89825 B u d g e t T r a n s pa r e n c y I n i t i at i v e SOCIAL AUDITS IN NEPAL’S COMMUNITY SCHOOLS Measuring Policy Against Practice Nepal’s publicly-funded schools have been managed by community-level stakeholders since 1950 when Nepal first adopted a demo- cratic system of government. Subsequent changes to legislation and policy have further devolved school management to the com- munity level, including the provision of financial resources to support decision making by school-level committees. In addition to these reforms, each community school is now required to conduct an annual social audit. Community School National Network (CSNN), a national Nepali NGO with expertise in social accountability approaches, conducted a pilot of 60 schools in three districts (Kaski, Dolakha, and Nawalparasi) to assess gaps in the implementation of social audits by schools as specified in the Guidelines for the Social Auditing of the Schools issued by the Ministry of Education (MoE) of the Government of Nepal. In each of the three districts studied, 70–80 percent of the entire school budget is community-funded. Approximately 83 percent of community schools conducted social audits in the academic year 2008–09. Their implementation varied between the three districts but gaps were usu- ally due to poor capacity and lack of information about community-level responsibilities. CSNN led a capacity-building initiative at the national, district, and community levels that included a training program for master trainers and facilitators who, in turn, strength- ened the capacity of the social audit committees (SACs) to collect data at the school level. CSNN also developed two templates to simplify data collection and monitor social audit implementation. The findings of this gap analysis and training program were disseminated through one national-level and three district-level workshops with the objective of influencing policy. A subsequent assessment of 20 schools in one of the pilot districts revealed that one iteration of the training effort has significantly improved community-level capacity to monitor and improve 22 of the 39 indicators in the Guidelines. I. Context systematically disincentivized and community-level capacity to manage and supervise school activities, generate resources, and Since 1950, Nepal has undergone a nationwide democratic monitor education quality deteriorated. movement that has impacted the country’s educational sys- tem. The shift to democracy was accompanied by support for a In an attempt to revive and enhance local ownership in school movement that would allow communities to establish and man- management, the 1999 Local Self Government Act articulated a age schools at the local level. But, a 1956 report by the National policy that, for the first time in Nepal, transferred school man- Education Planning Commission introduced intensive reforms agement to local bodies, including district development com- aimed at restructuring Nepal’s education system and by 1971, mittees (DDCs) and village development committees (VDCs). the National Education System Plan (NESP) had shifted school The seventh amendment to the 2001 Education Act furthered governance and financing to the MoE. NESP introduced a series this devolution to the community level by empowering school of reforms that were implemented across the country, includ- management committees (SMCs) and renaming all government ing the introduction of a national curriculum, textbooks, stan- schools “community schools.”1 This community school system dards for teacher service, and supervision system for schools is the main mechanism for providing basic education in Nepal. as well as an intensive financial commitment to education and 1. In Nepal, government-supported schools are called “community schools” educational management by the MoE in the national budget. and fall within the Education Act and education regulations. The enrollment The NESP reforms shifted the responsibility for school gover- rate for community schools at the primary level is approximately 85 percent. “Community-managed schools” are supported by World Bank’s Community nance from local communities to district- and national-level School Support Program and are subject to additional provisions in the educa- government bodies. In the decade after this policy of central- tion regulations that allow for community management of school resources. Private schools fully funded by parents or through public-private trusts are ized education was implemented, locally-based initiatives were called “institutional” or “private schools.” Figure 1. Pilot Districts Source: CSNN Report, January 2012. This education system is based on the principle of subsidiarity chairperson of the ward where the school is located, a teacher and underpinned by decentralized social practices. The MoE has (nominated by the head teacher), and a community leader nomi- demonstrated its commitment to the policy reforms by provid- nated by the PTA. In addition, one male and one female student ing financial resources in the form of grants and other incentives with the first position in the highest grade of the school partici- to the SMCs. Approximately 77 percent of nonsalaried2 and a pate as observers. The Guidelines also contain 39 indicators to full 100 percent of salaried grants from the MoE are currently assess areas such as physical and instructional facilities, data on managed by these empowered community-based committees. student enrollment, stakeholder meetings and consultations, and the financial management of the school. A social audit report is Social audits were introduced during the World Bank- often a prerequisite for schools to receive their annual govern- supported Community School Support Project (CSSP)3 in 2003; ment budget allocation from the District Education Officer (DEO). they were subsequently made mandatory in all community- managed schools with the Third Amendment to Education Despite the legal transfer of responsibilities, there are still Regulation 2008, Article 171 (a). To facilitate communities in many gaps between the Guidelines and their actual implemen- conducting social audits, the Department of Education (DoE), tation. Some schools, often due to a general lack of awareness developed Social Audit Guidelines (hereafter referred to as about the process, do not conduct social audits in accordance Guidelines) which incorporated the third amendment to scale- with the Guidelines, but community-managed schools are con- up the direct involvement of concerned stakeholders in the ducting much better social audits than other schools. In some operation of school activities. Since 2009, social audits are com- cases, parents, teachers, and other school stakeholders have not pulsory in all publicly-supported community schools in Nepal. been adequately prepared to carry out social audits. In other instances, the social audit reports were completed by the head The Guidelines indicate that a social audit must be conducted teacher and reported to the DEO after little consultation with every year by a six-member SAC comprised of the chairperson other stakeholders. of the Parent-Teacher Association (PTA) serving as a coordinator, two parents or guardians of children studying in the school who It was in this context that CSNN, with support from the World are nominated by the PTA (one of whom must be female), the Bank,4 conducted a pilot with the aim of promoting greater budget transparency and improve overall school governance 2. Non-salary grants are intended to fund materials such as books, stationery, school supplies, and building construction. 4. This pilot is part of the Budget Transparency Initiative (BTI) and was funded 3. During the World Bank’s CSSP project period, some community-managed by the Governance Partnership Facility. BTI activities are currently being piloted schools were selected to introduce a social audit process. Upon completion in Cameroon, Nepal, and Mongolia. In Nepal, BTI aims to strengthen school of the CSSP project, social audits were replicated in all government-supported budget management through community-led social audits and better financial schools (currently referred to as “community schools”). practices. 