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CapacityDevelopment ResponseStrategy
KvemoKartliRegion
StrengtheningRegionalandLocal GovernanceintheKvemoKartliRegion
Thisdocumenttriestoassessthecapacityassetsandgapsofthe regional office of the governor and the seven municipalities of Kvemo Kartli region, Georgia and tries to suggest solutions for some of the gaps through this capacity development response strategy.
March1,2008 CAPACITYDEVELOPMENTRESPONSESTRATEGY
TableofContents
Acronyms.................................... 3 ExecutiveSummary.................................. 4 1. Introduction................................ 16 2. Context.................................. 16 3. Methodologyandprocess...........................18 3.1. UNDPsapproachtocapacitydevelopmentandassessment...............18 3.2. Processfollowed............................. 19 4. Summaryofcapacityassetsandgaps.......................... 23 4.1. RegionalAdministration... 23 4.2. MunicipalAdministration............................ 26 5. CapacityDevelopmentResponseStrategy........................ 34 5.1. RegionalAdministration............................ 34 5.2. MunicipalAdministration............................ 35 Appendices AppendixICapacityDevelopmentResponseStrategyMatrix(RegionalAdministration)69 AppendixIICapacityDevelopmentResponseStrategyMatrix(LocalAdministration).................74 AppendixIIIExecutiveSummaryofInstitutionalBaselineMappingReport.............92 AppendixIVPrioritizedCapacityGaps(Inconsultationwiththestakeholders)...98 AppendixVSamplequestionnaireforplanningandcoordinationcomponent101
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Acronyms
ACHAccionContraElHambre BDDBasicdataanddirection CACapacityAssessment CDCapacityDevelopment CEGSTARTheCentreforEffectiveGovernanceSystemandTerritorialArrangementReform CISCommonwealthofIndependentStates ECEuropeanCommission EUEuropeanUnion GDPGrossDomesticProduct ICTInformationcommunicationandtechnology KKKvemoKartli MTEFMediumTermExpenditureFramework NALANationalAssociationofLocalAuthorities OSCEOrganizationforSecurityandCooperationinEurope SIDASwedishInternationalDevelopmentCooperationAgency UNDPUnitedNationsDevelopmentProgramme UNDP| 3
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ExecutiveSummary
During the Rose Revolution of November 2003, many Georgiansspurred on by rampant corruption and the state failing to deliver basic servicestook to the streets to demand reform.A new government was formed, which started thereform process. Asecond wave of reforms was initiated in 2005 and 2006 to create a solid legal basis for selfgovernance. Numerous laws were passed outlining the broad responsibilities of the regional and municipallevelsofgovernmentandattemptingtodelineatetheirfunctions. UNDP, with support from SIDA, started a series of projects in Georgia in the area of Democratic Governance. One of these projects was Strengthening Local and Regional Governance in the Kvemo Kartli Region. The project aims to strengthen local and regional governance structures in the Kvemo Kartli region by using the capacity development approach. UNDP Georgia and the Kvemo Kartli project decided to use UNDPs capacity development framework for the regional and local governance reform in the Kvemo Kartli region. The capacity development framework of UNDP suggests that the capacity development process shouldgothroughfivesteps: 1. EngagestakeholdersonCDprocess 2. Assesscapacityassetsandneeds 3. Formulatecapacitydevelopmentstrategies 4. Implementcapacitydevelopmentstrategies 5. Monitorandevaluatecapacitydevelopmentstrategies UNDPs capacity assessment framework has three dimensions: point of entry, core issues and functional capacities. It also suggests a capacity assessment methodology and a practice tool to diagnose capacity assets and needs at three levels where the countrys capacity resides: enabling environment, organization and individual. The Kvemo Kartli projectadaptedthecapacityassessmenttooltofactorinlocalrequirements.Threesources of information were used to collect data, namely, interviews with beneficiaries and stakeholders (using open ended questions), selfassessment questionnaires and focused group discussions. There was a separate chapter of questionnaires covering issues and challengesrelatedtotherepresentativebody(Sakrebulo). Thecapacityassessmentprocessstartedwithaninstitutionalbaselinemappingexercise withthefollowingthematicareas:
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1. Organizationalandhumanresourcemanagementissues 2. Planningandcoordination 3. Budgetingandfinancialmanagement 4. Procurementandservicedelivery 5. Monitoringandevaluation 6. Communicationandimplementation In the inception phase of the project, the Kvemo Kartli project built rapport with the regional and local administrations, and the municipalities nominated one person each from theexecutiveandrepresentativebodiesasafocalpointtoworkcloselywiththeproject.At the project level, the Capacity Development Advisor developed the questionnaires, which were translated into Georgian, and got feedback from the staff before they were finalized. Becauseofthetechnicalityofthequestions,theKvemoKartliprojectdecidedtouseproject officers to help fill out the questionnaires. The departments and committees organized a series of meetings to discuss different issues and to fill in the questionnaires. All the information received through these questionnaires was compiled by the project officers, and a single, completed questionnaire was prepared for each municipality. Two villages in each municipality were selected on a random sampling basis, where project officers conductedfocusedgroupdiscussionstogetanideaoftheresponsesfromcommunityabout servicedelivery. The process of designing a capacity development response strategy went through all the stepsprescribedinthecapacityassessmentmethodologyusersguide: 1. Engagepartnerandbuildconsensus 2. Assesscapacityassetsandneeds 3. Summarizeandinterpretresults 4. Formulatecapacitydevelopmentresponsestrategies By using the above mentioned tools, the Kvemo Kartli project collected all the information, which consisted of capacity assets and gaps for both municipal and regional administration. These capacity gaps led to the formulation of a capacity development response strategy havingthefollowingfourclusters: 1. Humanresources 2. Organizationalarrangements 3. Externalaccountability 4. Strategicplanning
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For each of the clusters, the Kvemo Kartli project, in consultation with other stakeholders, came up with short, medium and longterm strategies at three levels: enabling environment, organizational and individual. The Capacity Development Response Strategy wasdescribedseparatelyforboththeregionalandlocaladministrations. Regionaladministration: Human Resources: Some of the issues under this section are the unclear and inappropriate HR regulations and rules, which are necessary to implement functions properly. Under the enabling environment point of entry, some of the short and mediumterm (no longterm activitiesinthissection)activitiesarethefollowing: 1. Maptheprocessesrelatedtorecruitment,performanceassessment,andpromotion, andthen,suggestimprovements 2. Support implementation of recommendations related to recruitment, performance assessment,andpromotion Therearenoactivitiesunderorganizationalandindividualpointofentry. Organizational Arrangements: Some of the issues under this section are weak horizontal coordination and information sharing between departments, lack of coordination and information sharing between regional and local administrations, inappropriate organizational structure for strategic planning, monitoring and evaluation, and lack of centralgovernmentissuedmethodology/guidelinesfordatacollection,storingandanalysis. Undertheenablingenvironmentpointofentry,someoftheshort,mediumandlongterm activitiesarethefollowing: 1. Conduct a review of current municipal and regional offices of the governor and the line ministry and statistics department practices in the area of data collection, etc. andproviderecommendationsforimprovement 2. Organize a workshop for relevant central and regional government authorities and municipalitiestopresentfindingsandrecommendationsforreview 3. Discuss the recommendations of the study with the regional administration and supportimplementation 4. Establish aworkinggroup at the national levelon local level data collection,sharing, storageandanalysis. Under the organizational point of entry, the Kvemo Kartli region will address issues of communication, coordination and appropriate organizational framework for strategic planning,anditwillhavethefollowingshort,mediumandlongtermactivities:
