Governance, Accountability, Participation, Performance

Governance, Accountability, Participation, Performance·(GAPP) Program Work Plan March 1, 2013 - September 30, 2013

April 2013 This publication was produced for review by the United States Agency for International Development. It was prepared by RTI International.

Governance, Accountability, Participation, Performance (GAPP) Program Work Plan

March 1, 201 3-September 30, 2013

Contract Al D-617 -C-13-00002

Prepared for [REDACTED], COR United States Agency for International Development/Uganda Democracy, Governance & Conflict

Prepared by RTI International 3040 Cornwallis Road Post Office Box 12194 Research Triangle Park, NC 27709-2194

RTI International is one of the world's leading research institutes , dedicated to improving the human condition by turning knowledge into practice. Our staff of more than 3,700 provides research and technical services to governments and businesses in more than 75 countries in the areas of health and pharmaceuticals, education and tra ining, surveys and statistics, advanced technology, international development, economic and social policy, energy and the environment, and laboratory testing and chemical analysis.

RTI International is a trad e name of Research Triangle Institute.

The author's views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the United States Government.

Table of Contents Page

1 Background - Local Governance in Uganda ........ ... ..... .. ... .... ......... .............. ...... ... 1

2 The GAPP Program ... .. ... .. .. .. ... ........... ..... ............ ............. .................................... 3

2.1 GAPP goals and results .. ......................... ...... .............. .. ... ...... ... ......... ....... 3

2.2 Implementation approach ............. ............. ... .... ... ..... ........... .. ..................... 3

2.3 Collaboration with other programs .................................... .. .. ... ............. ...... 4

2.4 Work plan development ......... .......... ... .... ............... ... ... .. .... ......................... 5

3 Work Plan Activities ... .................................... .. ...... ... ... ..... .... .... .............. ... ......... .. 6

3.1 Component 1: Improved legal , policy, regulatory, and institutional environment to meet demands for more democratic governance ............... 6

3.1.1 Activity 1.1. Assess capacity of national-level institutions .......... ...... 6

3.1.2 Activity 1.2. Build capacity of Parliamentary oversight bodies in support of local government ........ .... .......... ........ .. .... .. ...... ... .. ..... ... ... 7

3.1 .3 Activity 1.3. Support inter-agency communication through the Accountability Sector Working Group ...... .. ........ .. .. .... ..... .... .. ... .. .. .... 8

3.1.4 Activity 1.4. Build outreach capacity of the OAG ................... ......... . 9

3.1.5 Activity 1.5. Organize policy dialogue on intergovernmental fiscal transfer system ... ........................ ...... ..... .... .... ..... ....... .................... 10

3.1.6 Activity 1.6. Provide support to PPDA to implement district audits and build LG procurement capacity .... .. .. .... .. .. ... ...... ............ 11

3.2 Component 2: Strengthening local governance systems and processes .11

3.2.1 Revenue Management and Enhancement .. ...... .... .. .. .. ...... .. .. .. .. .... 12

Activity 2. 1. Local revenue mobilization (LRM) assessment ......... .... 12 3.2.2 Local government accountability systems ... ............. ................. .... 14

Activity 2.2. Strengthen local government accountability institutions effectiveness and performance ... ... .. ... ... ... .... ...... .... .... ... ... .. .... ....... 14

3.2.3 Local government decision making and service management .. .... 14

Activity 2.3. District development plan (DDP) review ..................... 14 Activity 2.4.Expand Olutindo service request system and conduct community awareness activities ................. .... ............... ... .... ..... .... 15 Activity 2. 5. Local government development fram ework assessment .16 Activity 2. 6. Improve council effectiveness and performance ........ .. .. 17

3.3 Component 3: Build the capacity of citizens and communities to participate in local governance-voice and accountability ...... ............. .... 17

3.3.1 Activity 3.1. Civil society mapping (national and local) ......... ...... .... 18

3.3.2 Activity 3.2. Solicitation of national level partners to develop capacity for USAID grants .. ............ .. .............. .......... ........ ............ . 19

3.3.3 Activity 3.3. Assessment of district and lower level NSAs ........ .. .... 20

GAPP-Work Plan March 1, 2013- September 30, 2013 iii

3.3.4 Activity 3.4. Launching a competitive request for applications (RFA) ....... .... ......... ........... .. ...... ... ... ... .. ..... ..... ..... ..... .. ............... ...... 21

3.3.5 Activity 3.5. Issuance of non-competitive grants .... ... .. .... .... .. ..... .. .. 21

3.4 Cross-cutting issues ... ... ... .. ... .... .. .... .... .. ...... .. ....... .. .. .... ..... ..... .. .... ... .. ... .... 23

3.4.1 Gender and social inclusion assessment and ro llout ....... ...... .. ...... 23

3.5 Learning and Communication .. .... .... ... ........ .... ........... .. .. ... .... .. ...... .. .... .. .. .. 23

3.5.1 Performance Monitoring Plan (PMP) implementation .. .... .... .......... 23

3.5.2 Development of communications strategy ..... .. .. .... ...... ...... .. ... ... .... 24

Annex A FY 2013 Timeline of GAPP Activities .... .. ... ........ .. .. .. ............ ... ......... ....... ... .... .. 1

Annex B. FY 2013 Workplan Logic Model .... ........ ... .. .. ...... .... .. .... .... .... ... ........... .. .. .. .. ...... 2

List of Tables

Table 1: GAPP methodologies .. .... .. .... .... .. .. .. .. ....... .... .. ........... ................. ...... ..... .. ... .. .... . .4

iv GAPP-Work Plan March 1, 2013- September 30, 2013

Abbreviations ACODE

COP

cso DDP

DGAP

DGF

DPP

FINMAP

FY

GAPP

GOU

IGG

IPS

JARD

LGAC

LGDF

LGFC

LGPAC

LLG

LRM MOPPED

MOLG

MP

NGO

NPA

NSA NU-HITES

OAG

PAC

PLOCA

PMP PPDA

RFA SDS

SMS ToR

UDN

ULGA

USAID

VFM

Advocates Coalition for Development and Environment

chief of party

civil society organization

district development plan

Democratic Governance and Accountability Program

Democracy Governance Facility

Directorate of Public Prosecutions

Financial Management and Accountability Program

fiscal year

Governance, Accountability, Participation, Performance Program

Government of Uganda

. Inspector General of Government

Institute for Parliamentary Studies

Joint Annual Review of Decentralization

Local Government Accounts Committee

Local Government Development Framework

Local Government Finance Commission

Local Government Public Accounts Committee

Lower Level Government

local resource mobilization

Ministry of Finance, Planning, and Economic Development

Ministry of Local Government

member of Parliament

nongovernmental organization

National Planning Authority

non-state actor Northern Uganda-Health Integration to Enhance Services

Office of the Auditor General

Public Accounts Committee

partner local capacity assessment

Performance Monitoring Plan

Public Procurement and Disposal of Assets Authority

request for applications

Strengthening Decentralization for Sustainability

short message service terms of reference

Uganda Debt Network

Uganda Local Government Association

US Agency for International Development

value for money

GAPP-Work Plan March 1, 2013- September 30, 2013 V

The United States Agency for International Development (USAID) awarded the contract for the implementation of the Governance, Accountability, Participation, Performance (GAPP) Program to RTI International on November 29, 20 l 2. According to the conditions of the contract, RTI is required to submit the first work plan within 90 days of the effective date of the contract. This revised workplan responds to feedback provided by USAID/Uganda. Therefore, this work plan presents the activities that will be implemented during the remainder of fisca l year (FY) 2013 (March 1, 2013 to September 30, 20 13) of the Program. The document provides background and context to the GAPP Program and details of planned activities under each of GAPP's three components. After a general discussion of issues that frame our assistance program, each activity is presented in the following way:

• Objective and description

• Anticipated results

• Time frame

• Key partners

• Estimated Budget'

GAPP's FY 2013 Work Plan [mplementation Time Frame is included as Annex A.