2 by narrowing the gap between MoE’s social audit policy and pilot, the key findings of the pilot, and policy recommendations the actual performance of community schools in implement- based on the findings and on district- and national-level work- ing them. The pilot was conducted primarily in three districts in shops with policymakers. Nepal —Kaski, a mountainous region; Dolakha, a hilly region; and Nawalparasi, a plains region (figure 1). The team piloted the initia- tive in 60 schools (20 from each district) that were drawn from II. Institutional Framework five clusters in each district (four schools per cluster), covering The MoE is responsible for the overall development of educa- primary to secondary schools. Given its history of political con- tion in Nepal, including the formulation of educational policies flict and lagging literacy and human development rates, 8 cen- and plans. Central-level agencies like DoE and the Curriculum tral-eastern districts in Terai (Saptari, Siraha, Dhanusha, Mahottari, Development Center under the MoE are responsible for design- Sarlahi, Parsa, Bara, and Rautahat) were also included to assess the ing, implementing, and monitoring programs across the country. status of community schools in these districts (figure 1; annex 1). Regional Education Directorates (REDs) are responsible for moni- The objectives of the pilot were to design capacity-devel- toring the programs undertaken by the district-level organiza- opment tools and train facilitators who could enable school tions. DEOs and resource centers (RCs) at the district and local stakeholders to conduct effective social audits; to analyze levels are the main implementing agencies of educational policies, gaps between the policy and practice of social audits in com- plans, and programs. Nepal allocates about 17 percent of its total munity schools; and to monitor and supervise the capacity- budget to the education sector; the ratio of educational expen- development training of school stakeholders with a follow-up ditures to GDP is much higher in Nepal than it is in Bangladesh or impact study. This paper describes the institutional framework Pakistan, almost equal to that of India. Table 1 details the break- that guides community schools, the methodology used in this down of the education budget at various levels of government. Table 1. Budget Allocations by Level of Educational Institutions Total Education Budget is 63,918,839,000 NPR or approximately US$718 million, Conversion is US$1 = 89 Nepalese Rupees (NPR) Institution Level (Total Number) Key Roles Amount/Percentage of Education Budget Managed National Ministry of • Formulate education policy • 1.2% total education budget Education (1) • 768,412,000 NPR or approximately US$8.6 million National Department of • Implement and monitor education programs Education (1) throughout country Regional Regional Education • Monitor DEOs within the region Directorates (5) District District Education • Provide support to schools with management and • 28.75% of total education budget Officer (75) instructional issues • 18,377,646,000 NPR or approximately • Review social audit reports US$206,490,404 • Serve as link between communities and the DoE and MoE Village Resource centers • Provide support to schools with management and • 50,000 NPR or approximately US$560 per RC (1091) instructional issues for innovative work (e.g., instructional materials • Supervise social audit activities prepared by teachers at the local level) and • Supervise financial audit activities recurrent costs from DEO to run RC Village Village • Allocate budget for all sector development in VDC • 300,000 NPR or approximately US$3,370 per development • Allocate 10 percent for educational development VDC or for VDC children’s education committees from the total 3 million budget of each VDC (3936) • Support community schools with additional resources from VDC Community School • Assume overall responsibility of school • 14,029,000 NPR or approximately US$157,530. management management with financial support from DEO This figure also includes locally-generated committees • Generate additional resources for required resources by the SMC to pay for additional (33160) facilities, buildings, and teachers physical buildings and salaries of locally-recruited teachers. Community Social audit • Assess school activities using format provided • 1,000 NPR or approximately US$112 per school for committees by DoE financial audit (16500) • Submit report to head teacher to send to DEO • No budget for SAC Source: DoE 2011/2012. 3 III. Methodology During the master trainer workshop, participants repriori- tized the 39 indicators in the Guidelines. The indicators are not The pilot team used a combination of quantitative and qualita- ranked according to priority and are generally considered to tive methods for this pilot. A literature review of documents be too lengthy. Feedback from government officials, teachers, was conducted to gain a better understanding of national poli- head teachers, resource persons (RP), school supervisors, SAC cies, plans, and school governance systems. It included direc- members, and SMC members prompted the pilot team to pri- tives from the Government of Nepal on community-managed oritize this list. During the master trainer workshop, the indica- schools, the Social Audit Guidelines, social audit reports pre- tors in the Guidelines were reprioritized so that the DoE could pared by schools, and relevant studies. set a cutoff point and shorten the list as needed. (See annex 3 A series of handbooks was developed to accompany capac- for a list of the 39 indicators reprioritized through this method.) ity-building efforts, including one for facilitators and a more con- A gap analysis involves documenting the variance between cise one for SAC and SMC members. The handbooks are based what is required of communities to manage schools against on feedback from master trainers and provide detailed valida- their current practices and capabilities. The gap analysis meth- tion cues to assess each of the 39 indicators in the Guidelines odology in this pilot consists of first determining what should and following the same sequence. Three case studies highlight- be through a series of indicators that describe the expectations ing best practices were included to facilitate training efforts. of the Guidelines and then comparing these indicators to what Feedback from master trainers and facilitators also shaped is (i.e., the attributes, competencies, and performance levels on the development of a school governance assessment tool that the ground). Finally, the gaps between these two sets of indica- was prepared, tested, and administered in the pilot district tors are highlighted. Both structured and semi-structured ques- schools to investigate social audit gaps. After a pretest period in tions are used in the tool to investigate gaps. the Kathmandu area and Kaski District, the final tool integrated A data collection exercise then supported SMC and SAC the Guidelines as well as other aspects of good governance and members on how to conduct social audits using this tool; data financial management for schools.5 in the 60 schools of three districts were subsequently collected. The pilot team conducted a series of trainings at the national, Two facilitators were assigned per cluster of four schools. district, and local levels. Six master trainers (two per district) and Master trainers were mobilized to supervise the data collection 30 facilitators (ten per district) were selected among SMC chair- process by the facilitators and to provide necessary technical persons, head teachers, school supervisors, and teachers in the support. districts. A two-day workshop was held to orient master train- Qualitative methods (e.g., focus-group discussions in 12 ers about the purpose of the pilot and what their roles would schools in the three districts and informal interviews) were also be in it to introduce a gap analysis data collection tool. Training used to assess the perception of social audits by school stake- workshops were also conducted in each of the three districts holders, including DoE and DEO officials, SAC and SMC mem- for facilitators, enabling them to better support SMC and SAC bers, head teachers, teachers, parents, and students. members use of the gap analysis tool to conduct social audits and collect data. The facilitators then trained a total of 1,335 A series of dissemination and transparency tools were devel- members of SACs, SMCs, local PTAs, and Child Clubs6 as well as oped to better inform community stakeholders about their other relevant stakeholders in the 60 schools. schools. Two user-friendly leaflets were developed to educate citizens on the major aspects of social audits and good gover- nance. These leaflets were distributed at various training events 5. The MoE and DoE have already developed policies and detailed guidelines and will be distributed to other school stakeholders. In addi- for social audits that ground their implementation; this is not yet the case for tion, a school budget and data template titled My School At-a- other good governance practices. In addition to social audits, the pilot team did an assessment of practices that strengthen community-driven school man- Glance was designed that lets schools easily display financial and agement efforts. Additional governance and financial management principles academic information to the stakeholders in the community. were drafted based on the CSNN’s prior experience; these were also integrated into the tool. After conducting the gap analysis and capacity-building 6. Child Clubs are organizations that exist across the country, led by young boys and girls to advocate for children’s rights at the community level. Children exercise, the