider 3.1 Overview of the educatio system Sice the 1990s Malawi has bee carryig out a umber of reforms i order to istitute good goverace ad democratizatio. I 1994, the govermet istituted free uiversal primary educatio UPE) as part of a effort to meet global commitmets i 2000 to improvig huma developmet i the areas of health, educatio ad geder equality (CEF, 2010), the MDGs ad the Educatio for All goals. The coutry pursued a decetralizatio policy ad as part of the reforms district ad school level maagers took over resposibility for admiisterig school fiaces (maily from school grats). The ratioale was that this would icrease resposiveess to local eeds ad, critically, subject schools to more effective local oversight ad make them more accoutable to the commuity (TI, 2010). As a result, the umber of schools icreased from 3,706 i 1995 to 5,055 i 2000, with erollmet risig to approximately 5 millio i 2010 from fewer tha 3 millio i The rate of illiteracy fell to below 40 percet i 2009, dow from more tha 48 percet i 1990 (MoES&C, 2001; Educatio Statistics, 2003 SACMEQ reports, 2009). Opportuities to atted secodary schools were limited durig the log presidecy of Hastigs Bada (which eded i 1993), durig which oly the rich, the best, ad the brightest were ecouraged to atted secodary school while the rest were pushed to tertiary techical istitutios. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 85

88 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa Expasio of the primary sub-sector due to free educatio has however put pressure o the secodary ad tertiary sub-sector to expad rapidly to accommodate primary school graduates. By 2003, there were 103 covetioal secodary schools, 636 commuity day secodary schools, 246 private secodary schools, six teacher traiig colleges, four techical colleges ad two uiversities. The govermet icreased educatio fudig to over 14 percet out of the targeted 20 percet ad is regarded as the highest of all other sector budget allocatios. Developmet parters also sigificatly icreased their support to the educatio sector, with NGOs ad religious orgaizatios playig a critical oversight role. These reforms have however bee hampered by a umber of factors. Malawi is oe of the poorest coutries i the world. Half of its populatio is below the age of 15, thus presetig a huge depedecy burde ad a dire eed for basic educatio. High illiteracy rates persist, especially i rural commuities where up to 80 percet of wome ca either read or write. I additio, the objectives of the reform programmes have bee frustrated by challeges such as rampat corruptio ad abuse of office (TI, 2010; CEF, 2010). 3.2 Risks ad challeges to goverace i the educatio system The key risks to goverace i the educatio system i Malawi have icluded: U-plaed programmes. May of the chages that have take place i the past decade have bee largely uplaed; istead, they have bee resposes to local political expediecy ad other emergig challeges ad ot part of a well-desiged atioal strategy based o clearly articulated policies. As such, the demad associated with the rapid expasio of basic educatio has left the sector seriously uderfuded despite the huge budgetary allocatios. Poverty ad high illiteracy rate. Primary educatio is free, but the more tha 60 percet of Malawias who live below the absolute poverty lie caot afford the other costs associated with educatio. As a result, literacy i Malawi is still extremely low ad cotiues to be a stumblig block alog the road to developmet ad moderizatio Low public participatio. Most commuity members have ot bee adequately mobilized to take their roles as members of PTAs or SMCs. Lack of iformatio. The Ope Budget Idex Score for Malawi i 2010 of 47 percet, compared with 28 percet i 2008, idicates that despite the democratizatio process govermet officials are still reluctat to provide the public with miimal iformatio o the cetral govermet s budget ad fiacial activities durig the course of the budget year. Delays i paymet of teachers salaries, which had led to low teacher morale ad thus affected teachig performace ad outcomes for pupils. Iequitable distributio of teachig ad learig materials to schools. A umber of ogoig reforms seek to miimize these risks ad ehace good goverace i the educatio system. The corerstoes of these reforms iclude: greater fiscal disciplie ad fiduciary reforms; a clear educatio policy framework that lays emphasis o equal opportuity for both boys ad girls i erolmet, retetio, ad performace i primary educatio; icreased participatio of the public through decetralizatio; ad 86 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