In addition we have included a logic model to illustrate the thinking underlying the various interventions, outputs, envisaged outcomes and expected impacts. The Logic Model, Annex B, is envisaged to enhance linkages across components, limit one-off interventions and efficiently deliver the interventions.

1 Background - Local Governance in Uganda The roots of the current local government system draw heavily on the hierarchy of local structures that were created by the National Resistance Movement to mobilize the grassroots in the resistance struggle. The model of grassroots structures became formalized as the local government system in Article 176 of the 1995 Uganda Constitution and further defined in the Local Government Act of 1997. The Constitution defines the principles that apply to local government to include the devolution of responsibilities from central Government of Uganda (GOU), decentralization to ensure participation, democratic governance, and a sound financial base. The structures include the district as the cornerstone institution with municipal and town structures and wards within them for urban areas and sub counties, parishes, and villages as the sub district units in rural areas. Although the country is experiencing rapid urbanization, approximately 85% of the population still lives in rural areas, making the services provided by districts and its subunits critical for national and local development.

1 Budget estimates represent other direct costs associated with implementing activiti es, including consultant labor and sub-awards. The figures do not include labor costs for full-time project staff, equipment/materi als that support the project as a whole, or indirect costs.

GAPP-Work Plan· March 1, 2013 - September 30, 2013

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The broad powers granted to local government in the legal framework signal the importance of decentralization in Uganda's governance vision. The Fiscal Decentralization Strategy was launched in 2002/2003, and an overarching Decentralization Policy Strategic Framework was launched in 2006. The Decentralization Policy was supported by the Local Government Sector Investment Program that laid out the human and financial resources that would bring the policy to life. However, despite the early commitment to decentralization policy and the legal commitment to governing powers within it, several factors now constrain the local governance system. These include the following.

Limited resources: Recent years have seen deterioration in the way local government is funded. The Graduated Tax, which had been the primary local revenue source for local government, was withdrawn in 2008 and replaced by the Local Service Tax, which is difficult to administer, and the Hotel Tax, which has a limited base in many districts. As a result, approximately 90 percent of local government finances come through the system of central conditional and unconditional grants. The system includes approximately 40 distinct earmarked grants, half of which have no clear allocation criteria. The result of this financing system is an overall reduction in resources available for local development and conditionalities that leave local governments little discretion to fund their own development priorities.

Weak local capacity: The large number of local governments created through the district and subunit system has required a recruitment effort for which there is an insufficient number of qualified candidates. Qualified individuals may exist, but local governments lack the resources to mount a recruitment effort to identify candidates and to pay adequate salaries. Although local government has become an attractive employment option for recent graduates, most local governments are significantly understaffed, particularly those in hard-to-reach areas. In addition, district splitting, with the number of districts increasing from 79 in 2009 to 111 by 2012, has further exacerbated capacity limitations in local governments.

Limited mobilization of local civil society and private sector: Although several mature civil society organizations (CSOs) and business associations exist on the national level, few have effective local organizations, and purely locally mobilized interest groups are few, including women's and youth groups. This situation, coupled with citizens' weak understanding of their rights, means that there is little pressure exerted on districts to improve services. Indeed, few local governments have established partnerships with local CSOs, and few have established mechanisms through which citizens can express their needs or provide feedback on services. Although local economic development depends in part on the quality of services delivered, business associations are largely nonexistent in local development planning.

Corruption: Recent corruption scandals regarding project funding that was siphoned off in Northern Uganda and payments to ghost pensioners have underscored the prevalence of corruption at the national level. Local governments are not immune to corrupt practices, with procurement and recruitment as areas most subject to manipulation for personal gain.

GAPP-Work Plan March 1, 2013- September 30, 2013

Recognizing that progress in democratic governance requires greater accountability, the GOU has recently established a strong framework to strengthen accountability and fight corruption. The framework consists of a variety of strategic policies such as the National Development Strategy and the National Anti-Corruption Strategy, among others, with a network of national institutions responsible for implementation. Two key aspects of this framework that have particular relevance to local accountability are the expanded emphasis on the audit process and new public procurement legislation. The main challenges to the national Government are to build local capacity to implement regulations and national agencies ' ability to follow through on the findings and recommendations on the financial and procurement audit process.

2 The GAPP Program

2.1 GAPP goals and results

In response to this context and understanding the role of local government in democratic governance and service delivery, USAID has designed the GAPP Program with the goal to increase participation and accountability in order to improve local governance for effective service delivery. GAPP is expected to achieve three principal results under this goal:

l. Improve legal , policy, regulatory, and institutional environment to meet demands for more democratic governance;

2. Support enhanced fiscal management and accountability processes in the delivery of services in targeted districts;

3. Build the capacity of citizens and communities to participate in local governance- voice and accountability.

2.2 Implementation approach

RTI lnternational ' s approach to implementing the GAPP Program is based on the hypothesis that greater accountability drives improvements across all areas of local governance. This means that the greater the opportunities for citizens to hold officials accountable for their actions, the more responsive officials will be to citizens' needs. Opportunities for accountability are created by a national environment and regulations that require local governments to report on their activities and permit oversight by the national Government. This can be called upward accountability. Opportunities are also created by specific mechanisms at the local level that allow citizens to participate, advocate for their interests, and provide active feedback to decision makers on local government performance. This can be called downward accountability. The national accountability framework provides mechanisms for upward accountability, but these mechanisms must be strengthened. Mechanisms for downward accountability are poorly developed, so GAPP must assist local government in creating the mechanisms and must equip local organizations with the capacities to participate. In this way, GAPP will serve as a bridge, bringing local government and the community together to resolve development challenges.

GAPP-Work Plan March 1, 2013- September 30, 2013 3

RTI will use several methodologies to achieve the expected GAPP results and produce sustainable progress in local governance.

Table 1: GAPP methodologies

Integrate GAPP components

Build sustainable capacity

Promote partnerships and dialogue

• Recognize interrelationships among the three components

• Build bridges between civil society and government and between tiers of government

• Use a capacity-building approach that is based on process of innovations dissemination

• Plan with local partners

• Work through local partners

• Build the capacity of local partners

• Promote policy dialogue for reforms

• Bring local government and stakeholders together to promote resource mobilization and service improvements

• Build dialogue between the GAPP team and the Program's stakeholders

2.3 Collaboration with other programs

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GAPP activities involve issues and locations in which other programs supported by USAID and other donors are also working. Furthermore, because governance is a topic that cuts across sectoral service delivery, local governments have a role in a broad array of services, and community groups can be mobilized for sectoral services as well as for broader local government planning. Therefore, by the nature of the issues, it will be important to collaborate with other programs to achieve potential synergies and avoid duplication of efforts. In terms of process, collaboration will be achieved at three levels:

1. Strategic: periodic meetings with chiefs of party, particularly those with sector overlaps such as Strengthening Decentralization for Sustainability (SDS) and Northern Uganda-Health Integration to Enhance Services (NUHITES), and other implementers such as Democracy Governance Facility (DGF), Democratic Governance and Accountability Program (DGAP), and Financial Management and Accountability Program (FINMAP) to define and review areas and mechanisms for collaboration and broad environmental issues that affect assistance delivery