pilot team conducted an assessment of its impact. are encouraged to develop the clubs on their own, with some training provided After training SAC and SMC members at the school level, SACs and with few external constraints on their activities. Child clubs have success- fully addressed issues like child marriages and have held local authorities and in 20 schools in the Nawalparasi District were asked to conduct leaders responsible for their actions. a social audit. Facilitators visited the sample schools to observe 4 Table 2. Committees Formed through a Democratic Election Process SMC PTA Child Club District Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Nawalparasi 3 15.0 4 20.0 4 20.0 Kaski 2 10.0 2 10.0 2 10.0 Dolakha 1 5.0 2 10.0 2 10.0 Total 6 10.0 8 13.3 8 13.3 the process and review the social audit report produced by the and tribal conflicts. Committee members must be selected by newly-trained members. Qualitative and quantitative field sur- consensus whenever possible; if consensus is not possible, elec- vey data on the 39 indicators in the Social Audit Guidelines7 in tions can be held. Larger governance challenges in Nawalparasi the first round was compared with data from this second round have also affected school-level dynamics. Of the 20 total to assess any changes before and after the trainings. schools in Nawalparasi, three did not have an SMC in place, four did not have a PTA, and four did not have a Child Club. On aver- At the end of this pilot, a series of district and national age, between 10–13 percent of school committees in the three workshops were held to present the gaps between policy and districts were not formed through a democratic election pro- practice to policymakers and to develop concrete areas for cess. (See table 2.) intervention. SMCs were built through consensus had weak links with stakeholders. When SMCs are not formed according to the IV. Key Findings Guidelines, SMC members often have strained relations with This section presents key findings of the pilot made through the other stakeholders (e.g., parents and teachers). An SMC that is gap analysis, observations made during master trainer and facili- formulated based on consensus often has a chairperson or mem- tator training sessions; interviews and focal group discussions bers who are considered local elites, who hold leadership posi- with district and local-level stakeholders, and workshops with tions in various other organizations, and who tend to dominate district- and national-level participants. It is organized under over the teachers. Discussions during the workshops revealed the four key areas of the Guidelines: community participation, that most of these SMC members were inactive, that local rep- physical environment, teaching and learning environment, and resentation is minimal, and that the level of information-sharing financial management (annex 2). An accompanying discussion of among SMC members is low. An SMC that is formed by election the relevant indicators for each category is included for each usually includes more young people, parents of school children, area. Gaps in the following indicators were assessed against the representatives of lower ethnic groups, and women, and these DoE’s Social Audit Guidelines. members tend to encourage teachers to make needed changes and improvements. These newer SMCs also tend to follow the Community Participation government rules, regulations, and guidelines, including main- taining the prescribed representation. Committees were not formed through democratic processes. School-level committees (e.g., SACs, SMCs, PTAs, and Child School-level committees were not functioning according Clubs) serve as the foundation for effective, community-led to Guidelines. Significant gaps between practice and policy school management. The form and function of these commit- were observed in this area. About 48 percent of SMC meet- tees must adhere to specific guidelines in order to ensure that ings were not held as scheduled and according to a set meeting they are inclusive, participatory, and guided by good gover- processes; approximately 48 percent of PTA meetings did not nance practices.8 There have been difficulties conducting elec- convene as required. In Dolakha, 16 out of 20 schools (80 per- tions in Nawalparasi due to political rivalries and other regional cent) did not hold SMC, PTA, and SAC meetings with a proper decision-making process in place. Although they are meant to 7. The good governance and financial management portion of the gap analysis be separate, SMC and PTA committee meetings are combined tool was not part of the impact assessment at this time because the indicators in most of schools in the pilot. Similarly, 60 percent of the SACs have not yet been incorporated in the Social Audit Guidelines by the DoE. 8. SACs and other committees are formulated according to the Education did not hold regular meetings as required. Linked to incomplete Bylaws 2003, Article 171. 5 Table 3. Functions of School-Level Committees Social Audit Gap Analysis Questions Nawalparasi Kaski Dolakha Total SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 12 Agenda and record of important decisions made at 1 5 2 10 5 25 8 13.3 SMC meetings during year 16 Frequency of SMC meetings and its decision-making 10 50 3 15 16 80 29 48.3 process 20 Agenda of PTA meetings and a record of the impor- 10 50 3 15 16 80 29 48.3 tant decisions made in the year 21 Agenda of the SAC meetings and a record of the 10 50 11 55 16 80 37 61.7 important decisions made in the year 22 Record of the number of children attending this 13 65 3 15 6 30 22 36.7 school 23 Frequency of SAC meetings 7 35 7 35 8 40 22 36.7 30 Number of SAC meetings in the year and quality of 12 60 10 50 14 70 36 60.0 decision-making process 31 Record of children not involved in studies 10 50 8 40 14 70 32 53.3 34 Frequency of PTA meetings and quality of decision- 8 40 6 30 8 40 22 36.7 making process 39 Record of the children joining Alternative Education 1 5 0 0 3 15 4 6.7 Programs Source: CSNN Report, January 2012. Notes: “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this requirement. SN = serial numbers. The serial numbers in this table were set through the prioritization exercise described in the methodology section. mapping done by the schools, 53.3 percent of the SMCs in the Social audit reports were not examined during the formal pilot have poor records of out-of-school children; 36.7 percent financial audit in 30 percent of the schools. The pilot team do not check the record of students in the schools; and 53.3 found that SAC members had the misconception that the percent of schools do not keep records of out-of-school stu- financial audit and social audit were the same document. Some dents. Kaski performed better than the other two pilot districts schools submitted a financial audit report to the DEO in lieu of in this regard due to its more thorough orientation process as the social audit report. After a social audit report is completed, well as a stronger management initiative on the part of the DEO. the DEO and RPs are supposed to follow up on the findings to (See table 3). address gaps; in Nawalparasi and Kaski, this was rarely done. An average of 61.7 percent of social audit reports did not receive Social audit processes were not inclusive. Once completed any follow-up by the DEO. The pilot team ascertained that by the SAC, the Guidelines require that social audits must be follow-up efforts were lacking at the local, district, and central done annually, that the resulting social audit report must be pre- levels alike. sented in a public hearing and a parent assembly and then incor- porated into the formal financial audit report of the school. In Lack of knowledge and weak accountability led to poor the three districts studied, only 50 percent of SACs conducted school governance overall. School governance is associated the annual social audits following the prescribed process. In with factors such as consultation with government bodies, one of five instances on average, when a social audit was con- involvement of local minority communities in school assem- ducted, the report was not disseminated to stakeholders, a 21.7 blies, induction and performance evaluation of teachers, use of percent gap. In focus-group discussions and interviews, many school property, and accountability of various school commit- SAC members acknowledged that social audits serve an impor- tees and personnel. A 61.7 percent gap in the accountability of tant purpose but claimed that they did not know that they were various committees and key personnel led to more gaps in other required to conduct them every year. Concerned stakeholders areas of school governance, and this was further aggravated by also complained that schools do not pay attention to transpar- the fact that 41 percent of the schools in the pilot did not pre- ency. Head teachers tend to control information; and teachers pare, develop, or implement a code of conduct for teachers and and parents are often unaware of the internal matters of their committees by holding meetings that involved stakeholder par- community schools. (See table 4). ticipation. A 55 percent gap in school-based induction training 6 Table 4. Utilization of Social Audit Reports Good Governance Gap Analysis Questions Nawalparasi Kaski Dolakha Total (Did the SMC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Has a social audit been conducted each year? 12 60 7 35 11 55 30 50.0 After completing the social audit, was the report 6 30 2 10 5 25 13 21.7 presented at a stakeholder assembly for discus- sion and a public hearing? Has there been follow-up on the report findings? 