UNDAF Process: Step 2 Country Analysis Session 7

Session Objectives By the end of this session participants will be able to: Undertake causality analysis of development challenges to identify the immediate, underlying and root causes of the problem at stake; Build on their causality analysis to identify claimants and their claims, and accountable actors and their corresponding obligations; Use this role analysis to identify the critical capacity gaps that prevent claimants from claiming what they are being denied of, and accountable actors from meeting their obligations; Apply the anti-corruption normative frameworks to strengthen their overall analysis.

Gathering Information Country Analysis Gathering Information Assessment Analysis

Gathering Information Legal System: Constitution, treaties Political Structure: Form of State, Political parties Social Structure Demographic and ethnic characteristics The Economy Natural Resources, Investments Outside Forces at Work: Donors, Multinationals, Other States Country and People Legal System Political Structure Social The Economy Outside Forces at work From an anti-corruption perspective, every ‘Country Analysis’ should at least contain information about: Normative standards (national, regional and international level); Reviews and Self-Assessments (e.g. for States parties of UNCAC or under other relevant Conventions); Institutional Framework in the Field of Anti-Corruption (Actors and responsibilities); Existing regulations and mechanisms; Statistical data (Perception, victimization and governance studies ) Extra ideas: The corruption narrative of the country; level of political will; legal framework; institutional framework and capacities; independence, effectiveness and efficiency of institutions. For more information consult the resource guide (section 5.2)

Gathering Information - Reminder! Where does the information come from? Triangulation of data is important! Don’t reinvent the wheel! In an ideal situation, anti-corruption programmes would be based on a sound foundation of corruption risk assessments and measurements of the extent that corruption has permeated the public and private institutions. In reality, however, this is easier said than done. Measuring corruption is a complex endeavor, and it is infused with a high risk of inaccuracies as well as political controversy. Fortunately, there has been tremendous progress in the development of indicators to measure or assess different aspects of anti-corruption, such as integrity, transparency, governance, and the rule of law. One of the foundational documents in this regard is the 2008 Users’ Guide to Measuring Corruption, developed by the UNDP and Global Integrity. E.g. illicit behaviours are generally hidden, which makes them more difficult to identify and describe. Corruption is often underreported; e.g. victims might be, to some extent, co-responsible for the crime or fear retaliation. Moreover, national legislation, which is not fully consistent with UNCAC, could blur the boarders between licit and illicit etc. Therefore data on reported crime will not provide enough information to assess the scope of the phenomenon. UNDP, A Users' Guide to Measuring Corruption (UNDP, 2008); see also UNODC and the Centre for the Study of Democracy, Workshop on Measuring and Monitoring Corruption and Anti-Corruption (17-18 June 2005)

Assessing the Ingredients Functioning of the State and Society Limitations Implications Obligations

Focus Area for UN Analysis ? MDGs Disaster Risk Reduction Trade Youth Governance Civil Society

Quick Reminder: The gathering information and assessment stage, as part and parcel of the UN Country analysis, to establish the base-line needs sufficient time in the roadmap This phase already creates a tremendous opportunity for consensus building within the UN itself as well as with government partners and civil society.

The Programming Principles and the UNDAF Human rights-based approach (HRBA) Gender equality Environmental sustainability Capacity development and Results based management (RBM)

Important 3 normative principles 2 enabling principles HRBA, Gender Equality, and Environmental Sustainability Connect international norms and standards and agreed development goals to the UNDAF process 2 enabling principles Capacity development and RBM Help to make the normative principles operational in the UNDAF UNCTs are required to apply the 5 programming principles which are intended to strengthen the quality and focus of the UN responses to national priorities

Anti-corruption linkages with UNDAFs normative principles UNDAFs Programming Normative principles   Corruption Linkages Examples of anti-corruption Entry points with respect to the UNDAF Programming Principles Human Rights Corruption denies access to public services in favour of those able to influence authorities to act in their personal interest. Corruption generates discrimination. Corruption in the judicial system violates basic human rights to equality before the law. Corrupt political systems deny the fundamental right to democratic participation. Corruption reduces public expenditures especially on education, health, and social protection while also affecting the quality of services. A legally mandated and enforced line of accountability of those who have the obligation to deliver public services. Legislation that guarantees the right to access to public information, transparency and accountability into all public sectors. Participation and collective action from citizens and civil society organizations to strengthen accountability measures for the use of public resources. Strengthening legislative processes, legal safeguards and justice mechanisms for vulnerable groups to fight corruption as well as ensure human rights of vulnerable groups.

