Asian Development Bank

Guide Questions to Public Administrations

A. Government System

Objective:

To assess the overall policy making and implementation framework with special attention to understanding the extent to which underlying institutional arrangements/mechanisms are geared to produce substantive, well informed, non-contradictory policies that are sustainable in budgetary terms and implementable.

Overall Assessment:

• The extent to which the legislature has influence over the nature and scope of policies
• The degree to which the system for policy coordination and decision making within the executive provides a foundation for cross-sectoral perspectives and strategic support for the Cabinet.
• The degree to which the impacts of policies are considered.
• The possibilities for the public to influence policy-making
• How effective are on-going reform efforts to address weaknesses?
• Is there political and bureaucratic commitment to reform the civil service and if so which areas are the most promising?
• What contribution can ADB make in the design and implementation of reforms?

Guide Questions:

A.1. Constitution and Legislature:

• Is there a written constitution? If there is a written constitution, has it been translated into language(s) that the majority of citizens can read and understand?
• Does the constitution call for a separation of powers between the functions of the legislature, the executive and the judiciary?
• Are the functions and responsibilities of key actors in the executive (president, PM, Ministers) clearly defined and effective?
• Does the legislature have the powers of (a) financial and (b) bureaucratic oversight

A.2. Machinery of Government (Policy-Making and Coordination)

• Is the policy-making framework coherent? Is it understood and accepted by all actors? Is the policy development process documented?
• Do inter-ministerial consultations take place on policy proposals? Do these consultations focus on financial and legal implications of proposed policies? In general are all concerned ministries consulted?
• Is there a process in place to plan the government’s agenda? For the short and medium-term?
• Is there a process of resolving inter-ministerial disagreements on policy issues?
• Is there a central administrative management body which ensures coordination (including communicating decisions to all agencies), provides logistical support to decision making, ensures recording and monitors implementation of decisions?
• Is there effective central capacity to provide advice to the Prime Minister, Council of Ministers and committees of ministers on strategic issues; is substantive policy advice available through these arrangements?
• Are there mechanisms in place that ensure that ministers are fully involved in key budget decisions ( e..g. reviewing policy priorities and the resulting budgetary requirements, setting limits on spending at the aggregate and sectoral levels, and resolving inter-ministerial disputes on budgetary matters)
• Is the policy preparation cycle include mechanisms to assess the impact (budgetary, economic, social and environmental as well as practicability of implementation) of policies?
• Which agency is responsible for preparing draft legislation? Is the work of experienced lawyers sufficient for legal expression of policy?

A.3. Participation in the Policy-Making and Legislative Processes

• the planned legislative program published / gazetted
• Are debates on the progress of legislation available to the public?
• Are draft versions of legislation published?
• Are drafts circulated in the local language?
• Can the public sit in on legislative debate?
• Is there a mechanism by which citizens can make known to politicians their needs and preferences? Are there mechanisms for citizens to get legislation onto the government agenda?
• Are non-government professionals drawn upon to do undertake needed analysis (e.g. academics, doctors, small-scale businessmen)
• Is the process for secondary legislation (regulations) transparent (i.e. drafts published; legislative debate)? Do interested parties have open and transparent mechanisms to present their views?
• Are papers on policy issues made available to the public?
• Is there provision for civil institutions (NGOs, Universities etc. to participate in policy development discussions? Are Commissions set-up to solicit views and opinions from the public and concerned citizens/organizations? Do citizens’ groups have the right to present papers and positions for consideration?

A.4 Corruption of Politicians

• Are legal sanctions applied against politicians involved in corruption?
• Do codes of ethics exist for: a) Ministers
  b) Legislators
• Do conflict-of-interest provisions exist regarding receiving gifts? Concurrent holding of office, Political activity, Commercial and business interests
• Are leaders required at regular intervals to declare assets and liabilities of:
  a) themselves
  b) Their spouses
  c) Adult children
  d) Other family members
• Are declarations of assets and liabilities of leaders and their relatives made public?
• Are declarations of assets/liabilities audited?