16 80 14 70 7 35 37 61.7 Did the SMC provide the social audit report to 8 40 3 15 7 35 18 30.0 financial auditor during the school’s financial audit? Did the financial auditor review the social 4 20 7 35 4 20 15 25.0 audit report? Source: CSNN Report, January 2012 Notes: “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this requirement. The good governance questions were developed and added by CSNN to assess school- and community-level governance practices. These questions do not correspond to indicators in the Guidelines. for new teachers, intended to prepare them to effectively carry adequately prepared for the induction of new teachers. In 25 out their responsibilities, demotivated teachers from fulfilling percent of the pilot schools, proper records of school property their duties and compromised the quality of teaching. Kaski and are not maintained, and 41.7 percent of the schools failed to Dolakha had 80 and 60 percent gaps, respectively, in the area of develop a code of conduct through discussions and meetings new teacher induction trainings; RPs in these districts were not with stakeholders. (See table 5.) Table 5. Governance and Accountability Practices in the School and Community Good Governance Gap Analysis Questions Nawalparasi Kaski Dolakha Total (Did the SMC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Frequency of meetings and consultations with stake- 3 15.0 2 10.0 2 10.0 7 11.7 holders, resource centers, the DEO, the DoE, the VDC, the district development council, and the municipality The compulsory, equal, and active participation of all 4 20.0 3 15.0 2 11.1 9 15.5 social classes, religions, genders, etc., in the community- level assembly A school-based induction and development training 5 25.0 16 80.0 12 60.0 33 55.0 for newly-recruited teachers based on the available resources of school Teacher performance evaluation 3 15.0 5 25.0 6 30.0 14 23.3 Staff performance evaluation 6 30.0 6 30.0 5 25.0 17 28.3 The management and mobilization of school property 6 30.0 2 10.0 7 35.0 15 25.0 through maintenance of records The construction of detailed rules and a code of 7 35.0 5 25.0 13 65.0 25 41.7 conduct through discussions and meetings with stakeholders Information disclosure by school 5 25.0 7 35.0 9 45.0 21 35.0 The accountability practices of various committees and 12 60.0 10 50.0 15 75.0 37 61.7 personnel Source: CSNN Report, January 2012 Notes: “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this requirement. The good governance questions were developed and added by CSNN to assess school- and community-level governance practices. These questions do not correspond to indicators in the Guidelines. 7 Table 6. Physical Environment of the School Social Audit Gap Analysis Questions Nawalparasi Kaskia Dolakha Total SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 3 Infrastructure and physical condition 6 30 6 30 4 20 16 26.7 of school buildings and classrooms 5 Availability of drinking water in school 1 5 0 00 4 20 5 8.3 7 Cleanliness of school 3 15 0 00 3 15 6 10 10 Availability and condition of school 1 5 1 5 3 15 5 8.3 toilets 29 Availability and condition of local and 1 5 4 20 4 20 9 15 other sports materials in school 32 Productive and effective use of avail- 1 5 3 15 4 20 8 13.3 able land, including playground Source: CSNN Report, January 2012 Notes: a. Data is not available for SN 5 and 7 in this district. “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the per- centage that did not fulfill this requirement. SN = serial numbers. The serial numbers in this table were set through the prioritization exercise described in the methodology section. Physical Environment Teaching and Learning Environment Lack of funds to maintain physical environment of schools. Teacher planning impacted student learning. Low tracking of The level of management in the three districts of the schools’ student achievement scores (a 43.3 percent gap) and transpar- physical environment was mainly determined by the available ency on academic performance (30 percent gap) is attributable resources. Gaps in this area were generally low compared to to teacher performance. Gaps in this area occur mainly because indicators in other areas but the highest gap on average was of teachers who neglect to prepare sensible teaching time- in the furnishing and use of classrooms and the school build- tables, who exercise poor time management skills in the class- ing (26.7 percent). The second highest gap was in the availability room, and who make little effort to provide remedial training and use of sports materials in schools (15 percent). These gaps to low-achieving students. Another area of concern is teach- are primarily attributed to poor management and scarcity of ing pedagogy; most teachers are unwilling to abandon tradi- financial resources. The resources generated by the SMC were tional teaching methods. The pilot determined that the lack of primarily used to pay the salary of locally-recruited teachers and teaching and learning materials in classrooms is the main reason to maintain the school building. (See table 6). behind ineffective teaching and poor learning results. Teaching methods and student performance in remote schools in the Himalayan belt of Dolakha are especially poor. (See Table 7). Table 7. Teacher Planning and Activities Social Audit Gap Analysis Questions Nawalparasi Kaski Dolakha Total SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 1 Preparation and use of grade-appro- 8 40 2 10 5 25 15 25 priate timetables, including subject coverage 6 Record of average student achieve- 7 35 7 35 12 60 26 43.3 ment scores 17 Means adopted by school to make 11 55 3 15 4 20 18 30 academic activities transparent Source: CSNN Report, January 2012. Notes: “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this requirement. SN = serial numbers. The serial numbers in this table were set through the prioritization exercise described in the methodology section. 8 The low level of community monitoring efforts have com- team found that the time management skills of teachers is poor, promised education management. Education management indi- classroom teaching was neglected, and teacher performance cators assessed administrative matters like the actual number of was barely monitored. (See table 8). annual teaching days at a school, teacher attendance rates, fre- Educational facilities were poorly managed. The pilot team quency of staff meetings, and the level of interaction between assessed educational facilities, including the quality and manage- school staff and parents. In 56.7 percent of the schools, the SACs found no evidence of interaction between subject teach- ment of the classroom environment and instructional materials. ers and parents at the school. Records of the actual number of The gap in the availability and quality of instructional materi- teaching and non-teaching days at the school were not kept als is low (20 percent), but the gap in the availability of science in 53.3 percent of cases. Proper records of the total number of and environmental laboratories equipped with locally- available open school days were not kept by 46.7 percent of the schools. materials is much higher (53.3 percent). The availability and qual- Only 40 percent of the schools kept records of the total num- ity of space to display student work has a 50 percent gap. 30 ber of teachers in the school as well as their annual attendance percent of the classrooms are not child-friendly and about 23 rates and teaching days; 38.3 percent did not have records of percent of schools do not make adequate use of old textbooks. the number of teacher or staff meetings held in a year; and 36.7 Some of these gaps (e.g., instructional materials) are due to lim- percent did not have regular teacher-staff meetings. These gaps ited resources, but poor management by head teachers and are primarily due to the poor performance of head teachers and teachers has also contributed to gaps in this area. Further, SMC, teachers. Indicators in this area are also aggravated by the lack PTA, and SAC have not effectively intervened to oversee the of monitoring by SMCs, RPs, and school supervisors. The pilot management of resources in these areas. (See table 9). Social Audits Improve Instruction, Raj Kuleswar Lower Secondary School, Box 1.  