Working together for effective natural resource governance? Considering risk and context in the relationship between horizontal and vertical accountability mechanisms.

1. Figure 3: Critical factors for enabling interactions between
horizontal and vertical accountability mechanisms. Source:
Developed by authors from literature
Figure 1: A mapping of accountability relationships in the Nigerian
oil and gas sector. Source: Adapted by authors from Payne et al
2002, World Bank 2004, Fox 2015, Ankamah 2018 and field work in
Nigeria
This research will develop a robust conceptual
framework to understand interactions between
horizontal and vertical (social) accountability
mechanisms in the extractive sector. The Nigerian oil
and gas sector was used as a case study for this
research.
Nigeria is often referred to as the example of how not
to govern an extractives sector (Omorogbe 1987,
Gillies 2009, Sandbrook 2016). Oil wealth in Nigeria
has fuelled different forms of corruption, especially
patronage driven politics, leading to bottlenecks and
inefficiencies that affect the governance of the sector
(Gillies 2009). The more revenues Nigeria earns from
the sector, the more it loses to corruption.
This background makes Nigeria a good example to
investigate the premise of this research noted in the
introduction. This study uses the experiences of key
stakeholders in Nigeria to understand whether or not
the premise holds in this context. The lessons from
the context will also inform literature to understand
more robustly how the interactions between HA and
SA can aid effective accountability and corruption
prevention in the extractive sector.
1 PhD Candidate, Centre for Social Responsibility in Mining, Sustainable Minerals Institute, The University of Queensland, St Lucia, QLD, Australia
2 Senior Research Fellow, Centre for Social Responsibility in Mining, Sustainable Minerals Institute, The University of Queensland, St Lucia, QLD, Australia
Working together for effective natural resource governance? Considering
risk and context in the relationship between horizontal and vertical
accountability mechanisms
Chinwe Ekene Ezeigbo1, Kathryn Sturman2
Objective and case study selection
The extractives sector is one of the business sectors that is most
exposed to corruption (Pieth 2018). Scholars suggest that
accountability is an important strategy for reducing corruption in
the extractives sector (Guerzovich and Moses 2016, Carter
2016, Halloran 2015, Joshi 2014, Fox 2007). Accountability
involves the obligation of one actor to provide information about
and/or justification for his or her actions in response to another
actor with the power to make those demands and apply
sanctions for noncompliance (Brinkerhoff and Wetterberg
2016:275)
s
Recent scholarship on public accountability suggests that there
is more promise for corruption prevention in governance when
two different types of accountability mechanisms interact. This is
the hypothesis for this study. These accountability mechanisms
are (1) the horizontal accountability (HA) mechanisms (i.e.,
institutional checks and balances within the state (Peruzzotti
2011) and (2) vertical accountability mechanisms, particularly the
social accountability (SA) institutions (i.e. external mechanisms
of accountability involving non-state actors who hold policy
makers to account (O'Donnell 2003, Goetz and Jenkins 2005).
The interaction between the two accountability mechanisms are
important because of the inherent weaknesses that prevent
them from ensuring accountability. For instance, although HA
have the power to enforce sanctions, their level of independence
and enforcement capacity can affect their ability to effectively
perform their roles (Ackerman 2005, Ankamah 2017) especially
in developing country contexts (Goetz and Jenkins 2005).
Whereas, SA lack formal sanctioning powers (Bovens 2007,
Schillemans 2008, Fox 2015, Ankamah 2017). Therefore,
according to Fox (2015) “voice needs teeth to have bite- but
teeth may not bite without voice”.
Previous research identify critical factors for interactions to occur
between HA and SA generally as summarized in Fig. 3. So far,
little is known about how these interactions between horizontal
and social accountability mechanisms can work in practice in the
extractive sector, and therefore what needs reforming to
strengthen good governance and anti-corruption outcomes.
Hence, a fresh set of conceptual proposition is needed, drawn
inductively from theory and field-experience.
Introduction
We rely on both theoretical and empirical data to develop this
conceptual framework. The conceptual framework was
developed in three main phases: (a) literature review, (b) field
work, (c) development and refinement of the conceptual
framework.
First, literature was reviewed to understand the key factors that
enable interactions to occur between HA and SA. We reviewed
literature on various concepts including state-society synergy,
co-production, contingency model of collaborative governance
and horizontal and social accountability. Much of the literature
identified 6 factors as key for interactions to occur. These
factors are shown in Fig. 3 below.
We then conducted seven pilot studies. The aim was to confirm
or refute the hypothesis for the research stated in the
introduction, the relevance of the research for practitioners in
the field and to empirically identify key factors that would enable
interactions to influence anti-corruption outcomes. We
conducted 45-60 minute open-ended interviews with
participants working in HA and SA mechanisms operating in the
Nigerian oil and gas sector (see Fig 1). Prior to these pilot
studies formal ethical approval was received from the University
of Queensland for research involving human participants.
Finally, we developed a more robust conceptual framework to
understand interactions between HA and SA in the extractives
sector as shown in Fig. 2.
The research identified the following findings:
1. Interactions exist between horizontal and social
accountability mechanisms in the Nigerian oil and
gas sector. Four main areas of interactions were
identified (a) detection, investigation and exposure
of corruption, (b) prevention, education and
awareness, (c) support of horizontal accountability
reputation, political standing and performance, (d)
prosecution of corrupt activities.
2. While the literature showed the critical factors
necessary for interactions to occur, there was less
focus on the factors critical to ensure outcomes for
corruption prevention after the interactions have
occurred.
3. The pilot studies revealed that the risks affecting
interactions and outcomes is a key factor to be
considered. This is because these risks can either
prevent interactions between HA and SA taking
place, thereby affecting the desired outcome of
corruption reduction or prevention in the extractive
sector.
4. Finally, the pilot study, as well as the literature,
highlighted that context matters in understanding
how the interactions between HA and SA can aid
anti-corruption outcomes in the governance of the
extractive sector.
Key findings
• The re-conceptualised framework presented in
Figure 2 above is a result of a theoretical-
empirical exercise focusing on the literature and
pilot interviews conducted with key stakeholders.
• This framework proposes four key variables as
key to understanding how interactions between
horizontal and social accountability institutions can
promise anti-corruption and accountability
outcomes in governance of the extractives sector.
• These variables are (a) the facilitating conditions
for the process of interactions to occur (b) the
factors likely to affect outcomes from interactions
and (c) the potential risks affecting either or both
the process of interactions and the outcomes and
(d) the context underlying (a), (b) and (c).
Conclusions
Figure 2: Re-conceptualised framework. Source: derived by authors from literature and pilot studies
This presentation is part of a PhD research funded by the
University of Queensland, Australia
c.ezeigbo@uq.edu.au
Chinwe Ekene Ezeigbo
Sustainable Minerals Institute
smi. uq.edu.au Acknowledgements
Methods
@SMI_UQ