Uited Natios Developmet Programme Fightig Corruptio i the Educatio Sector Methods, Tools ad Good Practices
Copyright October 2011 Uited Natios Developmet Programme Bureau for Developmet Policy Oe Uited Natios Plaza New York, NY 10017, USA Email: pacde@udp.org Website: www.udp.org/goverace ad www.udp.org/poverty 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
table of cotets Foreword 3 Abbreviatios ad acroyms 5 Executive Summary 6 1. Settig the cotext: Backgroud ad overview 10 1.1 About this report 10 1.2 Methodology ad scope of report 10 1.2.1 Aalysis ad orgaizatio of documetatio reviewed 11 1.2.2 Limitatios 14 1.3 Corruptio ad key educatio-related developmet goals 14 1.4 Defiig goverace ad corruptio 17 1.5 Other otable backgroud issues for this review 21 2. Fidigs from the desk review of ati-corruptio tools ad practices 23 2.1 Rule of law/itegrity 23 2.1.1 Legislatio 23 2.1.2 Sactios 25 2.1.3 Codes of coduct 25 2.2 Public admiistratio ad systems reforms 27 2.2.1 Better fiacial systems 29 2.2.2 Better systems: idepedece ad exterality 34 2.2.3 Better IT for admiistratio 37 2.3 Trasparecy ad accoutability 38 2.3.1 Advocacy ad awareess-raisig 39 2.3.2 Ati-corruptio educatio 40 2.3.3 Ope ad trasparet procuremet 41 2.3.4 Participatory moitorig ad social accoutability 42 2.3.5 Iformatio ad the use of media ad iformatio techology 47 2.3.6 Iitiatives to curb teacher abseteeism 48 2.3.7 Surveys 48 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 1
Table of cotets 2.4 Capacity developmet 50 2.5 Developmet aid to educatio 51 3. Coclusios 53 3.1 Gaps i the reportig 53 3.2 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
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
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
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
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
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
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
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
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 2010. 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
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. 1.2.1 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
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
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
1. settig the cotext: backgroud ad overview 1.2.2 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 1991-1995 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
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 2000. 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 15-24 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 http://web.worldbak.org/wbsite/external/topics/exteducation/0,,cotetmdk:203 74062~meuPK:540090~pagePK:148956~piPK:216618~theSitePK:282386,00.html. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 15
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
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. 13 8 The 2009 EFA Global Moitorig Report, published by UNESCO, provides the most thorough exploratio of the issues. Olie: http:// uesdoc.uesco.org/images/0017/001776/177683e.pdf. 9 See http://mirror.udp.org/maget/policy/glossary.htm. 10 See www.adbi.org/discussio-paper/2005/09/26/1379.goverace.idoesia.commets/defiitio.of.goverace/. 11 See http://web.worldbak.org/wbsite/external/wbi/wbiprograms/psglp/0,,meupk:461645~pagepk:64156294~pipk:64156 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 www.ueca.org/itca/goverace/documets/ati%20corruptio%20note%20final%20version%20031704.pdf. Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 17
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, 2001. 15 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: www.adb.org/documets/guidelies/educatio-sector-risk-assessmet/guidace-note-educatio-sector- 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
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
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
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
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. 18 18 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
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. 2.1.1 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
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
2. Fidigs from the desk review of ati-corruptio tools ad practices 2.1.2 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? 2.1.3 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; http://teachercodes.iiep.uesco.org Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices 25
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. 26 23 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: www.uicef.org/wcaro/vac_report_directory.pdf. 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: www.uicef.org/wcaro/vac_report_directory.pdf. 26 Fightig Corruptio i the Educatio Sector: Methods, Tools ad Good Practices
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 2005. 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 122.8 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