89 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa a coordiated CSO moitorig, ad reportig framework through the Civil Society Coalitio for Quality Basic Educatio (CSCQBE) with the broad focus o the quality of educatio. 3.3 Corruptio i the educatio system Malawi has i the past bee raked as oe of the most corrupt coutries globally but has progressively improved from 11th most corrupt amog more tha 30 coutries surveyed i Africa i 2002 to 85th out of 178 coutries i 2010 (Trasparecy Iteratioal Corruptio Perceptio Idex, 2010). Betwee 1997 ad 2004, MK 22 millio (US$130,000) is said to have bee lost each year through corruptio, paymets to ghost teachers, ad retals for ghost houses ad fudig for ghost projects. Corruptio i the educatio system i Malawi takes various forms ad is both grad ad petty. I 2007, the Budget Work Coalitio exposed a diversio of colossal sums of moey meat for procuremet of teachig ad learig materials for primary schools by the Miistry of Educatio to service a MK 1.8 billio (US$11 millio) debt. Withi the schools, corruptio takes the forms of illegal charges levied o childre s school admissio forms which are supposed to be free or places i schools beig auctioed out to the highest bidder; embezzlemet of fuds raised by local NGOs ad parets orgaizatios or politicias allocatig resources to particular schools to gai support, especially durig electio times. 3.4 Budget trackig i primary schools Malawia CSOs have a rich history of budget trackig work stemmig from their egagemet with the iteratioal campaig o debt cacellatio for developig coutries, which started i the mid- 1990s. The Civil Society Coalitio for Quality Basic Educatio (CSCQBE) is the oly atioal etwork of CSOs focusig o primary educatio i Malawi ad has bee able to moitor govermet policy ad fiacial commitmets school budgets ad to call public officials to accout. CSCQBE has 75 members cosistig of local, atioal ad iteratioal CSOs, ad also works with over 20 district educatio etworks set up i cojuctio with district educatio officials ad other stakeholders from SMCs, PTAs ad other key structures. CSCQBE coducted public expediture trackig surveys (PETS) three times betwee 2002 ad 2007 to survey educatio expeditures, improvig its methodology i each roud. The mai aim was to: verify that resources allocated to primary educatio were sufficiet to meet the policy objectives ad targets, esure that resources were used for what they were meat to be used for, ad hold the govermet to accout for its commitmets Moitorig ad trackig processes 101 CSCQBE first set up 13 district etworks to decetralize the moitorig of educatio budgets. (The umber was later icreased to 20). The etworks i tur support school budget moitorig 101 Also see Ramkumar, V. (2008). Iteratioal Budget Parterships. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 87

90 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa by school-based or commuity-based groups, such as the school board or a PTA first traied by the coalitio. CSCQBE the provides these etworks with techical assistace to stregthe their capacity to support local efforts. CSCQBE selected a represetative sample of 500 schools (roughly oe-teth of those i the coutry) for its surveys, icludig both rural ad urba schools. The commuity-based members of CSCQBE admiistered a series of stadardized questioaires to teachers ad educatio officials aroud the coutry. Questioaires admiistered to the head teachers cover iformatio o studets (erollmet, exam pass rates, drop-out rates, etc.); teachers (qualificatios, teacher shortages, housig, etc.), salary distributio (teachers salaries are ofte made i cash, especially i rural areas); availability of teachig ad learig materials; the quality of facilities; ad supervisio ad accoutability. CSCQBE also collected data from district assemblies, district educatio offices, divisio offices, the Educatio Supplies Uit, ad teacher traiig colleges. District commissioers are give a questioaire that seeks iformatio o the amout of fudig requested from the Fiace Miistry for recurret expeditures, the amouts subsequetly allocated to the district, ad the actual amouts the district received ad set o a mothly basis (icludig the purposes for which they were spet). The mai approach take was through budget aalysis research, which icluded pre-budget aalysis, post-budget aalysis ad aual school budget ad performace moitorig (Chimombo, J.,2007). Sice 2002, CSCQBE has coducted three budget aalysis research outputs, all of which were iterliked ad fed