OPTIONAL MODULE: ASSESSING INCLUSIVE OWNERSHIP

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1 OPTIONAL MODULE: ASSESSING INCLUSIVE OWNERSHIP 2011 Survey on Monitoring the Paris Declaration Fourth High Level Forum on Aid Effectiveness This optional module provides an opportunity for countries participating in the 2011 Survey on Monitoring the Paris Declaration to engage in more detailed discussions around the theme of inclusive ownership, and to provide more detailed data on these issues as part of efforts to monitor the implementation of the Paris Declaration and Accra Agenda for Action commitments on ownership. It supplements the core 2011 Survey on Monitoring the Paris Declaration, which monitors progress against the 12 indicators agreed in the Paris Declaration on Aid Effectiveness (2005). CONTENTS: Explanatory notes... 2 Background and objectives... 2 How is this optional module linked with the 2011 Survey on Monitoring the Paris Declaration?... 3 Questionnaire for an in-depth assessment of inclusive ownership... 4 Guidelines for this survey module... 4 Key definitions for use in the completion of the inclusive ownership questionnaire... 6 Questionnaire on Inclusive Ownership... 7 I. Participatory mechanisms... 7 II. Quality of the participatory process... 8 III. Overall assessment of broad based ownership Feedback on the Inclusive Ownership survey module... 14

2 EXPLANATORY NOTES BACKGROUND AND OBJECTIVES This optional module supplements the core 2011 Survey on Monitoring the Paris Declaration, which monitors progress against the 12 indicators agreed in the Paris Declaration on Aid Effectiveness (2005). The Paris Declaration highlights the concept of ownership as a central principle within the new aid architecture: partner countries exercise leadership over their development policies and strategies and co-ordinate development action. The Accra Agenda for Action made the commitment to a broad country-level policy dialogue more explicit: countries committed themselves to strengthen country ownership on development by engaging in an open and inclusive dialogue on development policies with parliaments, local authorities and civil society organizations; donors commit to support efforts to increase the capacity of all development actors parliaments, central and local governments, civil society organisations (CSOs), research institutes, media and the private sector to take an active role in dialogue on development policy and on the role of aid in contributing to countries development objectives. In the framework of aid effectiveness, it is therefore very important to better understand these processes in order to identify where and how these processes can be strengthened and supported. The present optional survey module contains a set of qualitative and appreciative questions that should allow (1) a deeper analysis of process issues related to inclusive ownership, (2) an analysis of explanatory factors, and (3) the documentation of the progress made along the years in this area. However, the 12 indicators of progress agreed in 2005 do not include specific indicators to measure broad and inclusive participation. For this reason, this optional survey module was created. This optional survey module contains a set of qualitative questions that should allow a deeper understanding of inclusive ownership and a general overview of the situation in different countries. This module is being piloted in 2011 on a voluntary basis it is not part of the core Survey on Monitoring the Paris Declaration. Rather, it offers an exploratory framework for interested countries to engage in focussed dialogue around inclusive ownership. The evidence generated will be drawn on in the 2011 Monitoring Report a key input to the Fourth High-Level Forum on Aid Effectiveness (HLF4 - Korea, 29 November 1 December 2011). More importantly, feedback on this module will be used to facilitate further discussion on ownership and aid effectiveness, and it will be used as an input in discussions on future monitoring initiatives after HLF4. 2

3 HOW IS THIS OPTIONAL MODULE LINKED WITH THE 2011 SURVEY ON MONITORING THE PARIS DECLARATION? The 2011 Survey on Monitoring the Paris Declaration provides an established methodology for assessing progress against the 12 indicators agreed in Stakeholders in some countries may also be interested in exploring performance against some specific commitments contained in the Paris Declaration and Accra Agenda for Action in greater depth. Two optional survey modules relating to ownership and gender have been developed for this purpose. National co-ordinators may, in consultation with donors and civil society, choose to use these modules to collect additional information and facilitate dialogue around these issues. The 2011 Survey on Monitoring the Paris Declaration is also being rolled out in conjunction with the OECD-DAC 2011 Survey on Monitoring the Principles for Good International Engagement in Fragile States and Situations in those countries that have chosen to participate in both processes SURVEY ON MONITORING THE PARIS DECLARATION Questionnaires and country reports are completed by all countries participating in the 2011 Survey on Monitoring the Paris Declaration SURVEY ON MONITORING THE PRINCIPLES FOR GOOD INTERNATIONAL ENGAGEMENT A mixed methods approach to assessing progress in the implementation of the ten fragile states principles in countries which choose to participate in this Survey. GENDER AND AID EFFECTIVENESS An optional, in-depth survey module. OWNERSHIP MODULE (THIS DOCUMENT) An optional, in-depth survey module. Further information on the Fragile States Principles and the Survey process can be found online at My country is participating in the 2011 Survey on Monitoring the Paris Declaration. Do we also need to complete the questionnaire on inclusive ownership? This survey module is optional. National co-ordinators should, in consultation with donors and civil society, decide whether to complete the additional survey module. The in-depth information gathered through this module will be analysed in the publications that draw on the 2011 Survey on Monitoring the Paris Declaration. I am a national co-ordinator and would like to complete the survey module on inclusive ownership. What do I need to do? This document contains the questionnaire which should be completed, and the process through which you should consult with donors, civil society and parliamentarians. You are invited to make contact with the OECD-DAC Secretariat so that further support and advice may be provided: pdsurvey@oecd.org Where can I find out more about the 2011 Survey on Monitoring the Paris Declaration? Please visit or us: pdsurvey@oecd.org. 3

