E-guide On Participatory Audit

The Basics of Supreme Audit Institutions-Citizen Engagement

  1. Module 01
  2. Readiness assessment
  3. For SAIs

Readiness assessment for SAIs

Overview

What should SAIs take into account before embarking on active citizen-engagement strategies? Adequate planning and clear objectives are fundamental to success. A legal framework backing citizen participation and sensitized staff receptive to the effort can be enabling conditions. Many aspects should be balanced when considering approaching civil society. This section provides some guiding questions to assess where to focus when developing participatory policies.

In order to undertake this self-assessment, check the following key areas -which are briefly defined and exemplified-, and answer the questions below each section: a. Leadership, b. Policy and Legal Framework, c. Institutional Structure and Skills within the SAI, d. Communication Channels and Type of Reports Produced by the SAI, e. Willingness of Civil Society to engage, and f. Financing/Resources.

Bear in mind that answers are displayed in different colors, similar to a traffic light. This means that green entails a positive response (“yes”, “always”, “a lot”, “I strongly agree”) while red means a negative answer (“no”, “never”, “very little/few”, “I disagree”). Between these ends, the yellow color accounts for “somehow”, “sometimes”, “maybe”.

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Bibliography

TPA Initiative – ACIJ (2011): “Diagnostic Report on Transparency, Citizen Participation and Accountability in Supreme Audit Institutions of Latin America”

TPA Initiative – ACIJ (2013): “Audit Institutions in Latin America. Transparency, Citizen Participation and Accountability Indicators”.

Cornejo, C., Guillan, A. & Lavin, R. (2013): “When Supreme Audit Institutions engage with civil society: Exploring lessons from the Latin American Transparency Participation and Accountability Initiative”, U4 Practice Insight Nº5, Bergen, U4 Anti-Corruption Resource Centre - Chr. Michelsen Institute.

O´Donnell, Guillermo (2001): “Horizontal. Accountability: The legal institutionalization of mistrust”, Buenos Aires, PostdataN°6, pp. 11-34.

OECD (2013): “Citizen Engagement and Supreme Audit Institutions” (Stocktaking Report: DRAFT).

UN (2013): “Citizen Engagement Practicesby Supreme Audit Institutions”, Compendium of Innovative Practices of Citizen Engagementby Supreme Audit Institutions for Public Accountability.

INTOSAI (2013): “The Value and Benefits of Supreme Audit Institutions – making a difference to the lives of citizens”,ISSAI 12.

INTOSAI (2013): “Beijing Declaration”.

OLACEFS (2013): “The Santiago Declaration”.

INTOSAI (2010):“Principles of transparency and accountability”,ISSAI 20.

INTOSAI (2010):“Principles of Transparency and Accountability - Principles and Good Practices”, ISSAI 21.

INTOSAI (2007): “The Mexico Declaration on SAI Independence“, ISSAI 10.

OLACEFS (2009): “Asuncion Declaration”.

INTOSAI (1977): “Lima Declaration”.

UN (2011): Resolution A/66/209 “Promoting the efficiency, accountability, effectiveness and transparency of public administration bystrengthening supreme audit institutions”.

UN (2003): “United Nations Convention against Corruption”.