Accountability_concept_note05 by stariya


									    Accountability, Incentives and Governance in Education after
    the WDR 2004: an inventory of implementation ideas for (and
                     from) World Bank Projects

                                          Concept Note
                    Project: P092882 Product Line: Knowledge Product

                                           06 January 2005

1. Description of the Study: Key themes, activities, and modes of inquiry

The WDR2004 has one central message of relevance to education: while improving
resource flows and providing plenty of technical/pedagogical capacity development and
support to the education sector may be useful in improving access by the poor to quality
education, it is by no means sufficient: instead, schools and bureaucracies must be held
accountable for using the inputs they are provided in an effective manner.

The purpose of this study is, first, to build upon and deepen (both theoretically and
practically) the application of the basic WDR2004 framework to the education sector.
The study will make the accountability framework developed in the WDR more
operationally applicable to on-going efforts to incorporate accountability components
into World Bank education projects. Second, we will take stock of trends in the
incorporation of ―accountability components‖ in World Bank and other donor education
projects.1 Third, we will develop a set of case studies (drawn primarily from Bank
projects) that typify the most important accountability components. Fourth, we will draw
connections to similar work being done at the regional level as well as work being done
outside the education sector per se that contains lessons learned for the education sector
across regions. Finally, we will discern a set of lessons learned and inventory both
innovative and typical practices for how Bank staff can practically use and adapt the
WDR2004 framework to develop and incorporate accountability components in to project
work. The study will not represent the examples as ―best practice.‖ In many areas of
accountability, in developing countries, there is too little actual practice for any of it to be
truly presentable as statistically or otherwise empirically ―best.‖ But there are some cases
where the practice is actually being tried, and a small subset of these where they are
being rigorously evaluated.

This study builds upon and extends a work in progress drafted last fiscal year by Luis
Crouch and Tazeeen Fasih. Their work summarizes the basic accountability framework
 While the WDR 2004 framework is useful and innovative, many Bank and other international agency
projects have already been implementing projects with accountability components similar to those in the
WDR 2004 framework. Before detailing implementation suggestions, therefore, it makes sense take stock
of what has already been done, so as to emphasize areas of accountability that have perhaps been relatively
successful or neglected in the past.

suggested in the WDR 2004; presents a review of some evidence on World Bank projects
for the last ten years showing increasing attention to the sorts of accountability called for
in the WDR 2004; however, they also note that these projects tend to emphasize only
some of the accountability aspects. And, most importantly, their work begins to inventory
all the various potential ―accountability‖ options for education in a detailed way.

The work proposed for this study will build upon and expand the summary of the
accountability framework by Crouch and Fasih, as well as other typologies and
frameworks developed at the Bank over the past year.

In addition, there is much other work at the Bank that bears relevance to this subject.

    1. In particular, we will incorporate several recent studies at the regional level (e.g.,
       Levy 2004 for ECA and Fiszbein 2004 for LCR) that have taken stock of
       accountability practices in education (and other sectors). These studies provide
       invaluable practical applications as well as frameworks that are more well-
       developed for the education sector than in the WDR2004, though none is focused
       exclusively on the education sector—thus both leave room for deepening the
       education-specific application of the WDR2004 framework. To the extent
       possible we will attempt to integrate similar work done in each of the six regions
       of the Bank.

    2. A significant amount of recent analytic work at the Bank has explored educational
       decentralization in some form or another—much of it at the regional level (e.g.,
       King and Cordeiro Guerra 2004 for EAP and Gershberg and Winkler 2004 for
       Sub-Saharan Africa). This study will incorporate the components of this work
       that are relevant to the WDR2004 framework, which is in some ways narrower.

    3. There is a growing body of quantitative empirical work (much of it based on
       experimental design) that provides evidence about how specific accountability
       components impact important outcomes in particular country and institutional
       contexts (e.g. King and Ozler 1998, King, Ozler and Rawlings 1999, and the on-
       going work through the BNPP Proposal: Strategic Impact Evaluation of
       Innovations Promoting Accountability in Basic Education and Health2). This
       study will survey this work in an accessible manner and place it in the context of
       the WDR2004 accountability framework for education. We will also make
       suggestions for on-going research needs.

    4. An even broader set of studies at the Bank has explored Community Driven
       Development (CDD) and the findings from this work will be incorporated both to
       pull out the material that is education specific and to draw lessons learned for

  For example, experimental and/or quasi experimental evaluations are underway of School report cards in
Nicaragua; Citizen Report Cards in Rwanda; and The power of information: Public information, resources,
and learning in Uganda. We intend to keep in close touch with, and seek opportunities to work together
with, this strategic impact evaluation effort. See Annex 3 for a list of studies. We may also find others.

       education from, say, the use of social funds and CDD in other sectors (e.g.,
       Mansuri and Rao, 2003).

   5. A significant number of background papers for the WDR 2004 explored issues of
      direct and indirect relevance for this study. We will both incorporate and critically
      evaluate this work in terms of its contribution for practical applications of
      accountability components in future Bank education projects. (e.g., Patrinos
      2003, Stasavage 2003, Filmer 2003a,b, and BOND Consultation, 2003).