B. Civil Service

Objective:

To assess the degree to which civil service arrangements are implemented in line with existing laws and to determine whether human resources are managed with reference to accepted public management practices

Overall Assessment:

• The extent to which there is an established civil service which acts within an established legal framework
• The progress that has been made in ensuring the impartiality and integrity of civil servants
• The effectiveness of the human resource management (HRM) system g to the private sector – in the civil service and how effective have these reforms been in addressing weaknesses in the civil service?
• Is there political and bureaucratic commitment to reform the civil service and if so which areas are the most promising?

Guide Questions:

B.1. Legality and Accountability of the Civil Servants

• Does a Civil Service Law exist? If a law exists, when was it last revised? Does the law define the status of civil servants?
• Are civil servants responsible for implementing government policy, carrying out administrative actions and ensuring service delivery?

B.2 Impartiality, and Integrity of Civil Servants

• Are administrative actions taken independently of the interests of public servants?
• Are effective accountability mechanisms in place? (e.g. disciplinary councils, inspectorates, ombudsman type arrangements)
• Is corruption and other abuses of power subject to effective disciplinary and penal remedies?
• Does an Ethics Code exist? Is it enforced?
• Does whistle blower legislation exist?
• Are there formal rules requiring political independence of civil servants?
• Are political appointments identified in the system?
• Can political appointments be made to professional civil service positions?

B.3. Management of the Public Service and HRM issues

• Is a cross-government management structure established for the civil service (e.g. a Civil service Commission)?
• Do HRM systems exist?
• Do management practices ensure that public servants are motivated to perform well?
• Do legal frameworks and management practices provide for the open and competitive selection of public servants? Is this process based on merit? Are criteria transparent?
• Is promotion based upon systematic, periodic performance reviews? Is there a performance measurement system in place?
• Is there an appeals system in place for employees to contest a staffing decision?
• Is there a standardized civil service pay structure applied to the whole of government? How are salary levels and increases determined? Are civil servants paid bonuses? How are bonuses financed?
• How does total compensation (salary plus benefits) of a public servant roughly compare with his or her equivalent in the private sector? Does this create recruitment and retention problems especially for specialist categories?
• Are the number of staff and personnel costs controlled and published?
• Do civil servants get retirement pensions? Are these pensions adequate?
• Is there a career development program for professional level government employees?
• Does a top management service (SES, EXS, etc) or its equivalent exist?
• Do civil servants (especially senior levels) have tenure?
• Is there a training system that covers the whole civil service? Are training policies geared to lifelong learning and to help career development? Do all civil servants have easy access to available training?

C. Local Governance

Objective:

To evaluate the capacity of local governments to respond adequately to the real needs of their constituencies

Overall Assessment:

• The extent of autonomy and flexibility from the national government of local government units?
• The accountability of local governments to their community?
• The efficiency and effectiveness of local governments in delivering public services
• How effective are on-going efforts to address weaknesses through reform programs
• Is there political commitment to reforms and if so which areas are the most promising?
• How can ADB contribute (or further contribute) to the design and implementation of the reform process?

Guide Questions:

C.1. Legal Foundation

• Is there a legal basis for administrative, fiscal, and political decentralization?
• What public services are they directly responsible for?
• Do local governments have the autonomy to manage the affairs of their municipalities/towns/cities/provinces?
• Are local officials elected or appointed? If the former, how often are elections and how are campaigns funded?

C.2. Public Finances

• For a typical local government unit, what is the ratio of local revenue collected to the total revenue of a local government unit?
• Is the local budget prepared in consultation with community groups and if so is the consultation structured and are the recommendations of the groups incorporated into and implemented through the budget?
• Does the local government publish its annual budget and if so is the published document easily accessible to the general public?
• Is local government procurement governed by the same rules that governs procurement by the national government?
• How extensive is corruption in procurement?
• Is there a local government auditor and whom does (s)he report to?
• Are audit reports published and easily accessible by the general public?

C.3. Civil Service

• Are local level civil servants subject to the same regulations as national level civil servants?
• If not, how are civil servants hired and promoted? How much do political considerations influence hiring and promotions?
• How much leeway does the head of a local government unit have in making appointments to the local government staff?
• How is compensation determined and is it comparable to private sector compensation (within the locality/region)? How is it comparable to compensation of national level civil servants?