4 QUESTIONNAIRE FOR AN IN-DEPTH ASSESSMENT OF INCLUSIVE OWNERSHIP This module consists of a questionnaire organized into three sections. The first section analyses the institutional framework and focuses in particular on the mechanisms established to facilitate the participation of national stakeholders. The second section deals with the evolution of the quality of the participatory process and also looks at the participation of specific groups of stakeholders. Finally, the third section asks for an overall assessment of the inclusive ownership of national development strategies at country level. Several guiding questions are suggested for each main question. These guiding questions serve as a reference for data collection by stakeholders at the country level, but do not always need to be answered systematically. The guiding questions should help stakeholders to look at well-known bottlenecks in participatory processes, and to collect substantive information on the national situation regarding to inclusive ownership. GUIDELINES FOR THIS SURVEY MODULE Who completes this questionnaire? National co-ordinators in charge of the 2011 Survey on Monitoring the Paris Declaration are encouraged to complete the Inclusive Ownership Questionnaire. The qualitative information provided in the questionnaire should be discussed alongside the results of the 2011 Survey on Monitoring the Paris Declaration with government ministries, donors, civil society, social partners (unions and private sector) and parliamentarians with a view to validating the qualitative responses provided. Broad participation in these discussions is encouraged and could build on existing mechanisms such as round tables or consultations with civil society organizations, parliamentary working groups, Trade Unions, business or employer s organizations, chambers of commerce, etc. How to complete the questionnaire? This module consists of a questionnaire organized into three sections. Participatory mechanism: This analyses the institutional framework and focuses in particular on the mechanisms established to facilitate the participation of national stakeholders. Quality of the participatory process: This deals with the quality of the participatory process and also looks at the participation of specific groups of stakeholders. Overall assessment: This calls for an overall assessment of the degree to which ownership of national development strategies is inclusive at country level, including a self assessment on the overall state of inclusive ownership. Several guiding questions are given in order for the respondent to provide substantive information; they do not need to be answered systematically. National co-ordinators and other stakeholders contributing to the process are invited to refer to existing documents (reports, press, scientific publications, evaluations, progress reports, etc.) from a range of sources (government, civil society, political parties, social partners, parliament, donors, etc.) to elaborate and validate their answers. It may not be possible to reach consensus on responses at the country level. Where there are diverging opinions, national co-ordinators should not seek to reach consensus at all costs. Rather, they should document the range of opinions expressed in the final submission shared with the OECD Secretariat. 4

5 How to submit the questionnaire? The national co-ordinator should submit the Inclusive Ownership Questionnaire along with the other documents relating to the 2011 Survey on Monitoring the Paris Declaration (Country Spreadsheet, Country Report and Government Questionnaire) by to or by fax to The questionnaire should be sent to the OECD Secretariat no later than 31st March 2011 to inform the Korea High-Level Forum. A help desk has been set up to support national co-ordinators and donor focal points as they complete both the 2011 Survey on Monitoring the Paris Declaration and this optional module at the country level. How do I contact the help desk? By pdsurvey@oecd.org By telephone: / / By fax: Specific support on this ownership module is provided by: Mr. Eduardo Gonzalez (eduardo.gonzalez@oecd.org) 5

