Governance

COMPARATIVE DATA ON GOVERNANCE AND PUBLIC ADMINISTRATION IN AFRICA

FRAMEWORK AND RATIONALE

In Africa, in general, it is clear that the public service plays an important regulatory and facilitating role in development. However, there is limited information on the experiences and practices of governance and public administration across the continent. Most information and data is collated in the large data banks of the World Bank, IMF and United Nations. While these are useful as sources of information, they tend to focus on issues of concern to these large institutions and reflect global public management trends. As a consequence, there is very little information with regard to the specific content and context of governance and public administration trends in Africa.

The purpose of the Comparative Data Gathering on Governance and Public Administration project is to:

provide public service leaders and other key stakeholders with the information necessary to make more informed decisions about governance and public administration in Africa;
provide a framework for data collection and analysis which will facilitate the exchange of basic data and information and the sharing of experiences and practices amongst officials in the African region; and,
enhance comparative research on governance and public administration in the region and the dissemination of research findings.

A simple Governance and Public Administration Framework has been has been designed to capture basic information on the practice of public administration across the continent. The framework has five main categories: country data; governance; planning; implementation; and monitoring, evaluation and oversight. The first category is intended to capture basic socio-economic data on each country. The remaining categories are in informed by the academic literature on public administration and have been chosen to depict key aspects of the public administration process from governance through planning to evaluation and oversight (see Figures 1).

Figure 1

Governance and Public Administration Framework

Each of the main categories, with the exception of the first, has been broken up into various sub-categories, which represent important public administration taxonomies (see Figure 2).

Figure 2

Governance and Public Administration Categories

MAIN DATA CATEGORIES	SUB-CATEGORIES
Country Data
Governance The decision making process with regard to the distribution of public resources.	2.1 Legislative institutions
	2.2 Executive institutions
	2.3 Judicial institutions
	2.4 Support institutions
Planning The processes and institutions through which goals, priorities and targets for the implementation of policy are developed and aligned to budgets.	3.1 Planning institutions
	3.2 Budgeting
Implementation The execution of government decisions.	4.1 Policy - the legislative and procedural frameworks that guide implementation.
	4.2 Institutions - the structure of organisations and agencies responsible for implementing government decisions. Departments Public enterprises Regulatory institutions
	Human Resources - composition, policies procedures and practices. Public sector personnel Terms and conditions of service Human resource development

	4.4 Finance - the systems and procedures for financial management. Revenue collection Expenditure Financial systems
	Information Technology – the systems and technology which facilitate the management of information in the public service
Monitoring, Evaluation and Oversight The processes and institutions established to ensure accountability in policy development.	5.1 Government monitoring and evaluation
	5.2 Oversight agencies

The focus within the main categories is on the public administration and the management aspects of the process. With the exception of a general thumbnail sketch of each country, data related to general development and/or reform initiatives is expected to be covered in other projects but could be included later under the appropriate headings. It is hoped that the database will allow for a range of comparative information and trends to emerge which will facilitate over time more effective decision-making with regard to public administration in an African context.

It is also expected that the initial data gathering work will serve as the basis for generating annual reports that can capture basic data on governance institutions and practices across Africa; and help to leverage additional resources for the generation of future annual reports.

The following assumptions have been made with regard to the design of the framework:

The database will have a specific focus on governance and public administration in Africa. Many other database systems contain a broad range of socio-economic and development data with regard to Africa, but few have appropriately contextualised information on public administration in Africa.
The database will provide descriptive data only. In later years the information may be extended to include evaluative data. However, initially the data collected will provide a snapshot of current trends in governance and public administration in Africa. Within this descriptive framework it will be possible to identify trends across a range of categories, sub-categories, countries or regions. This will in the long-term facilitate the comparative review of government practice.