UNDAFs Programming Normative principles Anti-corruption linkages with UNDAFs normative principles UNDAFs Programming Normative principles   Corruption Linkages Examples of anti-corruption Entry points with respect to the UNDAF Programming Principles Environmental Sustainability Corruption is used for land expropriations. Corruption deprives citizens in general, yet especially those with a low-income, of their rights to services such as water, electricity, and environmental safety. Private companies may pay state officials to shape the laws, policies, and regulations. State capture may happen through legal methods such as lobbying and donation-giving to political parties. Incorporation public hearings of new projects subject to environmental and social impact. Empowering local communities to use resources sustainably and thereby incentivizing resource control and protection. Making communities aware of the corruption risks in REDD+ mechanism by strengthening the rights of indigenous population. Promoting consumer awareness and collective action. Strengthening policy for environmental management by enhancing access to data and information, greater inclusion of stakeholders, and supporting the integration of environmental analysis into anti-corruption strategies.

UNDAFs Programming Normative principles Anti-corruption linkages with UNDAFs normative principles UNDAFs Programming Normative principles   Corruption Linkages Examples of anti-corruption Entry points with respect to the UNDAF Programming Principles Gender Equality As corruption affects poorer sections of a population, women are likely to be affected more severely. Gender bias in the judicial system hurts women. Trafficking is more likely in a corrupt environment. Sexual corruption in the workplace affects women. Corruption hinders gender equality. Corruption is an obstacle for women participation in the decision making. Use gender disaggregated data in risk and corruption assessments. Consult women´s organization national anti-corruption strategies. Promote special accountability tools and mechanisms aimed at protect women´s rights. Consult and involve women´s organization in gender sensitive anti-corruption strategies.

Anti-corruption Linkages with UNDAF enabling principles UNDAFs Enabling Principles Anti-corruption Linkages Results-based Management (RBM) An analysis of corruption problems, possible causes, and consequences provides the required baseline information on a corruption. A selection of entry points based on a sound analysis of country’s national anti-corruption instruments and the actors will help clarify priorities and sequence short, medium, and long-term priorities. Follow up and sustainability: Corruption evolves and changes over time and thus, the analysis of corruption should be considered an on-going process. Tracking progress by utilizing assessment tools helps measure the effectiveness of programmes.

Anti-corruption Linkages with UNDAF enabling principles UNDAFs Enabling Principles Anti-corruption Linkages Capacity Development The capacity development approach is central to anti-corruption programming. For example, support to increase state/institutional capacity on anti-corruption has to look at three levels: enabling environment (legal and institutional frameworks, political environment, etc.); mandates and organizational capacity of relevant anti-corruption institutions (e.g., anti-corruption agencies, prosecutor’s office, etc.); and capacity of civil society and media.   Capacity Assessment of Anti-Corruption Bodies under the UNCAC Framework: Strengthening of anti-corruption bodies should start with a capacity assessment and be followed by the implementation of capacity development plan to address the issue of independence, degree of authority, functions, internal organization, and coordination with relevant public and private-sector organizations. Strengthening civil society and the Media to support anti-corruption is a key element in anti-corruption programming. Capacity-strengthening methods may include: awareness-raising; training of civil society members and journalists; increasing the participation of civil society and the Media in policy formulation; or supporting good governance principles in CSO organizations.

But !! It will be critical to ensure that key contextual issues deriving from the earlier steps will come back into the deeper analysis as well HRBA GE ES DRR AC CP

GATHERING INFORMATION Shortlist major development issues Country Analysis GATHERING INFORMATION ASSESSMENT Shortlist major development issues for deeper analysis ANALYSIS 17

Assessment Analysis in three steps Causality Analysis 1 Why? What is at stake? Analysis in three steps Role Analysis 2 Who is being denied what? Who has to do something about it? Capacity Gap Analysis 3 What do they need to take action?

