UGANDA · Quarterly Report April 1 - June 30, 2014 Ending Period: November 2017 Contract AID-617-C-13-00002 Prepared for [REDACTED], Contracting Officer's Representative (COR) USAID/U

UGANDA

Governance, Accountability, Participation and Performance (GAPP) Program Quarterly Report April 1 - June 30, 2014

July 2014 This publication was produced for review by the United States Agency for International Development. It was prepared by RTI International.

Governance, Accountability, Participation and Performance (GAPP) Program Quarterly Report April 1 - June 30, 2014

Ending Period: November 2017 Contract AID-617-C-13-00002

Prepared for [REDACTED], Contracting Officer's Representative (COR) USAID/U ganda 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 training, 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 trade 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

List of Tables ........ .. .... .. ......... ... ..... .. .... ..... ......... ...... ... ....... .. ... ...... ....... .. ...... ... ... ..... ........ iv

List of Figures ....... .. .. .. ..... ...... .......... ... ....... .. ... ..... ..... .. ...... ...... ....... .... .. ... ... ... .. .... ....... ..... iv

Acronyms and Abbreviations ...... .. ... .... .... ..... .. ..... .. ...... .. ......... ....... ........ ...... ... ...... ...... ... .. v

Section One .. ........ .. .... ... .... .... .... ... .. ... ...... ..... ...... .. ..... .... ... ... ... .. .. .. ...... ... ............ .......... ... . 1

Executive Summary .............. ... .... .... .. .... ...... .. ............. .... .. ........ .... .. ... .... ...... ...... ... ....... ... . 1

1 Introduction ... .. ...... .. ........... ...... ...... ..... ... ...... ..... .... ... ....... ......... .. .. ..... ...... ... ..... ...... 4

1.1 Implementation Approach ... ........ .. ... .... ... .. ... .. .. .... .. ...... ... .. ..... .. .. .. ........ .... .. .4

Section Two .. .. ... ...... .... ... ........ ..... .. .. ... ..... ... ..... ... .. ... ... ... ... ... ................. ..... ..... ... .. .. ... .. .... . 6

2 Program Activities ..... .. .. .... ... ... ........ ... ... ....... .. .... .... ...... ..... .. ...... .... ... ....... ... .. .. .. ..... 6

2.1 Progress toward Results ..... .. ... ..... .. .... ... .. .. ... ... ... ............. ... .. ....... .. ... ...... ... 6

2.1.1 Component 1: Improved legal, policy, regulatory, and institutional environment ... ... .. .... .. .... ....... .. .. ........ ... ...... .... .. ... .. .... ..... 6

2.1.2 Component 2: Strengthening local governance systems and processes ... ..... ... .. ..... .... .. ............ ........... .. ... ..... ... ..... .. .. ..... .. .. ..... .. . 18

2.1.3 Component 3: Strengthen CSOs and other NSAs to improve voice and accountability ... ..... .... ..... ... .......... .... .............. .. ... .. ..... .. ... 21

2.1 .4 Monitoring and Evaluation (M&E) - Learning and Communication .... ..... ..... ... .... ...... ....... .. .. ... ...... .. .... .. .. ...... ... ... ...... ... 31

Section Three .... ...... .. ....... ....... ... ... ....... ... .. ... ... .... ....... ....... ... .......... .... ... ... ....... ...... ...... .. 32

Annex 1: LIRA Municipal Council/ Action Plan FY14/15 .. ... .. ... ...... ... .... ..... .. .. .......... 32

Annex 2: Summary of the Capacity-Building Strategy ....... .......... .... .. ....... ... .. ........ .. 34

Annex:4 PMP Indicator Table for April-June 2014 Quarter .. ... ... ...... .. ... .. .... .. ............... 39

Annex 4: Quarterly Financials ... .. ........... ........ .. .. .. ....... .... ...... ..... ......... ... ..... ... ... ... ... 41

GAPP-Quarterly Report 7, April 1 - June 30, 2014 iii

Acronyms and Abbreviations ACODE

AGO

ASWG

AYDL

CBO

CLA

cso CS-PS

DAI

DDP

DENIVA

DGF

DIA

DPP

DTS

FINMAP

FOWODE

GAPP

IPS

IR

LG

LGAC

LGDF

LGFC

LGPAC

LoP

LRM

M&E

MOE

MOFPED

MOH

MOLG

NAPA

NGO

NPA

NSA

OAG

PAC

PLOCA

Advocates Coalition for Development and Environment

Accountant General ' s Office

Accountabi li ty Sector Working Group

African Youth Development Link

community-based organization

Collaboration, Learning, and Adapting

civil society organization

Civil Society-Private Sector

Development Alternatives Inc.

district development plan

Development Network of Indigenous Voluntary Associations

Democracy Governance Faci li ty

District Internal Auditor

Directorate of Public Prosecutions

Development and Training Services

Financial Management and Accountability Program

Forum for Women in Democracy

Governance, Accountability, Participation, Performance Program

Institute for Parliamentary Studies

intermediate result

local government

Local Government Accou nts Comm ittee

Local Government Development Framework

Local Government Finance Commission

Local Government Public Accounts Committee

life of project

local revenue mobilization

monitoring and evaluation

Ministry of Education

Ministry of Finance, Planning, and Economic Development

Ministry of Health

Ministry of Local Government

National Accountabi lity/Policy Adv isor

nongovernmental organization

National Planning Authority

non-state actor

Office of the Auditor General

Public Accounts Committee

Local Partner Organizational Capacity Assessment

GAPP-Quarterly Report 7, April 1 - June 30, 2014 V

Section One Executive Summary This report covers the achievements of USA ID/GAPP during the 3rd Quarter of its second year (April - June 2014). Each of the program components has a section dedicated to it.

To strengthen national level support for local government accountability, GAPP, concluded PPDA procurement audits of 10 district local governments (DLGs) and carried out tripartite outreach visits to the districts of Apac, Kitgum and Agago by a joint team comprising Office of the Auditor General, Public Procurement and disposal of Assets Authority ( PPDA), and Parliament. These meetings provided a forum for discussion of district performance in accountability and procurement action plans that followed the 10 audits will be action documents that PPDA will oversee in the coming quarters to ensure compliance with

recommendations.

In this quarter as well , GAPP reached agreement with Uganda Local Government Association (ULGA) on the policy advocacy agenda that will be pursued in the medium term. Other grantees like Civil Society Budget Advocacy Group (CSBAG) also made inroads in policy engagements on the FY 2014/ 15 budget with Ministry of Finance Planning and Economic Development.

In the quarter as well, the grant-supported in-depth analysis of obstacles to processing of audit reports in Parliament, which was implemented by Centre for Policy Analysis (CEPA), was concluded. These recommendations will be basis of strategic engagements within Parliament with an aim to find permanent solutions to the issue of delays in reviewing Auditor Generals reports.

[n this quarter as well , GAPP continued to hold local revenue conferences where 3 year assessment findings were presented back to district technical and political leaders. 39 conferences were held in 39 locations in GAPP target districts, out of which local government specific action plans were developed. These shall inform the mentoring and capacity building interventions that will be undertaken by GAPP to strengthen local revenue mobilization.

Further to the LRM conferences and in conjunction with the Local Government Finance Commission, GAPP piloted out the training of local revenue enumeration and assessment committees in Masaka and Hoima Districts. The findings and lessons learnt will inform roll out in the rest of GAPP target local governments.

To further build on the work towards institutional strengthening Civil Society and Private sector, a call for proposals was made for competent firms to compete for subcontracts for this task. While another was released for undertaking a study on community participation that shall inform further interventions to strengthen community participation interventions in the target districts.

Budget and service delivery monitoring activities across the various districts were commenced by various grantees in the sectors of health, education, agriculture, business and local government representation, In addition district specific calls were made targeting civil society and Private sector organizations at the district level GAPP received 368 concept

GAPP-Quarterly Report 7, April 1- June 30, 2014

papers from NSAs in the 25 GAPP focus districts as a response to an RF A that had been issued in Quarter 2 of FY 2014.

An evaluation committee composed of RTI staff and selected District Community Development Officers evaluated the concept papers and 102 organizations were selected to move on to the next stage of developing full proposals. These proposals will be reviewed in Quarter 4 of FY 2014.

Significant delays continued to be experienced in this quarter as the design for the local revenue randomized control trial was finalized. GAPP was unable to move forward in implementing the LRM activities until a decision was reached on the design of the control trial. On the cancellation of the RCT in June 2014, GAPP is redesigning the activity to continue to allow for rigorous evaluation, using another methodology that will be agreed upon with USAID Uganda.

The foundation for effective implementation across all 3 result areas of GAPP has been laid both at the national level and in the target districts. In the next quarter, GAPP will focus on building on each of these interventions to achieve greater results towards policy improvements, increased local government accountability and strengthened community engagement for better services.

2 GAPP-Quarterly Report 7, April 1 - June 30, 2014

GAPP FOCUS DISTRICTS

0 15 30 60

s

GAPP-Quarterly Report 7, April 1 - June 30, 2014 3

1 Introduction The United States Agency for International Development (USAID) awarded the contract for the implementation of the Governance, Accountability, Participation and Performance (GAPP) Program to RTI International on November 29, 2012. The RTI team consists of RTI International as the prime contractor, Development Alternatives Inc. (DAI), and Development and Training Services (dTS).

The GAPP Program 's overarching goal is to increase participation and accountability, and improve local governance for effective service delivery. GAPP is designed to achieve three principal results under this goal:

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

2. Enhance 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 governancevoice and accountability.

1.1 Implementation Approach

RTI International ' 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 citizen 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 (LGs) to report on their activities and permit oversight by the national government. This can be called upward accountability

In addition, LGs themselves need systems that ensure they are accountable to their citizens for whom they deliver services, also referred to as downward 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 LG performance.

Mechanisms for community requests for accountability and engagement with local governance are still poorly developed in many districts in Uganda. RTI is using several methodologies to achieve the expected GAPP results and produce sustainable progress in local governance (see Table 1 ).


Table 1. GAPP methodologies

Methodology

Integrate GAPP components

Build sustainable capacity

Promote partnerships and dialogue

Approach

• Recognize interrelationships among the three components and ensure programing that builds on synergies across components and external actors.