2. Programmatic: meetings among the technical staff regarding the design of specific activities that have been identified in the project work plans and


regarding programming in specific local governments to avoid duplication or overburdening a local partner

3. Operational: meetings among technical and administrative staff regarding the implementation of specific activities.

2.4 Work plan development

As required by GAPP contract, RTf began technical implementation of the program with a baseline assessment intended to inform the development of the Program ' s first work plan. The baseline assessment was designed as a situational analysis of the context and issues related to each of the three components. RTI reviewed numerous relevant documents and data and conducted field visits to seven of the GAPP target districts, including subdistrict governments and local CSOs. From this research, RTI prepared issues statements for each component (or subcomponent for Component 2). The issues statements were presented at a stakeholder workshop February 12, 2013, in which more than 60 representatives of national agencies, district local governments, national and local CSOs, and the business community participated. The stakeholders commented on the issues statements and then made recommendations about activities that GAPP could undertake at the national and local levels. Following the workshop, the GAPP staff refined the recommendations into activities for this work plan.

The following principles have guided the GAPP team ' s selection of activities for this first work plan.

1. Part of the work plan must necessarily be devoted to technical start-up, including orienting target districts and introducing the Program to national agencies. Therefore, there will be limited time for actual technical assistance activities.

2. Because this is a period of Program initiation, many technical assistance activities that are started under the FY 2013 work plan will carry over into the subsequent work plan.

3. The beginning of the Program is an appropriate time to conduct the studies and analyses that will lay the groundwork for future activities and can build consensus among GAPP stakeholders as to the specific nature of issues on which the Program will provide assistance.

4. At the same time, quick results will establish GAPP's credibility and build momentum with our partners. Therefore some of the activities in the work plan are intended to achieve early results.

5. Identifying opportunities for grants as part of the implementation of activities will allow GAPP to access its considerable grant fund and involve partner CSOs in implementation.

Throughout the start-up phase, the GAPP team has also collaborated with Social Impact' s team on the design of activities that will undergo an impact evaluation. Specifically, GAPP has:

I. Held meetings with the impact evaluation in the U.S. and in Uganda team to brainstorm on approaches and ideas for implementation;

GAPP-Work Plan March 1, 2013 - September 30, 2013 5

2. Arranged for impact evaluation team interviews with officials in Kayunga District for purposes of information gathering for the Olutindo expansion (see Activity 2.4);

3. Invited the impact evaluation team to accompany the GAPP team on visits to districts included in the baseline assessment; and

4. Invited the impact evaluation team to participate in the GAPP stakeholder workshop.

The lessons learned from these interactions have informed the design of activities that will undergo an impact evaluation.

3 Work Plan Activities

3.1 Component 1: Improved legal, policy, regulatory, and institutional environment to meet demands for more democratic governance

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Uganda has put in place an elaborate system of institutions, laws, and regulations to ensure the prudent use of public resources, largely through financial management and procurement processes. Several national agencies are responsible for overseeing the implementation of this framework and enforcing the laws that are part of it. These include committees of Parliament; national agencies such as the Office of the Auditor General (OAG), the Inspector General of Government (IGG), and the Public Procurement and Disposal of Assets Authority (PPDA); the Uganda Judicial System; and the Police. As with many complex systems, communication across agencies and implementation down to lower levels is often problematic. In addition operational challenges fail to be flagged up or opportunities exploited. In addition, policy reform to deepen the country's decentralization policy has become stagnant, yet a number of policy issues have surfaced as constraints on local government. To achieve results under Component I, GAPP will strengthen the capacity of partner national bodies according to their respective mandates and, where appropriate, review procedures to strengthen and/or simplify them and provide more information to the public. To support policy reform, GAPP will assist in increasing dialogue among all stakeholders and building sound analyses to support data-driven reform decisions . .

3.1. 1 Activity 1.1. Assess capacity of national-level institutions

Objective and description: The objective of this activity is two pronged: i) to partly support and inform the process of implementing this work plan, and (ii) to obtain buy-in and ownership of the program from the key stakeholders as GAPP designs and targets Component 1 activities. To effectively target and design performance improvement interventions, GAPP will assess the capacity gaps and existing capacitybuilding programming within our counterpart institutions. This activity will involve initial introductory and follow-up meetings and consultations with these agencies, as well as a desk review to enable a clear understanding of how GAPP assistance will be used to greatest effect in achieving Program results. Specifically, a clear understanding will be obtained of how these institutions relate with and support Local Government accountability organs such as LGPACs. In these assessments,


mechanisms will be explored how, for example, national level agencies such as LGAC, OAG and PPDA can reach-out and support the strengthening of local government institutions for enhanced performance and effectiveness as envisaged under Activity 2.2 in component 2. FY 2013 activities to achieve this objective include the following:

• Conduct introductory and follow-up meetings with partners, and obtain relevant data, assessment reports and support-needs from the counterparts.

• Conduct a thorough desk review.

• Perform key informant interviews to inform and triangulate information gleaned from desk research and introductory meetings.

• Disseminate the findings , conclusions and decisions of the work-plan with the respective national level stakeholders. This activity secures the buy-in, commitment and ownership by the agency of the interventions proposed and agreed upon under this work plan.

Key partners:

• OAG, Parliamentary Committees of Public Accounts (PAC), Local Government Accounts(LGAC), Public Service and Local Government(PS/LG), Institute of Parliamentary Studies(IPS), PPDA, Department of Public Prosecution (OPP), Local Government Finance Commission (LGFC), ULGA

3.1.2 Activity 1.2. Build capacity of Parliamentary oversight bodies in support of local government

Objective and description: The objective of this activity is to strengthen national oversight over local government accountability and service delivery, thereby complimenting Activity 2.2 in component 2. The PAC and LGAC in the national Parliament are directly responsible for reviewing OAG audits of Central Government and Local Governments respectively. To support review and utilization of value-formoney (VFM) audits within Parliament, GAPP will support Members of Parliament (MPs) and staff to interpret and understand audit reports and build their capacity to respond to the current backlog of-audit reports. This support will provide the groundwork for future mentoring support by the LGAC to LGPAC's that is envisioned to commence in year 2.

GAPP will work with the Department of Corporate Planning and Strategy (CPS) -formerly Parliamentary Development and Coordination Office (PDCO) within Parliament to coordinate GAPP efforts with all the relevant committees and agencies in Parliament. Specifically, collaboration will be sought with the newly founded Institute for Parliamentary Studies (IPS), housed within Parliament, to institutionalize interventions. This approach of developing the capacity of IPS as a conduit for support to Committees seeks not only to provide capacity strengthening for the accountability Committees but to strengthen the capacity of Parliament to undertake


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this beyond the life of the project. FY 2013 activities to achieve this objective include the following:

• Work with OAG and IPS to develop and implement a program of training, mentoring and coaching MPs and Staff of the PAC and LGAC in VFM audits, complete with a training curriculum and proposed trainers. Training space will be provided within the IPS training facility in Parliament, as much as feasible.

• Implement a program of capacity building for the IPS,.through a TOT for 20 IPS retained trainers as well as limited and agreed secretariat infrastructural support. This team in conjunction with accountability committee members, will be engaged in year 2 and onwards to provide mentoring support to local governments in building capacity for accountability.