What is it? it? Causality Analysis A technique for identifying causes of a problem which can then be used to formulate appropriate responses; We can map the problem and its causes in the form of a problem tree. 19

Group Work – Part 1: Causality analysis/problem tree Using the information from the Country about the national development challenges: Identify a critical development problem – be prepared to explain why you selected this problem over another Formulate a problem statement in terms of what is happening, to whom and where – write it on a card Discuss and identify the immediate, underlying and root causes – ask “WHY” Build a problem tree Each group will select and define one problem to work on. Constructing a problem tree for those unfamiliar with the practice will be most easily done by initial brainstorming and noting the results on cards. E.g. if the question is “Why do girls leave school?”, group members may note any possible cause without respect to whether it is immediate, underlying or basic. Once a reasonable number of causes have been identified, the causes may be structured in the logical chain. The alterative is to try to build from the top down, but this will be less participatory and creative. Selecting one chain means one vertical causal relationship out of the various possible vertical relationships. An example of a corruption related problem in the health sector is available in the resource toolkit (page 38) 20

“Poverty in remote rural areas, particularly among ethnic groups” Problem statement “Poverty in remote rural areas, particularly among ethnic groups”

To unpack the causes of a Problem CAUSALITY ANALYSIS Problem Immediate Causes Underlying causes Root Causes To unpack the causes of a Problem 22

Causality Analysis EFFECT Problem Statement Immediate causes Underlying causes Root causes EFFECT Problem Statement Poverty in remote rural areas, particularly among ethnic groups Lack of employment opportunities in rural areas Low farm productivity Immediate Causes Lack of marketable skills of the rural poor Lack of access to markets Lack of access to resources agricultural extension services Corruption in credit and savings schemes new technology/ inputs (seeds, fertilizer, etc) Landlessness/ land tenure insecurity Underlying Causes Poor transportation/ infrastructure Unfair land concessions and land grabbing Causality analysis PLUS: Identify entry points from UNCAC that you could bring up in the UNCT analysis of this problem Next: Choose a branch to focus your analysis on Role analysis Causality gap analysis Root Causes Lack of access to Justice & Recourse mechanisms Population increase FDI increase and greater demand for land for mining, hydro power, etc. Clientelism and patronage CAUSES

Group Work – Part 2: Causality analysis/problem tree Select one chain from the problem tree – consider UNCT comparative advantages to help with selection 24

Analysis in three steps Assessment Causality Analysis 1 Why? What is at stake? Analysis in three steps Role Analysis 2 Who is being denied what? Who has to do something about it? Capacity Gap Analysis 3 What do they need to take action?

Role Analysis Claimants (RHs) Accountable actors (DBs) Check what the normative framework says about claims and duties Claimants (RHs) Who are they? What are their claims? Accountable actors (DBs) What are their obligations? Check also what role is expected from accountable actors Claimants (Rights-holders) Accountable actors (Duty-bearer) 26

Role Analysis 1. To identify who are the claimants, their claims and the current status of those claims (what the claimants are experiencing); 2. To identify the accountable actors who must do something about those claims, their most critical obligations and the roles they currently play (what the accountable actors are actually doing); 3. To identify other responsible actors who could do something about those claims, their most critical responsibilities and the roles they currently play (what the responsible actors are actually doing);

Group Work: Role Analysis Given the critical corruption-related issue you have identified in step 1: 1. Focusing on the branch selected, identify a main claimant, a claim and the current status of that claim 2. Identify a strategic accountable actor who must do something about that claim , their most critical obligations and the role they currently play 3. Identify a responsible actor who could do something about that claim , their most critical responsibilities and the role they currently play Role Pattern Whose rights are being affected? Who is responsible for the rights not being respected, protected or fulfilled? Who are the rights-holders and do they have the capacity to claim their rights including the ability to access information, organize and participate, advocate claims and policy change, as well as obtain redress? What, specifically, is owed to the rights holders? What mechanisms of delivery, accountability, and redress exist, and what mechanisms should be established? Who are duty-bearers and what obligations are they supposed to meet? Who are the specific actors or institutions responsible for performance and do they have the capacity to meet obligations (including responsibility, authority, data, and resources)? Are these duty-bearers also rights-holders? In other words, do they rely on others performing their duties in order to be able to, in turn, deliver what they owe? Do the others have the capacity to perform their duties? What is the relationship between the rights-holders and duty-bearers in regard to the development issue being examined and at what level are interventions for capacity building most effective (community, regional, national)? Call Boxes: the identification of roles should not be an arbitrary exercise. It should be guided by the claims and duties established in international human rights standards as well as by the more specific roles and standards defined in national laws, procedures and policies.

Role Analysis Claimants (RHs): Claim: Current Status: According to National and/or Regional and International normative frameworks Current Status: What is the claimant actually experiencing? Accountable actors (DBs): Obligations: Current Role: What is the accountable actor actually doing? Other responsible Actors: Responsibilities: Defined in relation to the issue at hand and given the local situation What is the responsible actor actually doing? 29

Role Analysis Poverty in remote rural areas, particularly among ethnic groups Claimants: (Who is denied what?) Communities Citizens Rural people Minority groups Other Responsible Actors: (Who has a role to play?) Accountable Actors: NGOs (Who is accountable?) Private Sector Service providers District Level Officials Ministries (Environment, etc.)

