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Sector Budget Support in Practice Sector Budget Support in Practice Synthesis Report February 2010 Tim Williamson and Catherine Dom Overseas Development Institute 111 Westminster Bridge Road London SE1 7JD UK and Mokoro 87 London Road Headington Oxford OX3 9AA UK Sector Budget Support in Practice – Synthesis Report Acknowledgements and Disclaimer This report is based on a synthesis of case studies which were written by a large team of researchers. The lead case study authors were: Tanzania Health – Gregory Smith Uganda Education – Edward Hedger Uganda Local Government – Jesper Steffensen Mali Education – Karolyn Thunnissen Mozambique Health – Muriel Visser-Valfrey Mozambique Agriculture – Lidia Cabral Rwanda Education – Mailan Chiche Tanzania Local Government – Per Tidemand Zambia Roads – Geoff Handley (also Literature Review) Zambia Health – Ann Bartholomew (also Donor Headquarters Accountability Study) This synthesis report was written by Tim Williamson and Catherine Dom, and reviewed by David Booth and Stephen Lister. We are grateful for the many helpful comments made to this report and the case studies. Particular thanks go to Jeremy Clarke and the case study authors. The research was carried out for the Strategic Partnership with Africa (SPA) and funded by the United Kingdom Department for International Development (DFID). The Agence Française de Développement funded the translation of the main reports. The views expressed in the report do not reflect the positions of DFID, SPA, the Overseas Development Institute or Mokoro. Furthermore, as is natural such a large study, it is possible that not all of the researchers would endorse the analysis and conclusions in this report in their entirety. ii Sector Budget Support in Practice – Synthesis Report Contents Acknowledgements and Disclaimer ................................................................................. ii List of Acronyms .............................................................................................................. vi Executive summary ........................................................................................................ viii Introduction ........................................................................................................................ 1 PART I – KEY FINDINGS AND LESSONS FROM SECTOR BUDGET SUPPORT IN PRACTICE .......................................................................................................................... 4 1. What is Sector Budget Support in Theory and Practice? ........................................ 5 1.1 Introduction ....................................................................................................................... 5 1.2 The challenge of aid effectiveness and the response at the sector level ........................... 5 1.3 SBS represents a Spectrum of Aid Instruments ................................................................ 7 1.4 SBS Funds and Financial Management Inputs ................................................................. 7 1.5 Non Financial SBS Inputs – Dialogue, Conditionality, Technical Assistance and Capacity Building ....................................................................................................................................... 9 1.6 What does SBS look like? ............................................................................................... 10 2. What are the main Achievements of SBS and What Makes SBS Effective? ........ 10 2.1 Introduction ..................................................................................................................... 10 2.2 SBS and the expansion of service delivery ..................................................................... 11 2.3 SBS and the poor quality and inequity of service delivery ............................................... 14 2.4 SBS and improved efficiency in service delivery ............................................................. 17 2.5 What makes SBS effective? ............................................................................................ 20 3. Why has SBS evolved the way it has? .................................................................... 23 3.1 Introduction ..................................................................................................................... 23 3.2 Why do derogations occur? ............................................................................................ 23 3.3 Why no focus on service delivery? .................................................................................. 25 3.4 Why the weak link with GBS and broader reform processes? ......................................... 25 3.5 There is need to address the incentives faced by donors and recipients ......................... 26 4. Conclusions ............................................................................................................... 27 4.1 Introduction ..................................................................................................................... 27 4.2 The Overall Balance Sheet of Sector Budget Support in Practice ................................... 27 4.3 The experience of design and management SBS Instruments ........................................ 29 4.4 Towards Good Practice in the delivery of SBS ................................................................ 30 4.5 Towards a Virtuous Circle of More Effective Aid at the Sector Level ............................... 35 PART II – ASSESSMENT OF SECTOR BUDGET SUPPORT IN PRACTICE USING THE STUDY METHODOLOGY ................................................................................................. 37 1. Introduction ............................................................................................................... 38 2. Approaches, Aid Modalities and Sector Budget Support ...................................... 38 2.1 Approaches, Aid Modalities and the Aid Effectiveness Agenda ....................................... 38 2.2 Sector Budget Support as a Spectrum of Aid Instruments .............................................. 43 3. Methodology for Assessing Sector Budget Support in Practice .......................... 46 3.1 The Framework for Assessing Sector Budget Support in Practice .................................. 46 3.2 A Four Step Approach .................................................................................................... 48 3.3 Study Questions ............................................................................................................. 49 4. The Context in which Sector Budget Support is Provided .................................... 51 4.1 The importance of context .............................................................................................. 51 4.2 Country Context .............................................................................................................. 52 4.3 Sector Context ................................................................................................................ 54 4.4 Context for External Assistance ...................................................................................... 57 iii Sector Budget Support in Practice – Synthesis Report 5. The Key Features of SBS Provided and its Effects on the Quality of Partnership 62 5.1 The Key Features of SBS Provided ................................................................................ 62 5.2 Derogations from Country Policies, Systems and Processes .......................................... 74 5.3 SBS and its Influence on the Quality of Partnership and Transaction Costs .................... 76 6. Sector Budget Support and its Effects in Practice ................................................. 79 6.1 SBS and its effects on Sector Policy, Planning, Budgeting, Monitoring and Evaluation Processes and Sector Expenditure ............................................................................................ 79 6.1.1 Findings on the Effects of SBS on Policy Making and Strategic Planning .............................. 79 6.1.2 Findings on the Effects of SBS on Sector Budgeting .............................................................. 81 6.1.3 Findings on the Effects of SBS on Sector Reporting and Monitoring and Evaluation ............. 86 6.1.4 Findings on the Effects of SBS on Sector Resource Allocation .............................................. 87 6.1.5 Conclusions and Lessons Learned ......................................................................................... 91 6.2 SBS and its effects on Sector Procurement, Expenditure Control, Accounting and Audit Processes ................................................................................................................................. 94 6.2.1 Findings on the Effects of Sector Budget Support................................................................... 94 6.2.2 Conclusions and Lessons Learned ......................................................................................... 99 6.3 SBS and its Influence on the Capacity of Sector Institutions and Systems for Service Delivery ................................................................................................................................... 101 6.3.1 Findings on the Effects of Sector Budget Support................................................................. 101 6.3.2 Conclusions and Lessons Learned ....................................................................................... 109 6.4 SBS and its
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