Bhimsen Municipality, Dolakha The service area of Raj Kuleswar Lower Secondary School encompasses six localities in the municipality. The school owns the school building, playground, a separate hall that contains instructional materials, and a small lawn (a total of 845 sq. metres of land). The hall and land were donated to the school by the local community. The school has in place a number of participatory committees with defined roles, including an SMC, an SAC, and committees on drinking water and school sanitation. The formation and functional nature of these committees have enhanced participatory management practices that are instrumental in developing community ownership and responsibility toward school development. The SAC conducts the social audit as per the MoE directives in terms of its committee formation, content coverage, timing, reporting, and dissemination. A social audit guide and forms are available in the school. Information from social audits was shared with various committees including the SMC, SAC, PTA and senior-grade students. The importance of social audits and a timeline for conducting and reporting them was shared with committee members at all orientation programs. Three years of conducting social audits at this school has borne some positive impacts on the quality of education in the school. Both the SMC and SAC have identified and prioritized actions needed to meet the learning outcomes set in the curricula. Head teachers, SMC, and SAC chairpersons also work closely with teachers by attending teacher meetings. This helps them better understand what these committees can to do improve teacher satisfaction. SMC and SAC committee members also reward best teacher practices, regularly supervise classes and provide feedback, observe the behavior of teachers and students in and outside of the school, and follow-up with students who have dropped out of school, including counseling their guardians. The school has also integrated other activities to improve learning. The committees organize extra classes on difficult subjects and remedial classes for students with learning difficulties. Students are organized into smaller groups for more effective learn- ing and problematic students are identified and referred to counseling at the Centre for Mental Health and Counseling (CMC), a local NGO. Physical improvements, including repairs and the addition of new classrooms and other basic facilities are underway in an effort to make the school more child-friendly and secure. The SAC chairperson of the school attests that, “As a result of our team spirit and synergy among SAC, SMC, and other committee members, the students’ learning achievement scores on average have been progressing positively in the recent years.” 9 Table 8. Educational Management in the School Social Audit Gap Analysis Questions Nawalparasi Kaski Dolakha Total SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 11 Annual record of discussions between 9 45 8 40 10 50 27 45 head teacher and parents of students regarding child’s learning 13 Record of actual number of teaching 12 60 7 35 13 65 32 53.3 days at school 18 Record of all teachers, their annual 9 45 6 30 9 45 24 40 rates of attendance, and actual num- ber of days they teach at school 19 Record of total number of days 11 55 8 40 9 45 28 46.7 school is open in the year 24 Record of discussions between sub- 10 50 10 50 14 70 34 56.7 ject or grade teachers with parents about student learning 25 Agendas of teacher and staff meet- 11 55 5 25 7 35 23 38.3 ings and record of important deci- sions made during year 27 Record of number of non-teaching 14 70 9 45 9 45 32 53.3 days at school annually 28 Frequency of teacher and staff meet- 7 35 7 35 8 40 22 36.7 ings and quality of their decision- making process Source: CSNN Report, January 2012 Notes: “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this require- ment. SN = serial numbers. The serial numbers in this table were set through the prioritization exercise described in the methodology section. Table 9. Management of Educational Facilities and Resources Nawalparasi Kaski Dolakha Total Social Audit Gap Analysis Questions SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 2 Child-friendly student furniture and 4 20 5 25 9 45 18 30 seating arrangements 8 Availability and state of use of local 6 30 2 10 4 20 12 20 and other instructional materials in school 15 Availability and condition of space to 12 60 10 50 8 40 30 50 display creative work of students in school 26 Availability and condition of the 14 70 8 40 10 50 32 53.3 science or environmental labora- tory in school with locally-available equipment 35 Condition and management of library 4 20 3 15 7 35 14 23.3 Source: CSNN Report, January 2012. Notes: “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this requirement. SN = serial numbers. The seriel numbers in this table were set through the prioritization exercise described in the methodology section. 10 Financial Management percent gap), but large gaps were found in mapping the catch- ment area population (a 75 percent gap). Most of the schools School property was mismanaged through weak accounting. did not map the school catchment area or keep records on 48.3 percent of the schools do not have accounting practices in households with school-aged children in the area. Many schools place to capture income and expenditure. Head teachers, who do not keep records on students who transfer (a 60 percent serve as bookkeepers in most instances, are reluctant to make gap). This incomplete data leads to underestimating per capita the accounts transparent and available to community stakehold- funding for girls, dalits, and minority children needing access to ers. Head teachers cite their own limited skills and time as barri- scholarships in order to attend school. Negligent record keep- ers to keeping good financial records. Some schools (35 percent) ing has also created situations of double accounting in which do not possess records on school-owned land and sometimes students are admitted into multiple schools and receive schol- neighbors usurp school property. (See table 10.) arships from two or three of them. This trend has affected the Lack of population data in catchment area created inef- national record and budget; according to school records, the ficient budgeting. Schools have performed well in terms of number of children attending school was higher than the 2010 increasing access for out-of-school children (with only a 13.3 national census numbers. (See table 11.) Table 10. Accounting of School Resources Social Audit Gap Analysis Questions Nawalparasi Kaski Dolakha Total SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 33 Details of land owned by school 7 35 11 55 3 15 21 35 4 Income and expenditures of school 11 55 5 25 13 65 29 48.3 Source: CSNN Report, January 2012. Notes: “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this requirement. SN = serial numbers. The serial numbers in this table were set through the prioritization exercise described in the methodology section. Table 11. Demographic Data of the Surrounding Community Social Audit Gap Analysis Questions Nawalparasi Kaski Dolakha Total SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 9 Maintenance, updating, and reliability 4 20 2 10 8 40 14 23.3 of school data 14 Programs and attempts made by 2 10 0 00 6 30 8 13.3 school to provide access to educa- tion for children within school service area 36 Record of students organized by 6 30 4 20 8 40 18 30 gender 37 Record of total population of school 14 70 15 75 16 80 45 75 service area 38 Record of children attending other 11 55 12 60 13 65 36 60 schools Source: CSNN Report, January 2012 Notes: “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this requirement. SN = serial numbers. The serial numbers in this table were set through the prioritization exercise described in the methodology section. 11 Community-Mobilized Resources Yet to Translate into Improved Learning Outcomes Box 2.  