• 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.


Section Two

2 Program Activities This section of the report covers Program implementation and the results achieved to date.

2.1 Progress toward Results

2.1.1 Component 1: Improved legal, policy, regulatory, and institutional environment

The overall objective of this component is to achieve "an improved legal, policy, regulatory, and institutional environment for improved service delivery at the local level." Accordingly, Component 1 programming is structured around two core themes: (1) strengthening national accountability institutions, processes, and policy in support of local government accountability and (2) carrying out strategic national policy advocacy for improved local government financing and accountability.

To achieve the above, five core activities have been designed: (1) support the audit capacity of the Office of the Auditor General (OAG) and the Public Procurement and Disposal of Assets Authority (PPDA), (2) build the capacity of parliamentary oversight bodies in support of local governments, (3) support interagency collaboration under the Accountability and Transparency Working Group (ATWG), ( 4) build the outreach capacity of national accountability agencies to the local governments; and (5) carry out strategic advocacy for local government policy reform.

During quarter three, GAPP carried out initiatives in four of the five major core activities, as follows:

a) Concluded PPDA procurement audits of IO district local governments (DLGs)

b) Concluded the grant-supported in-depth analysis of obstacles to processing of audit reports in Parliament, paving the way for internal advocacy to resolve those obstacles

c) Carried out tripartite outreach visits to three DLGs by a joint team comprising OAG, PPDA, and Parliament as the lead agency

d) Held strategic advocacy engagements with the Uganda Local Government Association (ULGA) and the Ministry of Finance, Planning and Economic Development (MOFPED)

Sub-lR 1.1: Improved capacity of national accountability institutions to support LG accountability

❖ Procurement audits conducted in ten DLGs

GAPP supported the PPDA to carry out procurement audits for FY 2012/ 13 , for Arua, Kitgum, Lira, Oyam, Pader, Hoima, Kibaale, Kiboga, Masaka, and Mukono DLGs. Findings indicate an overall improvement in procurement practices, with all the DLGs recording a reduction in procurement risk. The average procurement risk for the IO DLGs audited


dropped to 53.1 % in the current 2012/ 13 audit, down from their overall baseline average of 80.5% recorded for the period 2008/2009- 2011 /201 2. This result is a marked improvement from the PPDA's Highly Unsatisfactory performance category to the higher end of the Unsatisfactory category, courtesy of several interventions both by Government and development partners.

Across many entities audited, procurements were carried out within the procurement plans and budgets. Contracts were in place, and physical verification by PPDA of several sampled projects indicated improved execution and value for money (VFM).

# DLG Baseline Risk 2012113 1 Arua 2008/09 51% 46%

2 Kitgum 2011/12 89% 54%

3 Lira 2010/11 100% 70%

4 Oyam 2009/10 82% 63% 5 Pader 2011/12 99% 96%

This result further validates earlier findings of the GAPP baseline assessment of 2013 , that "over 78% of corrective actions agreed upon as remedial actions between PP DA and

6 Hoima 2006/07 71% 49.43%

7 Kibaale 2009/10 75% 21 .5%

8 Kiboga 2009/10 83% 34.48%

audited LGs during procurement audits are actually implemented, present~ng a sustained cycle of continuous capacity and performance

9

10

Masaka

Mukono

AveraQe

2010/11 65% 52.8%

2010/11 90% 44%

80.5% 53.1%

final Results from final PPDA Audit Reports

improvement. " The procurement audits, therefore, present a huge opportunity to improve LG accountability by developing the procurement capacity of LGs, given that the bulk of expenditure in the LGs is expended through procurement activity.

Despite the above, there still remain gaps that need to be targeted in future capacity-building interventions under Component 2, such as the following, as reported in these recent procurement audits:

• Failure to appoint contract managers to oversee the implementation of contracts contrary to Regulation 119 (2) of LGPPDA Reg. 2006

• Failure to attract enough bidders, thereby limiting competition and bidder selection

• Procuring outside the procurement plan and budget, signaling poor planning

• Contracts Committee failure in their oversight roles, which included witnessing bid opening and closing, and failure to duly adjudicate recommendations from the Procurement and Disposal of Assets Unit (POU) before approval

• Inadequately staffed and qualified POU whose inexperience was reflected in the poor execution of their roles as they failed to maintain and archive all records of the procurement process, manage evaluation processes, and monitor contract management by User Departments

• Weak procurement control environment caused by the laxity of the PDU and Contracts Committees in complying with and/or enforcing compliance with PPDA Act, Regulations and Guidelines.

These findings led to the signing of joint action plans, agreed upon between the PPDA and the audited entities, assigning specific officers to address the gaps within agreed time frames.

GAPP-Quarterly Report 7, April 1- June 30, 2014 7

The PPDA, in post-audit supervision and monitoring, will follow up and audit implementation of those covenants.

The improvement in the overall procurement performance is, therefore, attributed to the following:

• Sustained PPDA action planning and monitoring as part of the audit process,

• Pressure generated from the GAPP-supported tripartite parliamentary outreaches and other interventions.

Further improvements are targeted through procurement capacity-building efforts planned to be piloted in Quarter 4 in Oyam and Hoima DLGs, and rolled out in subsequent work plans under Activity 2.2.2 of Component 2. Additional follow-ups will occur through subsequent audit and tripartite parliamentary outreaches.

❖ In-depth analysis of obstacles in Parliament to processing of audit reports

As part of the strategy to support Parliament in improving processes aimed at fully processing audit reports, GAPP provided a grant to Centre for Policy Analysis (CEPA) to carry out a three-stage assignment to help address the constraints faced in the processing of parliamentary reports. CEPA designed the intervention with the following goals:

• carry out an in-depth analysis of bottlenecks to audit report reviews,

• advocate within Parliament for the resolution of those challenges, and

• disseminate the findings of the OAG reports to the wider consumer public.

In this quarter, CEPA completed the analysis with findings and policy recommendations that would greatly address current bottlenecks.

Methodology

CEPA conducted a series of in-depth interviews with committee members, technical staff other parliamentary staff, and OAG representatives to establish the primary reasons behind limited consideration of the Auditor General's (AG's) reports and production of accountability committee reports that are tabled in the plenary. CEPA complemented the data gleaned from the interviews with an analysis of the extent to which committees consider the AG's findings and pass reports, and whether these reports are debated and adopted in plenary. CEPA evaluated the speed and substantial consideration with which the AG's reports are dealt with, and the extent to which the current committee processes compare with committee processes in previous parliaments and in other parliaments in the region, to the extent that these other processes are publicly known.

CEPA also conducted a review of secondary literature that analyzed the proceedings of Uganda's Parliament, particularly focusing on the work done through the African Legislative Project. The analysis was further informed by an earlier wider study commissioned by DAI to review the entire Component 1 activities and programming thereof-including recommendations on the parliamentary component.

8 GAPP-Quarterly Report 7, April 1- June 30, 2014

Key Findings:

Challenges faced by accountability committees in commencing consideration of AG reports

• Backlog of outstanding reports, which inhibits the ability of committee members to start review with current reports

• Funding for committee work

• Logistics for the Local Government Accounts Committee (LGAC), especially when report review includes travel by committee members.

• Availability and commitment of Members of Parliament

Obstacles to the efficient consideration of reports in committees

• Inappropriate methods of work adopted by the committees as weighed against best practice benchmarks

• Lack of policies and procedures for conducting hearings and report writing

• Media visibility that leads to increased politicization and derailment of committee work

• Lack of committees ' preparation on how to approach work

• Availability and competence of support staff to provide relevant technical support coupled with limited definition of roles and responsibilities of technical staff

• Capacity of committee members to handle accountability issues

• Lack of morale in committees on the impact of their reports

• Political and financial pressure on committee members and staff to defeat efficient completion of reports

Delays in consideration of completed reports by the plenary

• Lack of Business Committee meetings

• No fixed schedule of meetings for considering accountability committee reports

• Failure to carry over reports from one Parliament to another

• Political sensitivity of reports

Delays in the issuing of Treasury memoranda

• Lack of reports corning from Parliament

In addition to the backlog of annual reports, there are also value-for-money (VFM) audit reports that are outstanding-about 61 such reports are yet to be adopted ( only one of these was tabled). For LGAC, the situation is particularly critical because they also have lower local governments audit reports to consider, many of which have been outstanding for a number of years. The Committee of Statutory Authorities and State Enterprises (COSASE) also has a backlog ofreports, some of them dating back over 10 years. With such a huge backlog, committees often prioritize clearing backlog rather than considering current AG reports in an expeditious fashion .


Key Recommendations:

a) Challenge 1: Excessive backlog of outstanding A G's reports in the Public Accounts Committee (PAC), LGAC, and COSASE

The large volume of outstanding reports to be considered means that committees are considering reports many years after the fiscal year for which they apply. If any action is taken on the reports, it is taken well after the period under investigation.

Recommendations:

I. Policy Option I: Declare a date before which backlog will not be considered, allowing committees to focus on considering recent reports that are still relevant.

2. Policy Option 2: Designate certain reports to be considered by other bodies, such as allowing District Public Accounts Committees (DPACs) to consider the AG's reports on local authorities and lower local governments. In this case, the LGAC would concern itself with only addressing issues outstanding in local governments. Either developing a separate committee(s) to address VFM audit reports or scaling down the work of PAC in another way would help reduce the PAC's workload and ensure that VFM audit reports are considered expeditiously.

b) Challenge 2: Slow consideration of A G's reports and production of reports by accountability committees

Inefficient consideration of the AG reports by accountability committees leads to significant delays in the production of committee reports and weaknesses in the reports produced. One former vice chairperson of PAC indicated that ideally, a one-year report can be completed within three months. PACs operating in other Parliaments such as in Australia, New Zealand, and Canada hold many fewer hearings than the Parliament of Uganda does, and they write their reports in a much shorter period of time, allowing them to complete reports in a timely fashion. For example, the hearings on the Office of the Prime Minister mismanagement involved 30 meetings with 90 witnesses, consuming a significant amount of PAC time, when a much more limited set of witnesses would probably have sufficed. Limiting time spent on completing reports would allow for the conclusion of annual reports within the constitutionally mandated time frame and also allow other months to be used for special investigations, VFM reports, or other outstanding business.