2. Methods and Approach

The work accomplished to date analyzes projects since 1993 by taking a random sample
of 100 education projects (10 per year plus 10 for replacement if needed) with ICRs or
PADs from 1993 to 2003 (see Annex 1). Each project was analyzed for the presence of
components that would fall under the WDR 2004 framework. Each component was
classified according to type, in terms of the WDR 2004 framework. One side of the
triangle is ―Citizen to Politican/Policy-maker,‖ another is labeled ―Politician/Policy-
maker to Service Provider‖ and the third is ―Service Provider to Citizen.‖ The
categorization of project components into these three areas is an ex-post matter,
naturally—no PADs or ICRs classify components according to the WDR 2004

In addition, we will choose specific projects to examine as case studies. We will select
some that have been completed so we can trace the progress from the optimism of the
PAD to the final realismof the ICR with respect to the accountability components (e.g.,
regarding the often less than optimal outcomes and why). If additional ex-post evaluation
has been done, we will incorporate that as well. Other projects that have not been
completed will also be selected if they show particular promise and/or innovation. Some
potential examples include: Bahia Basic education Project, Parana Basic Education
Quality Project, Kenya Free Primary Education Support Project, Uttar Pradesh Third
District Primary Education Project, Burkina Faso Basic Education Sector Project; Child
Development Project in Yemen. We will work with key Bank staff in each of the six
regions to identify the most relevant work.

We will gather, analyze, and integrate the literature available in each of the five areas
mentioned above. We will also interview key staff in the regions. The end result should
be a single repository of both knowledge and on-going policy dialogues across regions
and sectors regarding the accountability framework developed in the WDR 2004 as it
relates to the education sector. In addition to providing this singular reference, the study
should expand our understanding of accountability.

In sum, this study will define and explore practical ways in which education sector
operations—lending, policy advice, AAA work, EFA work—can put to work the
concepts in the WDR 2004, especially the chapter on education. The study will

   1. Review the WDR recommendations, or distil the statements into
   2. Assess which regions/projects are already taking forward some of the ideas
   3. Assess the degree to which projects have typically have or have NOT tended to
      take these issues into account, (i.e., what recommendations are most likely make
      the most difference at the margin.) We will do this in a bit more detail than was
      done in the WDR, if possible, and perhaps with a bit more skepticism.
   4. Assess the degree to which the suggestions in WDR are necessary but not
      sufficient conditions (e.g., create accountability pressure creates demand side, but
      what if supply-side is weak) and thus need to be supplemented with other reforms.
   5. Document projects or country-based experiments in accountability that have
      yielded results.
   6. Develop a list of suggested steps and issues to consider in implementing projects,
      and/or even what a project or experiment or TA suite that is wholly WDR-type
      would entail.
   7. Include ideas for how one assesses and evaluates activities aimed at encouraging

3. Audience: The primary audience will be technical staff at the Bank but we hope that
the report will be published in a manner that will reach policy analysts in a wide range of
development and research organizations, as well as among policy analysts in

4. Scope of Work: This study will cover the six regions of the Bank.

5. Outputs: One concise concept paper will be produced and published in an appropriate
paper series. Work will be disseminated through BBLs and an internal seminar perhaps at
HD Week.

6. Timeline

Concept note review (January 2005)

Draft Study for Select Reviewers (Aug 31, 2005)

Decision meeting or formal review of Draft (Sept. 15, 2005)

Final Report (Oct 1, 2005)

7. Staffing and Resources:

Task Team Leader:            Alec I. Gershberg
Research Assistant:          TBD
Reviewing manager:           Jamil Salmi, Donald Bundy – Sector Manager/Acting Sector
                             Manager, HDNED
Responsible manager:         Ruth Kagia/Jamil Salmi – Director of Education/Acting
                             Director of Education HDNED

Internal Review Team:          Ariel Fiszbein, Brian Levy
External Review Team:          TBD

8. Estimated Budget: US $50,000 (mostly the time of the TTL)

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Annex 1. List of projects sampled and studied

Burkina Faso                     Development Learning Center Project                            2003
Chile                            Science For The Knowledge Economy                              2003
Eritrea                          Education Sector Improvement Project                           2003
Jamaica                          Reform Of Secondary Education Project II                       2003
Kenya                            Free Primary Education Support Project                         2003
Kosovo, Serbia and Montenegro    Education Participation Improvement Project                    2003
Pakistan                         National Education Assessment System                           2003
Romania                          Rural Education Project                                        2003
Sri Lanka                        Improving Relevance & Quality Of Undergraduate Education       2003
Dominican Republic               Early Childhood Education Project                              2003
Turkey                           Second Basic Education Project                                 2003
Bangladesh                       Female Secondary School Assistance Project-II                  2002
Brazil                           Third School Improvement Project                               2002
Burkina Faso                     Basic Education Sector Project                                 2002
Indonesia                        ID-Global Development Learning (LIL)                           2002
Lithuania                        Education Improvement Project                                  2002
Guinea                           Education For All Project                                      2002
Yemen                            Yemen Higher Education                                         2002
Tanzania                         Primary Education Development Program Project                  2002
Vietnam                          Primary Teacher Development                                    2002
Yugoslavia                       Republic Of Serbia Education Project                           2002
Brazil                           Bahia Integrated Development: Education Sector Project         2002
Brazil                           Bahia Education Project                                        2001
Eritrea                          Integrated Early Childhood Development Project                 2001
Ethiopia                         Distance Learning LIL Project                                  2001
Georgia                          Education System Realignment & Strengthening Program           2001
Indonesia                        Library Development Project - LIL                              2001
Panama                           Second Basic Education Project                                 2001
Mali                             Education Sector Expenditure Program                           2001
Russia                           Education Reform Project                                       2001
Argentina                        Buenos Aires Second Secondary Education Project                2001
Vanuatu                          Second Education Project                                       2001
Benin                            Labor Force Developemt Project                                 2000
Cote d'Ivoire                    Distance Learning Project - LIL                                2000