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1. Functional and business process mapping and reengineering on communication and coordination 2. Studytofindouttheappropriateorganizationalframework 3. Develop guidelines on why and how information sharing between departments can occur 4. Organizeabriefingworkshoponthedraftguidelines 5. Implementtherecommendationsondatacollection,analysisandstorage 6. DocumentanddisseminatebestpracticesandlessonslearnedfromtheKvemoKartli experience. Therearenoactivitiesunderindividuallevel. External accountability: The issue under this cluster is a weak communication culture. The regional office of the governor concerning has limited practice to consult different stakeholders. They also have a weak system to disseminate information and receive feedbackfromthecommunity. There are no activities under the enabling environment and individual point of entry under this cluster. Under the organizational point of entry, the Kvemo Kartli region will try to address the communications issues between the regional administration and community and vice versa. Some of the short and mediumterm activities (there are no longterm activitiesunderthissection)are: 1. Functional analysis and business process mapping and reengineering on communication. 2. Preparation of an analytical study on the strengths and weaknesses of the current feedbackmechanism. 3. Implementationoftherecommendationsonthereengineeredprocesses. 4. Holding of a workshop concerning findings of the analytical report and other citizen feedbackmechanisms. 5. Selectionandimplementationofnew/improvedcitizenfeedbackmechanism. Strategyandplanning:Differentissuesunderthissectionarethefollowing: 1. Lack of technical and experienced staff to carry out the planning and budgeting activities 2. Lackofaformalstructuretoinvolvedifferentstakeholdersinstrategypreparation
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3. Lack of supporting documents or regulations to prepare strategic documents (such as a manual, guidelines of approving strategic documents, and formation of working groupsforthepreparationofstrategicdocuments) 4. Lackofappropriatemethodologytodesignthestrategicplan 5. Inappropriate organizational structure for strategic planning, monitoring and evaluation(addressedaboveunderorganizationalarrangements) Undertheenablingenvironmentpointofentry, theKvemo Kartliprojectplanstoconducta study on current planning methodologies in use as a shortterm activity and provide recommendations on a comprehensive planning methodology for consideration by the national government. Some of the shortterm and midterm activities (there are no long termactivitiesunderthissection)underthispointofentryarethefollowing: 1. Conduct a study on the current planning methodologies in use and provide recommendations on a comprehensive planning methodology for consideration by nationalgovernment. 2. PreparationofthemanualonHowtoPrepareaRegionalStrategy. Activities under this point of entry are linked to activities under organizational arrangements.Theshorttermandmidtermactivitiesunderthisarethefollowing: 1. Conductastudyontheorganizationalframeworkonstrategicplanningincluding involvementofdifferentstakeholders. 2. Implementtheagreedrecommendations. Under the individual point of entry, there are no shortterm nor longterm activities. Most of the activities under the individual point of entry will be implemented by the regional administrationwithsupportfromUNDPprojectasmidtermactivities. 1. Organize trainings for staff of regional development unit on strategic and participatoryplanning. 2. OrganizeavisittooneoftheEuropeancountrieshavingsimilarexperiences. Municipaladministration: Human resources: Under this cluster and under the enabling environment point of entry, some of the capacity issues are: unclear or inappropriate criteria in municipalities for staffing structure (level and number); in regard to the executive, a lack of enforcement of civil service code (permanent staff being forced out when there are political changes); no criteria for determining which recruitment process to use (professional vs. short term); lack
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of awareness at the municipal level of the recruitment procedures; promotion criteria not clearlydefinedinthecivilservicecode;andperformanceevaluationcriterianotexplained. Under the enabling environment point of entry, Kvemo Kartli plans to implement activities tostreamlinethehumanresourcesmanagementsystem.Someoftheshort,mediumand longtermactivitiesarethefollowing: 1. ConductfunctionalanalysisincollaborationwithCEGSTAR. 2. Designguidelinesforstaffingstructureofmunicipalities. 3. Organize workshop for municipal staff members, specialized governance organizations,MinistryofRegionalDevelopmentandregionalofficeofgovernor. 4. Organize workshop on current status/difficulties in enforcement of the civil service code. 5. Organize workshop with municipal and regional authorities to increase understandingofrecruitmentprocedures. 6. Develop criteria for selection of municipalities and subsequent selection of two pilots. 7. Applyguidelinesintwopilots. 8. Codify the process and make recommendations for improvement concerning the applicationofguidelines. 9. Provideadvicetomunicipalauthoritiesonhowtoimprovethecivilservicecode,and shareexperiencesfromnewEUmemberstatesoncivilservicecodereformandbest practices. 10. Define criteria for application of appropriate recruitment process (whether to choosepermanentrecruitmentorshorttermrecruitment). 11. ConductresearchonpromotionpoliciesrelevanttotheGeorgiancontext. 12. Develop criteria for selection of municipalities and subsequent selection of the two pilots. 13. Applicationofstaffingstructureguidelinesinthetwopilots. 14. Codify the process and make recommendations for improvement concerning the applicationguidelines. 15. Pilotsuggestedcivilservicecodeimprovementsasnotedbytheconsultant.
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16. Organizeaworkshopandpresentresultstoothermunicipalities,regionalauthorities andministersofregionsandNALA. 17. Support preparation of decree on scaling up of good experiences and application of criteria 18. ApplyguidelinesinremainingmunicipalitiesinKvemoKartliregion 19. Organize workshop and present municipal perspectives and results of research on differentpromotionpoliciestonationalstakeholders 20. Organize workshop to present experiences of pilot municipalities in applying performanceevaluationcriteria. Under the organizational point of entry, some of the issues are the lack of job descriptions and a standardized format (coverage, quality and inconsistency in format); lack of standardized and transparent recruitment guidelines for shortterm posts (duration of advertisement, what details are required in a TOR, where to advertise, selection panel); fiscal and non fiscal incentives are subjectivethere is no objective criteria that determine which staff will receive them nor specification of type/amount of incentive; and performancecriteriaforstaffarenotyetdefinednorlinkedtoannualworkplans(whichare subsequentlylinkedtodepartmentworkplans). Under this point of entry, the Kvemo Kartli region focuses on streamlining the number of departments and review functions of each of those departments and develops job descriptions for all the civil servants. Some of the other short, medium and longterm activitiesarethefollowing: 1. ConductfunctionalanalysisincollaborationwithCEGSTAR. 2. Develop job descriptions in cooperation with relevant municipal HR focal points basedonaccuratedescriptionofthepostsfunctions. 3. Developtrainingmanualonjobdescriptionformulation. 4. Hold workshop to train municipal administration in two pilots and regional administrationonjobdescriptionformulation. 5. Conduct study on current incentives being offered and range of options based on stafffeedbackandbestpracticesinnewEUmembersstates 6. Hold workshopformunicipalexecutiveandlegislativerepresentativestogainbuyin onapplicationofpolicy. 7. Implementthepilottesting.