Recommendations:

10

3. Policy Option 1: Develop a set of guidelines documented in a manual for how accountability committees should work, including:

- focusing on outstanding issues rather than considering every query;

enforcing rules that discourage consideration of issues outside the A G ' s report ;

- dividing the committee into sub-committees to increase the volume of work considered;

- limiting the number of witnesses heard to a small sample of potential witnesses and promoting the input of technical staff in ways that can simplify the committee's consideration of complicated financial management issues, such as the preparation of briefs, summarization of A G's reports, production of timed

GAPP-Quarterly Report 7, April 1 - June 30, 2014

agendas for meetings, and regular technical input into the hearing and report writing process;

- A recent GAPP report also suggests dividing audit reports into different categories and prioritizing investigations on those reports that were either categorized as "qualified" or for reports where the AG has issued a "disclaimer."

4. Policy Option 2: Provide training and guidance to technical staff and committee members to increase their expertise on financial management issues, to ease their speedy consideration of reports.

5. Policy Option 3: Establish a fixed time frame in the rules of Parliament that designates how long it should take for accountability committees to conclude their annual reports. Although a constitutional guide of six months exists, to clarify and divide that time period even further in the rules of procedure would help committees to set up a schedule for consideration and make sure to reach their deadline, promoting a more efficient method of work.

c) Challenge 3: Difficulty in getting committee reports tabled, debated, and adopted by the plenary

Once completed, reports face significant delays in being tabled in plenary, or are tabled but never debated or debated long after their tabling, or are never debated and adopted.

Recommendations:

6. Policy Option I: Develop an official parliamentary calendar, as is done for other parts of the budget process, that provides for a fixed window of time in which accountability committee reports will be tabled, debated, and adopted. This calendar should reflect the six-month time frame established by the Constitution, and also should reflect changes in the budget process mandated by the proposed Public Finance Bill, if it is passed.

7. Policy Option 2: Hold regular meetings of the Business Committee to ensure that accountability committee reports receive their due consideration in the plenary. Also ensure that any outstanding accountability committee reports, which have been tabled but not debated, are saved as Parliamentary business to be considered.

8. Policy Option 3: Reorganize the conduct of plenary sessions to allow more time for debate of reports, including accountability committee reports.

d) Other Recommendations

9. Business tracking software and websites/portals: These would help Parliament ensure that business-like the oversight process-that has to go through multiple stages does not get lost at some point in the process. For the example of the work of the accountability committees, the reports presented by the PAC Chairperson at the end of the 8th Parliament have never been taken up again by the 9th Parliament. Having a tracker would help the Speaker's Office, the committee chairpersons, and other interested parties to make sure that reports from accountability committees do not get lost between parliamentary sessions and between different stages of the process.


GAPP is aware of plans by the Financial Management and Accountability Program III (FINMAP III) to support acquisition of a tracking system for this.

10. Political will and support for accountability processes: Generating political consensus on the importance of oversight processes among both Government and opposition leaders in Parliament would help highlight the importance of accountability proceedings to ensure that they are followed through to their conclusion. Informants for the CEPA study emphasized two themes: (I) that the ruling party and Government leadership were often reluctant to give prominence to oversight processes for fear that they would make the Government or its leaders look bad and (2) that the opposition was happy to use accountability issues for political capital through the "theatre" of PAC and the plenary, but was not particularly concerned to follow through on whether Government responded adequately to the concerns raised in the AG's and the Committee's reports . Building political consensus within and across both sides such that each will benefit from being seen as being on the front lines of the war against corruption can help make sure that accountability processes are backed up by political will to reach their necessary resolution.

11 . Improving the record-keeping and institutional memory of the committees: To support a consistent method of work and smooth transitions in the committee process, establishing a system of record keeping and data management for each committee in the office of the clerk will support a more efficient and institutionalized framework for accountability committees. At present, lack of an electronic and well-organized system for keeping minutes and records of committee processes makes report writing difficult, especially when report writing carries over to new committee leadership. These types of improvements also should make it easier for committees to take a consistent approach to investigations through providing documentation of how issues were investigated by a previous committee.

12. Adjusting parliamentary staff structure to meet committee demands: As committees seek to discharge their duties in as efficient a way as possible, several options are possible to adjust parliamentary staff structure to meet committee demands. On one level, reducing the workload on overworked clerks to committees may help improve efficiency in report writing and preparing members of Parliament on the accountability committees for issues to be discussed. On another level, considering creative staffing structures for committee staff could help minimize the disruption caused by unavailability of technical staff to committees that travel extensively, such as LGAC. Generating material to help members of Parliament focus may require both recruiting and equipping technical staff with very focused skill sets, and supporting professional staff for individual members of Parliament or small groups of members of Parliament may need to be considered.

Going forward, these recommendations shall be strategically marketed by CEPA to urge parliamentary stakeholders to appreciate, adopt, and implement those recommendations. Sustained advocacy for these changes will be assisted by the Institute for Parliamentary Studies (IPS), which is being supported by GAPP to build its in-house capacity to drive internal capacity change.


❖ Tripartite outreach to three LGs conducted

From GAPP's initial capacity assessments, it was established that the LGs were not proactively taking action on the audit recommendations made by the OAG and PPDA in their

annual audit reports. The communities, too, were not fully aware of such recommendations and therefore had no credible basis to demand for accountability from their LGs. The LGAC,

OAG, and PPDA also had inadequate capacity to reach out and disseminate these findings, a means by which they could potentially support the LG accountability process, including

direct support to the LGP ACs.

As part of strengthening and improving national accountability agencies' support to LGs,

GAPP conducted an outreach to three districts of Apac, Kitgum, and Agago. The visit comprised the key national accountability agencies (i.e., LGAC, OAG, and PPDA) that constituted the tripartite team, underlining the importance of synergies between the national

level agencies and LGs. Meetings were held in each of the districts under the theme "Accountability for Service Delivery." The key stakeholders targeted at the LG level included all district councilors, technical heads of district departments, lower level governments'

LGPAC/DPAC members, District Service Commission (DSC) members, elders, opinion leaders, civil society organizations (CSOs), private sector actors (PSAs), all local council III (LC III) chairpersons, all subcounty chiefs in the district, and the media representatives.

The overall objective of this activity was to enable the LGs, non-state actors (NSAs), and communities to receive and better understand, in a timely manner, information generated by the OAG and PPDA, and take appropriate action, thereby improving accountability and

service delivery.

The audience met during the outreach included a total of 366 participants. Of these, 138 were met in Apac DLG, 117 in Kitgum, and 1 11 in Agago.

Method of delivery of the outreach activity

The activity was conducted in two phases: (1) district dialogue meetings involving all the targeted district stakeholders and (2) radio talk shows held in the evenings after the dialogue meetings.

Findings from the OAG and PPDA audit reports for each specific district were presented. It

must be noted that this activity greatly compliments the Government's efforts to stimulate demand for accountability under their Baraza initiatives. Indeed, while this outreach activity was taking place in Agago District, the Minister in Charge of General Duties in the Office of the Prime Minister was running an activity in one subcounty in the same district, at the same time as GAPP had its meetings at the DLG. The Minister, Hon . [REDACTED], had an

opportunity to give key remarks at the GAPP meeting before heading for his Baraza meeting. He spoke highly of and applauded the GAPP initiative led by Parliament.

Although these activities are complimentary and target improved accountability, the two key

differences in approach and programming lie in (a) the evidence-based nature of core presentations to guide the discussions and (b) the fact that the GAPP tripartite outreaches are

conducted by bodies that are constitutionally mandated to exercise independent oversight for activities conducted by the executive.


Highlight of Key Issues:

a) Apac

Key Issues

• Procurement risk rating was 100%/or 2012113: Highly Unsatisfactory.

• There was no LGPAC in place.

• Procurement irregularities resulting in afinancial loss ofUGX 125,766,055

• Diversion of funds - UGX 86,000,000; undisclosed contingent liability of UGX 1,492,675,428; nugatory expenditure- court awards of UGX 805,718,392

• Delayed works totaling to UGX 323,315,647

The underlying factors that contributed to the highly unsatisfactory performance of the Apac District included complete laxity by the user departments in management and supervision of contracts, very poor record keeping, failure by user departments to maintain contract management information on file, and failure by the PDU to manage and coordinate the evaluation processes.

As a result of the fierce engagement, Apac district council undertook to convene an extraordinary meeting to create an LGPAC. Further, arising from the same meeting, the Resident District Commissioner, working together with the area members of Parliament who were in attendance, was instrumental in the arrest of one contractor and subcounty chief to explain circumstances surrounding certain abandoned works, despite payments for the same having been made.

b) Kitgum

Key Issues

• Procurement risk rating was 54%/or 2012113: Unsatisfactory.

• The OAG opinion on the financial statements was Qualified.

• Cash and cash-equivalent ofUGX 2,444,597,418 reported in the balance sheet was different from cash and cash-equivalent figure of UGX 4,521,750,653 shown in the Cash Flow Statement.

• Incomplete projects - UGX 496,133,233, e.g., construction of 2 classroom blocks at Morogole PIS, Lapan PIS, Orom seeds Sec School and construction of a Maternity Ward at Gangdyang HC II

• The Contracts Committee did not make the necessary procurement approvals at the various stages, e.g., in 7 cases worth UGX 592,782,998, there was no approval of shortlist of bidders, bid notices, method, bid documents, or evaluation committees, which was in contravention of Reg. 56.

The underlying factors that contributed to the unsatisfactory performance included inadequate planning by the district; inadequately qualified PDU whose inexperience was reflected in the execution of their roles as they failed to manage the evaluation process; weak procurement control environment induced by the laxity of the PDU, Contracts Committee in complying and enforcing compliance with PPDA Act, Regulations and Guidelines; and


inadequate and poor management and supervision of contractors by user departments causing non-conformance of works to technical standards and delays in contract execution.

In Akwang subcounty, a community that was the beneficiary of a newly installed borehole that was unproductive, but for which partial payment had been made, community members

heard the audit report findings and recommendations from a radio talk show. As a result, a community meeting was held on May 21, 2014, attended by the Resident District Commissioner, the local council V chairperson, and the District Water Officer. It was found that one development agency had already refused to pay the contractor for the newly constructed but non-functioning borehole, and had ordered another borehole to be installed. However, the Water Officer wanted to pay the contractor for the unproductive borehole using funds from the Poverty Action Fund (PAF). This finding alarmed the Resident District Commissioner and the community.