• With the capacity so-built in the area of VFM audits, extend this technical support to the LGs in collaboration with OAG al)d PPDA under Activity 1.4: Building Outreach Capacity ofOAG, PPDA and Parliament.

Key partners:

• Parliament of Uganda (PAC, LGAC, IPS), OAG

3.1.3 Activity 1.3. Support inter-agency communication through the Accountability Sector Working Group

Objective and description: The objective of this activity is to improve coordination, effectiveness, and efficiency of national-level accountability institutions. Through GAPP 's evaluation of national level accountability institutions, it is clear that these institutions form a network that, when working together, can be highly effective in identifying and addressing gaps in current efforts in the fight against corruption and mismanagement. Member agencies of this network can greatly benefit from interagency collaboration. Our team will assess whether the existing inter-agency mechanisms, such as the Accountability Sector Working Group (ASWG) and the Inter Agency Forum (IAF), offer a good opportunity for GAPP to engage them and improve member coordination. Through such existing mechanism, GAPP will explore and support the formation of an operational-level working group within the group. The overall aim of this working group is to see increased action on audit findings by the working group members by way of prosecutions, administrative action, and/or any specific policy/ legal recommendations to Government towards improvement of accountability and policy at national and LG level. FY 2013 activities to achieve this objective include the following:

• Coordinate with the Accountant General ' s Office (AGO) to secure the working group' s support to operationalize and further strengthen an operational-level working group. Members of the round table will be composed of selected accountability sector agency members directly involved in the audit process. This intervention will seek to strengthen the linkages between actors so as to lead to improved action on audit findings through prosecutions, administrative actions and/or policy recommendations.


Key partners:

PAC, LGAC, OAG, PPDA, OPP, IGG

3.1.4 Activity 1.4. Build outreach capacity of the OAG

Objective and description: The objective of this activity is to enable the LGs, communities, private sector service providers, and CSOs to access and to better understand the information and data generated by OAG and PPDA audit reports. GAPP plans to work with the OAG concurrent with the !PS and PPDA to avail simplified and summarized audit report findings suitable for consumption by the LGs, ordinary citizens, CSOs, and the media. This is aimed at increasing national accountability institutions communication with the public and a heightened demand for accountability by the population.

GAPP will work with the OAG as the central agency in the outreach program, PPDA and Parliamentary Accountability Committees to develop a standard data and information pack as a toolkit for outreach. That package will include:

i. Summary OAG audit findings for the local government.

11. Summary PPDA audit findings for the local government.

iii. Package of findings and recommendations of PAC and LGAC

iv. Package of findings and recommendations of LGPAC, arising from their review of sub-county OAG audits and internal audits of the district.

v. Responses to date from the recommendations above by the local government.

Two categories of outreach meetings shall be held at the district levels:

i. District Councils and LGPACs

ii. Public/CSOs/Private sector/ Media

In order to inform and involve the general public, attempts will be made to have the package so disseminated as above published in the respective websites of the OAG and PPDA for free access by citizens.

Due to the broad nature of stakeholder involvement and participation in this arrangement, a strategic CSO may be brought on board to coordinate overall outreach efforts. Actions will include liaising with OAG, IPS, PPDA and LGs to draw up a program of outreach and obtain input from the respective oversight agencies into the information package for the outreach. Participation of the OAG regional offices will also be sought for these activities.

This activity will be a standard feature of subsequent GAPP workplans. FY 2013 activities will serve mainly as a foundation for a fuller roll-out to all the GAPP districts in subsequent FYs. Lessons and observations from this pilot will inform the design of the intervention in year 2. FY 2013 activities to achieve this objective include the following:


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• Explore and develop a working arrangement with OAG, PPDA, IPS, and a CSO (as appropriate) for the outreach program, and agree on the broad content of the information package. explore and develop a working arrangement with OAG, PPDA, IPS, and a CSO (as appropriate) for the outreach program, and agree on the broad content of the information package.

• Pilot-run the outreach activity in 5 selected GAPP districts.

Key partners:

• OAG, Parliament, PPDA, CSO Partner(s), District Councils, local-level CSO partners and private sector.

3.1.5 Activity 1.5. Organize policy dialogue on intergovernmental fiscal transfer system

Objective and description: The objective of this activity is to engage national and local government entities, Parliament, and non-state actors in a constructive dialogue aimed at reforming LG financing. While local revenue mobilization requires substantial reform, it can only achieve a fraction of local government units' resource needs, and issues in the intergovernmental fiscal transfer system form another major part of the obstacles for the success of local governments in service delivery. Because of this, GAPP will leverage recent studies by the Local Government Finance Commission (LGFC), ULGA and other policy research agencies to engage all stakeholders in a high-profile national dialogue intended to open up debate around LG financing and allow parties to advocate for their desired outcomes. GAPP will also support evidence-based policy analysis, as needed, in preparation for the event, and ULGA is anticipated to make a key contribution in the area of research.

This will be the first of GAPP's "think tank" activities and will initiate a cross-cutting advocacy process that will continue in the later years of the program. For FY 2013, GAPP will concentrate on laying the foundation for the anticipated regular dialogues, and will involve a base-line study to determine the relevant policy inventory to focus the dialogue on. GAPP will meet with LGFC, ULGA, Parliamentary Committee on Local Government and Public Service, to agree on the concept and programming. Very importantly, this process will be supported by a CSO effort working around the lead dialogue partners to promote the dialogue process and propagate the resolutions/recommendations that arise.

For this dialogue to be effective, however, a baseline policy analysis will be done to identify the specific LG financing and accountability policy issues that need to be addressed. Therefore, FY 2013 activities include the following:

• Coordinate with PS/LG Committee, LGFC, ULGA and other policy research and advocacy agencies to agree on the framework of action, and commence preparations for the activity.

• Conduct a policy analysis study to determine a baseline policy inventory of key issues to be addressed by the planned policy dialogue forum and form a


basis for tracking policy recommendations and implementation performance during the life of the project.

• Create a dialogue among the key players over the policy analysis findings from the above study, to adopt a common understanding of what constitutes key LG financing policy issues on which future dialogues must brainstorm .

Key partners:

• Parliamentary Committee of Public Service and Local Government (PS/LG); LGFC; ULGA; MOLG; Ministry of Finance, Planning, and Economic Development (MOFPED); LGAC; GAPP-targeted district councils; CSO partners; private sector

3.1.6 Activity 1.6. Provide support to PPDA to implement district audits and build LG procurement capacity

Objective and description: The objective of this activity is to support PPDA to undertake procurement audit exercises in l O GAPP districts. PPDA currently .undertakes audits in approximately 30% of eligible institutions. The inability of PPDA to undertake audits annually, in all entities, means that the expected deterrent effect is lost in those districts that do not undergo audits. In addition, the opportunity for LGs to learn and improve that comes through the audit exercise is missed.

GAPP will undertake audits in IO districts whose outcomes will inform the design of capacity building interventions at national and local government levels in year 2 and 3. This means that for FY2013, effort will first be directed to conducting the 10 audits, while capacity building interventions will follow in the subsequent FYs.

GAPP will, in collaboration with PPDA, select the IO priority districts for initial pilot. Selection will be informed by the duration since the previous PPDA audit was done. Comparative volumes of procurement-related activities in the GAPP districts will also inform selection. FY 2013 activities to achieve this objective include the following:

• Coordinate with PPDA to select the 10 GAPP districts to undergo procurement audits, and carry out the audits.

• Use the audit results to enrich the Information package forming the toolkit for LG outreach Activity 1.4.