India                    Uttar Pradesh 3Rd District Primary Education Project         2000
Jordan                   Higher Education Development Project                         2000
Maldives                 Third Education & Training Project                           2000
Nicaragua                Second Basic Education Project                               2000
Senegal                  Distance Learning Project                                    2000
Rwanda                   Human Resources Development Project                          2000
Tunisia                  First Phase Of The Education Quality Improvement Program     2000
Yemen                    Child Development Project                                    2000
China                    Higher Education Reform Project                              1999
Gambia                   Third Education Sector Program                               1999
Guinea                   Pre-Service Teacher Education Project                        1999
India                    Rajasthan District Ptimary Education Project                 1999
Indonesia                Sumatra Basic Education                                      1999
Lesotho                  Second Education Sector Development Project                  1999
Mozambique               Education Sector Strategic Program                           1999
Nepal                    Basic & Primary Edu. Program                                 1999
Nicaragua                Basic Education Project                                      1999
Tajikistan               Education Reform Project                                     1999
Uruguay                  Second Basic Education Quality Improvement Project           1999
Armenia                  Education Financing And Management Reform Project            1998
Bolivia                  Education Quality & Equity Strengthening Project             1998
Bosnia and Herzegovina   Second Emergency Education Reconstruction Project            1998
Brazil                   Science & Technology Reform Support Project                  1998
Cameroon                 Higher Education Technical Training Project (LIL)            1998
Colombia                 Basic Education Project                                      1998
Cote d' Ivoire           Education & Training Support Project                         1998
El Salvador              Education Reform Project                                     1998
El Salvador              Secondary Education Project                                  1998
Lebanon                  Vocational & Technical Education Project                     1998
Mexico                   Knowledge And Innovation Project                             1998
Mexico                   Higher Education Financing Project                           1998
Pakistan                 Second Social Action Program Project                         1998
Madagascar               Education Sector Development Project                         1998
Romania                  School Rehabilitation Project                                1998
China                    Fourth Basic Education                                       1997
Egypt                    Education Enhancement Program                                1997
Guatemala                Basic Education Reform Project                               1997
Indonesia                Junior Secondary Education Project                           1997
Jamaica                  Student Loan Project                                         1997
Kenya                    Early Childhood Development Project                          1997
Moldova                  General Education Project                                    1997
Russia                   Education Innovation Project                                 1997
Argentina                Higher Education Reform Project                              1996
Argentina                Decentralization & Improvement Of Secondary Edu. & Polymodal 1996
                         Education Development Project
El Salvador              Basic Education Project                                      1996
Grenada                  Basic Education Reform Project                               1996
Indonesia                Secondary School Teacher Development                         1996
Indonesia                Higher Education Support Project                             1996
Malawi                   Primary Education Project                                    1996
Senegal                  Pilot Female Literacy Project                                1996
Sri Lanka                Teacher Education & Teacher Deployment Project               1996
Thailand                 Secondary Education Quality Improvement Project              1996
Thailand                 Technical Education Project                                  1996
Trinidad & Tobago        Basic Education Project                                      1996
Argentina                Ar-Secondary Ed1                                             1995

Chile             Cl-Secondary Education                                   1995
China             Technology Development Project                           1995
China             Basic Education In Poor & Minority Areas Project         1995
Honduras          Basic Education                                          1995
Indonesia         Second Professional Human Resource Development Project   1995
Indonesia         Book & Reading Development Project                       1995
Maldives          Second Education & Training Project                      1995
Peru              Primary Education Quality Project                        1995
Russia            Management & Financial Training Project                  1995
Albania           School Rehabilitation & Capacity Building Project        1994
Barbados          BB-Human Resources                                       1994
Benin             Education Development Project                            1994
Brazil            Third Northeast Basic Education Project                  1994
Brazil            Parana Basic Education Quality Project                   1994
Cote d' Ivoire    Human Resource Development Project                       1994
Indonesia         University Research For Gaduate Education Project        1994
Korea             Environmental Technology Development Project             1994
Niger             Basic Education Sector Project                           1994
Vietnam           VN-Primary Education                                     1994
Solomon Islands   Third Education And Training Project                     1993
Bolivia           Integrated Child Development Project                     1993
Brazil            Second Northeast Basic Education Project                 1993
China             Effective Teaching Services Project                      1993
Ghana             Tertiary Education Project                               1993
India             Uttar Pradesh Basic Education Project                    1993
Korea             Environmental Research And Education Project             1993
Lao PDR           Education Sector Development Project                     1993
Mexico            Initial Education Project                                1993
New Guinea        Education Development Project                            1993
Nigeria           Development Communication Pilot Project                  1993
Chad              Basic Education Project                                  1993

Annex 2:
Initial inventory of potential and actual accountability measures in education