The community resolved that (I) the non-functional borehole should be dismantled and no

additional payments should be made, (2) the remaining PAP funds should be used to drill a

new borehole, and (3) the local council I chairperson should always be consulted on matters of service delivery to the community. Because the community obtained knowledge regarding the PPDA's objection to the procurement, community members were empowered to demand that a solution be found for the unproductive borehole as well as to insist that no further

payments be made for shoddy work

c) Agago

Key Issues

• Procurement risk rating was 94%% for 2012/13: Highly Unsatisfactory.

• The OAG opinion on the financial statements was Qualified.

• Unaccounted/or funds worth UGX906,014,231

• Contracts not approved by Solicitor General: UGX 2,568,450,274

• Unreconciled treasury releases: UGX 1,810,490,059

• Unacknowledged transfers amounting to UGX 204,455,687

• Unaccounted for advances worth UGX 103, 792,358

• Unsatisfactory contract implementation: In 7 contracts worth UGX 341,458,047

The underlying factors included weak internal control, i.e., poor coordination between the POU and the user departments ; laxity by the user departments to play their role, especially on contract management; poor record management; low staffing levels in the PDU and entire district; failure by the entity to follow the guidelines in the use of Force Account.

Next steps

• GAPP will follow up these activities with mentoring to ensure that the districts are implementing the recommendations from the audit findings and the resolutions they presented.

• Continuous engagement of national accountability institutions with LG will be promoted, with GAPP scaling up these outreach activities to other districts owing to the direct linkage between this activity and tangible outcomes, including consequent creation ofLGPACs and blacklisting of errant contractors by PPDA. This activity


also links directly to the capacity-building interventions for LGPACs in Activity 2.2 .1 under Component 2.

Sub-lR 1.2: Strengthened national stakeholder policy collaboration and dialogue on LG accountability, financing, and service management

❖ Policy dialogues on LG financing, accountability and service delivery

As part of its wider programming, GAPP planned to build on the outcomes of the LG policy study of FY 2013, to develop and nurture strategic partnerships that will greatly enhance LG policy reform advocacy efforts. To this effect, GAPP planned to refine the advocacy strategy and bring ULGA on board as the face of the advocacy, to champion more strategic and direct efforts targeting policy and decision makers.

Firstly, during the quarter, the planned dissemination activities were broadly concluded, to disseminate the policy study report by GAPP to key stakeholders and LGs.

Secondly, GAPP held a joint meeting with ULGA to discuss the draft GAPP policy strategy.

Thirdly, as a follow-up on the recommendations of the GAPP/ULGA meeting, a subsequent meeting was held with the Permanent Secretary/Secretary to the Treasury (PS/ST) in MOFPED. The purpose of this meeting was to break ground and lay the foundation for positive perception and reception of policy reform issues that GAPP and ULGA were · planning to advocate around.

Key points from GAPP/ULGA meeting:

16

• The key policy barriers and issues have been ably identified in the policy advocacy strategy matrix that formed discussions between GAPP and ULGA. It was agreed that the proposal would cover those issues and three additional issues that ULGA thought were pertinent.

• Strategic engagements with policy makers: A power mapping will need to be done to inform strategic engagements. The people that influence decisions in the ministries and Parliament should be identified.

• ULGA should sharpen its capacity in the areas of:

- Carrying out in-depth research to obtain statistics necessary for evidence-based and sustained advocacy, e.g., a budget analysis to interrogate the I 8% allocation to the LGs versus what is available for service delivery and actual release to the LGs.

- Building strategic partnerships and collaborations ...

• with the Local Government Finance Commission (LGFC) to identify working mechanisms or modalities to make the finance process work for LGs. LGFC is only active during sector negotiations. There is a need to establish databases on LG statistics. There are two entry points-strengthen negotiation in terms of preparation and follow up on agreed positions. Additionally, there is a need to strengthen the linkage between commissioners at LGFC and ULGA;

• with the Parliamentary Committee on Public Service and Local Government, for legislative support;


• with the Parliamentary Forum on Local Governments;

• with the media, in as far as they can provide the needed profile for the targeted issues, and to give LGs the voice they need. This may involve media training for editors;

• with other donor agencies: ULGA will give a detailed list of which partners are already working with ULGA and indicate which issues have been covered and which areas are not clear, as well as which other partners ULGA can aim to engage with.

ULGA subsequently sent the key technical staff to GAPP for capacity building on grants applications, and finally submitted a proposal to GAPP, which will be assessed in July 2014. The earlier targeted eight policy issues reported in the Quarter 3 Report have been further developed into eleven, as contained in the draft proposal received from ULGA, and will be subject to finalization and likely granting in Quarter 4, 2014.

Key points from the GAPP-PS/ST meeting:

The meeting was an opportunity to re-introduce GAPP to the PS/ST, having earlier met the Deputy Secretary to the Treasury (DST) during GAPP start-up in FY 2013. The meeting also broadly introduced GAPP' s policy program, with examples of the wider policy issues targeted. The PS/ST made key statements and discussed them with the team.

• MOFPED welcomes partners who will work with it to strengthen monitoring of expenditure. MOPPED will not facilitate inefficiency in government. Once disbursements from the center are made more efficient and timely, there will cease to be any good reason why cash balances should remain at the end of the financial year. For example, by mid-January 2014, 85% of the development budget of DLGs had been disbursed . There can, therefore, be no good reason why development funding should remain undisbursed at year-end.

• Government should not be waiting for the PAC reports to address AG recommendations. In fact, parliamentary PAC meetings with agencies and entities should focus on what has been done in response to the AG report.

• GAPP should support the dissemination of financial releases following MOFPED's disbursements as well as dissemination of this information through the newspapers. The same should happen at the district, subcounty, and service provision points such, as schools and health centers, disclosing how much money each has actually received

• 13 DLGs have not received approvals from accounting officers due to failure to submit basic information relating to staff and accounts. And therefore, these DLGs have not received any vote on account funding. These include Nebbi and Gulu. GAPP should support LGs to respond to reforms made by the Ministry of Finance.

Component 1: Activities Planned for Next Quarter

The following activities are anticipated to run during the next Quarter:


• Facilitate OAG attachments to National Audit Office for capacity building in VFM audits

• Enable review ofVFM Manual in OAG

• Carry out parliamentary advocacy for resolution of bottlenecks to the timely consideration of OAG reports in Parliament

• Carry out a training of trainers for the parliamentary IPS

• Facilitate the third meeting of the ATWG

• Conduct tripartite outreach visits to the following DLGs: Lamwo, Gulu, Nwoya, Mukono, Kalungu, and Masaka

• Secure the participation ofULGA, through a subgrant, in the advocacy process around LG policy reform

2.1.2 Component 2: Strengthening local governance systems and processes

The main objective of this component is to enhance fiscal management and accountability processes in the delivery of services in GAPP focus districts. During the quarter, GAPP continued to carry out financial analysis for the 30 non-randomized control trial (RCT) local governments; prepared and conducted local revenue mobilization (LRM) conferences; and pilot tested the updating of business registers in Masaka and Hoima, including attending the district operational plan (DOP) meetings in the DOP districts.

Sub-lR 2.1: Improved LG revenue generation and management

❖ LRM conferences conducted

During the quarter, GAPP conducted LRM conferences in an additional 41 LGs, which included districts, municipalities, divisions, and town councils. The conferences were participatory and engaging, given that they brought together a cross section of participants drawn from LG officials, religious leaders, the civil society (CS), and the private sector (PS). The major objectives were to provide feedback on the current LRM situation for LGs, explore the possibility of establishing a local revenue enhancement committee, build consensus on services that LG stakeholders prefer to be financed by locally raised revenues, and develop an action plan to guide LRM in the LGs. Across the LGs reached, a total of 1,843 stakeholders (570 female and 1,273 male) participated. Participation in LG conferences is indicated below.

Table 2. Participation in LRM conferences by LG ·"'" ,, ' Government iW:i\rnrn:;;,w

1,;;_1m0i'<~ temale ! ' rl/t?1b:.,., Male I lit Tota1 ,w

Kl BOGA TOWN COUNCIL 16 25 41

KIBOGA DISTRICT 18 31 49

MUBENDE DISTRICT 18 31 49

MUKONO MUNICIPLALITY 13 34 47

MUKONO CENTRAL DIVISION 18 29 47

GOMA DIVISION 13 23 36

MUKONO DISTRICT 20 37 57

HOIMA MUNICIPAL 12 31 43


Local Government ' Female ct Male Total ,,.: '

HOIMA DISTRICT 17 28

KAHOORA DIVISION 15 31

BUSIINSI DIVISION 13 14

KAGADI TOWN COUNCIL 16 30

KAKUMIRO TOWNCOUNCIL 17 31

BUJUMBURA DIVISION 15 27

MASINDI DISTRICT 14 35

APAC DISTRICT 7 35

APAC TOWNCOUNCIL 14 35

KOBOKO DISTRICT 17 32

KOBOKO TOWNCOUNCIL 10 23

NEBBI DISTRICT 11 30

NEBBI TOWNCOUNCIL 14 32

PAKWACH TOWNCOUNCIL 13 31

GULU DISTRICT 17 37

GULU MUNICIPALITY 16 44

ANAKA TOWNCOUNCIL 11 44

LAYIBI DIVISION 16 32

BARDEGE DIVISION 16 33

PECE DIVISION- GULU 21 37

LAROO DIVISION 13 36

PADER TOWN COUNCIL 18 29

PADER DISTRICT 18 30

LAMWO TOWN COUNCIL 11 31

LAMWO DISTRICT 13 47

LIRA DISTRICT 16 42

LIRA MUNICIPALITY 20 40

OJWINA DIVISION- LIRA 8 31

ADYEL DIVISION - LIRA 9 35

RAILWAY DIVISION - LIRA 14 34

CENTRAL DIVISION - LIRA 12 36

Strategies resulting from the LRM conferences included the following:

• De-politicizing LRM through participatory approaches to LRM interventions and

leadership development programs

• Strengthening compliance management and enforcement

- prompt follow-up action and enacting a late-payment policy

- publicizing names of defaulters

45

46

27

46

48

42

49

42

49

49

33

41

46

44

54

60

55

48

49

58

49

47

48

42

60

58

60

39

44

48

48

• Improving existing own-source revenue through administrative improvements fo r selected revenue sources, including increasing billing and collection efficiency, improving databases, and promoting effective monitoring ofrevenue collection


• Improving the tax paying culture and building citizen confidence in LRM through raising awareness of citizens on revenue enhancement and mobilization

• Promoting peer-to-peer learning and sharing programs

• Assessing targets of opportunity for public-private partnerships to increase service delivery impacting local economic development

• Record keeping and accounting

- with facilities for cross-checking payments against assessments to minimise fraud

- preparation of defaulters ' list to reduce scope for collusion and fraud by collectors

• Motivating taxpayers

- taxpayers more willing to pay if they see that money is properly used to benefit them so, greater participation, accountability, transparency needed in order to build trust

Development of LG-specific work plans:

From each conference that was conducted, a specific action plan was developed per LG.