1. COUNTRY DATA – brief description of the country
Country description		What is the country’s socio-economic profile?	Snapshot description of country including size of population, GDP, etc.		How big is the country?		Size of the country
					In which region is it located?		Region of Africa (East, West, Central, North, South)
					What is the GDP?		GDP
					What is the size of the population?		Population size
					What are the literacy levels?		Literacy level (%)
2. GOVERNANCE - the decision making process with regard to the distribution of public resources
The governance structure involved in decision making		What is the structure of institutions involved in the development of policy?	Brief description of the structures of governance		What is the structure?		Breakdown of structures – legislative, judicial, executive, other.
					How many levels comprise the system?		List levels of governance and decision-making.
2.1 Legislative Institutions
The legislative bodies involved in decision-making and policy formulation		What legislative institutions are involved in the development of policy?	List, number and grouping of legislative institutions across Africa.		What is the institution's name?		Institution name
					What is the institution's mandate?		List of powers and functions
					What is the institutions level/scope of decision-making?		Level of operation (national, regional or local)
					What is the composition?		Description of the composition of the legislative bodies, i.e., members.
					What committees are there?		List names of committees.
					How long is the term of office?		1-5 years
					How many support and administrative staff?		Number of support staff that are in the public service.
					What is the operational budget?		Cost of administrative support to legislative activity.
2.2 Executive Institutions
The executive bodies responsible for policy formulation		What executive bodies are involved in the development of policy?	List, number and grouping of executive bodies across Africa.		What is the institution's name?		Name of Executive Body
					What is the institution's mandate?		List of powers and functions
					What is the institutions level/scope of decision-making		Level of operation (national, regional or local)
					What is the composition?		The ministries which comprise the executive and their portfolios
					What is the committee structure?		Committee structure - number and description
					How often does the executive meet and for what purpose?		Frequency and purpose of meetings.
					How does the executive report to the legislative body?		Reporting frameworks
					How many administrative staff support the executive?		Size of executive secretariat (staffing)
					What are the functions of the support staff?		Functions which support executive decision-making.
					What is the budget of the support staff?		Cost of policy development enterprise (budgets)
2.3 Judicial Institutions
The judicial bodies responsible for policy formulation		What judicial bodies are involved in the development of policy?	List, number and grouping of judicial bodies across Africa.		What is the institution's name?		Name of Judicial Body
					What is the institution's mandate?		List of powers and functions
					What is the institutions level/scope of decision-making		Level of operation (national, regional or local)
					What is the composition?		Number of judges etc.
					How is the body selected?		Requirements for membership of the body
2.4 Support Institutions
Statutory research and/ or consultative bodies which contribute to the policy formation processes		What statutory research and/ or consultative bodies contribute policy development?	Number involved in contributing to policy setting.		What is the institution's name?		Name of Institution
					What is the institution's function?		Functions (research, intelligence, analysis, feasibility, assessment, evaluation, monitoring)
					What is the institutions scope?		Scope (level or focus - sectoral, economic, inter-sectoral)
					How much does the state contribute to these bodies?		% of budget and GDP
3. PLANNING - the processes and institutions through which goals, priorities and targets for the implementation of policy are developed and aligned to budgets
3.1 Planning Institutions
Institutions involved in the setting of goals, priorities and targets for the implementation of policy.	Which Institutions are involved in government planning?			List planning Institutions at different levels		What is the institution's name?	Planning institution
						What is the level of operation	Planning level focus (national, regional or local)
						What is its mandate?	Planning institution mandate
						What is its’ planning period?	Planning period (Five years, Three Years, Two years, Annual, Other-specify)
						How does it formulate plans?	Planning method (Scan available data sources to generate alternatives)
						Does it integrate its plans with those of other institutions?	Institutions with which plans are integrated (Multiple Response)
						How are planning and budgeting processes linked?	Planning / budgeting link ( No link, Indirect link, Direct link)
						Are annual planning meetings or other planning events held?	Annual planning meetings (No, Planning meetings, Planning retreats)
						What is the process for participation in the planning process?	Planning Participation (By invitation only, Managers only, All staff, Staff and external stakeholders)
						What planning tools or practices are used?	Planning tools (Scan available data sources to generate alternatives)
						When was the current planning system introduced?	Date
3.2 Budgeting
The process of defining priorities through budget planning.	What institutions and processes are involved in budgeting?			List budgeting institutions per level, budget and breakdown		What is the name of the institution?	Budgeting institution
						What is the level of the institution?	Planning level (National, Regional Local)
						What is its mandate/power?	Mandate of institution
						What is the budgeting period of the institution?	Budget period (a) annual (b) bi-annual (c ) medium-term (d) other
						What is the total budget planned per year?	Total USD
						What is the % breakdown per sector?	% breakdown (a) education (b) health (c) welfare) (d) policing (e) defense) (f) economic services (g) infrastructure (utilities) (h) administration
						What is the budgeting practice of the institution?	Budgeting practice (a) incremental (b) zero-based (c ) other
						What percentage of the budget is donor funded?	% of total