Voice: citizens and politicians/policy-makers
 From citizens to            From policy-makers to              Actions donors can take to improve        Case examples
 politicians/policy-makers   citizens                           the accountability link
 Votes, general taxes.       Creation of ―vision‖ and long-     Citizen information on politician         Bilateral donors tend to have more
                             range goals, policies, and         behavior regarding education policy,      experience with this sort of work at the
                             plans for education. Creation      forums for politician discussion on       sectoral level. USAID worked with
                             of basic education laws.           education issues, politician ―report      Peruvian parliamentarians and society to 1)
                             Explanation of education           cards‖ to citizens especially comparing   carry out national consultative process on
                             policy and achievements.           performance of decentralized districts.   education reform, including
                             Creation of overall law and        Technical assistance in policy setting,   decentralization, 2) disseminate the results
                             order environment, where           legal and regulatory review of basic      of consultation leading to long-range vision,
                             service provision and use can      documents.                                3) assist parliament with drafting of new
                             flourish, reduction of localized                                             education law to implement the vision, 4)
                             arbitrariness, nepotism,                                                     train teachers and others in understanding
                             warlordism, protection of girls                                              the new law.
                             and female teachers from rape                                      
                             and abuse. Provision of direct                                               Basic-Education-Accomplishments-until-
                             or demand-side funding as a                                                  2003.pdf UNESCO and the World Bank,
                             way of empowering citizens to                                                through the Norwegian Trust Fund for
                             express demand directly to                                                   African Education, have supported the
                             service providers (schools).                                                 Forum for African Parliamentarians for
                                                                                                          Education (FAPED), a group of
                                                                                                          parliamentarians aiming to improve their
                                                                                                          ability to monitor the progress of education
                                                                                                          in their respective countries.
                                                                                                          f/en_prog_budget.pdf The World Bank has
                                                                                                          developed capacity-building programs for
                                                                                                          parliamentarians, but largely for
                                                                                                          ―transversal‖ issues, such as budget
                                                                                                          oversight. The lessons could be applied to
                                                                                                          education sectoral issues.

                                                                                                           08_June04.pdf and
                                                                                                           dbook.pdf. Very recently many World
                                                                                                           Bank projects have started to include
                                                                                                           activities to support Parliamentary analysis,
                                                                                                           research, and oversight, though again in
                                                                                                           ―transversal‖ areas such as budget and
                                                                                                           procedure. A summary of donor work with
                                                                                                           parliaments can be found at
                                                                                                           ts.pdf In some countries NGOs provide
                                                                                                           report-cards on different political parties’
                                                                                                           education platform. In India, for example, a
                                                                                                           comparison of the education plans of the
                                                                                                           various parties can be seen at
                                                                                                           /05/education_what_.html. Forcing parties
                                                                                                           to pronounce on a standardized list of
                                                                                                           issues, so that citizens can compare more
                                                                                                           easily, would be a further step.
Pressure through lobbies,      Hearings/consultation, policy     Organized technical forums, sharing of    This has been tried in various countries
pressure groups, think-tanks   change promises, actual policy    technical information with think tanks,   often with some degree of success at least in
sponsored by civil society.    changes. Creation of ―vision‖     employment of think tanks as              developing a policy vision, though
                               and long-range goals, policies,   consultants in policy design and sector   implementation still is often problematic.
                               and plans for education.          assessments, assistance to policy         In Chile, the Commission on the
                               Creation of basic education       makers in responding to think tank        Modernization of Education (the ―Brunner‖
                               laws.                             pressures. Can use this interaction to    commission), in Thailand in 1974 and 1999,
                                                                 improve upon the definition of service    were groupings of prominent citizens tasked
                                                                 standards.                                with coming up with difficult reform design
                                                                                                           or consultation that government itself may
                                                                                                           not have felt it had the legitimacy to
                                                                                                           undertake. See
                                                                                                           aleducationreform/pdf/corrales.pdf or
                                                                                                           aleducationreform/pdf/delannoy.pdf In
                                                                                                           some cases there has been donor assistance,

                                                                                                          as in the work of the Harvard Institute for
                                                                                                          International Development in El Salvador in
                                                                                                          helping define key aspects of an education
                                                                                                          reform. See
                                                                                                          /prtpract2.html or
Direct pressure through       Hearings, policy change          Unlikely that donors should attempt to     Mass protest on basic education issues,
mass action,                  promises, actual policy          improve on this accountability link;       especially around quality rather than access
demonstrations, strikes.      changes.                         most likely the need for this form of      or inputs, are rare. At the tertiary level
                                                               accountability is a failure somewhere in   protests over budget cuts or fee increases
                                                               the regular systems.                       are common. In India, failure by the states
                                                                                                          to offer cooked meals in schools in
                                                                                                          accordance with a Supreme Court mandate
                                                                                                          has led to protests.
Compliance by citizens with   Enforcement of regulation        Technical assistance with provision of     There seems to be little effort in most
basic laws such as            binding on citizens to send      models for enforcement of                  developing countries to, for example,
compulsoriness of education   children to school, where        compulsoriness or creation or              enforce compulsory attendance, partly
where appropriate, or         relevant. (Tied to enforcement   subsidization of incentives and models     because in many countries there is not
appropriate use by citizens   of laws on provision of spaces   for supervision of use of incentives.      sufficient space, in any case, to
of demand-side incentives     and/or other incentives.)                                                   accommodate those who do attend. In
and direct subsidies.                                                                                     many countries’ basic education laws the
                                                                                                          specific assignment of responsibility for
                                                                                                          compulsoriness is not clear. In South
                                                                                                          Africa, according to the South African
                                                                                                          Schools Act, parents are assigned the
                                                                                                          specific responsibility to send their children
                                                                                                          to school, and provincial education
                                                                                                          departments are assigned the specific
                                                                                                          responsibility to make spaces available.
Pressure through editorial    No specific quid-pro-quo.        Training to mass media on education        The Association for the Development of
opinion in mass media.                                         issues, inclusion of mass media in         Education in Africa (ADEA) has instituted
                                                               technical policy dialogue sessions,        the Akintola Fatoyinbo Africa Education
                                                               institution of prizes for education        Journalism Award. This award stimulates