Nawa Durga Lower Secondary School, Kawasoti, Nawalparasi Nawa Durga Lower Secondary School, previously a community-established primary school, was recently upgraded to the lower secondary level following community demand and support. But while the government did grant the school permission to operate as a lower secondary school, it did not provide it with the needed resources to do so. As a primary school, Nawa Durga received government financial support for four permanent teachers; the remaining nine teachers and support staff are recruited and paid for by the local community. The community has financed the construction of three school buildings and a football playground, and has provided the school with five hectares of forest in order to generate income. The school wanted the autonomy to make decisions and the authority to manage resources needed to meet the requirements and priorities of the school. Nawa Durga School was in urgent need of financial resources to meet the costs of reconstructing a school building, upgrading the school level, paying teacher salaries, and meeting operational costs. The SMC stated that the financial incentive offered by the government induced them to accept the transfer of school management to the community, seeing it as an opportunity to do something on their own to improve the school. Supplementing funds from the government, in last two years, the SMC collected Rs 1,200,000 (approximately US$13,500) in dona- tions from the community to improve the facilities of the school. The SMC also charges a nominal fee for students in the sixth, seventh, and eighth grades (approximately US$7–9). The student body has increased by 10 percent in the last two years—since the school started to teach in English. The head teacher reported that, while the population is decreasing, student enrollment in community schools in Nawalparasi District is increasing. Meanwhile, student enrollment in private English language schools is decreasing. The SMC chairperson confirmed that their formation, meetings, and functions were in line with government directives. Parent days and school account audits are done in a timely manner, and social audits are conducted annually, maintaining the transpar- ency of school accounts. The SAC monitors the construction of school building, the use of facilities, and the school land. Despite these efforts, the SMC chairperson stated, “We are not able to help the poor students in the classroom in their educa- tional achievement.” SAC members added that they do not yet know any education rules, regulations, or techniques to support teachers and enhance educational activities in the school. A SAC member stated, “Rich people of the community give us money, time, and sympathy, but they do not give us their children. So we have motivated our teachers to teach their children in our own school so that we can provide confidence to rich people to bring their children in our schools.” Budget disbursement process suffered from bottlenecks. The construction budget for the school is released by DEOs The pilot team found several bottlenecks in the budget dis- in its entirety at the start or even prior to the start of build- bursement process through focus-group discussions and inter- ing construction at the school. This early release of the con- views with DoE and DEO officials. The DoE is required to send struction budget means that the schools have not managed the annual programs and budget allocations to the districts at funds in an appropriate manner; 25–50 percent of construction the beginning of each financial year. In practice, however, the projects in Terai are incomplete. DoE sends budget allocations in two or three tranches, usually Schools in this pilot were unable to conduct formal finan- closer to the end of the financial year. This does not allow dis- cial audits for last two to three years. An audit can cost 10,000– tricts and thereby the schools to properly plan their budgets. 20,000 rupees (approximately US$112–224), and the schools have Additionally, the DoE do not release budget allocations for per no funds set aside for this purpose. Further, The DEOs often do capita funding non-salary grants, scholarship grants, and infor- not appoint auditors in time for them to audit the lower sec- mal education budgets in time to meet local needs. These bud- ondary and secondary schools. get dissemination practices have led to irregularity in school expenses; since budgets allocations are delayed, programs are SMCs used budgets according to school needs. Approx- not completed even when budget allocations for these pro- imately 48 percent of the SACs did not check incomes and grams are consumed. expenditures of the schools. By district, implementation ranges 12 Table 12. Income and Expenditure Social Audit Gap Analysis Questions Nawalparasi Kaski Dolakha Total SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 4 Income and expenditures of school 11 55 5 25 13 65 29 48.3 Source: CSNN Report, January 2012. Notes: “N” refers to the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this requirement. SN = serial numbers. The serial numbers in this table were set through the prioritization exercise described in the methodology section. Table 13. Distribution of Local and Government Resources in Pilot Districts Average Locally- Government Community Average Generated Budget Allocated Contribution Community Instructional Teacher Resourcesa to Community (as Percentage of Contribution District Materials Building Salary (Total) Schools Total School Budget) per School Nawalparasi 12,89,323 NPR 15,05,106 NPR 30,73,788 NPR 58,68,217 NPR 28,08.282 NPR 67.63 2,93,411 NPR (22.0%) (25.6%) (52.4%) Kaski 5,78,189 NPR 67,51,361 NPR 1,10,17,842 NPR 1,83,47,392 NPR 40,60,519 NPR 81.87 9,17,370 NPR (3.2%) (36.8%) (60.1%) Dolakha 7,64,046 NPR 56,73,799 NPR 46,11,728 NPR 1,10,49,573 NPR 38,19,279 NPR 74.31 5,52,479 NPR (6.9%) (51.3%) (41.7%) Source: CSNN Report, January 2012, Pilot survey of 60 pilot schools. Note: Figures from 2012 (Nepali Rs. 89= US$1). a. Locally-generated resources are from the 3 pilot districts that include 20 schools each. widely—from 25 percent in Kaski to 65 percent in Dolakha. a 0 percent gap after capacity building, indicators with “some Locally-generated resources are used for three types of expenses: improvement” had a narrower gap after capacity building, and instructional materials, facilities and buildings, and teacher sala- indicators with “no improvement” had no changes in the gaps ries. Budget allocations among the three districts were varied, before and after capacity building. These impacts were docu- suggesting that the SMCs use these funds according to the mented over a three-month phase that included a gap analy- needs of the school. (See table 12). sis, subsequent capacity-building efforts on the ground, and finally a follow-up visit by master trainers and facilitators who Community contributions significantly enhanced schools. observed SACs conducting a second round of the social audit. Contributions from the local community are substantial in Data gathered in the previous survey before training (both quali- Nepal. In nearly all the schools in the pilot, the local community tative and quantitative) was compared with the main changes donated land to the school. Communities have also provided that emerged after the training. resources including furniture, building blocks, playgrounds, sports materials, books, timber to construct school buildings Indicators with high improvement. Of the 39 indicators, 22 and furniture, and instructional materials. (See table 13.) had a 0 percent gap, suggesting that they were fully addressed after the capacity-building exercise (see green highlighted area in annex 3). For example, SACs in the 20 sample schools in Nawalparasi V. Assessing Impacts performed an assessment of the cleanliness of all of the schools After Capacity-Building Training (#7), and held frequent meetings as required (#23). Improvement A post–capacity-building assessment was conducted in 20 in these areas can be attributed to several factors. Some indi- schools in Nawalparasi; the findings are presented in three main cators related to materials and facilities could be addressed and categories. Social audit indicators9 with “high improvement” had resolved by the community immediately (e.g., drinking water was quickly provisioned and school grounds cleaned after the 9. Since guidelines on good governance principles have not yet been devel- first round of the gap analysis. Local resources were diverted oped, this assessment focused only on the 39 indicators of the Social Audit Guidelines. to purchase instructional materials once their value was better 13 Focus on budget transparency at school, district, and national levels. Increasing transparency of the budget will “After training, when we proposed to do a social audit in the encourage local communities, parents, the government, and the school, the head teacher allowed us to see all his documents donor community to invest more resources in education. At the and records. Now we realize that the social audit is a powerful local level, budget information provided through the school thing to bring changes in school administration. We are data template should be disseminated at a parent assembly and confident the social audit will lead towards good governance at public hearings. At the district and national levels, dissemina- in school.” tion of education budget information should be released to the –SAC member, Barchuli Secondary School, Nawalparasi media in order to reach a broader base of stakeholders. Expand capacity-building nationwide. The DoE has rec- ognized that the training materials and activities developed in understood. Indicators related to school-level committees and this pilot have become an important asset. Given the positive their processes were also fully resolved in this period because the results of the capacity building in this pilot, the next step would capacity-building efforts addressed many of the misconceptions be