ito each other e.g., the post-budget work was used as a foudatio of key issues to explore i the aual school budget ad performace moitorig for that particular year. The pre- budget aalysis produced recommedatios o primary educatio policy i relatio to teachig ad learig materials, ifrastructure support, expediture at atioal ad district level, teacher performace ad traiig, ad HIV/AIDS ad geder. The post-budget aalysis critically examied the budget i relatio to educatio i geeral ad primary educatio i particular. It examied the allocatios for the Miistry of Educatio; looked at how those allocatios would be divided betwee the various programmes ad trasferred to the districts; ad made recommedatios for chages to the budget. The post-budget report was preseted i a simplified maer to esure that the educatio budget is uderstood by everyoe. The simplified versio eabled parliametarias to commet, debate, chage ad approve the budget. The aual school budget ad performace moitorig groups tracked budget resources ad programme implemetatio at district level usig stadard questioaires ad examiig: budget allocatios received by schools from districts, the demad ad supply for teachig ad learig materials i the schools, teacher availability ad traiig, overall erolmet figures, icludig with specific regard to geder, school ifrastructure, policy awareess, ad school goverace i geeral, ad specifically regardig SMCs ad PTAs. 88 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

91 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa The coalitio s secretariat coducted capacity-buildig for district educatio etworks o how they should udertake the fieldwork of the school survey (icludig data keepig); advocate for quality educatio; ad mobilize resources i their commuities. A draft report was the circulated amog CSCQBE orgaizatios ad discussed at a special meetig with miistry officials, parliametarias, developmet parters, ad the media durig the aual parliametary budget deliberatio. CSCQBE the held district meetigs durig which district assembly officials, district educatio officials, represetatives of NGOs, ad school officials had the opportuity to discuss the results ad, if ecessary, formulate actio plas to address problems. Subsequetly, a fial report was produced. The report received ews coverage i ewspapers ad o radio ad televisio. CSCQBE also gave copies of the report to key stakeholders such as miisters, the office of the presidet, ad doors, ad metioed that it sought commitmets regardig how all stakeholders will respod to the issues raised. The fidigs of the aual educatio survey were shared with the Miistry of Educatio, the Miistry of Fiace, as well as with developmet parters. It was also dissemiated to the Parliamet s Fiace ad Budget Committee ad Educatio Committee, ad amog PTAs ad SMCs to discuss the fidigs that are of relevace to their district, ad to prompt them to develop actio plas to address particular cocers Summary of fidigs Fidigs from the 2007 educatio survey report showed that: Overall, Malawi is laggig behid i achievig the EFA goals for 2015 because although the 2006/07 educatio budget had icreased i real terms, its share of the atioal budget was oly 14 percet. Despite atioal guidelies madatig their participatio, head teachers, SMCs ad teachers were ot ivolved i the procuremet of textbooks. Trasfers for educatio delivery by district assemblies were made i a timely maer ad all allocatios to each district were made publicly available. Most districts did ot have fudig for ifrastructure developmet. Achievemets: The first budget moitorig survey i 2004 covered fewer tha 300 out of 5,040 primary schools ad the last coducted i 2007 targeted 500 primary schools, five teacher traiig colleges, 32 district educatio offices ad 28 district assembly offices. Key achievemets iclude: 102 The exposure of the Miistry of Educatio s diversio allocatios for teachig ad learig materials for schools to service a MK 1.8 billio (US$11 millio) debt; ad the declie i atioal budget allocatios for educatio from 28 percet i 1990s to 13 percet i the 2005/06 fiacial year ad how that affected schools. The iformatio geerated from the aalyses has bee used by parliametarias i debates o the educatio budget ad plas. As a result of the coalitio s budget work, the educatio sector s share of the atioal budget icreased to 14.2 percet i 2006/07, although it remaied below the 102 Also see Iteratioal Budget Parterships, 2008 ad Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 89