                                                                   reporters and opinion writers.          reporting by newspapers to citizens on
                                                                                                           education issues. ADEA also provides
                                                                                                           training for education reporters.
                                                                                                           ed.html The US-based Education Writer’s
                                                                                                           Association has published guidelines for
                                                                                                           education reporting, as well as suggestions
                                                                                                           on how to cover education. One of the
                                                                                                           guides has been translated to Spanish.
                                                                                                           spanish.pdf A special case is Internet
                                                                                                           journalism, which in some cases is quite
                                                                                                           active on education policy issues. As is
                                                                                                           well-known, the Internet makes it easy to
                                                                                                           develop specialized forms of journalism.
                                                                                                           An example from India is at
Direct citizen pressure or      Promise from legislatures that     Training for legislatures on how to     Given that there is little donor activity in
participation in legislative    citizens’ issues on education      carry out citizen hearings, now to      training for parliamentarians at all (see
hearings and constituent        will be reflected in legislation   canvas constituent opinion on           above), there does not appear to be much
feedback to parties.            and/or on pressure on the          education issues.                       specifically in canvassing constituent
                                executive branch.                                                          opinion on education matters. UNDP has
                                                                                                           provided documentation on the issue.
As direct representatives of    Creation of basic education        Ensure legislature has access to        The EU has assisted the Parliament of South
the citizens, the legislative   laws via collaboration between     technical advice and research that is   Africa in developing research and research
branch can pressure the         legislative and executive.         independent of executive branch.        capacity, so that it can more effectively
executive branch, or the        Executive branch delivery of                                               shadow and question the executive branch
cabinet can pressure the        improved policy, explanations                                              of government. Over three years, some 30
lower levels of the executive   of policy implementation.                                                  separate analytical briefs were provided to
branch.                                                                                                    the Education Portfolio Committee, often
                                                                                                           summarizing bills coming from the
                                                                                                           executive branch or providing background
                                                                                                           analysis of budgets. See

 Use by citizens, or by one       Judicially-enforced action by        Explore and improve possibility of         In India, the Supreme Court issued an order
 level of politicians, of the     bureaucracy and service              using judicial system to enforce citizen   in 2001 to force States to provide cooked
 judicial system, to force        providers, in provision to           rights, consider creating rights to        noon meals to pupils, based on a petition
 executive branch, or another     standards or definition of           defined quality standards and using        from a human rights NGO, the People’s
 level of system, to perform      standards.                           judicial system to enforce provision to    Union for Civil Liberties. Some states have
 and enforce service                                                   standard.                                  implemented. This is credited with
 provision.                                                                                                       increasing enrollment. Compliance has not
                                                                                                                  been universal but provision has improved.
                                                                                                                  Most likely eventual compliance will come
                                                                                                                  from social pressure but the court mandate
                                                                                                                  has served to galvanize attention.
                                                                                                                  0815002208500.htm Use of courts to
                                                                                                                  enforce and determine matters of education
                                                                                                                  policy seems more predominant in English-
                                                                                                                  speaking developing countries. In South
                                                                                                                  Africa a private citizen took the Minister of
                                                                                                                  Education to court to challenge the national
                                                                                                                  government’s jurisdiction over age-at-entry
                                                                                                                  in independent schools, and won.

Politicians/policy-makers and service providers
 From politicians and policy        From bureaucratic                    Actions donors can take to improve the         Case examples
 makers to bureaucratic             organizations to policy              accountability link
 organizations (Ministries)         makers
 Sufficient resources, but also     Analysis of what can be              Directly supplement national resources via     Many countries have started to experiment
 improved and more effective        achieved with given levels of        grants and loans, and use the resource         with formula funding based on per capita
 mechanisms of resource flow,       resources, in setting standards.     transfers as a vehicle to model appropriate    allocation. Unfortunately descriptions of
 such as capitation grants,         Proof of efficiency in resource      mechanisms of resource tracking and            funding norms tend to be somewhat technical,
 formula-driven rather than ad-     use. Note conflict of interest       accountability for resource use. Provide       and few donor publications describe the actual
 hoc allocations, etc. Issue of     in helping determine what            technical assistance in development of         details of the funding norms. Chile’s funding

layers to be considered since     politicians can promise but        funding formulae.                       norms can be found at
flows might flow from central     also reporting what has been                                     
government to provincial or       accomplished. Thus the need                                                .98.Act.Dic.01.As.pdf South Africa’s are at
district government and only      for independent technical                                        
then to provincial or district    advice available to legislature.                                           norms&standards.html Many formulae are
education departments             (As in previous section.)                                                  simple capitation grants and are being tried in
                                                                                                             countries such as Tanzania, Mozambique,
                                                                                                             others, often with World Bank support. See
                                                                                                             7123545/Rendered/INDEX/26776.txt Few
                                                                                                             developing countries make use of data to
                                                                                                             develop analysis of reasonable levels of
                                                                                                             expectation. Implicitly, Chile and South
                                                                                                             Africa use statistics to create reasonable
                                                                                                             expectation for schools, but only for incentive
                                                                                                             rewards, not for targeting support-see section
                                                                                                             above on incentives. For examples from
                                                                                                             developed countries see
                                                                                                             ar.html. Much debate surrounds these issues,
                                                                                                             some favoring progress over time as a means
                                                                                                             of creating expectations, others favoring
                                                                                                             controlling for background variables. See
                                                                                                             ts/02-03/02031332es.pdf Sometimes this
                                                                                                             information is provided by public-interest
                                                                                                             NGOs or for-profit groups. (These are
                                                                                                             sometimes controversial.) See examples at
Well-structured requests for      Provision of analysis on major     Provision of technical assistance and   The South African parliament, as do many
analysis to underpin policy       issues, trends.                    models of policy analysis, problem      parliaments, regularly queries the Department
development and vision-                                              anticipation                            of Education on matters of implementation.
crafting (see previous section)                                                                              These queries are well-structured and