6 KEY DEFINITIONS FOR USE IN THE COMPLETION OF THE INCLUSIVE OWNERSHIP QUESTIONNAIRE The following definitions provide clarification on some of the key terms used in the Questionnaire. Parliament Assembly of the representatives of a political nation or people, often the supreme legislative authority Local Governments Governments or authoritative body elected or appointed at local level Stakeholders In this questionnaire the term stakeholders refers to national actors representing interests or opinions of groups of population, civic groups, economic sectors, political parties, etc. concerned with the national development strategy. As such, the term stakeholder does not attach any status of legitimacy to the actors. Participation levels In this questionnaire, a distinction is made between three levels of participation: (i) Information sharing: one-way flows of information to the public (ii) Consultation: two-way flow of information between the coordinators of the consultation and the public and vice versa (iii) Joint Decision making: shared control over decision making Capacity The ability of people, organisations, and society as a whole to manage their affairs successfully. Capacity development The process by which people, organisations and society as a whole create, strengthen and maintain their capacity over time. Civil Society Organisations Private sector Public Debate CSOs can be defined to include all non-market and non-state organisations outside of the family in which people organise themselves to pursue shared interests in the public domain. They cover a range of organisations that includes membership-based CSOs, cause-based CSOs and service-delivery CSOs (OECD-DAC/Better Aid, 2009) The private sector refers to the national market-based (commercial) sector. They could be represented by business organizations, chambers of commerce, agricultural producer, Individual economic operators, etc. In the context of the survey, a public debate can be defined as an open debate (through the Press or other important information channels: campaigns, etc.) on the national development strategy (before or after its approval/implementation/evaluation). The debate can focus on different type of issues: the influence of national/international actors on the formulation process; the overall political, economical or social options taken by the strategy, etc. Social Partners The social partners are the trade unions and the employers organisations engaged in social dialogue. This could be in the private or in the public sector and at national or sector level. They may also include organisations representing workers in the informal sector. 6

7 QUESTIONNAIRE ON INCLUSIVE OWNERSHIP I. PARTICIPATORY MECHANISMS Q1. Within the institutional framework, which participatory mechanisms have been put in place to involve the Parliament, local government and/or non state stakeholders (civil society, private sector, unions, others) in the formulation/monitoring of the national development strategy? a) Have the operational rules (rules of the game) of the participatory mechanisms been subject to an ex-ante consultation/discussion with Parliament, local government and/or non-state stakeholders? b) Main stage of participation covered by the participatory mechanisms (formulation, approval, implementation, monitoring /evaluation) c) Main level of participation covered by the participatory mechanisms (information- sharing, consultation, joint decision making) d) Openness of the participatory mechanisms: could any stakeholder participate? Have criteria been defined to select stakeholders? e) Which measures have been taken to ensure a balanced, inclusive and effective participation of the stakeholders? Has special attention been given to the inclusion of women or other vulnerable groups? f) Are efforts made to align these participatory mechanisms to existing permanent consultative/participatory committee? Answer Q1: Q2. How are the participatory mechanisms put in place within the institutional framework assessed? a) Is there any way to assess the participatory mechanism? If yes, how? b) Did these participatory mechanisms operate regularly and systematically? c) Were problems encountered as regards the functioning of these participatory mechanisms (if yes, with which consequences)? Answer Q2: 7

8 Q3. To what extent have other actors (non-state actors, donors...) established alternative processes to complement / challenge the official process (e.g. lobbying, advocacy, demonstrations, research-based proposals...)? a) Under which circumstances or according to which rationales have these parallel processes been put in place? b) Did these processes impede or strengthen in some way the operation of the institutional participatory mechanisms? c) How did these processes play a role vis-à-vis the national development strategy? What have been the main barriers to the performance of the participatory mechanisms, if any? Answer Q3: II. QUALITY OF THE PARTICIPATORY PROCESS Q4. Did the Parliament participate in the formulation / monitoring of the national development strategy? If yes, describe how. a) Is the Parliament involved in the formulation of the national development strategy? b) Is the national development strategy submitted to discussion in the Parliament? c) Was participation of Parliament as an institution ensured or rather - were individual/selected parliamentarians involved? d) Is the parliament involved beyond budget approvals (e.g. approval of progress reports, approval of official national development strategy)? e) Have parliamentary working groups been set-up to specifically follow up on the national development strategy? f) Was the capacity of the Parliament an issue in terms of participation? g) Compared with previous national development processes, did the participation of the parliament get stronger or weaker? Answer Q4: 8

9 Q5. Did local governments participate in the formulation/monitoring of the national development strategy? If yes, please describe how a) Did local governments organize participatory processes at their levels? b) What have been the main achievements/problems in terms of participation of local governments? c) Was the capacity of local governments an issue in terms of participation? d) Compared with previous national development processes, did the participation of the local governments get stronger or weaker? Answer Q5: Q6. Did the social partners (private sector and unions) participate in the formulation/monitoring of the national development strategy? If yes, please describe how a) Specify by type of representation from private sector (Business organizations, Chamber of commerce, Agricultural producer, Individual economic operators) or from unions (National Trade Union Centers, Sector Unions). b) Is there a social dialogue process launched? If yes, how is it related with the national development strategy? c) Are unions and private sector participating in a similar level? If not, specify the differences. d) If the case, which important private sector actors or unions did not participate and why? e) Compared with previous national development processes, did the participation of the private sector get stronger or weaker? Answer Q6: 9