to expand the program nationwide. At least 5– 10 facilitators about the key responsibilities of SAC and SMC members. per district can be trained, depending on the number of the Indicators with some improvement. Gradual improvements schools in the district. Printed tools and manuals can be made were observed in 14 of the 39 indicators (highlighted in yellow available to every community school and can be disseminated in annex 3). SACs made some progress on closing these gaps but on MoE, DoE, and DEO websites. could not do so completely. Issues around financial and materi- Build capacity in schools with flexibility. Current capacity- als management, the regularity of teachers and students, and building efforts are targeted at teachers, head teachers, SMC cleanliness can be resolved in the medium-term while improve- and SAC members, parents, and grade students at the primary ments in instruction, higher learning achievement and construc- to the higher secondary levels. The pilot team found that needs tion of facilities require more long term planning. differ from school-to-school and that capacity building for Indicators with no improvement. Three of the 39 indicators committees, induction training for teachers, and orientation showed no improvement before and after the capacity-building programs for parents and the community should be prepared exercise (highlighted in red in annex 3). For example, the avail- in a flexible manner that addresses the varying needs of tar- ability and condition of school toilets (#10) remained unchanged get groups. Additionally, the DoE should allocate funds for all in all 20 schools. Communities were unable to address indica- schools to have access to this type of training. tors related to the construction of buildings for toilets and Empower DEOs to monitor social audit activities. DEOs play the provisioning of running water for them during the span of in important intermediary role supporting communities in man- this pilot. The indicator related to the Alternative Education aging schools. School supervisors based in district-level educa- Programmes also showed no improvement in this period; it tion offices should be incentivized and instructed to monitor requires a long-term process of bringing out-of-school children the progress of social audits on the ground and to communicate into the program. Among the reasons attributed for the lack their findings about local needs to national institutions. of improvement in this area were parents not being aware of or understanding the program and a shortage of qualified and Promote and strengthen recordkeeping in schools through dedicated teachers in the village to reach these children. DEOs. DEOs can and should play a strong role in promoting bet- ter recordkeeping practices for all school activities, especially those that relate to social audit guidelines, expanding beyond VI. Recommendations those required by the DoE and MoE. Based on the findings of the gap analysis, capacity-building Expand the use of social audit reports. The district of Kaski efforts at the community and school levels, the post–capac- requires that schools submit a social audit report in order to ity building exercise, and discussions at district- and national- access funds from the DoE allocated in the budget. This initia- level workshops, the following recommendations are offered to tive has produced better-quality social audit reports compared provide guidance to policymakers in Nepal’s education sector to other districts. This requirement should be instituted nation- to improve the implementation of social audits in community ally. NGOs and donors working in this sector could also use the schools. report in their own work and before they provide funds to the schools. 14 VII. References Government of Nepal. 2010. National Census Report of school going children. National Statistics Bureau. CSNN. 2009. Good Governance in Community Schools. Unpublished report. Center for Good Governance. 2005. Social Audit: A Toolkit. CSNN. 2012. Public Expenditure Reform through School Level Budget Santwona Memorial Academy Educational Research Center. 2009. A Study on Dissemination. Unpublished report. the Financial Management of Department of Education, District Education Kantipur Daily. 2012. SMC Election a Big Event. (January 21). http://www.ekan- Office, School and Tracking of School Grants. tipur.com Save the Children. The Children’s Clubs of Nepal: A Democratic Experiment, Government of Nepal. 2008. National Assessment of Grade 8 Students. Summary and Recommendations from a Study of Children’s Clubs Department of Education. Supported by Save the Children (Norway) and Save the Children (U.S.) 15 Annex 1: Community Schools in the Terai Region The central-eastern Terai region of Nepal has a history of politi- cal conflict, regional political movements, and socioethnic divi- The Education Act and Education Byelaws allow SMCs to be sions. It lags behind the national average in terms of literacy and formed by consensus at a parent assembly. In Bara, where a con- the human development index (HDI) ranking. The Government sensus could not be reached, direct elections were held in more of Nepal, donors, and NGOs working in the region face unique than 400 schools. These elections were expensive for each school challenges in the education sector. Given this context, the pilot to conduct—usually over 100,000 NPR per school (approximately team added eight districts in Terai to the pilot group (Saptari, US$1,100). Candidates for the SMC chairperson spot at one higher Siraha, Dhanusha, Mahottari, Sarlahi, Parsa, Bara, and Rautahat) secondary school spent more than 2,000,000–3,000,000 NPR in order to assess the status of its community schools and to each to compete for it, in addition to the money spent by the identify challenges within its education administration. The pilot school. Saptari and Sarlahi districts also faced problems forming team utilized a customized methodology for these schools that SMCs through an election process. In Saptari, SMCs were formed included direct observation within schools, interviews with head in only 50 percent of schools; Saptari’s DEO estimated that only teachers and SMC chairpersons, separate focus-group discus- 15–20 schools in the district had operational SACs in place and sions with teachers and SMC members, a district-level seminar that only 40 percent of schools have formed an SMC, put in on Terai schools in Bara District, and interviews with seven DEOs. place after a time-consuming, expensive, and organizationally- challenging election process. The DEO in Parsa reported that The broader political environment has a strong influence only 50 percent of its schools have functioning SMCs. on school-level staff, committees, and their functions. One primary school was closed for 21 months because of a con- NGOs and donors like UNICEF play a large role in the well- flict over the appointment of a head teacher, impacting 400 functioning schools in these districts. One example is a second- students for two years. In some instances, political influence ary school in Siraha that is strongly supported by the Bhawani compelled head teachers avoid formulating school committees Integrated Development Center (an NGO), its facilities are completely. While SMC chairpersons are selected by consensus, supported by UNICEF. Schools in areas with migrant commu- head teachers often insist on selecting a type of person who will nities are functioning better than those with indigenous com- merely rubber-stamp their decisions. In one school, a SMC was munities, although there are examples of schools in indigenous formed by consensus and did hold meetings 13 times a year, but communities supported by NGOs and UNICEF that are also it was heavily influenced by politics; and the school’s PTA and functioning well. In Siraha, social audits are done in more than SAC were never formed at all. DEOs pointed out in interviews 80 percent of the schools under the guidance of UNICEF who that head teachers feel compelled to associate with a political has stated that it will provide support only if social audits are party and that teachers are also too susceptible to local dynam- conducted in the school. ics to stand alone as professionals. Discussions at district-level seminars reinforces the view that community participation in schools is essential in curbing power asserted by head teachers and SMC chairpersons. 