This process provided a moment of reflection and opportunity to develop approaches to increase local revenue collections.

An example of a work plan developed for Lira Municipality is attached as Annex 1.

❖ Enumeration and assessment committees trained

After providing assessment feedback, GAPP conducted training for the members of the enumeration and assessment committees to enable them carry out the enumeration and assessment exercise to update their respective business/tax registers as well as establish their respective LG revenue potential.

In this regard, GAPP, in conjunction with LGFC, conducted two training programs for the enumeration and assessment committees at the divisions of the municipalities ofMasaka and Hoima. This was a follow-up of the action plans that the divisions developed during the LRM conferences conducted earlier for these divisions.

The key underlying objective was to empower enumeration and assessment committees to carry out their respective mandates of enumeration and assessment, but also to derive lessons learned to inform similar trainings that will take place in other GAPP target districts. The trainings focused on presenting the legal framework governing revenue mobilization in LGs as well as processes of data management and enumeration.

Following the training, the participants performed actual data collection under the oversight of GAPP.

Data was indeed collected, and many tax payers were registered. However, this experience was also met by significant resistance (taxi drivers and operators within the Taxi Park), false disclosure (hotels and business premises), and outright refusal to provide information (banks). It became apparent that for enumeration and assessment committees to have the most success, their activities have to be preceded by community sensitization.


❖ Participation on DOP Meetings


During Quarter 4, GAPP will carry out the following activities under Component 2:

• Conduct procurement training for districts of Oyam and Hoima

• Conduct leadership training for Hoima District LG and Hoima municipal council

• Continue with training of enumeration and assessment committees in LRM selected districts

• Conduct regional dissemination of Standard Rules of Procedure

• Training of PA Cs in 25 DLGs

2.1.3 Component 3: Strengthen CSOs and other NSAs to improve voice and accountability

The general objective of this component is to build capacity of citizens and communities to participate in local governance through strengthening CSOs and other NSAs to improve voice and accountability

Sub-lR 3.1: Increased private sector participation in local governance

❖ Development of a toolkit for private sector participation in LG

An request for applications (RF A) was published in the daily newspapers The New Vision and Daily Monitor on Monday 19th May 2014 cal I ing for firms that can develop a too !kit that would be a resource for private sector in efforts to engage with LGs.

This initiative aims at increasing private sector participation and dialogue with LG on issues of local economic development and establishment of partnerships with LGs for improved service delivery. Once contracted, the subcontractor is expected to contribute to supporting private sector organizations/associations (PSAs) to understand their roles and responsibilities in local governance, with specific focus on GAPP's key intervention areas that include LG procurement processes, local revenue management, LG decision making, and mechanisms for mean ingful engagement and holding local leaders accountable.

Ten (10) firms have responded to the call for proposals, and evaluation will be finalized during the next quarter.

Sub-lR 3.2: Improved institutional capacity of CSOs and PSAs

❖ Development of a capacity-building strategy for the national and district-level partners

Under this indicator, a total of 42 organizations have been earmarked for capacity building. These include 25 district-level organizations, 1 and under the collaboration and partnership

1 Agago Farmers Cooperative Society, Agency for Accelerated Regional Development (AF ARD), Agency for Accelerated Regional Development (AF ARD); Agency for Accelerated Regional Development (AF ARD); ALUTKOT Savings and Credit Cooperative Society; ANA KA FOUNDATION; Arua District NGO Network (ADINGON); CARITAS MADDO; Charity for rural development (CHAFORD)-Uganda; Human Rights Focus (HURIFO); Kalungo NGO Forum (KDGF); Children and Wives of Disabled Soldiers Association (CA WODISA); Kayunga District Farmers Forum (KDF A); Kibaale District Civ il Society Organizations'


between GAPP and Northern Uganda-Health Integration to Enhance Services (NUHITES), 3 organizations2

• At the national level, 14 organizations3 have been identified to benefit from the highly specialized and targeted training tailored for them to be grant-worthy. So far, all of these organizations have undergone institutional assessments. Because the institutional assessment was designed as a capacity-building process, a total of 406 persons (372 staff and 87 representatives of the boards) who participated have had their capacity enhanced in pillars of Institutional Governance, Management Practices, Human Resources, Financial Resources, Program Development, Collaboration and Networking, and Sustainability.

Capacity Priorities at the District Level

As a result of the institutional assessments carried out for the district-level organizations, the following are the major priorities identified as needing strengthening among all of the organizations:

• Sustainability: Tis scored the highest priority among the 28 district-level partners that participated in the institutional assessment exercise. Many organizations reported that they faced challenges in raising resources for the realization of their vision and mission. Although one of the criterion for selection for capacity building included having an annual budget of at least 50 million Uganda Shillings and above, some of these organizations were operating through the support of volunteers because they could not afford to pay staff salaries. In these cases, the nature of support will have to include capacity building in proposal development; identification of strategic partnerships with international organizations, universities, research institutions or other groups; prioritization of active participation of key stakeholders and beneficiaries in the organization's projects and programs; development of phase-out plans that include skills transfer to local communities; and networking, development of fundraising policies, and strategies. However, although sustainability is elaborated as stated above, the majority of organizations were interested in this particular area because of the opportunity to learn how to raise financial resources as an immediate need.

• Management Practices: This points to the need to strengthen strategic planning activities, including an organization understanding its own operating environment and, as a result, adjusting its operational plans; alignment of activities and plans with the vision and mission; budgeting and resource allocation; participation in decision

Network (KCSON); Kiboga NGO Forum (KNGF); Kitgum Women's Peace Initiative (KIWEPI); Koboko Civil Society Network (KOCISONET); Lake Albert Children Women Advocacy Development Organization (LACWADO); Lango Samaritan Initiative Organization (LSIO); Masindi District NGO Forum (MDNGF); Mid -North; Mid- Private Sector Association; Western Region Anti-Corruption Coalition (MIRAC) ; Mukono District Farmers Association (MDFA); Mityana - Mubende District Farmers Association (MMDFA); Organization for the Development of Women Lamwo (ODEWOL); Pader NGO Forum (PNF); The Apac AntiCorruption Coalition (T AAC); Lira NGO Forum; Lango Child and Community Development Federation (LACCODEF); Extended Hands Uganda (EHU) 2 Lira NGO Forum, Lango Samaritan Initiative Organization (LSIO), Lango Child and Community Development Federation (LACCODEF) 3 Build Africa (BA); Uganda Women' s Network (UWONET); Africa Action Help Uganda (HEPS); Centre for Basic Research (CBR); Uganda Wildlife Society (UWS); Uganda Debt Network (UDN); Community Integrated Development Initiative (CID!); Private Sector Foundation Uganda (PSFU); Uganda Farmers Federation (UFFE); Coalition for Development and Environment (ACODE); Community Development Resource Network (CORN); Uganda Youth Network (UYONET); Uganda Local Government Association (ULGA); MIFUMI.


making; and monitoring and evaluation. The assessment revealed that most of the organizations implemented activities that were not in line with their vision and mission; there was a wide gap between policy and practice, while others had no annual operating plans.

• Financial Resources: This points toward the requirement to establish and strengthen procedures and reporting systems for financial management, proper budgeting procedures, establishment of a financial units, development of annual financial projections, budget monitoring, and monthly financial reporting. The biggest need, however, will require support in establishment of stock control systems, procurement systems, internal and external audits, and identifying opportunities for mobilizing local resources through subcontracts or tenders for sustainability purposes.

Further analysis of the gaps under each core function identified the most critical gaps as the building of systems, policies, and procedures to give direction to the organizations' work and strengthening operations, the building of staff capacity to enhance their ability to utilize the developed policies, procedures, and strategies for better outcomes.

Figure 1. The Capacity-Building Intervention Framework

I Levels ~f_ i ___ C_a;acity - - Capacity Outputs

Capacity Outcomes I Capacity Inputs

,~--,~--:""'"'::;:::;;;:;:::;;;:::::;u=,.,,,.,_,~~,.,,,,.,""""'",,,,_,,,"f""'/""""""""°"""""""F4 ......... ................... , ........... @ .. l ""'*~===--Trained and . Motivated Staff I

Organizational Level

Systems Level

Individual/Human Human Resource Dev'!

Functional Organizational Structures

:" .................... i : Effective 1

organizational ! and decision ! making l procedures 1

l I

: ,pt,::;::;_ ,·:... ,-;.-·- 1 ; cl \$ l : Supporting · l

Enabling Environment

l IQfJ!tl/Jional 'l : a~.d Legal 1

--· Framework l j j j j

: u : ~- _c - l · ... • - •,.•-•••••• •• •-•-•-l

External Country Context The operating environment

The Legal and Institutional Framework for CSOs/PSAs

GAPP-Quarterly Report 7, April 1 - June 30, 2014

Sustained performance

overtime

23

National-level partner organizational assessments

At the national level, 14 (fourteen) partners4 ~ -----=-=-,;;;.;;:;-;;;-;;--:;;==::;;;;;::;;:;:;:-----;;,;;;----:::i

were identified for capacity building, and so far, institutional assessments have been completed. Given the complexity of national-level organizations, new strategies in terms of process were identified and implemented, including the following:

a. Partner Local Organization Capacity Assessment (PLOCA) Inaugural Meeting: A cross-section of participants at the National

Level PLOCA Inaugural Meeting: Standing is the GAPP Chief of Party [REDACTED], while

addressing the executive directors and facilitators.

