Desk Review Questionnaire

Transcription

1 Project RAB/01/006: TRANSPARENCY AND ACCOUNTABILITY IN THE PUBLIC SECTOR IN THE ARAB REGION Desk Review Questionnaire (Draft: 14/02/03 14:39) Country Name: I. ORGANIZATION OF GOVERNMENT Information for this section can be found in government statistical offices, civil service and other public sector employment commissions, central government management agencies, etc. If exact figures are unavailable, please give estimates and justify them in the comments fields. 1. How many ministries and statutory bodies (e.g. departments, agencies, public or mixed enterprises with more than 50% public ownership) are there? according to most recent data c) source? 2. Is there a current government-wide (e.g. for all of government rather than by department) organisation chart or organigramme? yes b) no c) if yes: what year? (please attach a copy) 3. What is the number of the following categories of public sector personnel? What proportion or per centage are contractual? civil service: b) teachers: c) health workers: d) law enforcement: e) judiciary: f) public and mixed enterprises with more than 50% public ownership: 1

2 4. What is the total number of females in each category? civil service: b) teachers: c) health workers: d) law enforcement: e) judiciary: f) public and mixed enterprises with more than 50% public ownership: II. PUBLIC SECTOR TRANSPARENCY AND ACCOUNTABILITY INITIATIVES Information for this section may be found in the secretariats to the cabinet or council of ministers, offices of the president or prime minister, communication ministries, and public management experts outside of government. 5. What initiatives on public sector transparency and/or accountability (e.g. studies, public opinion polls, surveys or campaigns) have been carried out within the past 5 years? Briefly describe the most important in terms of their sponsors, methodology, precipitating events or factors, and findings. Attach any relevant and useful documents. Study or campaign 1: title, publications b) Study or campaign 1: short description c) Study or campaign 2: title, publications d) Study or campaign 2: short description e) Study or campaign 3: title, publications f) Study or campaign 3: short description g) Study or campaign 4: title, publications h) Study or campaign 4: short description i) Study or campaign 5: title, publications j) Study or campaign 5: short description III. FINANCIAL MANAGEMENT 2

3 Information for this section may be found in the finance ministry or the treasury, public procurement or tendering boards, privatisation agencies, the supreme audit institution, and other public finance or audit experts. Financial Management Framework 6. Which laws directly pertain to financial management? When were they last modified? (please attach a copy of the most recent versions) 7. What, if any, regulations and/or guidelines accompany the legislation mentioned above? When were they last modified? (please attach a copy of the most recent versions) 8. According to these texts and by practice, who can be held personally responsible for the integrity of financial management (e.g. the executive heads of the finance and line ministries, the chief financial officers of line ministries, programme and project managers, etc.)? Budget 9. What activities and funds does the budget for the national government cover? 10. How are extra-budgetary funds handled (e.g. defined by law, kept to a minimum, controlled by whom, etc.)? Revenue 11. What measures are used to increase the transparency and accessibility provisions in the tax statutes and regulations (e.g. adequate notifications, simple tax assessment and payment forms, direct consultations with tax administrators etc.?) Payroll 12. Is there a separation of functions in preparing the public payroll (e.g. authorizing personnel changes, preparing the payroll and disbursing the pay)? 13. How is remuneration handled (e.g. required authorization to work, hours worked -- including overtime, wage and commission rates, witholdings such as pension and insurance contributions, and payment itself)? 3

4 Procurement 14. How transparent and accessible are the statutes and regulations pertaining to public procurement? 15. Do these texts clearly explain exceptions to open competitive bidding? 16. What proportion of total procurement is subject to open competitive bidding? (Please give latest statistics.) 17. What is the typical duration of the procurement process from bid advertisement to award (in days)? Are there any assesements or evaluations of this process? Privatizations and Service Concessions 18. Within the past five years, which state enterprises or other major assets have been sold? Give details of name of enterprise/asset, objectives of the sale, method of sale, date of sale agreement, name of buyer, amount received/to be received on sale of equity, etc Within the past five years, which service concessions or licences (e.g. to provide roads, ports, electricity, telephone and water) have been awarded to private (or mixed public-private) interests? Give details as outlined in the question above. 20. How are privatisations, concessions and licences subject to public reporting (e.g. an independent valuation before evaluation of tenders and/or an independent review by the national audit body)? Accounting 21. What role does the finance ministry play in overseeing a government-wide budgeting and accounting classification or coding schemes (excluding public enterprises)? 22. What rules or standards does the overall government-wide accounting system prescribe for each fund or agency? b) Does it incorporate all donor-financed expenditure into the accounts (including offshore payments and in-kind resources by donors)? 4

