evaluation and the budget - the role of sais -- leonardo albernaz, brazil

THE ROLE OF SUPREME AUDIT INSTITUTIONS - SAI

MANDATE: PERFORMANCE AUDIT

EFFICIENCY

EFFECTIVENESS

EQUITY

QUALITY

PERFORMANCE

And more...

POLICY EVALUATION: MAIN OUTPUT

SAI

Parliament

Government

INFORMATION Society

SAI AND POLICY EVALUATION

EFFICIENCY

EFFECTIVENESS

EQUITY

QUALITY

PERFORMANCE

Looking at... One policy... And the past.

SAI AND POLICY EVALUATION

OVERSIGHT INSIGHT FORESIGHT

PERFORMANCE

PERFORMANCE

PERFORMANCE DRIVERS

WHOLE-OF-GOVERNMENT APPROACH

A GOVERNMENT...

Applies billions of dollars in

programs to fight smoking

AT THE SAME TIME...

Applies billions of dollars in

subsidies to tobacco production

GOVERNANCE FAILURES

Each program may work really well...

And the global results still are not

the best.

Isolated assessments

are not enough

GOVERNANCE FAILURES

• Lack of Coherence

• Overlapping

• Shadow Spots (gaps)

GOVERNANCE FAILURES

• Lack of Coherence

• Overlapping

• Shadow Spots (gaps)

GOVERNANCE FAILURES

Isolated assessments

are not enough

Centre of Government

Resource Allocation

Regulatory

Policies

WHOLE-OF GOVERNMENT APPROACH

COHERENCE AND COORDINATION SAI

GOVERNANÇA EM POLÍTICAS PÚBLICAS

1. Institutionalization

2. Plans and Goals

3. Social Openness and Participation

4. Resources and Organizational Capacity

5. Coherence and Coordination

6. Monitoring and Evaluation

7. Risk Management / Internal Control

8. Accountability

THE STRUCTURAL COMPONENTS

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

Unstructured Incipient Intermediate Refined Advanced

4% 7%

85%

4%

iSA-Gov: MATURITY INDEX SYSTEMS OF MONITORING & EVALUATION

Assessment Demands

Evaluative Knowledge Generation

Organizational Learning Capacity

Use of Evaluative Knowledge

9

26

16

8 6

Early Stage Intermediate Basic Enhanced Advanced

ASSESSING THE MATURITY LEVEL RISK MANAGEMENT OF 65 PUBLIC AGENCIES

Environment

Processes

Partnerships

Results

9% 13%

19% 27% 7%

7%

7%

8% 33% 31%

27%

19%

36% 34% 30%

22% 16% 16% 17%

24%

0%

10%

20%

30%

40%

50%

60%

49% 51% 53% 54%

N=7770

nonexistent insufficient initiated intermediary enhanced

Leadership Strategy Control

iGG – GENERAL GOVERNANCE INDEX Assessing Leadership, Strategy and Control

IGGs

Improve dialogue capacity

Develop shared diagnosis and solutions

Stimulate innovation

Adopt systemic approaches

Enhance Public Governance

CHALLENGES