The meeting allowed senior managers from participating organizations to get further acquainted with the purpose and goals of the PLOCA exercise as well as the capacity-building process that was intended to be carried out in their respective organizations. It also allowed facilitators the opportunity to meet the Executive Directors for the first time and allow the Executive Directors to ask questions . This meeting achieved the desired goal of stimulating enthusiasm in the PLOCA and capacity-building process.

b. Facilitator's Workshop: A two-day facilitators ' workshop was organized prior to the start of the PLOCA implementation. The workshop aimed at standardizing the PLOCA process. Many lessons came out of this workshop because the team aimed at reviewing lessons from the first round of PLOCA implementation at the district level. This merited attention and incorporation into the revised tool. The workshop enabled facilitators to (1) discuss and apply lessons learned from the initial PLOCA process at the district level ; (2) revise the PLOCA tool and ensure that consultants were familiar with all changes and the revised tabulation; (3) harmonize approaches on the facilitation process, action planning, and reporting formats; and (4) Provide planning time for paired individuals (either consultant pairs or GAPP/consultant pairs) to ensure coordination on co-facilitated sessions.

c. Assessment: The PLOCA was carried out in 14 national-level organizations. The assessment sought to assess processes that seek to stimulate awareness and consensus about organizational strengths and weaknesses through honest and open dialogue among staff and board members. The exercise enabled national organizations to identify challenges, which allowed each organization to prioritize areas for improvement and, most importantly, create an action plan for strengthening performance. The RTVGAPP PLOCA approach is based on the belief that organizations must be their own agents of change by internalizing their own capacities, creating their own action plans, and being accountable for their own results. The PLOCA tool examines organizational capacity at a holistic level, including operational, financial, management, and technical activities.

4 Build Africa (BA); Uganda Women's Network (UWONET); Africa Action Help Uganda (HEPS); Centre for Basic Research (CBR); Uganda Wildlife Society (UWS); Uganda Debt Network (UDN); Community Integrated Development Initiative (CID!); Private Sector Foundation Uganda (PSFU); Uganda Farmers Federation (UFFE); Coalition for Development and Environment (A CODE); Community Development Resource Network (CORN); Uganda Youth Network (UYONET); Uganda Local Government Association (ULGA); MIFUMI.


Plenary findings indicate that:

• Several organizations depend solely on external donor funds and have not put in place alternative sources of funding in case of donor withdrawals;

• Whereas monitoring and evaluation (M&E) feeds strongly into supporting an organization's ability to market itself to the public and donors, most participating organizations lack strong M&E systems or protocols, and some lack systems at all , even at the basic level.

• Most organizations lack a marketing plan or communications strategy that establishes protocols on how the organization should be branded or interact with the public to increase visibility and name recognition. These strategies can help to increase messaging around an organization ' s achievements and enable it to better engage its stakeholders. This is particularly important for membership organizations that do not have clear mechanisms for reaching out to members.

Key capacity building priorities, as identified through the PLOCA exercise, of selected partners include:

1. Fundraising and Sustainability-Fundraising and sustainability was the top priority identified among the 14 organizations that participated in the PLOCA exercise. Many organizations expressed a desire for support in developing fundraising strategies and proposals as well as donor negotiation, particularly at the pre-award stage. Alternative revenue sources may need to be explored further for organizations that offer consulting or services for fee but do not have competitive pricing structures, making them less lucrative. Interestingly, several organizations stated that they do not want to achieve independence from donors and mentioned that donor-funded projects offer them stability and larger sources of funding than they can receive through fee-based services. This mentality will hinder organizations' ability to diversify their funding bases and obtain a revenue mix that may enable healthier growth and stability in the long term.

2. Leaming and Innovation-Partner organizations selected learning and innovation as the second highest priority for capacity-building assistance. This section focuses predominately on M&E systems and quantifiable methods that focus on measuring impact as opposed to only outcomes. Most of the participating organizations lack strong M&E systems or protocols and some (even research organizations) lack systems at all, even at the basic level. M&E feeds strongly into supporting an organization's ability to market itself to the public and donors. Guidance on robust M&E methods, indicators, systems, and data collection are all activities that could greatly benefit many of the organizations.

3. Collaboration and Networking-Collaboration and networking is the third highest priority for the 14 organizations. Most of them lack a marketing plan or communications strategy that establishes protocols on how the organization should be branded or interact with the public to increase visibility and name recognition. These strategies can help to increase messaging around the organizations' achievements and enable them to better engage their stakeholders. This is particularly important for membership organizations that do not have clear mechanisms for reaching out to members.


Key lessons learned about implementing the P LOCA implemented for these 14 organizations include:

• Duration-Three days for a PLOCA plenary is needed to increase the effectiveness of the PLOCA process. Two days for the plenary session proved to be insufficient for completing the exercise for national-level organizations.

• Clarification of commitment-Despite repeated communication to selected organizations prior to the start of the PLOCA, many remained unclear on what the GAPP project would offer in terms of capacity-building support. Articulating staff time requirements expected from each organization (both at the PLOCA plenary stage as well as in the longer term capacity-building process) will help organizations better understand what they are committing to and any essential obligations.

Sub-lR 3.1: Increased private sector participation in local governance

During the reporting period, GAPP worked through grantees to increase local private sector participation in monitoring and tracking of local budgets. Efforts were also aimed at building capacity of the private sector-farmers associations and associations of business communities -to lobby and advocate for more funds to be released by the National Agricultural Advisory Services (NAADS) and more services to be provided; through dialogue, those in positions of responsibility were urged to develop effective interventions, especially on issues pertaining to the cost of doing business.

To this end, working in partnership with Uganda National Farmers Federation and MityanaMubende District Farmers Association through the Agency for Transformation, GAPP supported the training of 170 farmers and farmer leaders (79 in Mubende and 91 in Mityana) on budget cycle, budget tracking, analysis, and advocacy. Those trained were district farmer associations ' members. The focus of this capacity building was also tailored to utilization and harnessing of online budget visualization resources and dashboards from the Uganda Budget Information portal run by MOPPED (see link at: http://budget.go.ug). It is envisaged that these trainings will greatly help to improve the capacity of district farmer associations to demand accountability from LGs, while empowering farmers to lobby and advocate for more released NAADS funds and extension services.

In tandem with the farmer training, 165 business operators and owners were trained in both Mubende and Mityana districts for four days in each district on topics including lobbying and advocacy definition; budget cycle and LG processes; representation at LG budget discussions; amount of funds sent to the districts ofMityana and Mubende; utilizing online budget visualisation resources and dashboards; and, of major importance, how private sector members can monitor the funds sent to their districts. The private sector trainees were members of the Uganda Chamber of Commerce and Industry (UNCCI) and Uganda Small Scale Industries Association (USSIA).


Given the cardinal role of the private sector to the growth of the economy, with a contribution of over 80% of national budget financing, GAPP, in partnership with Civil Society Budget Advocacy Group (CSBAG), worked to enhance private sector involvement in influencing central government budget dec isions. Through organized pre- and post-budget discussion platforms, and in collaboration with the Uganda Manufacturer's Association, GAPP supported

[REDACTED], delivering a point at the GAPP-funded pre-budget dialogue, CSOs and private sector to engage in national budget

April 2014 processes, especially on the tax proposals, with a

demand for increased support to small-scale enterprises and easing of business environment constraints for the same in Uganda. In Quarter 4 of FY 2014, GAPP will continue to work on strengthen ing private sector engagement in LG processes to ensure that their voice is part of such processes at the district level.

Sub-lR 3.3: Increased advocacy by CSOs and PSAs

❖ Call for proposals from district CSOs and private sector organizations

Within the period under revi ew, GAPP received 368 concept papers from NSAs in the 25 GAPP focus di stricts as a response to an RF A that had been issued in Quarter 2 of FY 20 14. The RFA targeted district-based NSAs and focused on increas ing district-level advocacy on local governance issues in the 25 focus LGs. A two-step application capacity-building process was designed, cognizant of the varied proposal development ski lls at the lower level. The first step had applicants submit 5-page concept papers of the proposed project, and the second involved conducting reg ional proposal writing workshops for applicants who scored above 70 points at concept stage and then submission of full technical and financial proposals. An evaluation committee composed of RTI staff and selected District Community Development Officers evaluated the concept papers using approved guidelines. Successfu l applicants' proposals will be rev iewed in Quarter 4 of FY 2014, and subsequent negotiations and granting will be done in Quarter 1 of FY 20 l 5.

❖ National-level advocacy efforts

ln this period, 2 grant agreements were signed between RTI and the respective organizations. The organizations will implement projects related to advocacy and oversight in areas of their expertise as indicated in the table below

No Grantee Activity Title Amount in Period of UGX Duration

1 Southern and Enhancing Opportunities for Local 25 0,000,000 24 months Eastern African Revenue Mobilization and Trade Information Accountability for Improved and Negotiations Service Delivery in Kitgum, Pader Institute and Lamwo Districts (SEATINI Uganda)


No Grantee Activity Title Amount in Period of UGX Duration

2 Uganda Youth Program for Youth Democratic 186,377,140 Fixed Network Engagement Obligation (UYONET) Grants for

12 months

❖ Advocacy for increase of agricultural sector budget

As part of enhancing policy decisions at the national level, GAPP supported CSBAG, to hold a strategic meeting with MOPPED officials, including the Permanent Secretary and Secretary to the Treasury, Mr. Keith Muhakanizi, Director Budget, Mr. Kenneth Mugambe, and the Ag. Commissioner Budgets Mr. Laban Mbulamuko, to present key civil society concerns on the National Budget Framework Paper FY 2014/15. Meeting with the Director of Budgets in MOFPED on

May 16, 2014 Issues of concern discussed in this meeting

included lobbying for an extra UGX 83.14 billion to be given to the agriculture sector. This additional expenditure was proposed to be financed by reducing public expenditure by 15% on recurrent items, including advertising, training, travel, stationery, fuel, and maintenance costs in other sectors, excluding missions abroad and LGs. Drawing from the FY 2012/13 advocacy efforts around increasing the health sector budget, GAPP, through its partners, will continue to engage MOPPED on the same in Quarter 4 of FY 2014. GAPP will continue to support grantees to monitor agricultural sector absorption and activity implementation.