4. IMPLEMENTATION - the execution of government decisions
The structure of the public administration system.	What is the structure of the public administration system?	Brief description of the structure.	What are the key institutions and processes that comprise the public administration system?	Description of structure
The structure of the public administration system.	What is the structure of the public administration system?	Brief description of the structure.	What are the levels that comprise the system?	Levels of government
4.1 Policy - the legislative and procedural frameworks which guide implementation
The legislative and procedural frameworks which guide implementation	What policy and procedures guide public administration activities?	List policies and legislation.	What is the title of the legislation	Title
			What is the scope	List focus area and coverage
			What are the key focus areas	List of key focus areas (code of conduct, accountability procedure, regulatory mechanism)
			What is the date of the legislation and its last amendment?	Dates
4.2 Institutions – the organisations and agencies responsible for implementing government decisions
A major division of government that is responsible for implementing policy	What departments are responsible for policy implementation?	List of departments, functions, size and spend at level of government.	What is the department's name?	Department
			What is the level of the institution?	Level of operation (national, regional or local)
			What is its mandate?	Powers and Functions of the Department
			What is the size of the personnel?	Number of people employed
			What is the personnel breakdown?	Number of staff per clerical, supervisory, middle and senior management.
			What is the operational budget?	Operational cost for the department (personnel and other)
			What is the service budget of the department?	Service delivery budget
			What services are outsourced and to what organisations?	Services and institutions
4.2.1 Public Enterprises
Statutory public enterprises involved in implementing government decisions	What state enterprises assist policy implementation?	Number, functions and costs of state enterprises.	What is the enterprise's name?	Name of enterprise
			What is the level of the institution?	Level of operation (national, regional or local)
			What is its mandate?	Functions
			What is the size of the personnel?	Number of people employed
			What is the personnel breakdown?	Number of staff per clerical, supervisory, middle and senior management.
			What is the operational budget?	Operational cost for the department (personnel and other)
			What is the service budget?	Service delivery budget
			How much income does it generate?	% of budget
4.2.2 Regulatory Institutions
Agencies involved in the regulation of public services	What regulatory institutions are responsible for policy implementation?	List of institutions, functions, size and spend at per level of government.	What is the institution's name?	Telecommunications, power, transport, tender board, procurement, treasury, etc.
			What is the level of the institution?	Level of operation (national, regional or local)
			What is its mandate?	Powers and Functions (price, quality, standards, safety, etc.)
			What is the size of the personnel?	Number of people employed
			What is the personnel breakdown?	Number of staff per clerical, supervisory, middle and senior management.
			What is the operational budget?	Operational cost for the department (personnel and other)
			What is the service budget?	Service delivery budget
4.3 Human Resources - the composition, policies, procedures and practices relating to HRM&D
4.3.1 Public Sector Personnel
Personnel employed in the public sector (government and parastatal institutions)	How many people are employed in the public sector? What are the personnel costs?	Number of people employed by level, gender, category, function, etc. Breakdown of personnel costs (highest and lowest) for each sector.	How many people are employed at different levels of government?	Total number employed
			How many people are employed at each level of government	Number per level (national, regional, local)
			How many people are employed in each sector?	% of total and number (a) education (b) health (c) welfare) (d) policing (e) defense) (f) economic services (g) infrastructure (utilities) (h) administration
			What is the gender breakdown?	Gender profile per level
			What grading system is used?	Description of grading system
			How many people are employed in management?	Size of management
			How many people are employed in operations (professional)?	Size of operations
			How many employed in clerical levels?	Size of clerical staff
			What is the highest and lowest level salary for sector?	Highest salary per sector (a) education (b) health (c) welfare) (d) policing (e) defense) (f) economic services (g) infrastructure (utilities) (h) administration
			What is the highest and lowest level salary for sector?	Lowest salary per sector (a) education (b) health (c) welfare) (d) policing (e) defense) (f) economic services (g) infrastructure (utilities) (h) administration
			What is the total personnel bill?	Total cost in US$
			What is the breakdown per category?	Breakdown per category (a) education (b) health (c) welfare) (d) policing (e) defense) (f) economic services (g) infrastructure (utilities) (h) administration
4.3.2 Terms and Conditions of Service
Conditions defining public sector employment	What conditions of service exist within the public service?	Description of basic conditions of service and labour relations.	What is the framework for labour negotiations?	List the type of frameworks that exist between labour and government as an employer (forums, unions, bargaining councils, agreements)
			What conditions exist within the public service?	List of conditions (performance, probation, working hours, leave, remuneration, termination of service)
			What benefits exist within the public service?	List of benefits (medical, insurance, pension, etc.)
			What legislation guides HR policy?	Title
			What is the scope	List focus area and coverage
			What are the key focus areas	List of key focus areas (code of conduct, accountability procedure, regulatory mechanism)
			What is the date of the legislation and its last amendment?	Dates