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8. Conduct study on current practices in performance assessment in Georgia and new EUmemberstates. 9. Organize workshop to train administration in five other municipalities on how to formulatejobdescriptions. 10. Document best practices and lessons learned of pilot and disseminate to relevant stakeholders. 11. Pilottestingofperformanceevaluationinonemunicipality. 12. Documentationanddisseminationoflessonslearned. Someoftheissuesunderindividuallevelpointofentryarelackoftechnicallyskilledstaffin certain sectors. However, there are no short, medium and longterm activities because thisisbeyondscopeoftheprojectandtheregionasthisisrelatedtoeducationreformand otherfactors. Organizational arrangements: Some of the issues under the enabling environment point of entryare:lackofalignmentoflocalprioritiesandbudgetallocationprovidedbythecentral government, municipalities lacking access to and/or understanding of key guidelines issued by central government (including budgeting, procurement, public expenditure management/accounting and reporting, financial control, audit, laws and decrees and delegatedresponsibilities). Therearenoshorttermactivitiesunderthissection.Someofthemediumandlongterm activitiesarethefollowing: 1. HoldworkshoponBDDandMTEFprocessesformunicipalitiesinKvemoKartliregion to ascertain impediments to their participation and understanding and to increase dialoguebetweennationalstakeholdersandmunicipalitiesinKvemoKartliregion. 2. Develop an inventory of all applicable laws, decrees, and processes/procedures relevanttomunicipalfunctionsandresponsibilities. 3. Establishaphysicalandelibraryofinformation 4. Disseminate findings/results of the workshop to relevant stakeholders at the nationallevel. 5. Analyselaws,decrees,legalacts,procedures,etc. The issues under the organizational point of entry are: weak horizontal coordination and information sharing between departments, lack of coordination between the head of the executive and departments, lack of clear reporting lines within departments, lack of alignment and overlap of departments functions to the services the municipality has to
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provide, limited transparency and understanding of the financial management process within the municipality, and lack of coordination and information sharing between the regional and local administrations. Some of the short, medium and longterm activities underthispointofentryarethefollowing: 1. ConductafunctionalanalysisincollaborationwithCEGSTAR. 2. Conduct a study on existing practices and impediments to coordination and informationsharing. 3. Develop guidelines on why and how information sharing between departments can occur. 4. Organizebriefingworkshoponthedraftguidelines. 5. Developguidelinesonwhyandhowcoordinationshouldoccur. 6. Organizebriefingworkshoponthedraftguidelines. 7. Codifylessonsdrawnfromfunctionalanalysis. 8. Implementinremainingfivemunicipalities. 9. Organize workshop with all the Kvemo Kartli regional municipalities on the findings onmappingandproposedchanges. 10. Implementchangesindepartmentstructureandfunctionsintwomunicipalities. 11. Organize workshop with all the Kvemo Kartli regional municipalities on findings of functionalanalysisandproposedchanges. 12. Implementchangesintwomunicipalities. 13. Organize workshop with all Kvemo Kartli regional municipalities on findings study andpositions. 14. ImplementchangesinallmunicipalitiesintheKvemoKartliregion. 15. Document and disseminate best practices and lessons learned from pilot experience. 16. Implementtheprocessmappingacrossmunicipalities. External accountability: Some of the issues under this section are lack of knowledge and understanding of Georgian language for many citizens; municipalities weak communication culture concerning consultation with and dissemination of information to communities; weak system among the municipalities to receive feedback from the community; lack of
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horizontal accountability between the executive and representative bodies; and weak citizenparticipationinaccountabilitymechanisms. Theenablingenvironmentpointofentrydoesnothaveanyshortandlongtermactivities. Oneofthemediumtermactivitiesisthefollowing: Preparationofaninformationpackageoncitizensrightsandresponsibilitiesin languagesotherthanGeorgiananddistributionacrosstheKvemoKartliregion.
Undertheorganizationalpointofentry,someoftheshort,mediumandlongterm activitiesarethefollowing: 1. Developadraftcommunicationstrategyfortwomunicipalitiesconcerning consultationandinformationdissemination(includingbudgetprocessandresult). 2. Prepareanalyticalstudyonstrengthsandweaknessesofcurrentfeedback mechanism. 3. Conductapresentationbymunicipalitiestocitizensoncommunicationstrategy. 4. Selectapublicinformationfocalpointwithinmunicipalitiesandimplementthe communicationstrategy. 5. Holdaworkshopwithpilotmunicipalitiesconcerningfindingsofanalyticalreport andothercitizenfeedbackmechanisms. 6. Selectandimplementnew/improvedcitizenfeedbackmechanisms. 7. Conductstudyonexistingpracticesintwopilotmunicipalities,documentstrengths andweaknessesofsystemandproviderecommendationsforimprovement. 8. Discussfindingsofstudywithtwomunicipalitiesandimplementagreedupon recommendations. 9. Supportcommunityinselforganizationeffortsthroughprovisionof examples/modelsutilizedinothercountriesandelsewhereinGeorgia. Strategicplanning:Differentissuesunderthissectionarethefollowing: 1. Lackofcentralgovernmentissuedmethodology/guidelinesfordatacollection, storageandanalysis. 2. Lackofplanningmethodologyandguidelinesfromthecentralgovernmentforthe municipalities. 3. Lackofproperparticipatoryplanning,implementation,monitoringandevaluation mechanismsforprojectsandactivities.
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4. LackofpracticetoshareinformationwithothermunicipalitieswithintheKvemo Kartliregioninrelationtostrategydevelopmentandplanning. 5. Lackoftechnicalandexperiencedstafftocarryouttheplanningandbudgeting activities. Undertheenablingenvironmentpointofentry,theshort,mediumandlongterm activitiesarethefollowing: 1. Conductareviewofcurrentmunicipal,lineministryandstatisticsdepartment practicesintheareaofdatacollection,etc.andproviderecommendationsfor improvement. 2. Holdaworkshopforrelevantcentralandregionalgovernmentauthoritiesand municipalitiestopresentfindingsandrecommendationsforreview. 3. Conductastudyoncurrentplanningmethodologiesinuseandprovide recommendationsonacomprehensiveplanningmethodologyforconsiderationby thenationalgovernment. 4. Establishaworkinggroupatthenationallevelonlocalleveldatacollection,sharing, storageandanalysis. 5. Conductpilottestingintwoorthreemunicipalitiesbasedonrecommendations madeinthereview. 6. Holdaworkshopforrelevantnationalandlocalstakeholderstodiscussfindingsof thestudyandendorseastandardizedplanningmethodology. 7. Conducttrainingoftrainersofrelevantnationalgovernmentstafftoensurethat locallevelstaffwillbetrainedinnewmethodology. Undertheorganizationalpointofentry,theKvemoKartliregionplanstohaveseriesof initiativesunderthestrategicplanningcluster.Someoftheshort,mediumandlongterm activitiesarethefollowing: 1. Conductstakeholderanalysis,formworkinggroups,andprovidetrainingon participatoryplanning. 2. Conductdatacollectiontoanalysethesituation. 3. ConductstudyonthebestpracticesinintermunicipalcooperationinGeorgiaand newEUmemberstatesandaccessioncountries. 4. Holdasymposiumforinterestedmunicipalstakeholdersonstudyfindings.
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1. Introduction
During the Rose Revolution of November 2003, many Georgiansspurred on by a state failing to deliver basic services and rampant corruptiontook to the streets to demand reform. A new government was formed and, utilizing an amended constitution, began to undertake a series of dramatic governance reforms targeting combating corruption, improving macroeconomic stability, attracting foreign direct investment, balancing the budget, and restructuring governance with an increased focus on municipalities and their role in providing basic services. The results of this first wave of reforms have been impressiveintermsofeconomicgrowth,thoughthishasnottranslatedintobroaderhuman developmentgains. Intermsofeconomicperformance,growthhasaveragedfivepercentfrom2004topresent. General data on development within the country denotes a middle income level of a per capita GDP of USD 3,365 annually, a high life expectancy of 70.2 years, and a 76.3 percent combined gross enrolment ratio for primary, secondary and tertiary education. Other data, however, illustrates the depth of human poverty with 61.9 percent of the population living on less than USD 4 a day (according to 2004 data), a low expenditure per person on public health (USD 171), a decrease in the percent of the population using improved sanitation (from 97 percent in 1990 to 94 percent in 2004), and a relatively high infant mortality rate (41 per 1,000 live births). Poverty in the rural areas and unemployment remain chronic issues which have been exacerbated by the recent Russian embargo on Georgian agriculturalproducts. Within thiscontext, theGeorgiangovernment began asecond wave of reformsin2005 and 2006tocreateasolidlegalbasisforselfgovernance.Numerouslawswerepassedoutlining the broad responsibilities of the regional and municipal levels of government and attempting to delineate their functions. Following the 2006 elections, and as a result of subsequent studies and analysis, it became clear that the local government (both regional andmunicipallevels)washavingdifficultiesinfulfillingitsfunctionsaccordingtolaw.