Media based advocacy initiatives

In relation to the advocacy for open budget and as a build-up to the reading of the National Budget Speech 2014/15, CSBAG with support from GAPP supported various media discussions on radio and television, in which major budget concerns were discussed . Owing to budget analysis and advocacy capacity building by CSBAG, there were registered improvements in the level of discussions in terms of quantity and quality of the budget debate. The media campaigns created opportunities for increased public participation in the budget process, increased citizens' access to budget information, as well as helped the public to identify more easily with national financing and expenditure priorities.

Sub-lR 3.4: Increased citizen awareness and engagement with Local Governments

❖ U-Bridge SMS-based service request system roll out

In the bid to increase citizen awareness and engagement with LGs, GAPP worked in collaboration with Social Impact and UNICEF to kick-start the implementation of the U-Bridge activities. U-Bridge is a unique initiative that aims at raising awareness among


communities of their rights, supporting them to hold local leaders accountable for their

dec isions, actions, and inactions.

• Civic education curriculum: To date, GAPP has completed the deve lopment of the civic education curriculum aimed at improving civic rights at the community level. The curriculum covers four major modules: Governance, Roles and Responsib ilities of Local Governments, and Civic Responsibility. GAPP believes that once this curriculum is implemented, citizens will be empowered to participate in local governance and demand serv ice delivery.

• Stakeholders ' meeting: In the continued preparation for U-Bridge implementation, GAPP, in collaboration w ith Social Impact, held a stakeholders' meeting in Arua District. The participants in this meeting were limited to the Chief Administrative Office r (CAO); District Chairperson; heads of departments-Education, Health, Finance, Production, Water and Sanitation, and Community Development; and Committee Secretaries. During this meeting, Social Impact presented to the district officials U-Bridge 's evaluation method- the RCT, theory of change. Several activities are lined up fo r the whole activity. They include service provider monitoring, household registration, district official survey, and endline survey.

• The cluster approach: 24 randomly formed clusters and maps projected where U-Bridge is go ing to be implemented. At the stakeholders' meeting, U-Bridge concept was embraced with enthusiasm, and the Vice Chairperson Ms. Ayikoru Sunday, noted that" U-Bridge is the project they needed to help them monitor and work with the communities to improve service delivery."

• Personnel mobilization: GAPP has completed interviews and selected 13 community faci litators out of 26 app licants expected to spearhead the implementation process at the community level. These candidates are experienced in community facilitation, speak the local language, are stationed/live in Arua, and have a min imum education level of Diploma.

❖ Increased advocacy by CSOs and PSAs

Across the 25 districts, efforts were geared at strengthening capacity of community-based monitoring or accountability structures in carrying out such interventions as budget AND serv ice monitoring at the district but also at lower local governments.5 To this end, GAPP, through Lira NGO Forum and A YDL, oriented and trained members of Youth Parliaments and groups in Oyam, Lira, and Amolatar di stricts. In light of the same, through the Citizen Engagement to Stop Medicine Stock Outs (COME) activity in Kiboga district, 80 community medicine monitors in five subcounties were selected. These trainees were composed of village health team members, leaders of women's groups, Boda Boda association leaders, and members of the clergy. They wi ll track medicine stock piles at the health facilities in liaison with the Health Unit Management Comm ittees. Other details of grantee activities attached in Annex 3.

5 Activity table for various grantees attached as Annex 3


❖ Training of national-level grantees on financial and narrative reporting requirements conducted

GAPP conducted training to orient national-level grantees on reporting guidelines under GAPP. The training was held on in 29th April 2014 in Kampala. The training captured the following topics: financial reporting requirements, waste, fraud, and abuse; and GAPP indicators and results framework. The fraud and abuse presentation was made by USAID/Uganda Office of Acquisition and Assistance. The grantees were able to understand the GAPP results framework, financial and narrative reporting timelines, and the templates to be used .

Finance Training of Grantees by GAPP Finance Manager Kampala - April 29, 2014

❖ Joint support supervision for grantees conducted

In the reporting period, the following support visits were made to grantees:

• May 21, 2014: Financial monitoring visit was made to Uganda Women ' s Network (UWONET) to enable them to prepare a high-quality financial report. They were able to revisit the report for April in accordance with RTI requirements.

• May 22, 2014: Conducted spot supervision visit to African Youth Development Link, Forum for Women in Democracy, and Civil Society Budget Advocacy. During these visits, grantees were able to share individual challenges related to using the reporting templates provided. After these visits, the grantees submitted high-quality financial reports.


30

• Solicitation process for private sector capacity building agency

• Launch of U-Bridge and civic sensitization in RCT clusters of Arua

• Development of materials for district-based NSA capacity building

• Evaluation of proposals and pre-award assessment for pre-selected district-based NSAs

• Finalize award of grants to two pending grant applicants (CIDI and A CFO DE) under the national-level RF A

• Finalize negotiation process for grant award to ULGA

• Conduct joint support supervision for 15 national-level grantees


2.1.4 Monitoring and Evaluation (M&E) - Learning and Communication

During the quarter, GAPP continued to gather, store, and use information that informed the program. Documenting and disseminating learning within or around the program environment remains vital.

❖ Development of the GAPP Communication Strategy

The GAPP Program Communication Strategy has been developed and is in its final stages of approval. The process involved conducting a communications needs assessment with various stakeholders. Interviews and focus group discussions were held with key personnel, including staff of the GAPP Program. The communication strategy will strengthen the planning, designing, and executing of various messages from GAPP.


2

3

4

5

Section Three Annex 1: LIRA Municipal Council/ Action Plan FY14/15

i Bus tax park • Vehicles loading outside the park • Create data base for all sources TC. PT June 2014

• Lack of Enforcement • Enforcement put in place to Council

• Forged Receipts ensure compliance

• Most Vehicles not registered . • Security seal be put on receipts

• Negative attitude • Sensitization

• Delayed payments • Policy guidelines

• Political interference • Tender out the park Marke /Gates • Lack of Register of all the • To have all markets registered TC, PT June-July2014 Fees Markets. and gazetted

• Some markets not gazetted • Reactivate non functional markets

• Some markets not functional . Create new markets

• Bad Season leading to less for • Tender out to private sale

• Political interference Business/Trading • Un updated register • Regular update of the register TC, PT and June on wards license • Leakages/ corruption/ Fake • Computerize all licenses Mayor

licenses • Conduct regular enumeration and • Political interference Assessment

• No regular assessment and • Security seal put on receipts Enumeration • Ensure revenue is shared as per

• Revenue sharin is a roblem the uideline. Property rates • Properties not valued • Sensitization TC, PT Next FY 14/15

• Lack of awareness • Valuation of properties

LST • Lack of regular remittances from • Follow up and reconcile with MoF TC. PT June-July 2014 finance

• Lack of awareness

Allowance , • Stationery and registered . Human Resource • A bye-law in

place

• No. contracts awarded

Allowance , • No. of Markets Stationery and registered Human Resource • No. contracts

awarded

Time, commitment • No. of meetings , Stationery and held Human Resource • No. Of

businesses registered

• No businesses assessed .

Allowance , • No. of Stationery and properties Human Resource reg istered.

• No. meetings held

Time , Stationery • No. of meetings and Human held Resource


Local revenue Source for ~

Enhancement 6 LHT •

•

:,{\ 4\, -v 'Ke issue/challen

Hotels not transparent about their clients No register for all the Hotels

• • •


Action/Activi Update registers Enforcement sensitization

Person Responsi

ble TC, PT, Council

• • Time frame June-Jul 2014

Resources Needed, human,

financial Time , Stationery and Human Resource

Performance indicator

• No. of Hotels registered.

• No of meetings held with Hotel owners

33

Annex 2: Summary of the Capacity-Building Strategy Capacity Potential Effect of Approach of Capacity Building Application Building Capacity Building Governance/ Components Component Prioritized areas of possible intervention Management Technical Individual/ Individual/human • Build capacity of board in Lobbying, Fund Skills, training and/or degrees in the Skills , training and/or degrees Human resource level capacity raising and other oversight roles. following areas: in the following areas: Resource building activities will • Democratic election of board members. • Leadership skills • Mentoring and Coaching.

improve the • Facilitate the formulation of appropriate policies. • Resource mobilization skills. • In-service training performance of the • Facilitate the development of Terms of • Policy formulation and analysis • Informal training Leadership and staff reference for management and management skills • Study Tours and according to specific positions. • Negotiations and contract Experiential Learning defined competencies • Train and expose management about their management skills Benchmarking and job requirements. •

strategic role in the organization. • Performance management • Job Rotation • Put in place management committees • Project management

Employee Exchange • • Formalize strategic partnerships • Financial management Programmes. • Exposure to relevant networks • Supervision

Develop guidelines for community engagement Partnerships /collaboration • Program information • • Capacity building on policy research , analysis Professional networking • Evaluation, monitoring • • and advocacy • Access to information resources and research

• Develop networking strategies. • Advocacy and mobilization • Enhance and retain

• Capacity building for effective networking • Career progression for competencies.

• Participation in research and analysis . individuals. • Support supervision

Organizational Organizational level • Clarify roles, duties and responsibilities of the • Organizational management • Organizational technical capacity building Leadership and management. • Organizational Structure . leadership activities will improve • Improve information flow. • Governance procedures. • Program approach the performance of • Improve archive systems in areas of cataloging • Human resource management • Technical guidelines internal organizational and storage. • Financial management systems • Standard operating systems and processes • Capacity development of staff in the areas of • Organizational development for procedures. leading to stronger program planning, management and change management. • Technical structure (HR organizations with the implementation. • Project management. /Finance/Fundraising ability to adapt and • Improved documentation, management and • Strategic collaborations and Committees, etc) continually develop sharing of stories of change, good practices, partnerships. • Strategic technical

lessons leant and experiences. • Policies, Programmes, and partnerships

• Develop fund raising and resource mobilization organizational structures within • Build capacity of board in strategies. the institution. Lobbying, Fund raising

• Build Board and Staff capacity in fund raising • Remuneration and benefits of and other oversight and resource mobilization. Leaders and Staff • Democratic election of

• Develop project phase out plans and skills • Institutional systems and board members.