Key partners:

• PPDA, District local governments.

3.2 Component 2: Strengthening local governance systems and processes

The main objective of this component is to strengthen local governance processes. GAPP recognizes USAID's previous and ongoing efforts in strengthening decentralization and local governance in Uganda. For purposes of collaboration and learning with other USAID Programs implementing at the local level, GAPP will draw from the lessons learned from the previous USAID funded programs such as the


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Strengthening Decentralization in Uganda (SDUl &II), Strengthening Democratic Linkages (LINKAGES) projects as well as Local Government Induction of Councilors Exercise(LOGIC).

GAPP will partner with ongoing programs such as Strengthening Decentralization for Sustainability (SDS) for purposes of learning and replicating best practices. Special attention shall also be accorded to the overlap districts of Kayunga and Mityana to harness synergies and harmonize technical assistance.

GAPP will conduct activities in four areas:

1. Local revenue management and enhancement: GAPP will build district capacity by introducing better revenue management practices in priority revenue sources. In addition, GAPP will nurture dialogue between relevant tax- and fee-payer segments of the community and between levels of government (sub county and district) regarding revenue collection. To ensure improvement in services, GAPP will build models that link service improvements and revenue generation (e.g., sanitation conditions in the market and market fee payment). Finally, in recognition of the fact that some of the local revenue mobilization (LRM) constraints stem from national regulations and laws, local revenue sources will be an important topic in the policy dialogue with the national level institutions managed under component 1 in activityl.5.

2. Local accountability systems: GAPP's approach to strengthening accountability systems will be to first build capacity of local government stakeholders, targeting the LGPACs, the Procurement Units, and the lnternal Audit Units, and second, to build greater public awareness of procurement, financial management, and audit processes by "shining more light"-bringing more transparency to these processes.

3. Decision making and service management: Because the council is the highest political authority within the jurisdiction and is ultimately responsible for all decentralized functions, GAPP will strengthen council operations through interventions that clarify roles and responsibilities between political and technical teams, strengthen communication with citizens, mentor to support the proper application of rules of procedure, and strengthening the function of council committees. GAPP will also work to improve service management by working on processes, including development planning, that bring stakeholders and local government into a dialogue about service priorities and service quality, improve citizen voice in monitoring services, and strengthen local government internal service management capacity.

3.2.1 Revenue Management and Enhancement

Activity 2.1. Local revenue mobilization (LRM) assessment

Objective and description: The objective of this activity is to conduct a situational analysis to lay the groundwork for LRM activities. Understanding the trend of local


revenue performance for the target LGs at this stage is critical in guiding LRM activities in subsequent work plans. As a first step, GAPP will collect historical financial data from audited and executed budgets for 10 selected local governments for the previous three years and will carry out a financial analysis that will help to establish the current LRM situation. GAPP will refine and validate the standard template developed under the LINKAGES project, which will be used to collect the historical financial data. Relevant socioeconomic data will also be collected to establish the per capita income of the selected target local governments.

The results of the financial analysis will be shared with district officials in the second year work plan to provide the current situation assessment of the district and to target selected taxes/fees or licenses for enhancement and improvement. The financial analysis of the district will also provide baseline information as well as the percentage contribution of local revenue to the overall budget of the district.

The presentation of the financial analysis will include awareness raising for civil and political leaders. A separate presentation of the financial analysis to the extent possible will be presented to CSOs, private sector and community representatives to appreciate their roles and responsibilities in local revenue enhancement and mobilization.

The target local governments will be selected based on representation by region, Priority shall be provided for districts that have signed up to the USAID partner district operational plans. Other factors will include years of establishment, having at least 10 lower level governments (LLGs).

This activity will inform future LRM interventions for which USA1D Washington contracted Social Impact (SI) will conduct an impact evaluation. Therefore, activity design and implementation will be conducted in a collaborative manner to ensure methodological rigor and fidelity of implementation.

Specifically, in FY 2013, GAPP will conduct the following activities:

• With input from Social Impact, select target local governments and develop a financial data collection tool.

• Collect historical financial data from audited and executed budgets for the previous three years for 10 districts and 100 sub-counties.

• Conduct a census of markets in each target district that includes type of market, number of vendors, and market governance structure.

• Analyze and interpret the collected financial data.

Key partners:

• LGFC, MOLG, SOS, ULGA, and l O target districts and 100 sub-counties


3.2.2 Local government accountability systems

Activity 2.2. Strengthen local government accountability institutions effectiveness and performance

Objective and description: The objective of this activity is to strengthen capacity of local government accountability institutions to understand and interpret audit reports and strengthen the financial management and reporting systems at the local level. LGPACs are mandated by the LGA to discuss the audit reports of the district and their respective LLGs and make recommendations for action by council. To address gaps in accountability systems such as non-compliance, collusion and corruption, GAPP will work to strengthen the accountability institutions at the local level. As the first step in provision of technical assistance in strengthening local government accountability institutions, a major study will be conducted in conjunction with component 1 to identify capacity gaps in local government accountability institutions, focusing on performance and practices of the LGPACs, internal audits, and financial management and reporting systems. This activity will be conducted by a local firm with wide experience in conducting similar studies.

Key partners:

• LGFC, MOLG, PPDA, OAG, and the target districts and sub-counties

3.2.3 Local government decision making and service management

Activity 2.3. District development plan (DDP) review

14

Objective and description: This activity will provide an opportunity for the new local leaders to review and own their respective DDPs. In most districts, the local leaders have indicated that the existing DDPs do not capture political interest because they were developed and approved by the previous councils. At the core of district development and service planning are the five-year DDPs, capturing development projects based on a bottom-up planning process. However, the current DDPs do not adequately represent the priorities of the local people because they were hurriedly developed by the districts to comply with the new NPA guidelines at the time without proper guidance and mentoring by the NPA. According to the National Planning Authority (NPA), although local governments are due for the midterm review of DDPs, the guidelines for this review process have not yet been developed, despite the fact that the midterm review is supposed to inform the next five-year DDP.

The DDP midterm review process is critical in promoting a more participatory process that will reflect the needs and priorities of the ordinary citizens and ownership of the planning function by the newly elected political leaders. In addition, the reviewed DDPs will be critical in the implementation of the USAID DOPs as IPs will address the real needs and priorities of the local people. To strengthen the local government development planning function, GAPP will conduct the following activities:

• Work with NPA to develop the local government DDP review process guidelines.


• Provide technical and logistical support to 10 districts in reviewing thei r

DDPs.

• Share lessons learned during the DDP review process with key national stakeholders to inform future development planning for local governments0

Key partners: NPA, MOLG, and the target districts and sub-counties

Activity 2.4.Expand Olutindo service request system and conduct community awareness activities

Objective and Description: This activity will provide an SMS-based service request system (Olutindo) that provides citizens and local government officials with a tool for submitting, tracking, and responding to service delivery requests. The application is intended to help create an environment in which public officials are accountable to citizens for service delivery. Drawing on RTI ' s experience and lessons learned in implementing the Olutindo project in Kayunga district, GAPP will continue to support Olutindo in Kayunga and will expand to two additional districts, one that is newly formed and one that is old. Given that the Advocates Coalition for Development and Environment (ACODE) is operating a similar system in certain districts, GAPP will select districts that are not working with ACODE.

In addition to the SMS application, GAPP will conduct community meetings in which citizens are educated on the roles and responsibilities of local governments and civil society in ensuring effective service delivery.