10 Q7. Did civil society participate in the formulation/monitoring of the national development strategy? If yes, please describe how a) What is the profile of the civil society participant stakeholders? b) Specify by sector, type of representation (Service delivery organizations, Lobby/Advocacy organizations, Member-based organizations, Individual organizations ), representational capacity and geographical coverage c) If the case, which important civil society actors did not participate and why? d) How did the coordination amongst civil society stakeholders happen (level of dialogue or consensus within civil society)? e) Was the capacity of the civil society an issue in terms of participation? f) Compared with previous national development processes, did the participation of civil society get stronger or weaker? Answer Q7: Q8. Were other stakeholders (than the previous mentioned) involved? a) Examples of possible other stakeholders: traditional authorities, academics, advisory committees, provincial/regional councils, etc. b) Did some stakeholders express their disapproval towards the invitation to participative through the institutionalized participation mechanisms? Answer Q8: 10

11 Q9. Has the national strategy (its formulation, follow-up or implementation) been the subject of a broad public debate? a) Which were the key actors leading this public debate? b) Did the public debate influence the setting of priorities of the national development strategy? If yes, how? c) Which role did the press and media play in these public debates (allowing stakeholders to express their concerns, provide analytical frameworks to understand the challenges, by putting water on fire, etc.)? d) How did the press and media assess the role and influence of the donors on the national strategy? Answer Q9: Q10. Are there official policies and practices to promote the capacity of different stakeholders to take an active participation in the national development strategies? a) Did the government identify areas where there is a need to strengthen the capacity to design, implement and monitor the national development strategy? Who were the key leaders to invest in this process? b) Are the capacity needs of other stakeholders, apart from the government identified? What are these needs? c) Are there policies to support capacity development, including technical assistance, training and educational scholarships? If so, are they implemented and monitored? Are lessons learned from this process shared more broadly? d) Are these policies implemented? Answer Q10: Q11. How have donors supported stakeholder participation in the formulation/monitoring of the national development strategy? a) Are donors supporting stakeholder participation? If yes, describe how. b) Are donors also supporting the government to implement the national development strategy? Answer Q11: 11

12 III. OVERALL ASSESSMENT OF BROAD BASED OWNERSHIP Q12. Are there signs of a general consensus around the adopted national strategy? a) Would you say that the national strategy translates a shared vision of the stakeholders involved in its formulation? What are some signs that this is the case? b) Does the national strategy take into account the main needs and concerns expressed by civil society, social partners (private sector and unions) and other actors? c) How do this compare with previous national development processes? Answer Q12: Q13. What have been the main outcomes of the participation process? a) To what extent would the national development strategy be different with more or less involvement of the Parliament, the local governments and the other stakeholders? b) What have been the positive/negative effects of the discussion about the national development strategy? c) After this process, would you say that the quality of dialogue between the State, the Parliament, the local governments and the others stakeholders has changed? d) Did the participation process lead to more representation and coordination amongst the groups involved? Answer Q13: 12

13 Q14. According to the definition below, please select the score that reflects in your own assessment the current situation in your country most adequately: Inclusive participation of national stakeholders in the development processes: The government involves stakeholders in an open and systematic dialogue on development strategy formulation and implementation. Parliament and local authorities are routinely involved in strategy formulation and in implementation, consistent with their constitutional mandate. CSOs, private sector and others (research institutes, media ) provide systematic feedback to the government on strategy formulation and implementation. This feedback is taken into consideration by government, or a rationale is provided for non-consideration. As a result, a broad number of stakeholders take active part in the national development processes. N/A Not applicable: There is no national development strategy implemented or currently in discussion in the country 1 Little action: The national development strategy is designed, implemented and monitored by the government, with no relevant participation from other stakeholders. 2 Element exist: There are some efforts from the government side to provide information related to the national development strategy to different stakeholders and to receive some feedback from them. However, the active participation of different stakeholders in the process is still very limited. 3 Action taken: Some stakeholders are involved in the formulation, implementation or monitoring of the national development strategy. However, other important ones are still not involved and / or the level of participation is still very limited. 4 Largely developed: Most of the stakeholders are actively involved in the formulation, implementation and monitoring of the national development strategy 5 Sustainable: The inclusive participation of all national stakeholders in the formulation, implementation and monitoring of the development strategy is established and sustainable. Please give a short explanation of your choice: 13

14 FEEDBACK ON THE INCLUSIVE OWNERSHIP SURVEY MODULE Q15. How this module has been completed? a) Who completed this survey? b) Did different stakeholders participate in answering this survey? If yes, how did they participate? c) Were the answers validated in some kind of meeting or workshop? d) Please report any problems/dissatisfaction in the formulation of the questions or their relevance regarding your national situation Q15. Answer: 14