Capacity Potential Effect of Approach of Capacity Building Application Building Capacity Building Governance! Components Component Prioritized areas of possible intervention Management Technical

transfer strategies. regulations that govern the • Facilitate the formulation • Build strategic partnerships. operationalization of the of appropriate policies . • Develop strong programs. organization. • Facilitate the development

• Physical resources (computers , of Terms of reference for telephones, cars and renewal of management positions. these, etc). • Train and expose the

• Office management and Board and management administration. about their strategic roles

• Understanding and interpretation in the organization . of applicable legislation.

• Dispute and conflict management

Systems Systems and policy . Facilitate strategic planning processes . Strategic planning • Technical leadership level capacity building • Develop fundraising strategies. • Performance management • Human resource technical activities will improve • Facilitate development of organizational systems. accreditation both internal and Operational Plans. • Governance and stewardship • Technical guidelines external factors in the • Educate managers on their strategic roles in the • Develop/improve policies, laws, • Results monitoring and operating environment organization. and regulations reporting in which organizations • Build capacity for monitoring and updating of • Develop / improve Human • Technical policies and and individuals function , annual and strategic plans. resource management systems. standards including structures • Develop communication strategies. • Organizational tools and • Infrastructure supporting the way • Development I revise the HR policies to include standard operating systems • Technical training organizations interact, health and safety benefits for staff. • Monitoring & Evaluation strategy program accreditation and _ and/or policies and • Clarify job descriptions • Information technology systems . guidelines. standards that must be adhered to. • Conduct performance appraisals • Resource generation and • Strategic partnerships/

• Develop salary scales allocation. technical forums

• Develop/support revision of organo grams • Guidelines and systems • Programs/strategy

• Develop advocacy strategies development for management development.

• Clarify financial management procedures and accountability • Tools development

• Strengthen internal and external audits. • Coordination and networking • Development of program

• Diversity /expand sources of funding . • Infrastructure approaches

• Develop income generation plans. • Job descriptions

• Develop procedures for due diligence. • Performance appraisal tools.

• Develop or strengthen procurement strategies • Human Resource Policies

• Develop M&E/l nformation management • Organ gram and Salary scale. systems. • Management of strategic

partnerships. • MoUs


Capacity Potential Effect of Approach of Capacity Building Application Building Capacity Building Governance/ Components Component Prioritized areas of possible intervention Management Technical

• Program strategies (M&E, Advocacy , Strategic Plan) .

• Contingency Plan • Sustainabilitv plans.


nnex ■ ran ee C IVI :y a e pn - une ■ A 3 G t A t" ·t T bl A • I J 2014 Grantee Activity Table

Civil Society Budget Advocacy Group • 20 CBOs and PSAs Mobilized and trained in community budget monitoring and service delivery tracking . (CSBAG) • 2 community budget monitoring exercises conducted ..

• 4 budget dialogues organized by PSAs and CBOs

• 2 Feedback meetings conducted in Kibaale and Agago

• 10 CBO and PSA members facilitated to participate in budget meetings at local and national levels • 2 radio talk shows sponsored in 2 districts

• 200 radio spots~ingos produced and aired in the media • 1 capacity building workshops on budget analysis for CSBAG members

• 1 high level budget advocacy event with key policy makers Coalition for Health Promotion and Social • HEPS carried out a district stakeholders meeting to introduce the project to the district, Development (HEPS) Uganda • a pre-intervention baseline survey was undertaken to assess the status of medicine stock outs , to understand the

health consumers satisfaction levels and availability of essential medicines in the selected health facilities in the two districts.

• Organized the training for community medicine monitors in Kiboga district. HEPS worked with the district to identify Community Representatives/ Monitors; 80 community medicine monitors in 5 sub counties were selected.

Transparency International in Uganda ■ Conducted orientation meetings with voluntary accountability committees (VACs) in Lira, Oyam and Apac ■ Conducting radio talk shows, for community awareness creation on the role of the community in monitoring service

delivery. ■ Produced the radio jingle/spot messages, the messages aimed at encouraging the community to participate in

monitoring general service delivery . Toll free call center operation. Calls were received from the community members including the VACs reporting the challenges in service delivery. Within this quarter, a total of 20 calls have been received

Centre for Policy Analysis (CEPA) ■ Conducted in depth interviews with selected committee members, technical staff, other Parliamentary staff, and OAG representatives to understand reasons why the accountability committees continue to face challenges as they seek to use the reports of the Auditor General to hold government accountable. A report of the interviews has been generated.

Southern Eastern African Trade ■ May 2014, SEATINI Uganda commissioned a baseline study on Domestic Resource Mobilisation, Utilisation and Information and Negotiations Institute Allocation processes. The main objective of the research was to analyse the domestic resource mobilization,

(SEATINI) utilization and allocation processes in Kitgum, Lamwo and Pader districts. ■ SEATINI Uganda and KIWEPI organised an inception meeting on 20th May 2014 in Kitgum District to introduce the

project to key stakeholders in Kitgum, Lamwo and Pader Districts. The project also provided a platform for key stakeholders to engage and build synergies with ongoing interventions in the targeted districts

GAPP- Quarterly Report 7, April 1 - June 30, 2014 37

Grantee Activity Table Lira NGO Fourm . Formed 6 youth parliaments and 6 youth associations with each parliament having 9 executive members and 18

ordinary members. A total of 337 (261 male and 76 female) attended the parliament sessions .. . Trained 129 youth parliament members (68 from Lira and 61 from Amolatar) .The youth were selected from the parishes of the target sub county , each parish has 3 youth representatives. The parliament also has advisors who are appointed from the technical and political wing. There were some sub county technical staff, political leaders, and youth .

Agency for Transformation . One day inception workshop to explain further and discuss the broader project implementation for its effectiveness and efficiency to the private and also navigate the ways on how to reduce the cost of doing business in both districts, training workshop for private sector actors on budget cycle , budget tracking, analysis and advocacy, . in partnership with UNCCI and USSIA held a one day business community district-level dialogue on taxation, budget and cost of doing business to increase shared understanding of local government processes and increase budget efficiency in local government, . One day Farmers district policy dialogue on budget, and agricultural service delivery in Mubende and Mityana was held.

Child Rights Empowerment and . trained 8 budget monitors and sensitized 230 key representatives of Boda Boda, women market vendors and VLSA Development Organization members as part of the process to strengthen PSA participation. District officials including the District Chairperson,

Resident District Commissioner, Chief Administrative Officer and members of the general public were oriented on the project objectives durinq the official commissioninq of project budoet monitors.

African Youth Development Link . 200 youth were reached through training in the areas of local governance processes, accountable leadership, budget advocacy and tracking , use of the social and traditional media in civic engagement. Other engagements included , community consultation and consensus building meeting which brought together an array of 32 stakeholders to discuss and agree on the most appropriate tools and methodology to use in the monitoring of government programs and service delivery. Other activities were; group formation, mobilization and organizing under which participants were taught how to form community groups, organizations and associations to be able to benefit from government programmes targeting youth such as the newly introduced Youth Livelihood Fund .


Annex:4 PMP Indicator Table for April-June 2014 Quarter

um ro Accountability and Transparency Working Group meetings supported with USG Assistance

Number of collaborative policy forums undertaken or constituted for improved LG accountability, and financing

A TWG will involve a forum of Chair of PAC, LGAC, COSASE; ED of PPDA, Auditor General, PS/Secretary to the Treasury, DPP, IGG, CUD, Solicitor General, Principal Judge, Head of Public Service and Secretary to Cabinet. The ATWGwill be aimed at closing accountability gaps identified by the national accountability institutions. Unit of measure: # of A TWG

Collaborative policy forums n/a are defined as consultative dialogue efforts in the form of meetings with MoLG, MOFPED, Ministry of Health (MOH), Ministry of Education (MOE), LGs, Uganda Local Government Association (ULGA), and NSAs working on issues related to LG accountability and financing. These will comprise national dialogue forums and sector-specific loose forums/meetings among national stakeholders with a purpose of advocating for s ific reforms in LG

6 Baseline years vary from 201 I to 2013, depending on source of information.

GAPP- Quarterly Report 7, April 1 - June 30, 2014

GAPP quarterly reports

00 02

[a Q3 GAPP worked on preparations for ATWG meeting which was held in the first week of Q4. ATWGwill focus on reviewing recommendations of ATWGinQI on coordination to avoid duplication of efforts in accountability cycle. Another A TWG is scheduled for September 2014

~'~;;,·\

GAPP conducted policy dialogue meeting with Permanent Secretary/Secretary to Treasury on LG accountability and financing. Another policy dialogue was held with the Executive committee of ULGA to caucus on the Policy Strategy for policy reforms at LG level

39

I.

assisted training, including management skills and fiscal management, to strengthen LG and/or decentralization, disaggregated by sex, age, andPWD (Standard F indicator 2.2.3-1)

Training refers to formal Sex, age sessions with a clear training agenda, training materials, and time frame. Unit of measure:# of individuals

2. · Number of community Civic education will involve

40

members receiving civic providing a'Mlreness-raising to education training, community members on how disaggregated by age, the government works and sex, and disability making them understand their

rights and roles as citizens. Unit of measure:# of communi members

GAPP Activity reports

GAPP LG Expert

Advisor

2013 0 1,960 00 80

00

145 Please note that 1,843 persons attended LRM feedback conferences in 39 LGs in the quarter. However restrictions had been established about scope of those meetings due to the RCT. Therefore this number is not recorded here. Performance on target is anticipated to increase in Q4 with the Training of enumeration and assessment committees in remaining LRM LGs, roll out of Rules of Procedure and training ofDPACs in all the 25 GAPP districts.

This number will also significantly increase with the roll out ofU-Bridge and as grantee work increases pace.


Documents

UGANDA · Quarterly Report April 1 - June 30, 2014 Ending Period: November 2017 Contract AID-617-C-13-00002 Prepared for [REDACTED], Contracting Officer's Representative (COR) USAID/U