Social Impact will conduct an independent impact evaluation on this activity. In order to achieve statistically significant results, there will be 45 control communities, 45 communities that receive education on civic roles and responsibilities, and 45 communities that receive education on civic roles and responsibilities and on O lutindo in each of the two target districts. Activ ity design and implementation will be conducted in a collaborative manner to ensure methodological rigor and fidelity of implementation.

Specifi cal ly, GAPP will:

• Refine the Olutindo software package to enhance features and user friendliness.

• Collaborate with Social Impact evaluation team on selection of target districts and implementation design.

• Purchase and equip selected district technical and/or political officials with 3G tablets that enable them to access Olutindo and communicate with citizens about service delivery concerns.

• Assess the existing level of technological savvy of district officials • Provide necessary training to district officials to build the capacity to use

Olutindo. • Conduct a public launch of Olutindo in each district and treatment village • Conduct community education workshops on stakeholder roles and

responsibilities and the importance of citizens in holding LGs accountable. Awareness activities will target lower local government officials (LC3 and


below), village health teams, youth organizations, parent-teacher associations, and/or other community groups.

• Explore opportunities for additional linkages with national level stakeholders such as area MPs and representatives from the relevant Ministries (i.e. , health and/or education) .

Key partners: • Target communities, ULGA, MOLG, and the target districts

Activity 2.5. Local government development framework assessment

Objective and description: The RTl-developed LGDF, built on best practices, is a proven tool for assessing local government performance. It provides early awareness building to staff and councilors, orienting them with community representatives of good governance practices in local government functional areas.

The LGDF will enable the GAPP-targeted local governments to identify areas and procedures for improvement while serving as a baseline against which improvements can be measured at different stages of development. Unlike the MOLG annual national assessment, the LGDF tool will be self administered by the key stakeholders and as a result, it acts as an empowering tool as scoring is made against documented best practice.

The LGDF will: • Familiarize the local government stakeholders with the best practices across

local government functional areas and will allow them to determine their

priorities for improvement.

• Establish a performance baseline and facilitate the selection of a GAPP assistance package that will include both general arid targeted capacity

bu ilding topics.

• Help build dialogue between local government and citizens focused on local government performance and will support effectiveness and efficiency in the

delivery of essential services to citizens.

Specifically, in FY 2013, GAPP will conduct the following activities:

• Adapt and validate the LGDF tool for assessing local government performance through a broad-based consultative process involving key local government stakeholders at local and national levels.

• Facilitate a self-assessment of the local government council and technical departments in 25 districts to determine their current performance and capacity-building needs using the LGDF.

• Identify general and targeted capacity-building interventions by district.

Key partners:

• MOLG, LGFC, ULGA, consultants, CSOs, private sector, and the target districts

16 GAPP-Work Plan March 1, 2013 - September 30, 2013

Activity 2.6. Improve council effectiveness and performance

Objective and description: This activity will improve the decision-making performance of local councils. Council effectiveness and accountability depends on the skills and knowledge of the councilors, the degree to which they follow set rules of procedure, the functionality of the council and committee structure, and the degree of communication between the council (as a body or through individual councilors) with citizens.

According to the MoLG, council rules of procedure are due for review to cater for the current contradictions observed in their implementation. To address problems such role conflict, the lack of procedures that allow councils to function effectively and the diminishing council ' s oversight and decision making role, GAPP, under this work plan will:

• Support the review of the rules of procedure through a consultative process by the MoLG and induction on the rules of procedure will commence be conducted for all GAPP target districts and sub counties in subsequent work

plans.

Key partners:

• LGFC, MOLG, and the target districts and sub-counties

3.3 Component 3: Build the capacity of citizens and communities to participate in local governance-voice and accountability

The concept of CSOs covers a broad array of groupings from well-founded nongovernmental organizations (NGOs) to loosely organized groups that have limited structure and resources. Formally organized CSOs in particular have grown recently, increasing from 200 NGOs officially registered in 1986 to approximately I 0,000 registered at the end of 20122• However, although there are several strong national organizations, the local presence of formal CSOs varies significantly across districts. At the same time there are many other community organizations and associations that are not well organized and are not registered, yet they represent the interests of many groups at the local level.

According to the Private Sector Foundation3, the private sector is dominated by micro,

small and medium scale enterprises. Of these, 43% are sole proprietors and 33% private limited liability companies 18% partnerships, 2% associations and 4% cooperatives. Under this component, emphasis shall be put on the inclusive model of participation that takes care of the needs of the youth, women and the persons with disability as part of the effort to build inclusive voice and sustainable engagement capacity.

2National NGO Board 3 Private Sector Foundation Uganda (2012) : Private Sector Platform for Action . A Synopsis of Uganda's Private Sector Growth Challenges and Proposals for Policy Reform.


18

GAPP will use a multi-faceted approach to bring more community and private sector voice to the local governance process. The approach will include mapping organizations/associations at the district level to better understand the fabric of civil society, communities and private sector and their specific needs, building institutional and advocacy capacity of local CSOs and CBOs, and establishing openings for partnership with local governments as part of the program under Component 2. In addition, GAPP will work with selected organizations with a national level mandate and or those working in the 25 districts to provide more targeted assistance that will qualify them as ready to receive direct grants from USAID and hence making them more attractive to other grant makers.

In addition to the above capacity enhancement processes, it is planned to have grants made available for competition by CSOs that have undergone capacity enhancement for purposes putting into practice best practices, new models and approaches as well as practicing improved capacity received from the mentoring and training processes.

3.3.1 Activity 3.1. Civil society mapping (national and local)

Objective and description: The activity will provide GAPP with a broader conceptualization of the NSAs at all levels, including civil society and its categorizations that include NGOs, CBOs, trade unions, various service management committees, and private sector businesses, savings and credit organizations, farmers associations, etc. In addition, GAPP will seek to have a mapping of USAID IP partner community groups and CBOs.

The report will generate a broad framework to better understand the geographic coverage ofNSAs, and possible areas of collaboration that can be harnessed through partnerships with GAPP. The mapping shall therefore identify organizations/associations with whom the Partner Local Organization Assessment (PLOCA) tool shall be applied as an in-depth internal follow up assessment to the mapping exercise. Secondly, it will be used for producing baseline indicators for the Performance Monitoring Plan (PMP) that shall include and not limited to level of capacity of citizens and communities to participate in local governance and accountability processes while capturing specified advocacy indicators; level of private sector participation in local governance; level of institutionalisation of civil society and private sector organisations and associations; level of community awareness and participation in local governance and level of community participation in service delivery.

Thirdly, the mapping is also intended to plot out existing civic engagement tools that will be scaled up or replicated by the program. Including mainstreaming issues of' gender, youth, environment, oil , governance, health, and education, in the private sector and civil society sector at both the national and subnational government structures. In order to ensure validity of the findings, GAPP will work in collaboration with established civil society and private sector networks and umbrella organizations such as the Development Network of Indigenous Voluntary Associations (DENIVA),

GAPP-Work Plan March 1, 2013 - September 30, 2013

National NGO Forum, Uganda Women 's Network, National Youth Networks, Private Sector Foundation, Uganda National Chamber of Commerce, among others.

In order to set a foundation for building sustainable local capacities of CSOs and Private Sector, GAPP in the first year shall implement the following activities:

• Develop terms of reference (To Rs) and contract a team of consultants to carry out the mapping exercise (i.e., map existing NSAs in terms of structure, organization, and level of engagement among others; map citizen engagement tools in 25 local governments as baseline information for the Performance Monitoring Plan [PMP]).