5 23. How are key functions separated (e.g. different officers authorize transactions, have custody of cash and other assets, maintain records, and run operations)? 24. How are bank reconciliations carried out (e.g. prepared at least monthly, supervised by an officer other than the cashier, etc.)? b) Are differences in bank reconciliations from the cash book investigated? Internal Audit 25. What is the role of the finance ministry in overseeing internal audit standards throughout its jurisdiction? 26. Is there an internal audit or inspection unit in each public agency of significant size? b) Is this unit completely separated from line accounting functions? c) Are the staff specially trained? 27. To whom does this unit directly report irregularities (e.g. to the head of an agency, to the finance ministry representative, etc.)? b) Is it authorized to undertake special investigations or reviews apart from routine audits or inspections, at the request of the head of the agency? External Audit 28 How is the independence of the supreme audit institution guaranteed? b) To whom does this body report? c) How is the head of this body appointed? 28 bis. Are all public accounts (e.g. the president s office, military and security agencies, parastatal bodies, government accounts maintained by the central bank, etc.) subject to audit by the supreme audit institute, a specialized body outside the executive branch of government? b) Does the supreme audit institute have unrestricted access to accounts and records? 5

6 29) What types of audits are carried out (e.g. compliance audit, systems audit, performance -- value for money audit, comprehensive audit, or pre-approval of large contracts, and pre-audit of payments)? b) Does it plan, supervise and review its audits for quality (e.g. in accordance with appropriate field standards such as those of INTOSAI)? 30 Does the supreme audit institute perform its functions independently of the executive branch of government? b) Are its audit staff entirely independent of the agencies they audit and their staff? c) Does it publish audit findings critical of any agency, including the finance ministry, without fear of consequences? 31. Does the supreme audit institute have its reports examined and reported on by a legislative committee (e.g. a Public Accounts Committee, which includes members of the political opposition)? b) Does it find that the audited agencies and finance ministry follow up on the recommendations of the legislature? c) Does it impose penalties in cases of irregularity, if it has a judicial function (e.g. Court of Accounts)? 32. Does the supreme audit institute subject itself to audit? IV. HUMAN RESOURCES MANAGEMENT Information for this section may be found in public service ministries and commissions, central agency units in charge of human resources policies, public management training institutes, ethics and anti-corruption units, independent investigating agencies such as the Ombudsman and public prosecution office. Human Resources Management Framework 33. Which laws directly pertain to human resources management in the public sector? When were they last modified? (please attach a copy of the most recent versions) 34. What regulations and/or guidelines accompany the legislation mentioned above? When were they last modified? (please attach a copy of the most recent versions) 6

7 35. Have core values been introduced for the civil service and/or other public sector entities (e.g. neutrality, fairness, efficiency, etc. in the constitution, civil service laws, ministerial mission statements, etc.)? If yes, when were they introduced? (please list values by groups to which they apply and state the source and year of introduction ) 36. What tools are used to promote transparency and accountability in service delivery (e.g. service standards, citizens charters, efficiency units, etc.)? if so please attach Codes of Conduct 37. Are there specific codes of conduct or guidelines in addition to the general codes of conduct for certain occupational groups more at risk of corruption (e.g. the police, employees in revenue collection, officers controlling extra budgetary funds, public procurement officers, legal counsels, recruitment officers, etc.)? if so please attach Conflicts-of-Interest Disclosure 38. Is the disclosure of declaration of personal assets, income, financial interests, etc. required in public sector agencies? b) Do the requirements adequately cover public sector officials (e.g. elected and appointed officials, fixedterm personnel, etc.)? c) Are the disclosures more stringent for certain occupational groups more at risk of corruption (e.g. the police, employees in revenue collection, officers controlling extra budgetary funds, public procurement officers, legal counsels, recruitment officers, etc.)? 39. How often are disclosures required (e.g. upon induction, annual or biennial, upon changing positions, upon leaving the agency, etc.)? b) How are they verified? 40. What information is required to be disclosed (e.g. assets and liabilities, loans, sources and levels of income, outside positions, previous employment, gifts, etc.)? Reporting of Wrongdoing 41. Is there any official policy on whistle-blowing or exposing wrongdoing? b) Is it required or encouraged on the part of public sector employees? c) How often do public sector employees report wrongdoing, particularly in case of gross misconduct or corruption? 7

8 If there is any documentation on policy and statistics, please provide. 42. What are the procedures for handling complaints? b) Are supervisors and managers trained on handling whistle-blowing? c) Is the public encouraged to report wrongdoing? 43. How are those individuals who expose wrongdoing protected or safeguarded? V. INFORMATION MANAGEMENT Information for this section can be found in communication ministries or agencies, any agency responsible for access to information policy or programme, or journalism association or training institutes. Information Management Framework 44. Which laws directly pertain to information management? When were they last modified? (please attach a copy of the most recent versions) 45. What regulations and/or guidelines accompany the legislation mentioned above? When were they last modified? (please attach a copy of the most recent versions) Access to Information 46. Do these texts allow for and regulate the access of information by the public of government activities and government records on citizens? 47. How is the information on government activities reported (e.g. through government-sponsored web sites, T.V. stations, radio, press, bookshops, press releases and conferences, etc.)? b) Are there privately owned and non-government affliated sources of information? (e.g. legislature, privately-sponsored web sites, T.V: stations, radio, press, bookshops, etc.)? Records Management 48. How are records in the public sector managed (e.g. up-to-date, easy to retrieve, stored safely, archived, protected from tampering, etc.)? b) How are they made available to the public (e.g. in government records office, on-line, other etc.) 8

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