2. Context
The project aims to strengthen the local and regional governance structures in the Kvemo Kartli region of Georgia. Through a combination of capacity development tools, the project tries to enhance the seven municipalities and the regions ability to become both better governed and to deliver services to the full spectrum of local citizens, thus counteracting povertyanddisadvantageintheregion. The project provides the necessary assistance to new municipalities in assuming their new rolesandresponsibilitieswhile,atthesametime,overseeingthedeliveryoflocalservicesin
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an effective and efficient manner. Currently, very few local government officials (an estimated 30 percent) have experience in local government. Even those that do have such experience are operating in a completely different environment to that of the preelection environmentofOctober20061.Consequently,theproposedprojectisessentiallyacapacity developmentassistanceprojectwhichfocusesonthefollowingobjectives: Improved regional governance: Increased capacity of the regional government to coordinate and facilitate the formulation and implementation of the regional developmentstrategyandplans. Improved local governance: Improved capacity of municipality officials to streamline administrative procedures and systems for efficient delivery of public services. Secure policy mainstreaming of the projects experience: Policy experience of the project is documented. Attempts taken in ensuring that the experience of the project is utilized by other districts in the country, as well as by policymakers at the nationallevel.
UNDP, with support from SIDA, started a series of projects in Georgia in the area of Democratic Governance. One of these projects was Strengthening Local and Regional GovernanceintheKvemoKartliRegion. The Kvemo Kartli project will contribute to the achievement of the United Nations Development Assistance Framework (UNDAF) outcome, which is related to strengthening the efficiency and accountability of governance structures at the central and local levels to build an inclusive and participatory decisionmaking process. This is translated into the UNDP Country Programee Action Plan (CPAP) outcome as increased capacities of regional and local governments in line with national decentralisation strategy and efforts. Local government institutions stregthened and able to undertake new responsiblities once decentralisationactions(includingfiscaldecentralisation)arecarriedout.Ontheoutcome level, this involves increasing the capacity of the local administration to perform new competencies. It will contribute to poverty reduction by strengthening the local and regional governance structures in the Kvemo Kartli region of Georgia. Through a combination of capacity development responses, the project will enhance the seven districts and regions ability to become both better governed and to deliver services to the fullspectrumoflocalcitizens,thuscounteractingpovertyanddisadvantageintheregion. The project is providing the necessary assistance to new municipalities in assuming their new roles and responsibilities while, at the same time, overseeing the delivery of local services in an effective and efficient manner. The Kvemo Kartli project is essentially a capacitydevelopmentinvestmentwhichfocusesonthefollowingthemes:
StrengtheningregionalandlocalgovernanceintheKvemoKartliregion(ProjectDocument),UNDP,2007
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Capacitydevelopmentofnewlyelectedofficialsnotonlytounderstandfullytheirduties and responsibilities, but to develop appropriate policies and oversee the delivery of the fullpaletteoflocalgovernmentservices. Capacity development to design and put in place the new organizational structure (departments, companies, links to central government and other players, etc.) consistentwiththenewremitofdistricts,customizedtothenatureofthelocality. Capacitydevelopment ofthemayorsandtheircivilservantstaff.Theseareexpectedto becomepermanentand,assuch,willrepresentakeyfocusofprojectsupport. Capacity development of local citizens to engage with thegovernancestructures and, in particular,toassistvulnerablegroupstoaccesslocalgovernmentservices. Capacity development of the governors and their offices to coordinate regional development,thusfulfillingacriticalregionalgovernancefunction.
TheprojectstarteditsoperationinSeptember2007.
3. Methodologyandprocess
3.1 UNDPsapproachtoCapacityDevelopmentandCapacityAssessment
UNDP defines capacity as the ability of individuals, institutions and societies to perform functions, solve problems, and set and achieve objectives in a sustainable manner. Capacity Development is thereby the process through which the abilities to do so are obtained, strengthened, adapted and maintained over time. Capacity development is seen byUNDPasaprimarilyendogenousanddomesticallydrivenprocess.2 A capacity assessment is integral to the planning and programming process. The insights into capacity assets and needs serve as key inputs into the formulation of capacity development response strategies, and the indicators used to measure capacity assets serve asafoundationforthesubsequentmonitoringandevaluationofcapacitydevelopment.3 TheCapacityAssessmentFramework4iscomposedofthreedimensions: Points of Entry: UNDP recognizes that a countrys capacity resides on different levelsenabling environment, organizational and individualand thus needs to be addressedacrossthreelevels. CoreIssues:TheserepresentissuesthatUNDPismostoftencalledupontoaddress. Not allof these issues willnecessarily be analysed in any given assessment, but they provideacomprehensivesetofissuesacapacityassessmentteammayconsiderasit definesitsscope:
2 3
Capacity Development practice note, UNDP, September 2007 Capacity Assessment practice note, UNDP, September 2007 4 Capacity Assessment Framework, UNDP, September, 2007
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o o o o
Functional Capacities: Specific functional capacities are necessary for the successful creation and management of policies, legislations, strategies and programs. UNDP has chosen to prioritize the following functional capacities, which can be applied to allthreepointsofentryandcoreissues. o Engagewithstakeholders o Assessasituationanddefineavisionandmandate o Formulatepoliciesandstrategies o Budget,manageandimplement o Monitorandevaluate
UNDP Georgia and the Kvemo Kartli project decided to use UNDPs capacity development framework for the regional and local governance reform in the Kvemo Kartli region. The capacity development framework of UNDP suggests that the capacity development process shouldgothroughfivesteps: 1. EngagestakeholdersonCDprocess 2. Assesscapacityassetsandneeds 3. Formulatecapacitydevelopmentstrategies 4. Implementcapacitydevelopmentstrategies 5. Monitorandevaluatecapacitydevelopmentstrategies UNDPscapacitydevelopmentframeworkalsosuggestsacapacityassessmentmethodology and a practice tool to diagnose capacity assets and needs at three levels where a countrys capacity resides: individual, organizational and enabling environment. The Kvemo Kartli project adapted the capacity assessment tool to factor in local requirements. According to the CA methodology, three sources of information were used to collect data, namely interviews with beneficiaries and stakeholders (using open ended questions), self assessmentquestionnairesandfocusedgroupdiscussions.
3.2 Processfollowed
The capacity assessment process started with an institutional baseline mapping exercise havingthefollowingobjectives: 1. to understand the current situation and state of affairs of different layers of government, starting from the regional office of the governor, local level municipalities,
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2. 3. 4. 5. 6. 7.