Analysis in three steps Assessment Causality analysis 1 Why? What is at stake? Analysis in three steps Role analysis 2 Who is being denied what? Who has to do something about it? Capacity gap analysis 3 What do they need to take action?

Capacity Gap Analysis Claimants (RHs) capacity elements: Can? - Knowledge - resources - individual abilities Want? - Security - motivation Enabling environment? - right to participate - Information - freedom of association and expression Accountable actors (DBs) capacity elements: Can? - Knowledge Resources (human, technical and financial) Organizational challenges Want? Responsibility/motivation /leadership Must? - Authority How to operationalize anti-corruption in such a way that it creates value-added for enhanced development effectiveness If anti-corruption or governance issues are treated as stand alone issues, other institutions will not see the agenda as relevant to their mandates. By strengthening the capacity of Ministries, Departments and Agencies (MDAs) to prevent corruption. Particularly, in regards to the identification of risks, vulnerabilities and loopholes that facilitate corruption as well as in the design of action plans to prevent its occurrence. By strengthening accountability systems from a multi-stakeholder approach including: CSOs, the private sector, donors, MDAs and the anti-corruption agencies. By integrating anti-corruption measures into national development processes. Integrity, accountability and transparency measures need to be integrated as part of the national and local development agendas in order to tackle corruption risks.

Capacity Gap Analysis Based on the role analysis, the capacity gap analysis aims at: Identifying the key capacity gaps of the claimants (RHs): The aspects that prevent claimants from claiming what they are being denied of and what they would need to take action Identifying the key capacity gaps of the accountable actors (DBs):  The aspects that prevent accountable actors from fulfilling their obligations and what they would need to take action Identifying the key capacity gaps of other responsible actors:  The aspects that prevent other responsible actors from assuming their potential roles and what they would need to take action 33

Group work: Capacity Gap Analysis Based on the role analysis: For the claimants (RHs), identify their key capacity gaps The things that prevent claimants from claiming what they are being denied of and what they would need to take action For the accountable actors (DBs), identify their key capacity gaps  The things that prevent accountable actors from fulfilling their obligations and what they would need to take action For the responsible actors, identify their key capacity gaps  The things that prevent responsible actors from assuming their potential roles and what they would need to take action

Reason for Capacity Gap / Possible Action to fill the Capacity Gap Analysis Poverty in remote rural areas, particularly among ethnic groups Capacity Gap Reason for Capacity Gap / Possible Action to fill the What prevents rural people from…knowing/accessing etc.?  What do they need to take action? What prevents district level officials from performing their roles? HRM Procurement Conflict of Interest Code of Conduct What prevents private sector from contributing to addressing this problem? Training Law enforcement UNCAC articles 12 (Private sector), 13 (CSO)

Gallery of analysis: Debriefing of 3-step analysis Our opportunity to “visit” other groups and give feedback Organise your 3 steps on the wall Choose one person to present your analysis Causality Analysis: Is there a logical flow in the causality analysis and clarity of problems? Role Analysis: Are the claims and obligations intuitive and presented in plain language – when you read an obligation can you imagine a corresponding action? Capacity Gaps: Is there sufficient attention to capacity gaps that address the lower levels of the framework (root causes) – related to critical gaps in legal, institutional and policy and budgetary frameworks? Gender Dimension: How well does the analysis reflect the different ways that women and men experience the development challenge? Will the capacities address the root causes of gender inequality? !! Remember to leave comments on post-it notes

Analysis in the programming process: remember 4 critical questions This analysis helps the UN and partners to answer 4 critical questions: Why? What problem(s) is at stake?  Who is being denied what? Who has to do something about it? What do they need, to take action? 37 37

comparative advantage Next Step Where does the UN have a comparative advantage

Definition of Comparative Advantage Mandate to act Capacity to act Better positioned to act than others

Strategic Priority Setting for UN Country Teams MD/MDGs/ International norms Top strategic priority Potential high priority: use negotiation & consensus building to seek alignment Potential high priority: draw on regional & global UN capacity where feasible 4. Lower priority: does not meet major challenge Major National Challenge UNCT Comparative Advantage 2 Alignment of key actors to support UNCT action 1 4 3 The slide from the previous session on integrating anti-corruption in UN programming through a sectoral approach can be explained in this session as well. 40