                                                                                                           response is systematic. Replies are often
                                                                                                           reported via publicly-disseminated
                                                                                                           mechanisms, such as the keeping of
                                                                                                           committee meetings, and the verbatim
                                                                                                           transcription of committee debates. See
                                                                                                           Interested citizens can subscribe to e-mail
                                                                                                           notification of committee transcript provision.
                                                                                                           The Department of Education also provides
                                                                                                           political leaders with anticipatory and tracking
                                                                                                           indicators of key issues, such as school
                                                                                                           financing reform. These are widely
                                                                                                           disseminated and debated by policy- and
                                                                                                           opinion-makers as well as by NGOs. See
No specific quid-pro-quo.   In decentralized systems,         Provide technical assistance, study tours,   Chile provides all citizens, including
                            provide upper-level politicians   and funding in school performance            politicians, with information on performance
                            and policy makers, as well as     monitoring and dissemination systems.        of schools as well as municipal averages. The
                            local legislative bodies,                                                      information is provided on performance in 4th,
                            information on relative                                                        8th, and 10th grades every third year. The
                            performance or comparative                                                     results of individual schools are provided to
                            performance of schools by                                                      parents and society in general. Results of
                            district or localized region.                                                  individual children are not provided to
                                                                                                           parents. Results for individual schools are
                                                                                                           compared to all schools and also to schools in
                                                                                                           similar socioeconomic conditions.
                                                                                                           Similarly, South Africa uses systems to
                                                                                                           provide awards and honors to schools based
                                                                                                           on improvement and controlling for
                                                                                                           socioeconomic context in various ways. The
                                                                                                           Province of Western Cape uses fee payment
                                                                                                           as a simple index for equating socioeconomic
                                                                                                           conditions. To prevent random factors from
                                                                                                           overly influencing results, only schools above
                                                                                                           a certain size are entered into the system.


From bureaucracy and              From front line providers to      Actions donors can take to improve the     Case examples
bureaucratic leadership           bureaucratic leadership           accountability link
(Ministry) to front line
providers (schools)
Sufficient resources, but also    Proof of efficiency in resource   Directly supplement resources, model       See case example for funding and funding
improved and more effective       use, compliance with audit        appropriate mechanisms of resource         norms, above.
mechanisms of resource flow,      requirements.                     tracking and accountability for resource
such as capitation grants,                                          use
formula-driven rather than ad-
hoc allocations, etc.
Development of performance        Reporting on metrics and          Provision of policy advice in              A World Bank project in Brazil’s Bahía
metrics, and process norms and    process norms                     programmatic assistance or policy-based    state developed better standards for
standards, including,                                               lending, and piloting of methods in        selection and certification of principals to
importantly, norms to regulate                                      traditional projects.                      reduce clientelism. The approach
relationship of schools to                                                                                     involves both testing and training.
citizens (governance and                                                                                       Improving standards for principal
management rules as a form of                                                                                  selection in Brazil has been a general
standards-see next section) and                                                                                bureaucratic improvement in many states.
management at schools. These                                                                                   http://www-
performance metrics normally                                                                         
should include some form of                                                                                    erver/WDSP/IB/2003/05/03/000094946_
student assessment oriented at                                                                                 03041804104061/Rendered/PDF/multi0p
accountability and quality                                                                                     age.pdf Use of other minimum
assurance.                                                                                                     operational standards has also been
                                                                                                               supported in Brazil by the World Bank.
Development and application of    Understanding and complying       Provision of policy advice in              Chile has created innovative systems for

sanctions and rewards related to    with, in particular, norms    programmatic assistance or policy-based   teacher and school rewards. The SNED
performance, including,             related to community-based    lending, and piloting of methods in       system provides school-level group
importantly, community-based        rewards and sanctions         traditional projects.                     rewards based explicitly on nationally-
rewards and sanctions                                                                                       measured measured student performance
                                                                                                            as well as attention to the community.
                                                                                                            03eng.pdf or
                                                                                                            baleducationreform/pdf/mcmeekin.pdf In
                                                                                                            addition, there are individual teacher
                                                                                                            awards and sanctions based on teacher
                                                                                                            evaluations. The evaluation system is
                                                                                                            based on an explicit model or framework
                                                                                                            for quality teaching. In a related
                                                                                                            program, teachers with good evaluations
                                                                                                            are rewarded financially. Teachers
                                                                                                            evaluated as ―unsatisfactory‖ twice in a
                                                                                                            row would have to leave the teaching but
                                                                                                            remain in the system. Further
                                                                                                            unsatisfactory performance could result in
Development and use of systems      Responsibility to carry out   Provision of policy advice in             This is a fairly sophisticated approach to
for supporting schools so they      self-assessment and apply     programmatic assistance or policy-based   school bureaucratic accountability, not
can come to standard or improve     support.                      lending, and piloting of methods in       fully practiced in any developing country,
performance (teacher training,                                    traditional projects.                     to our knowledge. Largely associated
principal training, PTA training,                                                                           with practices in England and in Scotland.
etc.). Development of systems                                                                               An operational example for Newcastle
to link measurement of                                                                                      can be found at
performance to referral for                                                                       
support or intervention.                                                                                    nsf/a995f08678e0882f80256688005190d
                                                                                                            ?OpenDocument A policy document
                                                                                                            discussing these issues in Scotland is at