community membersespecially from women and vulnerable communities and other stakeholderssuchastheprivatesector,civilsocietyandinternationalorganizations. tohavebetterunderstandingoftherequirementsoftheregionalandlocalgovernments andvulnerablecommunities(suchasAzeris,GreeksandArmenians) to collect more information on the existing players in the region already active or interestedinanyfuturecollaboration to modify the targets (end of 2008 and end of 2009) already mentioned in the results andresourcesframeworkoftheproject to prioritizeneeds of the regional,local governmentsand vulnerable communities to be reflectedintheactionplanorannualworkplanoftheproject to fix indicators against each area of work mentioned below to measure the success of theprojectduringthemidtermandfinalprojectevaluation. tofindoutsourcesandavailabilityofinformationforregionaldevelopmentstrategy
Theinstitutionalbaselinemappingexercisecoveredthefollowingthematicareas: 1. Organizationalandhumanresourcemanagementissues 2. Planningandcoordination 3. Budgetingandfinancialmanagement 4. Procurementandservicedelivery 5. Monitoringandevaluation 6. Communicationandimplementation There is also a separate chapter of questionnaires covering issues and challenges related to therepresentativebody(Sakrebulo). In the inception phase of the project, the Kvemo Kartli project built rapport with the regional and local administration and each municipality nominated one person each from the executive and representative bodies as focal points to work closely with the project. Before starting the institutional baseline mapping exercise, the project introduced the concept of the exercise and clarified different issues with the local and regional administration. All the focal points were asked to extend full support to the project in undertakingthisexercise. Attheprojectlevel,theCapacityDevelopmentAdvisordevelopedthequestionnaires,which weretranslatedintoGeorgiananddiscussedwithallthestaffforfeedbackbeforetheywere finalized. Because of the technicality of the questions, the Kvemo Kartli project decided to complete the questionnaires using the project officers rather than hiring volunteers or externalcontractualstaff.Twoprojectofficersweregiventheresponsibilityofthreetofour municipalities each to explain the questionnaires, work closely with focal points and different departments, ensure accurate filling of information and compilation. First of all, the questionnaires were circulated to all the departments of the executive and different committees of the representative body, and the procedures for filling in the questionnaires were explained to them. The departments and committees organized a series of meetings
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to discuss different issues and to fill in the questionnaires. All the information received through these questionnaires was compiled by the project officers, and a single filled in questionnaire was prepared for each municipality. Although it took up to two months, in retrospect, the project feels that it was a good decision to do it internally using the project officers. It was very important for the Kvemo Kartli project to get an idea of the responses of the community about service delivery. Two villages in each municipality were selected on a random sampling basis, where project officers conducted focused group discussion and raised a series of issues, which were prepared by the capacity development advisor. These discussionswerecompiledintoreportsbytheprojectofficers. All information gathered through the questionnaires and focused group discussions was handed over to the capacity development advisor, who compiled them into an institutional baselinemappingreport. After this, with support from UNDP Bratislava Regional Centre, training on a UNDP capacity development framework was organized for the project staff, and on the job training was provided to all the project staff in two municipalities and the regional development unit of the regional office of governor. A selfassessment questionnaire was designed and circulatedtoafewdepartmentsofthetwomunicipalitiesandregionaldevelopmentuniton a pilot basis and then circulated to selected departments in all the municipalities. Analysis of the questionnaires, focused group discussions and results of the selfassessment questionnaires were reviewed and made available for the preparation of the capacity developmentresponsestrategy. The process of designing the capacity development response strategy went through all the stepsprescribedinthecapacityassessmentmethodologyusersguide5. 1. Engage partners and build consensus: Just after the beginning of the project in September2007,theentireprojectteamwenttotheregionalofficeofthegovernorand all seven municipalities to introduce the project and explain that the capacity development approach will be used to implement all the activities. Presentations were also made to explain and provide more information about this approach. The municipalitiesandtheregionalofficeofthegovernorshowedinterestforthisapproach, andstepswerediscussedtocarrythisactivityforward. 2. Assess capacity assets and needs: Under this step, as mentioned above, the objectives and expectations of this exercise were explained to the clients. The team was formulated, which consisted of the project officers from the project, focal points from themunicipalityandarepresentativeoftheregionalofficeofthegovernor.Thedefault capacity assessment was studied properly and adapted to the local needs. Under the coreissues,itwasdecidedtocover:
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a. Institutionalarrangementsandincentives i. Humanresources ii. Businessprocesses iii. ICTandphysicalresources iv. Missionandstrategy b. Leadership c. Mutualaccountability. Similarly,underfunctionalcapacities,thefollowingfunctionswereagreedtobecovered: a. b. c. d. e. f. Assessasituation(visioningandstakeholdermobilization) Formulatepolicyandstrategy Plan,budgetandimplement Monitorandevaluate Communicateandcoordinate Procurementandservicedelivery
Throughtheinstitutionalbaselinemappingexerciseandselfassessmentquestionnaires,the projectconductedthecapacityassessment. 3. Summarizeandinterpretresults:Throughthecapacityassessmentprocess,theKvemo Kartli project identified a set of capacity assets and capacity gaps. While summarizing andinterpretingresults,theprojectdeliberatelystartedwithcapacityassets,whichbuilt confidence among the local and regional administration. Both the project and regional and local administrations agreed to build upon the capacity assets and address the capacity gaps. For each of the activities, the Kvemo Kartli project worked very closely with the regional and local administrations. In the beginning of this step, representatives of the local administration were asked to group different gaps under different core and subcore issues and under different functional capacities. In a workshoporganizedbytheKvemoKartliproject,theyweredividedintodifferentgroups and asked to prioritize the capacity gaps under each core issue. Then, they (all participants together) were asked to prioritize the capacity gaps from the municipality requirement point of view across all the core issues. The representatives from the municipalities identified eight priority areas (please refer annex V for details). A similar exercisewasrepeatedfortheregionaladministration. 4. Formulate Capacity Development Response Strategies: As mentioned above, all those capacitygaps(mentionedinannexV)weregroupedintofourfollowingclusters: a. HumanResources b. OrganizationalArrangements c. ExternalAccountability d. StrategicPlanning
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At this stage, the Kvemo Kartli project got support from the UNDP Bratislava Regional Centre to design a capacitydevelopment response strategy matrix (Please refer to annex IV to see four matrix). In separate consultations with the municipal and regional administrations, Kvemo Kartli facilitated formulation of strategies from those clustered gaps, having short, medium and longterm activities. For each of the agreed activities, responsible parties were also chosen to implement or support the activities. Each activity was linked to outputs and output indicators, which will help the local, regional administrationandtheprojecttomonitortheprogressmadeonimplementation.
4. Summaryofcapacityassetsandgaps
By using the tools mentioned above, the Kvemo Kartli project collected all the information, which consisted of capacity assets and gaps for both the regional and municipal administrations.
4.1.Regionaladministration
Organizationandhumanresourcemanagement
Someofthecapacityassetsunderorganizationandresourcemanagementare: 1. Function and responsibilities are clearly defined by presidential decree and the law on state supervision, and most of the departments under the Kvemo Kartli regional administrationareclearabouttheirrolesandresponsibilities. 2. Almost all the staff have graduated from universities, and fifty percent of the staff havemorethantenyearsofworkexperience. 3. The regional office of the governor has good physical and technical (computers, telephonesetc)infrastructure.Theyalsohaveawebsite. Someofthecapacitygapsarethefollowing: 1. The regional office of the governor does not have clear and appropriate Human Resources Management practices (recruitment, performance assessment and promotion). 2. Someofthestaffdonothavewelldefinedjobdescriptions. 3. There is a clear lack of gender balance in different departments under the regional office of governor. Only six out of twentythree staff are females. None of the femalestaffareinseniorpositions.
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4. Even though most of the staff are graduates from the universities, they do not have enoughtechnicalandfunctionalcapacitytocarryouttheirdailybusiness. Planningandcoordination Under the planning and coordination component, the following capacity assets were identified: 1. Duringtheinstitutionalbaselinemappingexercise,itwasdiscoveredthatthereisan existence of informal horizontal and vertical coordination mechanisms within different departments of the regional office of the governor and between the regionalofficeofthegovernorandmunicipalities. 2. The regional office of the governor has prepared a draft regional development strategywithsupportfromUNDP,EC,ACHandOSCE. 3. Accordingtothelaw,theregionaldevelopmentunitwithintheregionalofficeofthe governor has been created, which is responsible for preparation of the regional developmentstrategy. 4. It was also learned during the institutional baseline mapping exercise that a mechanism within the regional administration office exists to collect information from municipalities (done separately by different departments), compile the informationandsendittothecentralgovernment. Someofthecapacitygapsarethefollowing: 1. Even though horizontal and vertical coordination mechanisms exist within different departmentsoftheregionalofficeofthegovernororbetweentheregionalandlocal administration,theyneedsubstantialimprovement. 2. Similarly, a basic system of coordination and information sharing between the local andregionaladministrationexists. 3. Even though the regional development unit has been created according to the law, there is insufficient organizational structure in the regional administration office for strategicplanning,monitoringandevaluation,andimplementation. 4. Thecentralgovernmenthasnotissuedanymethodologyfordatacollection,storage and analysis. That is why the regional office of the governor finds it difficult to systematizetheprocess. 5. During the institutional baseline mapping exercise, it was observed that planning at the regional office of the governor happens on an ad hoc basis and is not supported bysystematicallycollectedsocioeconomicdata.