92 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa recommeded 20 percet share eeded for the achievemet of the EFA goals (FTI, 2006). The govermet is seekig to address the educatioal disparities betwee rural ad urba areas. It plas to itroduce icetives to attract teachers to rural areas ad to costruct housig for rural teachers. There has bee icreased dialogue ad closer parterships betwee the educatio maagers ad etwork members, with commuities havig more iput i plaig ad resource allocatio. CSCQBE has worked closely with iteratioal orgaizatios such as the World Bak, UNESCO, the Global Campaig for Educatio, ad the Africa Network Campaig for Educatio for All. It also has bee ivited to participate i govermet meetigs ad workig groups o educatio. The coalitio has used these experieces to help wide civil society s space ad ifluece i Malawia society ad ehace its capacity for moitorig ad evaluatio. Key challeges ad lessos leared icluded the followig: 103 The coalitio faced difficulties i accessig iformatio from district educatio officials. For istace, i the 2007 survey, 32 district educatio offices were targeted but oly 18 respoded; similarly, 28 district assembly offices were targeted ad oly 18 respoded (Chimombo, J.,,2007). Officials were reluctat to share iformatio o budget expediture, ad ofte asked why the etworks eeded this iformatio. They ofte provided icomplete iformatio especially budget ad expediture data. The coalitio had to get a letter from the Miistry of Educatio istructig district educatio offices ad district assemblies to share iformatio with district educatio etworks. May coalitio members have oly limited techical capacity to aalyze educatio budget data. The eed for traiig i budget ad expediture data was realized relatively late i the process, but efforts were evertheless made to trai coalitio members as the differet PETS were udertake. Coalitio members are busy with multiple commitmets ad ca ivest oly limited time i the PETS process; this ofte affected collectio ad aalysis of survey data ad evetually the quality of the reports submitted. The eed for dedicated resources (huma ad fiacial) to esure quality surveys was oted. 4. Refereces Africa Educatio Watch (2010). Good goverace lessos for primary educatio. (AEW is a threeyear programme ( ) supported by the William ad Flora Hewlett Foudatio through Trasparecy Iteratioal. Ayuru, M (2006). Best practices i budget ad ati-corruptio work Kampala: CEF Ugada. I U4 Brief No 7 (2009), Cofrotig corruptio i educatio: advacig accoutable practices through budget moitorig. Ayuru, M. (2006). Best practices i budget ad ati-corruptio work: The Apac Ati-Corruptio Coalitio, CCF Acelworo Childre ad Family Programme, ad Ugada Adult Educatio Network Kampala: Commowealth Educatio Fud. Bustø, M., Smith, R. & Skøelv, R. (2005), Buildig capacity for the educatio sector i Africa. A Report From The 8th Aual Netf Semiar, Oslo. 103 Ibid. 90 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

93 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa CEF Ghaa (2005). Secod Natioal Strategy Accra: Commowealth Educatio Fud. CEF Ugada (2003). Strategies to stregthe the capacity of civil society etworks to advocate for Educatio for All i Ugada. Kampala: Commowealth Educatio Fud. Claase, M. (2008). Makig the budget work for educatio: experieces, achievemets ad lessos from civil society budget work. Lodo: Commowealth Educatio Fud i U4 Brief No 7 (2009), Cofrotig corruptio i educatio: advacig accoutable practices through budget moitorig. Claase, M. (2010). Social accoutability i Africa: practitioers experieces ad lessos. Norther Ghaa Network for Developmet (2004) Commuity Scorecards, Module 1: Facilitatig the Commuity Scorecard Tamale: Norther Ghaa Network for Developmet. De Rezio, P., Azeem V. & Ramkumar V. (2006). Budget moitorig as a advocacy tool: Ugada Debt Network. Washigto D.C.: Iteratioal Budget Project. Elimu Yethu Coalitio (2004). Moitorig of the Free Primary Educatio ad establishig the uit cost of primary educatio i Keya. ENABLE (2006). Ugada Educatio Sector Policy Overview Paper, May Egberg-Pederse, P. (2005). Goverace ad capacity-buildig: perspectives from the World Bak Task Force o Capacity Developmet i Africa. I Bustø, M., Smith, R. & Skøelv, R. (2005), Buildig capacity for the educatio sector i Africa. A Report From The 8th Aual Netf Semiar, Oslo. Foster, M. & Fozzard, A. (2000). Aid ad Public Expediture Workig Paper No 141 Lodo: Overseas Developmet Istitute. GNECC ad NNED (2007). User fees, capitatio grat ad the quest for free uiversal quality basic educatio i Ghaa: a impact study of govermet s itervetio i the