16 Annex 2: What are the Basic Aspects of Social Audits? Community Participation 16 Frequency of SMC meetings and decision-making process 17 Agenda of SMC meetings and record of important decisions made for the last year 18 Frequency of PTA meetings and decision-making process 19 Agenda of PTA meetings and record of important decisions made for the last year 20 Frequency of SAC meetings in the last year 21 Agenda of SAC meetings and a record of important decisions made for the last year 22 SAC meetings and decision-making process 30 Record of total population of school service area 31 Record of the number of children attending the school 32 Record of the children attending other schools 33 Record of the children not involved in studies 34 Record of the children in Alternative Education Programs (AEP) Physical Environment 1 Productive and effective use of the available land (including playground) 2 State of use and decorations of school building and classrooms 3 Cleanliness of school 9 Availability of drinking water in school 10 Availability and condition of toilet in school 11 Availability of local and other sports materials in school and their condition Teaching and Learning Environment 4 Furniture and other seating arrangements provided for students in school 5 Management of library 6 Availability and use of local and other instructional materials in school 7 Availability and use of a science laboratory equipped with locally-available materials 8 Availability and use of space in school to display creative work of students 12 Available record of annual total school days 13 Available record of annual non-teaching school days 14 Available record of actual teaching days 15 Available record of total teachers, their annual attendance days and actual teaching days in school 23 Regularly scheduled teachers and staff meetings and the decision-making process 24 Available agendas for teacher and staff meetings and record of important decisions made 25 Available record of meetings between head teacher and parents to discuss students’ learning 26 Available record of meeting between teachers of a subject or a grade and parents to discuss students’ progress 27 Preparation and use of grade-timetables which include subject areas 28 Available record of average student achievement scores 29 Policies or strategies adopted by school to make academic activities transparent 35 Available programs to provide access to education for children within school service area 36 Available gender-segregated record of students 37 Updated and reliable disseminated school data Financial Management 38 Details of school-owned land 39 Income and expenditures of school Source: Derived from the Guidelines for the Social Auditing of the Schools issued by the DoE, Government of Nepal. The numbers cor- respond with those in the Guidelines. 17 Annex 3: Social Audit Gap Analysis Findings10 The following table provides the complete findings of the social After one round of capacity-building exercises, the pilot audit gap analysis conducted in this pilot. The pilot assessed the team assessed the implementation of social audits in 20 schools implementation of social audits against the 39 indicators pro- in Nawalparasi. The green shaded rows in the table are indicators vided in the Government of Nepal’s Social Audit Guidelines. for which the SACs closed the gap completely. For example, Thirty-nine questions, which correspond with indicators in the after the capacity building, SACs in the 20 sample schools in GoN’s Guidelines, are summarized in second column. The indi- Nawalparasi were assessing the cleanliness of all of the schools cators were reprioritized according to the process described in (#7) and holding frequent meetings as required (#23). The yellow the methodology section. The serial numbers in the first column shaded rows are indicators where the SAC made some progress reflect this reprioritization. on closing gaps. The red shaded rows are indicators that showed no change before and after the capacity-building. For example, 10. These survey questions are re-prioritized the Social Audit Guidelines the availability and condition of school toilets (#10) remained the according to the process described in the methodology section. “N” refers to same before and after the capacity building in these 20 schools. the number of schools that did not fulfill this requirement while “%” refers to the percentage that did not fulfill this requirement. Social Audit Gap Analysis Questions Nawalparasi Kaskia Dolakha Total SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 1 Preparation and use of grade- 8 40 2 10 5 25 15 25.0 appropriate timetables, including subject coverage 2 Child-friendly student furniture and seating 4 20 5 25 9 45 18 30.0 arrangements 3 Infrastructure and physical condition of school 6 30 6 30 4 20 16 26.7 building and classrooms 4 Income and expenditures of school 11 55 5 25 13 65 29 48.3 5 Availability of drinking water in school 1 5 0 00 4 20 5 8.3 6 Record of average student achievement scores 7 35 7 35 12 60 26 43.3 7 Cleanliness of school 3 15 0 00 3 15 6 10.0 8 Availability and state of use of local 6 30 2 10 4 20 12 20.0 instructional materials and other instructional materials in school 9 Maintenance, updating, and reliability of school 4 20 2 10 8 40 14 23.3 data 10 Availability and condition of school toilets 1 5 1 5 3 15 5 8.3 11 Annual record of discussions between head 9 45 8 40 10 50 27 45.0 teacher and parents of students regarding child’s learning 12 Agenda and record of important decisions 1 5 2 10 5 25 8 13.3 made at SMC meetings during year 13 Record of actual number of teaching days at 12 60 7 35 13 65 32 53.3 school 14 Programs and attempts made by school to 2 10 0 00 6 30 8 13.3 provide access to education for children within school service area 15 Availability and condition of space to display 12 60 10 50 8 40 30 50 creative works of students in school 18 Social Audit Gap Analysis Questions Nawalparasi Kaskia Dolakha Total SN (Did the SAC Assess the Following?) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) Gap (N) Gap (%) 16 Frequency of SMC meetings and its decision- 10 50 3 15 16 80 29 48.3 making process 17 Means adopted by school to make academic 11 55 3 15 4 20 18 30.0 activities transparent 18 Record of all teachers, their annual rates of 9 45 6 30 9 45 24 40.0 attendance, and actual number of days they teach at school 19 Record of total number of days school is open 11 55 8 40 9 45 28 46.7 in the year 20 Agenda of PTA meetings and a record of the 10 50 3 15 16 80 29 48.3 important decisions made in the year 21 Agenda of the SAC meetings and a record of 10 50 11 55 16 80 37 61.7 the important decisions made in the year 22 Record of the number of children attending 13 65 3 15 6 30 22 36.7 this school 23 Frequency of SAC meetings 7 35 7 35 8 40 22 36.7 24 Record of discussions between subject or grade 10 50 10 50 14 70 34 56.7 teachers with parents about student learning 25 Agendas of teacher and staff meetings and 11 55 5 25 7 35 23 38.3 record of important decisions made during year 26 Availability and condition of the science or 14 70 8 40 10 50 32 53.3 environmental laboratory in school with locally- available equipment 27 Record of non-teaching days in school for year 14 70 9 45 9 45 32 53.3 28 Frequency of meetings of teachers and staff 7 35 7 35 8 40 22 36.7 and quality of their decision-making process 29 Availability and condition of local and other 1 5 4 20 4 20 9 15.0 sports materials in school 30 Number of SAC meetings in the year and 12 60 10 50 14 70 36 60.0 quality of decision-making process 31 Record of children not involved in studies 10 50 8 40 14 70 32 53.3 32 Productive and effective use of available land, 1 5 3 15 4 20 8 13.3 including playground 33 Details of land owned by school 7 35 11 55 3 15 21 35.0 34 Frequency of PTA meetings and quality of 8 40 6 30 8 40 22 36.7 decision-making process 35 Condition and management of library 4 20 3 15 7 35 14 23.3 36 Record of students organized by gender 6 30 4 20 8 40 18 30.0 37 Record of total population of school service 14 70 15 75 16 80 45 75.0 area 38 Record of children attending other schools 11 55 12 60 13 65 36 60.0 39 Record of the children joining Alternative 1 5 0 0 3 15 4 6.7 Education Programs a. Data is not available for SN 5 and 7 in this district. 19 This learning note was prepared by Agni Prasad Kafle of the Community School National Network (CSNN) and Darshana Patel and Sanjay Agarwal of the Social Development Department (SDV) at the World Bank. It is based on CSNN’s report Public Expenditure Reform through School Level Budget Dissemination, by Agni Prasad Kafle, Mohan Gopal Nyachhyon, Pramila Rajbhandari, Sugam Bajracharya, and Mahendra Bilas Joshi (January 2012). The authors are grateful to Fadila Caillaud, Mohan Prasad Aryal, Venkatesh Sundararaman, and Richard J. V. Holloway for their invaluable insights and comments and to Laura Johnson for her editorial support. The authors would like to express their gratitude to the Governance Partnership Facility (GPF) for supporting the activities under this initiative. The findings, interpretations, and conclusions expressed in this note are entirely those of the authors and should not be attributed in any manner to the World Bank, to its affiliated organizations, or to members of its Board of Executive Directors or the countries they represent. For additional information on the Budget Transparency Initiative, please contact Darshana Patel (dpatel@worldbank.org), Martin Luis Alton (malton@worldbank.org), or Sanjay Agarwal (sagarwal2@worldbank.org). 20