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6. The regional office of the governor does not have the formal structure to involve differentstakeholdersinpreparingalongtermstrategy. 7. Lack of supporting documents or regulations regarding strategic planning (such as a manual,methodology,orguidelinesforapprovalandformationofaworkinggroup) Budgetingandfinancialmanagement Someofthecapacityassetsunderbudgetingandfinancialmanagementare: 1. Accordingto the law, the regional office of thegovernor supervises activitiesas well as financial activities, including budget expenditure of activities at the municipal levelsupportedbycentralgovernment. 2. Theregionalofficeofthegovernorparticipatesindefiningprioritiesofmunicipalities for the annual budget plan and also receives analysed information on municipal revenues and expenditures every month. But, the regional office of the governor doesnothaveanypowerorauthorityoverthefinancesofmunicipalities. 3. There is a system in the central government which regularly undertakes an audit of thefinancesoftheregionalofficeofthegovernor. Someofthecapacitygapsarethefollowing: 1. The regional office of the governor does not receive any budget from the central governmenttoimplementthesocioeconomicdevelopmentstrategy. Communicationandimplementation Someofthecapacityassetsundercommunicationandimplementationarethefollowing: 1. During the institutional baseline mapping exercise, it was learned that the regional office of the governor has a basic system in place to share information with community. 2. The regional office of the governor has a basic paper filing system to store official information. Someofthecapacitygapsarethefollowing:
1. Even though the regional office of the governor has basic systems in place for
communicationwithincommunity,itneedssubstantialimprovement.
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4.2.Municipaladministration
The project has identified some capacity assets and gaps for the local administration through the institutional baseline mapping and selfassessment questionnaires. They have beensummarizedinthefollowingparagraphs. Organizationandhumanresourcemanagementissues Thefollowingorganizational/humanresourcemanagementissueshavebeendocumented: Organizationstructure Functionalresponsibilities Staffingandqualifications Traininganddevelopment Jobdescriptions Recruitment,appraisalandpromotion Officeequipment/facilities
Someofthecapacityassetscanbesummarizedasfollows: 1. Organic law of local selfgovernment defines and regulates legal, financial and economic foundations for local selfgovernment, state guaranties and rule of establishingselfgovernmentbodies,theirauthority,responsibilities,accountabilities and relationships with state bodies. The roles and responsibilities of each department in a municipality have been clearly defined by the statute of the representativebody. 2. During the institutional baseline mapping exercise, it was learned that there is a smallernumberofcontractualstaffandvacantpositionsinthemunicipalities.Most of the staff are at least graduate and above, which reflects the high standard of the workforceinthecivilservice. 3. Thestaffingstructureandnumberisdecidedbythelocaladministration,whichgives a lot of scope to manoeuvre assignments of staff depending on the priorities of a particularmunicipality. 4. Afewministries,suchastheMinistryofEconomicDevelopment,MinistryofNatural Resources and Environment and Ministry of Labour, Health and Social Affairs provided some training to different municipalities. Some departments organize trainingsontheirownanddonotrequiresupportfromanyprivatetrainingprovider atthemunicipallevel. 5. Accordingto Georgian law,all staff must have job descriptions. Job descriptions are derived from the functions of departments, which are defined in the statute of the executive. While conducting the baseline mapping exercise, it was learned that
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some of the departments within the municipalities have completed job descriptions forindividualstaff,althoughtheyneedsubstantiveimprovement. 6. Sometimes, the community members express their dissatisfaction or satisfaction regarding a particular project or service through the representative of executive. But,theyarenotsurewhetheror notthatinformationis communicatedtotheright authorities. Somebroadconclusionsongapscanbemadebasedontheabove: The structure and number of staff within departments vary in each municipality. Names and functions of departments in different municipalities are not clarified regarding provision of service delivery. Even if the roles and responsibilities of departmentsareclearlydefinedbylaw,itisnotcleartomostofthedepartments. Thefunctionsoftheregionaladministrationaredefinedinlawinverygeneralterms. The governance system of the region and municipalities as a whole is based on a strong upward accountability. Efficiency in administration and ultimately in service delivery is compromised as there is considerable degree of lack of clarity of functionalresponsibilities.Civilservantsareoccupiedwithadhocactivitiesgivenby theheadoftheexecutive. The ratio of civil servant and population is 1:891, and most of the civil servants are young, having between one to 10 years of experience. The percentage of minority staff to the total staff is very low, even though the minority population in particular municipalitiesisveryhigh.Localauthoritiesdecidetheirstaffingstructureandcover thesalarycost. There is significant training focused on the dissemination of information about new rules, regulations and policies. There is not, however, a sequenced program of training targeting a broad base of staff that is linked to wider policy objectives. Moreover, training is also not systematically provided on the basis of identified training needs. Rather, levels of training vary annually depending upon the availabilityoffunding(includingexternalprojectrelatedfunding). Inasignificantnumberofdepartmentsreviewed,staffhadnotreceivedtherequired technicaltraining(forexampleintheuseofcomputersorinfinancialmanagement). There does not appear to be any performance orientation in the current training system, which means that none of the training is organized systematically to enhancetheskillsandincreasetheperformanceofthestaff. The decree of Sakrebulo (representative body) defines functions of departments, which determine individual job descriptions. But some of the departments within differentmunicipalitiesdonothaveindividualjobdescriptions.
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There is no formalized system of recruitment, promotion and performance evaluation of civil servants. Recruitment of civil servants is done by the head of the executive6 with recommendations from the heads of different departments. Performance of the civil servants is measured by the head of the executive. However, there are no formalized procedures or criteria for evaluation. The recruitment of civil servants is done by the head of the executive.According to law, the recruitment of staff is the exclusive responsibility of the head of the executive body. However, the heads of departments also give their recommendations for the person who is seeking for the job. In most of the cases, personal recommendations aretakenintoconsiderationbytheheadoftheexecutive.
Planningandcoordination Thissectionreviewsthecurrentplanningprocessatmunicipallevel. Some of the municipalities, such as Tetritskaro, Dmanisi and Rustavi are in the processofdevelopingtheirstrategies.Whilethisattemptisworthmentioninghere, it is also important to mention that substantial improvement is required regarding theprocessandthecontentofthedocument. At the regional level, longterm strategic plans are being prepared. Initially, it was supportedbyEC,OSCEandACH.UNDPjoinedthisprocessfrom2007onwards. It was observed that the process followed to prepare the annual plans is adhoc in nature. The representative of executive speaks to the community and collects the information regarding their requirement in an informal manner. This information collectionatthecommunitylevelisnotdoneinaparticipatoryfashion. The Ministry of Finance reviews the municipal plans and discusses with municipalities directly in case they have any questions before allocating the money forimplementingtheannualplan. In municipalities like Dmanisi and Tsalka, the executives receive reports from the village at least once every month. Most of the municipalities mentioned during the baselinemappingexercisethattheysendregularreportstotheregionalofficeofthe governor. The head of the executive of most of the municipalities calls for weekly meetings among various departments to discuss different issues, which are considered the main coordination mechanism at the municipality level. The regional office of the governor invites the head of the executive and sometimes a few heads of other departmentsforacoordinationmeeting.
InthisdocumentGamgeobawillbereferredasexecutive
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Someofthecapacitygapsarelistedbelow. All municipalities mentioned the lack of a short, mid, or longterm socioeconomic development strategy or plan, except Tetriskaro, Dmanisi and Rustavi, where they have recently started this process; however, in the municipalities where it has started,theprocessdoesnotfollowaparticularmethodology. Municipal plans are prepared on an adhoc basis. The primary purpose of the municipal annual planning process is to define financial priorities as a part of the annual budgeting process. During the baseline mapping exercise, it was mentioned thatworkplansarepreparedinordertosubmitinformationaboutfutureintentions tocentralandregionalauthorities. In some municipalities the Decree of the Representative Body on the Regulation of the Activities of Executive does not define clearly exactly which department is responsible for the development and implementation of annual, medium and long termsocioeconomicdevelopmentplans. The problems in the planning processcan besummarizedasa lackof legislationand supporting decree or documents to enable local authorities to prepare their socioeconomic development plans; a lack of linkage between planning and budgeting processes; and a lack of authentic data for the analysis and lack of involvementofallstakeholders. Noformalcoordinationmechanismexistswithinthemunicipalities.Theheadofthe executive calls for weekly meetings among various departments to discuss a variety of issues. Most of the time, different departments try to coordinate with other departmentsinformallyratherthanbysendingformalletters.