fiacig of basic educatio i 16 districts. Accra: Ghaa Natioal Educatio Campaig Coalitio ad Norther Network for Educatio Developmet. Hallak, J. & Poisso, M. (2005), Ethics ad corruptio i educatio: a overview. Joural of Educatio for Iteratioal Developmet, 1(1) Idasa et al, Makig the budget work for educatio: experieces, achievemets ad lessos from civil society budget work, See Idasa (2002). Child Budget Aalysis: Traiig Maual Cape Tow: Childre s Budget Uit, Idasa. Iteratioal Bureau of Educatio, Geder Sesitive Educatioal Policy ad Practice; Ugada Case Study, report by Doris Kakuru Muhwez.i Iteratioal Istitute for Educatioal Plaig (IIEP), UNESCO, Paris. Klitgaard, R. E., Maclea-Abaroa, R., & Parris, H. L. (2000), Corrupt cities: A practical guide to cure ad prevetio. Oaklad: ICS Press. I Hallak, J. & Poisso, M. (2005), Ethics ad corruptio i educatio: a overview. Joural of Educatio for Iteratioal Developmet, 1(1). Ogiogio, G. (2005). Kowledge ad capacity-buildig i Africa. Africa Capacity Buildig Foudatio. I Bustø, M., Smith, R. & Skøelv, R. (2005), Buildig capacity for the educatio sector i Africa. A Report From The 8th Aual Netf Semiar, Oslo. Pey, A., Ward, M., Read, T. & Bies, H. (2008). Educatio sector reform: the Ugada experiece, Iteratioal Joural of Educatioal Developmet 28 (3). Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 91

94 Aex 5. Case Studies from Ghaa, Malawi ad Ugada: Mappig Good Ati-Corruptio Practices i Sub-Sahara Africa Perry, V. (2008). Civil society egagemet i educatio budgets: a report documetig Commowealth Educatio Fud experiece. Lodo: Commowealth Educatio Fud. I U4 Brief No 7 (2009), Cofrotig corruptio i educatio: advacig accoutable practices through budget moitorig. Rahma A, Kabir, M. & Muksudul, A. (2004). Public expediture i primary educatio i Bagladesh: a aalysis. Dhaka: The Iovators. Robiso, M. (2006). Budget aalysis ad policy advocacy: the role of ogovermetal public actio. Sussex: Istitute of Developmet Studies. I U4 Brief No 7 (2009), Cofrotig corruptio i educatio: advacig accoutable practices through budget moitorig. Shapiro, I (2001). A guide to budget work for NGOs. Washigto D.C.: Iteratioal Budget Project. I U4 Brief No 7 (2009), Cofrotig corruptio i educatio: advacig accoutable practices through budget moitorig. Trasparecy Iteratioal (2010), Good Goverace Lessos for Primary Educatio: AEW survey data. Trasparecy Iteratioal ad Africa Educatio Watch (2010), Good goverace lessos for Aticorruptio. (Lessos from Ghaa, Madagascar, Morocco, Niger, Seegal, Sierra Leoe ad Ugada). U4 Brief, May 2009, No. 7. U4 Brief November 2007, No. 14. U4 Ati-Corruptio Resource Cetre (2006), Corruptio i the educatio sector, U4 Issue 4. Ugada Miistry of Educatio ad Sports, the Ugada Experiece of Uiversal Primary Educatio (UPE); July Ugada Miistry of Educatio ad Sports, March 2005: Educatio Sector Strategic Pla Naturida, S. (2001), Better results but fate of 1,200 pupils ukow. Daily Moitor, 21 Jauary Ugada Miistry of Educatio ad Sports, 2005, Revised educatio Sector Strategic Pla Ugada Miistry of Fiace, Plaig ad Ecoomic Developmet (2008). Backgroud to the Budget 2008/09 Fiscal Year: Achievig Prosperity for All through Ifrastructure Developmet, Ehacig Employmet ad Ecoomic Growth. Kampala: The Republic of Ugada. UNESCO, Draft Strategy o the Promotio of Educatio for Sustaiable Developmet i Sub-Sahara Africa ( ). UNESCO (1999), report by Kataria Tomasevski, special rapporteur o the right to educatio. Addedum, missio to Ugada 26 Jue-2 July1999. UNESCO, Miisterial Semiar o Educatio for Rural People i Africa: Policy Lessos, Optios ad Priorities; Status of Educatio for Rural People i Ugada. USAID, the Africa Educatio Iitiative (AEI). Va Zyl, A, Ramkumar, V. & de Rezio, P (2009). Respodig to challeges of supreme audit istitutios: ca legislatures ad civil society help?. I U4 Brief No 7 (2009), Cofrotig corruptio i educatio: advacig accoutable practices through budget moitorig. Ward, M., Pey, A. & Read, T. (2006), Educatio reform i Ugada 1997 to 2004: reflectios o policy, partership, strategy ad implemetatio. UK Departmet for Iteratioal Developmet (DfID): Educatio Papers, Researchig the Issues 60, DFID: Lodo, 92 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices

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96 For more iformatio, please cotact: Democratic Goverace Group Bureau for Developmet Policy Uited Natios Developmet Programme 304 E 45th Street 10th Floor New York, NY, USA [email protected] Iteret: Copyright 2010, UNDP. Cover Photo by: Eric Miller,2002 / World Bak October 2011