4.3.3 Human resources development
Development policies and practices			Is there a performance management system in place?	Yes//No If yes, provide the title of performance management policy documents
			What training policies exist?	Provide details of training policy documents
4.4 Finance – the systems and procedures for financial management
4.4.1 Revenue Collection
Systems and mechanism for revenue collection	Which agencies are involved in the collection of government revenue?	List all revenue agencies at National level.	What is the name of the revenue agency?	Revenue Agency
			What level does it operate?	Level of operation (national, regional or local)
			What is its mandate/power?	Mandate of Revenue Agency
	What is the total amount of government revenue?		What is the current revenue of the agency excluding grants (US$)?	Current revenue excluding grants (US$)
			What is the revenue agency's current revenue excluding grants (% of GDP)?	Current revenue excluding grants (% of GDP)
	What are the principal sources of revenue at the National level of government		What is the source of revenue?	Revenue source
			What is the amount collected?	Amount collected
			What % of the total does the source constitute (in US$)?	% of total in US$
4.4.2 Expenditure.
The break down of public finance and the mechanisms and procedures that govern the allocation of public funds	What is the level of general government expenditure?		What is the title of the regulation, rule or guideline and in which year was it introduced?	What is the % breakdown per sector?
			What is the purpose of the regulation, rule or guideline?	What is the budgeting practice of the institution?
			What is the level of the institution?	Planning level (National, Regional Local)
	What are the procedures for awarding central government contracts?	What is the breakdown of general government expenditure between capital and current expenditure?	What is general government expenditure as a % of GDP in US$?	General government expenditure (% of GDP)
			What is the amount of capital expenditure (US$)?	Capital expenditure (US$)
			What is the amount of capital expenditure (% of total expenditure)?	Capital expenditure (%of total expenditure)
			What is the current expenditure (US$)?	Current expenditure (US$)
			What is the amount of current expenditure (% of total expenditure)	Current expenditure (% of total expenditure)
	What is the allocation of public expenditure between the different tiers of government?		What is the public expenditure allocation?	Public expenditure allocation (US$) (a) central government, (b) state, provincial or regional government and (c ) local government
			What is the public expenditure allocation (% of total public expenditure)?	Public expenditure allocation (% of total public expenditure) (a) central government, (b) state, provincial or regional government and (c ) local government
	What is the breakdown of public expenditure between the different types of service?		What is the public expenditure service breakdown (US$)?	Public expenditure service breakdown (US$) (a) education (b) health (c) welfare) (d) policing (e) defense) (f) economic services (g) infrastructure (utilities) (h) administration
			What is the public expenditure service breakdown (%)?	Public expenditure service breakdown (%)(a) education (b) health (c) welfare) (d) policing (e) defense) (f) economic services (g) infrastructure (utilities) (h) administration
4.4.3 Financial systems – the systems that manage public finance
	What institutions are involved in budgeting?		What is the name of the institution?	List budgeting institutions per level
				% breakdown (a) social services (b) protection services (c ) economic services and infrastructure (d) administration
				Budgeting practice (a) incremental (b) zero-based (c ) other

4.5. Information Technology – the systems and technology which facilitate the management of information in the public service
			What is the amount of IT spending?
			What is the e-government strategy or policy?
			What institutions regulate IT?
5. MONITORING, EVALUATION AND OVERSIGHT – the processes and institutions established to ensure accountability in policy development and implementation
5.1 Government Monitoring and Evaluation
Government processes and bodies in place to monitor policy implementation	What government institutions and processes monitor policy implementation?	List monitoring institution and processes.		What is the institution's name?	Monitoring institution
				What is the level of operation?	Level of operation (national, regional or local)
				What is its mandate?	Monitoring institution mandate
				What process does it use to monitor implementation?	Monitoring process (Scan available data sources to generate alternatives)
				What indicators does it use?	Monitoring indicators (Scan available data sources to generate alternatives) (Multiple response)
				What tools does it use?	Monitoring tools (Scan available data sources to generate alternatives) (Multiple response)
				How does the institution report?	Annual report, parliament vote, etc.
				What is the report scope?	Reporting scope
				What is the reporting period?	Reporting period
5.2 Oversight Agencies
Independent agencies involved in the oversight of policy implementation	What oversight agencies exist?	List all oversight agencies with functions, staffing and costs.		What is the institution's name?	Name of Institution
				What is the level of operation?	Level of operation (national, regional or local)
				What is its mandate?	Functions (commissions, constitutional bodies, ombudsman)
				What is the size of the personnel?	Number of people employed
				What is the personnel breakdown?	Number of staff per clerical, supervisory, middle and senior management.
				What is the operational budget?	Operational cost for the department (personnel and other)
				What is the service budget?	Service delivery budget