• Carry out the private sector and civil society mapping at national level and in 25 local governments, as well as a mapping of existing civic engagement tools. This will be done through a secondary data analysis of existing studies and field data collection from associations and organizations representative of all interests, including the small associations and larger networks of CSOs and private-sector organizations with interest in voice, accountability, civic rights and responsibility issues.

• Produce a comprehensive report on the existence, location, nature, and categorization of NS As as baseline information for the PMP. However, further analysis at a later stage could be done to publish a report for external use and contribution to the existing knowledge on the Ugandan civil society and private sector.

Key partners:

• Private-sector organizations, civil society, CSO and Private Sector Networks, local governments, Ministry of Lnternal Affairs, and Ministry of Trade and Industry; Democratic Governance Facility (DGF), and DFID

3.3.2 Activity 3.2. Solicitation of national level partners to develop capacity for USAID grants

Objective and description: Civil society and private-sector groups will be invited to express interest in participating in the internal assessment and capacity-building activities with the goal of making them grant worthy. The assessment will consider the technical, knowledge, financial , or organizational capacities and produce a clear set of guidelines for capacity-building needs. The assessment and eventual capacity building will create a resident set of organizations with sustainable capacity eligible for direct funding from USAID and more attractive to other grant makers.

Alongside capacity building initiatives to selected partners at national and sub national governments, matching grants shall be issued to selected partners to enable them demonstrate capacity improvement.

The activities to carry out these goals are as follows:

• Prepare and issue a nationwide so licitation of CSOs and private-sector organizations/associations through the print media (newspapers).


20

• Screen the applications and identify possible partners following established guidelines in the call for proposals to identified organizations.

• Identify a specialized consultancy to carry out the institutional assessment using a customized PLOCA tool and develop a two-year phased capacitybuilding plan for the selected set of organizations ( 10-15).

• Carry out the first training for the identified organizations and groups in one of the areas identified as capacity gaps in the assessment.

Key partners:

• Private-sector organizations and CSOs

3.3.3 Activity 3.3. Assessment of district and lower level NSAs

Objective and description: Following the mapping exercise that is meant to inform this particular exercise, an assessment will be conducted for select district and lower level civil society and private sector organizations and associations in 25 districts.

The Partner Local Assessment Tool (PLOCA) will cover such areas as: vision and strategy; level of organization and operation; human resources; financial management; program development; project management; and technical development. Further to these specific areas, the PLOCA will target the assessment of existing local capacity for a collective nature of civic action and advocacy to ensure that the interests of the citizens, including women, the youth, persons with disability and other disadvantaged minorities, such as the poor, are catered for during the decision making process, policy and resource allocation at the national and sub national governments. Under this area of interest, specific emphasis shall be given to NU-HITES partners operating in the GAPP districts. The capacity gaps identified from this activity shall be built over the life of the project while comprehensively engaging the partners in interventions under component 1 and 2 of GAPP.

In FY 2013, GAPP will conduct the following activities:

• Customize the PLOCA tool to the Ugandan context.

• Using background information from recommendations on possible organizations/associations from the mapping exercise across the spectrum, conduct a PLOCA assessment on the recommended organizations and associations in 25 sub national governments. The selection will follow recommendations from the mapping based on the existing dynamics in each district per sector, as well as the level of outreach, structure, and organization.

• Produce a capacity assessment report for all the participating organizations, categorized into various components/themes.

• Develop a capacity development strategy to address the identified gaps from the assessment.

• Develop capacity-building tools to address the identified capacity gaps.

Key partners:


• GOU, CSOs and private-sector organizations at the national and local government levels

3.3.4 Activity 3.4. Launching a competitive request for applications (RFA)

Objective and description: In FY 2013, GAPP will initiate a competitive solicitation process for grants targeting national-level NSAs to conduct several activities in their areas of strength targeting NSAs such as community-based organizations, faith-based organizations, farmer groups, youth and women's groups, private-sector organization

, operating in the 25 targeted districts. The selected grantees are expected to provide interventions in areas identified from the civil society mapping exercise. In addition applications will target the GAPP crosscutting thematic issues (gender, oil, environment, population, persons with disabilities). During the granting process, GAPP will work closely with other development partners (DGF, World Bank, DFID) supporting similar initiatives in Uganda to ensure that there is no double funding of grantee activities.


• Develop a customized grant administration and management manual for the GAPP Program. The manual will contain all details about grants including type of grants, fundable areas, time line for granting and procedures of issuing grants under GAPP Program.

• Launch an open and full competition with RFA to identify and fund the best projects to achieve Program objectives. The RF A advertisement will be published in two of the daily local newspapers.

• Conduct a half-day grants information workshop targeting all national-level NSAs that are interested in applying for grants under GAPP.

• Evaluate concept papers and full proposals received through the RF A.

• Conduct a pre-award survey for selected grant applicants to determine if the applicants have the capacity to adequately perform their projects in accordance with the principles established by USAID and RTL

Key partners:

• Organizations with a national mandate both in the civil society and privatesector.

3.3.5 Activity 3.5. Issuance of non-competitive grants

Objective and description: GAPP will award two grants using a sole-source solicitation process to ACODE and Uganda Debt Network (UDN).

In 2009 ACODE started implementing the Local Government Councils ' Score-Card Initiative (LGCSCI) with the goal of strengthening citizens' demand for effectiveness and accountability in the delivery of public services. The initiative achieves thi s goal


22

by undertaking and publishing a local government councils' score-card and a robust outreach program that targets citizens and builds the capacity of local government political leaders. In FY 2013, GAPP will provide a grant to ACODE to scale up citizen-driven tools to monitor LG performance such as citizen satisfaction survey for local services in GAPP targeted districts.

Uganda Debt Network (UDN) is one of the national level organisations that strives to ensure that citizens are empowered to demand for efficient and transparent use of public resources to benefit all , particularly the poor. In addition, UDN works in concert with communities and national-level strategic allies and partners to eradicate corruption, promote good governance and accountable leadership. In FY 2013, GAPP will support UDN develop CSO capacity in budget monitoring. By working with these two organizations, GAPP will build on existing structures and use tested tools to advance and scale up activities in the GAPP districts. It is also envisioned that the two grantees will be working closely with the local government (technical and political teams) and civil society organizations thereby creating a good environment for future GAPP activity implementation in the districts.


• Hold negotiations with ACODE and UDN on scope of work and budget for the proposed grant contract.

• Provide technical assistance to ACODE and UDN to support implementation of activities and build internal capacity as needed .

Anticipated results:

• Grants awarded to ACODE and UDN

• Activities funded through grants underway

Time frame:

• June - September 2013

Key partners:

• ACODE, UDN, Local Governments

Estimated Budget:

• [REDACTED]


3.4 Cross-cutting issues

3.4.1 Gender and social inclusion assessment and rollout

Objective and description: This activity will identify ways to promote gender equality and social inclusion throughout GAPP activities, results, and indicators. GAPP has identified women, youth, and people with disabilities as cross-cutting issues for the Program. In FY 2013, GAPP will conduct the following activities:

• Conduct an assessment of the relevant issues regarding gender relations, youth, and people with disabilities, through a review of documents and field work in sample districts.

• Hold a workshop with GAPP staff to review the assessment, and use conclusions and recommendations to revise existing Program activities or design new ones to promote greater inclusiveness.

• Compile a checklist of gender and social issues to consider when designing activities for each of the three GAPP project components.

• Hold a workshop for major GAPP local government and civil society partners.