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Someofthecapacityassetsunderthissectionarethefollowing: Most of the municipalities follow the planning and budgeting cycle described in the law on local selfgovernment unit budget and law on budget system. The budgeting process starts at the end of February every year. The department of finance coordinatesallthebudgetingactivitiesatthemunicipallevelundertheresponsibility and guidance of the head of the executive. In February and March all the departmentsandorganizationsatthemunicipallevelareaskedtopreparetheirown budgetforthenextyearandsubmitittothedepartmentoffinanceforcompilation. While designing the budget for the departments, the opinion or the need of the communityisalsotakenintoconsiderationthroughtheexecutiverepresentativesat thecommunitylevel. Local authorities decide their staffing structure (number of staff and positions) and theyalsocoverthesalarycostsofthelocalstafffromthelocalrevenue. In practice, the executive has some discretion to move funds between budget lines (uptofivepercentofthetotalbudget)butcannotexceedthetotalleveloffunding. Capital funds are held at the municipal level, and payments are released when certification is given that works have met the required standards defined in the contractbetweentheexecutiveandtheimplementer. All departments within a municipality send their financial reports related to the project status to the department of finance. The department of finance compiles andsubmitsthemtotheheadoftheexecutiveonamonthlybasis.Theofficeofthe executive compiles all the information in a comprehensive report and submits it to theregionalofficeofthegovernorandcentralministriesonaquarterlybasis. In most municipalities, cash is managed by a commercial bank, and civil servants have their individual bank accounts and receive their salaries through a bankcard. However, there are also exceptions to this. In Tetriskaro municipality, cash managementandsalarytransactionsarenotdonebyacommercialbank. Inmostofthemunicipalities,theyhavethreekindsofauditmechanisms: o Inbuilt audit, which is done by the department of finance by tracking the expenditureswithinthedifferentdepartmentsinaparticularmunicipality. o External audit, hired by the representative body to review finances within differentexecutivedepartmentsinthemunicipality,and o Central audit from the state chamber of control to audit special projects and programsundertakenbythedifferentmunicipalities.
The review highlights a series of weaknesses in the current system, in relation to procedures,reportingandcapacityissues.Forexample: Weak linkages between capital and recurrent expenditure systems and misclassificationsofcapitalandrecurrentschemes;
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Asignificantdegreeofcentralcontrolcombinedwithlackoflocalfunds Insomemunicipalitiesrecurrentexpenditureisveryhigh.Thisgivesverylittlescope tothemunicipaladministrationtoplanfortheirdevelopmentalactivities. Thecurrentinternalauditingmechanismlooksstrong,havingthreetypesofauditing practices: inbuilt audit, which is done by the department of finance; external audit, which is done by external auditors hired by representative body; and finally, central auditfromstatechamberofcontrol,whichauditsspecialprojects.
Procurementandservicedelivery This section is concerned with the procurement and service delivery processes at both the regional and municipal levels. Some of the capacity assets in this section can be summarizedasfollows: In Bolnisi municipality, they have additional regulations in addition to the law on stateprocurementforsocialassistanceactivities. Some of the public services of the municipality, which are delivered with support fromtheprivatesector,areelectricity,gas,watersupply,roadconstruction,garbage collection,publichealth,sport,culturalandyouthservices. In some municipalities, oversight of the public service provision is done by a special unit established in the office of the executive, which controls the quality of the servicesprovidedtothecommunity.
The capacity gaps under the procurement and service delivery section are mentioned below: There is considerable misunderstanding and misinformation concerning present procurementpractices. Some municipalities have established permanent committees, and some of the municipalitieshavetemporarycommitteeshavingnopermanentmembers. Private sector capacity is variable across the region. Some of the public services, which are delivered with support from private sector, are electricity, gas, water provision, road construction, garbage collection, public health, sport, cultural and youth services. Some of the public services are provided by organizations (LTDs), whichareestablishedbymunicipalities. Existing operation and maintenance of services by the regional and municipal administrations is limited. Some operations and maintenance expenditures are budgeted under capital projects, which are not assured or regular. There is no scheduling of operations and maintenance. All municipalities are using an adhoc, reactiveapproachinthis.
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Communicationstrategyandimplementation The following are some of the highlights under the capacity assets under communication strategyandimplementation: The formal sharing of information is done via regular meetings with the head of the executiveandbyofficialletters Sharingofinformationbetweenthemunicipalityandlocalpopulationisdoneby: o Representativesofexecutivewithinthecommunity o Localnewspaper,televisionorradio,promotionalposters o Membersofrepresentativebody Future municipal plans are delivered to the population by regular meetings and discussions. Community members can receive information from different departmentsoftheexecutivebypayinganominalfee. Themaintenanceofcollectedinformationanddataisensuredbytheorganizationof municipal archives. All official letters as well as requests received from citizens are archivedonannualbasis. In Dmanisi municipality, Concor limited, a private company, provides updated informationregardinggovernmentlawsanddecreestodifferentdepartmentswithin amunicipality.
Thecapacitygapsunderthissectioncanbesummarizedasfollows: The information among different departments of the executive is shared formally and informally. The formal sharing of information is done via regular meetings with heads of the executives and by official letters. Information from the community is collectedbytheexecutiverepresentativesbasedwithinthecommunity. Itisnotacommonpracticetoshareinformationwithothermunicipalities. Sharing of information between a municipality and the local population is done by representatives of the executive within the community; local newspaper, television, radio,and/orpromotionalposters;andbymembersofrepresentativebody. Information sharing practices of municipalities are reactive and not proactive in nature. According to the law, information is open for public. Citizens can write an official request to municipalities or the regional office of the governor and collect information.However,theyhavetopayanominalfeeforthis.
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Someoftheactivities,whicharemonitoredatthemunicipallevel,arethefollowing: o A contract is signed between the executive and different organizations to undertake certain service delivery activities. Standards and conditions towards project or service delivery are clearly defined in these contracts. A special commission of the executive inspects and assesses implemented works, conducts field visits, and prepares reports. The commission recommendsthedepartmentoffinancetoreleasepaymentaftermonitoring theperformanceoftheproject. o Each department prepares an annual work plan and implements activities on the basis of that. The departments report to the head of the executive on a monthly basis, and the head of the executive monitors different activities undertaken by the departments. This report also gives enough scope to different heads of departments to monitor performance of individual staff members.
Some of the indicators used by municipalities to monitor results are time, quality andopinionoflocalpopulation.
Representativebodyoflocalselfgovernment Thecapacityassetsandgapsofrepresentativebodyofmunicipalitiescanbesummarizedas follows: Within a local selfgovernment, a representative body is the final approving authority. Different departments within the executive prepare plans, which are compiled and sent to the representative body for approval. In case the representative body does not have any suggestions/clarifications, the plan is approved. The representative body signs the document and sends a copy to the regional office of the governor or central ministries and one copy back to the executiveforimplementation. LackofknowledgeofGeorgianlanguageisanimpediment. Membersoftherepresentativebodydonothaveeventhebasicequipmenttomake theirworkefficientandeffective. Theunderstandingoflocalselfgovernancewasverylowamongrepresentativebody members. Members also find it difficult to visit the community regularly due to lack of budget tocovertheirtravelexpenses. Lackofhighqualificationandunderstandingthenuancesoflaw.
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Support of the regional office of the governor for the executives makes the representativemuchweaker.
Inordertoaddresssomeofthegaps,theproject,inconsultationwiththelocalandregional administrations, has come up with capacity development response strategies. These strategies have been categorized as short, medium and longterm activities (Please refer annex I for details). The Kvemo Kartli project will try to address some of the short and mediumterm capacity development response strategies within its project duration of two years and initiate a few longterm capacity development response strategies, which will be undertakenandcompletedbytheregionalandlocaladministrationinfuture.