 Development of standards of       Evaluation of central office   Provision of policy advice in               The Province of Western Cape in South
 bureaucratic performance          and district (or other         programmatic assistance or policy-based     Africa has developed a system whereby
 whereby central and district      intermediate entity) office    lending, and piloting of methods in         schools can rate the provision of services
 offices can be evaluated by       performance.                   traditional projects. Conveyance of         by the provincial administration.
 schools.                                                         practice from countries trying this         Edmonton Public Schools in Canada sets
                                                                  approach.                                   out performance standards on which
                                                                                                              central office is to be rated by its clients.
                                                                                                              l_expectations_03_04.pdf Wake County
                                                                                                              Public School System’s school
                                                                                                              maintenance department tracks service
                                                                                                              standards to schools, such as response
                                                                                                              time to make repairs. See

Providers (organizations and front-line) to citizens
 From front-line providers         From citizens to front-line    Actions donors can take to improve the      Case examples
 (schools) to citizens             providers                      accountability link
 Provide parents and the           Provide monetary, in-kind      Develop pilot projects that exemplify the   Creating and informing parents of
 community with well-educated      support, as well as social     exercise of this relationship               standards regarding what they can expect
 children to some well-specified   esteem                                                                     from schools is increasingly common in
 standard (standards developed                                                                                developed countries, but not in
 and specified as listed above)                                                                               developing countries so far, even in
                                                                                                              middle-income zones such as Latin
                                                                                                              America. See
                                                                                                              vas/arregui.doc Standards are properly
                                                                                                              understood as easing information and
                                                                                                              communication flows, particularly to
                                                                                                              parents and other stakeholders, by

                                                                                                             establishing weights and measures around
                                                                                                             which actors can hold each other
                                                                                                             accountable and communicate about this
                                                                                                             accountability. For an example from
                                                                                                             Edmonton see
Involve parents and community       Give governance tasks time     Provide technical assistance, policy      This is perhaps the most common form of
members in school governance        and effort. Understand and     advice, best-practice examples and        accountability reforms supported by
as per governance standards.        not over-step line between     knowledge. Develop and fund pilot         donors, and there are many examples.
Provide school as general-          governance, as goal-setting    projects that exemplify the exercise of   For a discussion of at least twenty World
purpose center of community         and overall supervision of     this relationship.                        Bank cases see
and leadership development,         goal-seeking, and day-to-day                                   
both for purposes of cross-         management.                                                              Community_Participation_in_Education.
sectoral development and in                                                                                  doc or for more in-dept discussion of one
allowing adults to learn about                                                                               case
effective local governance in                                                                      
general.                                                                                                     /0/908fc48b5cc644238525687b0061aa19
Organization of community to        Support to schools in                                                      Finding ―pure‖ examples of this more
support school in ―outreach‖ and    ―campaigns‖ to, for example,                                             traditional approach is becoming difficult,
campaign modality. Thoroughly       improve girls’ attendance.                                               as such approaches are generally now
involving communities in                                                                                     blended with approaches that emphasize
holding schools accountable is a                                                                             accountability. But many activities still
more complex task, and a more                                                                                contain the mobilization and awareness
recent innovation, than simply                                                                               components, particularly in situations
trying to organize communities                                                                               where community motivation may be
to support an innovation or                                                                                  low. See
program, especially in relatively                                                                  
simple programs such as school                                                                               iew.pdf or
construction or maintenance.                                                                       
Programs that attempt to                                                                                     ation/lao001.asp
mobilize communities by, for
example, raising awareness
about the importance of school
enrollment are also fairly
common. Mobilizing

communities largely to come up
with funding, support a
government program, or create
awareness, are quite different
from promoting accountability to
schools, but it may be a first step
towards real accountability.

From provider organizations           From citizens to provider     Actions donors can take to improve the   Case examples
(Ministries) to citizens              organizations                 accountability link
Appropriate (comparative,             No direct quid-pro-quo.       TA and policy advice in setting up       The State of Paraná in Brazil developed
relative to similar schools, value-                                 mechanisms, pilot projects to test       School Report Cards to provide parents
added, etc.) information on                                         mechanisms.                              and community with information on the
school performance. Training                                                                                 achievement of schools. Schools were
and organization in how to use                                                                               evaluated against reasonable expectation.
information, to demand                                                                                       See
accountability from schools, and                                                                   
how to support schools in                                                                                    decentralization/Feb2004Course/Presenta
meeting standards, how to                                                                                    tions/Saliba.ppt In Chile, the SIMCE
participate in governance bodies.                                                                            system measures student performance,
Training in how to reward                                                                                    and the SNED system for teacher
schools and teachers using                                                                                   incentives provides school-level group
localized means.                                                                                             incentives based partly on student
                                                                                                             performance and community satisfaction.
                                                                                                             However, in no developing country that
                                                                                                             we know of is information on
                                                                                                             performance thoroughly used in
                                                                                                             improving performance.
Control of local bad-governance       Information and feedback to                                            Many donor interventions seem to be
problems related to local             bureaucracy on local                                                   based on the assumption that local
nepotism and local capture.           governance problems.                                                   communities are more democratic than
(Inappropriate appointments and                                                                              national government. In some cases this
inappropriate resource use, etc.)                                                                            assumption appears unwarranted, and
                                                                                                             planned interventions have had to be re-
                                                                                                             centralized. As an example, see