Key partners:

• National and local CSOs active in women, youth, and people with disabilities issues, GAPP staff

3.5 Learning and Communication

3.5.1 Performance Monitoring Plan (PMP) implementation

Objective and description: The objective of the performance monitoring activities for FY 2013 is to establish a system for monitoring, evaluating, learning from, and communicating project results and impacts. To achieve this, the Collaborative Learning and Communication Team will work closely with the GAPP technical team in designing data collection and assessment tools to ensure synergy in data collection and assessment tools and avoid duplication of efforts. Specifically, key activities for FY 2013 are the following:

• Finalize PMP and obtain approval from USAID.

• Design and finalize data collection tools and templates.

• Conduct an orientation with GAPP technical team to ensure that there is a common understanding of the performance indicators, definitions, data collection methods, and responsibilities for data collection and reporting.

• Conduct baseline assessment and set performance targets.

• Establish learning network composed of GAPP Learning and Communications team, district coordinators, and selected key national and district level stakeholders.

• Report on baseline findings.

• Review of year one activities and documentation of key lessons


24

Key partners:

• GAPP technical staff and district coordinators

3.5.2 Development of communications strategy

Objective and description: Effective internal and external communications are critical for smooth implementation of project activities and capturing best practices and lessons learned from project activities. 'f.he GAPP team will devise a communication strategy that will ensure regular communications among project staff, with program stakeholders, and to the greater public. Specifically, key activities for FY 2013 are the following:

• Produce program visibility materials.

• Produce and disseminate program documents.

• Plan and implement public media events, including radio adverts and launches of specific project interventions.

Key partners:

• GAPP technical staff and district coordinators


Annex A. FY 2013 Timeline of GAPP Activities

GAPP Activities

1.2. 1.3. 1.4. 1.5.

Com

3.2. Solicitation of national level artners to develo 3.3. Assessment of district and lower level NSAs

lications RFA 3.5. lssuan

Cross-Cutti Gender and social inclusion assessment and rollout

M&E


Annex B. FY 2013 Workplan Logic Model '<{otilPONENT I~ '"9 'it ~ y Acr1vff1~ t~c:!11!¥"¥ ''®! ,. •j'j c,k"i&,'qj '"''"''••¾,=• ·;, ~ ~CTED ~J!rrs .. !rEXPECTE£!:)UTCOMEW 0'1MM~-. Assess the capacity of national-level institutions . Capacity of national level institutions assessed Improved capacity of . Findings from the assessment on the national level ins titutions are disseminated nationa l accountability

-;;; and inform interventions. institutio ns to support LG

" . Build capacity of relevant parliamentary oversight bodies in s upport of . Members of the parliamentary oversight bodies train ed accountability .g local government . Review and utilization ofVFM audits within parliament supported 3 -~ . Report highlight ing recommendations produced

·= . Support inter-agency communi catio n through the accountability sector . Accountability sector working network formed 'O working group . Policy recommendations drafted " "' Build outreach capacity of the Office Audit General[ AOG), PPDA and AOG staff trained >, . . ~ ~

Parliament Plain summary language audit reports, press re leases, web content written B" . "'., ,; E . Simplifi ed audit re ports disseminated to LGs and public trl 00 " Provide technica_l and logistical support to PPDA to implement district Five district reports reviewed, summarized and presented to NSAs, district ::s ~ e . . Q.)

c;- '§ audits councils and communities g; 0

., . Support PPDA to implement district audits an d build LG procurement . Baseline on procurement processes and systems in selected 10 districts ::s C. capacity conducted OQ

-;;; . PPDA support provided to 10 selected districts trl 00 ::s ~ . Organize a national policy dialogue on Local government financing . Policy desk review and analysis conducted Strengthened national :s. 'O ., . Policy gaps for GAPP focus intervention identified stakeholder policy

., > 0 e . Policy proposals discussed collaboration and dialogue ::s C. 3 .§ . Policy dialogue on intergovernmental fiscal policy constituted on local government (t)

accountability, financing ::s ,..,. and service m anagement -3 . Conduct local revenue mobilization (LRM) assessment . LRM assessment conducted in the 25 districts Improve d LG revenue 'O ., . Trend of Local Revenue performance for target LG established genera tion a nd 0

< . Financial analysis for 10 selected LGs for the previous 3 years conducted management (t) ~-Financial data collection tool developed 0-

" . CJ o' E . Census of markets in 2 5 districts conducted CJ ., 00 . Strengthen Local government accountability institutions' effectiveness . Capacity assessment of Local government accountabi lity institutions conducted Strengthened LG C/l "' "" " and performance District specific Capacity building plans developed (t) ("Q .!:: . accountability systems ., E..:.: < "' (0 E ;:;· :;: " . Conduct Local Government Development Fra mewo rk assessment . LGDF tool developed (t)

c:: 0 ..... ·;:;; . 25 District self-assess ments conducted and capacity gaps identified . t:l E ·o . Local Government capacity building plans developed ~ E~ :t ~] . Review of District Development Plan ( DDP) . LG DDP review process guidelines developed by GAPP and NPA Improved service management (t)

> "' . Selected 10 districts provided with technical &logistical support in reviewing the .,

0 >, '< t:) -~ DDPs (0] u "' . Lessons learned during the OPP review process documented and shared with key 0 ~

..J " stakeholders 'O :, ., § . DDP reviewed with citizen focused priorities incorporated " .,

"' . Expansion of Olutindo service request system . Olutindo software package refined Improved service management .<: ~ . Existing level of technological savvy of district officials assessed E . Capacity of district officials to use Olutindo in new identified districts built /;, . Platforms to hold pub lic officials accountable created . Improve council effectiveness and performance . Council ru les of procedure reviewed Improved capacity of LG . Induction of 10 district council members in the GAPP tareet districts Technical staff and Councils in

2 GAPP-Work Plan March 1, 2013- September 30, 2013

COMPONENT KEY ACTIVITIES ,,

EXPECTED OUTPUTS £0 EXPECTED OUTCOMES IMPACT

decision making

. Conduct national and local civil society mapping . Private sector and civil society mapping at national and in 25 districts conducted Improved institutional capacity . Existing civic engagement tools mapped of CSOs and Private sector ~ . Capacity gaps identified and documented associations -~

Solicitation of organizations with a national level mandate and or Capacity Building firm contracted ·2 . . :, working in the 25 sub national governments to develop capacity for . PLOCA tool reviewed and adapted Increased private sector E E USAID grants and other grant makers . PLOCA conducted on targeted organizations participation

8 . Caoacitv building olan develooed 'O Increased advocacy by CSOs and :; . Assessment of district and lower level NSAs . PLOCA assessment conducted for targeted NSAs

PSAs ~ . Capacity development strategy for NSAs developed C:

.~ . Issue non-competitive grants . Non- competitive grants issued to ACODE and UDN ·c:; 'o . Scope of work and budget for the proposed grant contract with ACODE &UDN

0 agreed upon ·c:; "'

. Technical assistance provided to ACODE &UDN to implement activities as needed . 0. . Launch a competitive request for application ( RFA) . Grants administration and management manual developed ::l al . RFA for national level non-state acto rs issued > 0

. Pre-bidders workshop conducted for prospective applica nts ii . Evaluation of proposals conducted .§ . Pre-award assessment conducted fo r all national applicants . National grants worth 1,500,000 USD awarded . Post-award workshop conducted fo r successful organ izations


Documents

Governance, Accountability, Participation, Performance