                                                                                                                     However, no projects that we could
                                                                                                                     identify systematically address the issue
                                                                                                                     of schools or parents reporting of local
                                                                                                                     nepotism or capture in decentralization
                                                                                                                     and local-empowerment efforts. The
                                                                                                                     famous PETS experiment in Uganda
                                                                                                                     created systematic ―proof of concept‖ in
                                                                                                                     addressing leakage of funds between
                                                                                                                     levels of administration, and popularized
                                                                                                                     the use of public information in making
                                                                                                                     sure funds reach schools. See
                                                                                                                     web/webfiles/cepemcase5.htm or

Other relationships (e.g., Private schools)
 Policy-makers to providers and citizens
 Legislation and norms covering the relationship of   Legislation pertaining to private or independent schools varies
 private or independent schools to their clients      considerably, but in general there is little regulation, at the level of
                                                      basic law, of how private schools should relate to their clients, or
                                                      how they should be governed, other than registration issues.
 Norms regulating private school provision of         Most legislation implicitly or explicitly obligates private schools to
 information to government                            provide information to government-including information on
                                                      learning achievement. For examples from Argentina and South
                                                      Africa, see and
 Provision of funding through either ad hoc or        Several low- or middle-income countries provide subsidies to private
 normed mechanisms, either supply side (direct        schools, often on a formula basis. Subsidies may extend only to the
 funding of schools) or demand side (funding of       payment of teacher salaries as in Argentina. For examples of norms
 parents and children)                                from Chile and South Africa see

State encouragement of private school association       It is difficult to find information on this issue. XXX
by, for example, requiring schools to be members
of associations in return for public subsidies, or in
representation in policy-making
Requirement that students in private schools take       In some countries independent schools have to take part in public
public exams                                            examinations systems, in others not. Pressure for private schools to
                                                        participate in such systems is sometimes resisted. XXX
Providers (schools) to clients
Existence of parental or community representation       Codes of ethics or accreditation schemes do not always make
in private school governance, either by                 recommendations on school governance, or, if they do, do not make
law/regulation, tradition, or individual practice.      recommendations regarding the need for formal parental
                                                        participation in independent school governance. For example, the
                                                        Code of Ethics to which members of the Independent Schools
                                                        Association of Southern Africa does not cover governance issues.
                                                        See the Code of Ethics under ―Resources‖ at
                                                        In the UK, where independent schools have an independent
                                                        inspectorate, and where standards for independent schools are
                                                        carefully regulated, the basic standards do not even assume
                                                        independent schools have governing bodies. See
Existence of ―bottom-up‖ governance structures          These exist in several countries, though the degree to which actual
such as associations of private schools and related     accreditation services are provided varies. Some associations are
private accreditation schema                            only lobbying organizations, while others provide, at a minimum,
                                                        management training for member schools. For an example of the
                                                        latter see Argentina’s Confederation of Private Education
                                                        Institutions, CAIEP, at The
                                                        Independent Schools Association of Southern Africa, ISASA, does
                                                        offer a sort of accreditation, in that members have to meet certain
                                                        management and educational criteria and subscribe to a code of
                                                        ethics. In addition, ISASA promotes the professional collegiation of
                                                        the principals or directors of independent schools. See
                                               Some transition economies with a vigorous
                                                        private education sectors, such as the Czech Republic, have
                                                        associations some form of quality assurance objectives. See

                                              In the UK there is a
                                                       private inspectorate of independent schools that provides both
                                                       inspection and support functions similar to those in the public sector.
                                                       The results of these inspections are available to the public, not just
                                                       the management of the schools or parents with children current
                                                       enrolled at the schools. See
                                              Some of the school inspection reports
                                                       actually mention governance issues, others mostly focus on
Provision of information on quality through
accreditation from associations of private schools,
or from the state, and the ―seal of approval‖ such
accreditation provides
Use of results of public examinations as a quality
signal to parents, either directly (school-based) or
through private providers of ―school choice‖ data
and advice
Other information-based provision of school
choice advice to parents, either directly (school-
based) or through private providers of ―school
choice‖ data and advice

Annex 3
BNPP Proposal: Strategic Impact Evaluation of
Innovations Promoting Accountability in Basic
Education and Health

Evaluation Theme              Coordinator(s)
School-Based Management       King, Gertler
 Kenya                        Vermeersch
 Kyrgyz Republic (tbc)
 Nepal                        Chaudhury
 Nicaragua                    Schady, Filmer
 Yemen (tbc)

Information for Accountability Filmer, Schady
  Nicaragua                    Filmer, Schady
  Uganda (tbc)
  Rwanda (tbc)

Teacher contracts           Riboud, Bruns
 Guinea, Niger (PASEC data)
 India (4 states)           Chaudhury
 Kenya                      Kremer
 New Africa case (tbc)

Conditional Cash Transfers    Schady
 Bangladesh                   Dar, Chaudhury
 Burkina Faso
 Cambodia                     Schady


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