5. CapacityDevelopmentResponseStrategy
As mentioned above, all the capacity gaps were grouped into four clusters for both the regionalandmunicipaladministrationssuchas: 1. 2. 3. 4. For each of the clusters, the Kvemo Kartli project in consultation with other stakeholders came up with short, medium and longterm strategies at three levels: enabling environment,organizationalandindividual. The capacity development response strategy will be described separately for both the regional and local administrations. During the formulation of the capacity development response strategy for the Kvemo Kartli region, it was realized that it is very difficult for one project to implement all the activities during the shorter duration of the project. Capacity Development Strategies require broad partnerships with a variety of actors and go beyond themandateoftheprojectalone.Theprojectendeavourstoactasacatalysttospurothers tosupportthelocalandregionaladministration. Humanresources Organizationalarrangements Externalaccountability Strategyandplanning
5.1 RegionalAdministration
5.1.1HumanResources
Someoftheissuesunderthissectionarethefollowing: 1. Unclear or inappropriate HR regulations and rules, which are necessary to implementfunctionsproperly
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EnablingEnvironment: Under this section, the project tries to support some activities in the shortterm and midterm to strengthen the processes related to recruitment, performance assessment and promotion. Although, the number of staff to be recruited is clearly mentioned by the central government, there are no clear guidelines on the processes to be followed. Under the shortterm activities, the project will try to map the existing practices and discuss suggested improvements with the regional administration. These suggestions will be implementedasmidtermactivities. Shorttermactivities i) Map the processes related to recruitment, performance assessment and promotion, andsuggestimprovements Midtermactivities Longtermactivities
i) Support implementation There are no longterm of recommendations activities related to recruitment, performance assessment andpromotion
Shorttermactivities i) Map the processes related to recruitment, performance assessment and promotion, andsuggestimprovements Outputs i) Increase stakeholders awareness of the HR deficiencies of the regional officeofthegovernor Outputindicators i) Key stakeholders attend awareness raising workshop and demonstrate increased knowledge through pre and postworkshopquestionnaires
Midtermactivities Outputs Outputindicators i) Clear recruitment, performance assessment and promotion criteria document producedandapplied
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Therearenoactivitiesunderthissection
5.1.2 OrganizationalArrangements
Someoftheissuesunderthissectionarethefollowing: 1. Weakhorizontalcoordinationandinformationsharingbetweendepartments 2. Lack of coordination and information sharing between regional and local administrations 3. Inappropriate organizational structure for strategic planning, monitoring and evaluation 4. Lack of central government issued methodology/guidelines for data collection, storingandanalysis. EnablingEnvironment: Under this point of entry, the project tries to address the issues of data collection, storage and analysis mechanisms. The project envisages conducting a review under the shortterm activities, followed by a discussion on the recommendations of the study with both regional and local administrations as midterm activities. As one of the objectives of the project is to influence central level policy, under the longterm activities,theprojectplanstoformulateaworkinggrouptosharetheexperiencesofthe KvemoKartliregionanddiscusswithrelevantcentralministriesfornecessarychangesin thepolicies. Shorttermactivities i) Conduct review of current municipal and regional offices of the governor, line ministry and statistics department practices in the area of data collection, etc. and provide recommendations for improvement ii) Organize workshop for relevant central and regional government authorities and municipalities to present findings and recommendationsforreview
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Midtermactivities i) Discuss the recommendations of the study with the regional administrationandsupport implementation
Longtermactivities i) Establish a working group at the national level on local level data collection, sharing, storageandanalysis
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Shorttermactivities i) Conduct a review of current municipal and regional offices of governor, line ministry and statistics department practices in area of data collection, etc. and provide recommendations for improvement ii) Organize workshop for relevant central and regional government authorities and municipalities to present findings and recommendationsforreview
Outputindicators i) Key stakeholders attend awareness raising workshop and demonstrate increased knowledge through pre and postworkshop questionnaires
i) Discuss the i) Recommendations from i) Recommendations from the recommendations of the thestudyareimplemented study are clearly documented andimplemented study on the current practice of data collection with the regional administration and supportimplementation
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Organizational: Undertheorganizationalpointofentry,theKvemoKartliregionwilltrytoaddressissuesof communication, coordination and the appropriate organizational framework for strategic planning. The UNDP project will support the regional administration in undertakinga study to find out the right organizational framework for the Kvemo Kartli region on the basis of experiences that exist within Georgia or from international experiences from Europe and the CIS region. These recommendations will be discussed with the appropriate authorities asmidterm activitiesandtheexperiencesfrom theKvemo Kartliregionwill bedocumented andsharedwithotherregionsandcentralministriesunderthelongtermactivities. The UNDP project plans to undertake a functional analysis and business process reengineering to strengthen the communication and coordination mechanisms within different departments of regional administration, between regional administration and municipalities. Shorttermactivities i) Functional Analysis and business process mapping and reengineering on communication and coordination Midtermactivities i) Develop guidelines on why and how information sharing between departmentscanoccur Longtermactivities i) Documentation and dissemination of best practices and lessons learned from the Kvemo Kartli experience
ii) Organize briefing ii) Study to find out the workshop on the draft appropriate organizational guidelines framework iii) Implementation of the recommendations on data collection, analysis and storage
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framework
forimprovedcoordination increased iii)Stakeholderawareness onissuesconcerning coordinationand informationsharing betweenmunicipaland regionaladministrations increased. iv)Increasedawarenessof theregionalofficeofthe governoronthe appropriateorganizational frameworkfortheregional strategyfordevelopment, monitoring,andevaluation.
Midtermactivities i)Developguidelinesonwhy andhowinformationsharing betweendepartmentscan occur Outputs i)Improvedcoordination andinformationsharing betweendepartmentsin theregionalofficeofthe governor Outputindicators i)Atleasttwocoordination meetingsorganizedwiththe recommendationsand minutesdocumented. ii)Keystakeholdersattend briefingworkshopon guidelinesanddemonstrate increasedknowledgethrough preandpostworkshop questionnaires iii)Experienceof implementationofthe recommendationsondata collection,analysisand storagedocumented.
ii)Organizebriefingworkshop ii)Guidelinesendorsedand onthedraftguidelines appliedbytheregional iii)Implementationofthe officeofgovernor recommendationsondata collection,analysisand iii)Recommendationson storage datacollectionisendorsed bytheregionalofficeof thegovernor
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Therearenoactivitiesundertheindividuallevel.
4.1.2 ExternalAccountability
Theissuesunderthisclusterarethefollowing: 1. The regional office of the governor has a weak communication culture concerning consultationwithanddisseminationofinformationtocommunities. 2. The regional office of the governor has a weak system to receive feedback from the community. Therearenoactivitiesunderenablingenvironmentsection. Organizational: Under the organizational point of entry, the Kvemo Kartli region will try to address the communicationsissuesbetweentheregionaladministrationandcommunityandviceversa. The UNDP project will try to address the communication issue by undertaking a business processmappingexerciseasashorttermactivity.Thefindingsofthemappingexercisewill bediscussedandimplementedasmidtermactivities. Shorttermactivities Midtermactivities Longtermactivities
i)Implementthe Therearenolongterm i)Functionalanalysisand activities businessprocessmappingand recommendationsonthe reengineeredprocesses reengineeringon communication ii)Holdworkshop concerningfindingsof ii)Preparationofanalytical analyticalreportandother studyonstrengthsand citizenfeedback weaknessesofcurrent mechanisms feedbackmechanism iii)Selectandimplement new/improvedcitizen
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feedbackmechanism
Outputs i)Strengthenedexternal communicationsystemof theregionalofficeofthe governor ii)Increasedstakeholder awarenessofissues relatedtoexisting communityfeedback mechanism
Outputindicators
i)Externalcommunication systemestablishedand functioningwithintwopilot municipalities ii)Keystakeholdersattend workshoponexisting communityfeedback mechanismsanddemonstrate increasedknowledgethrough preandpostworkshop questionnaires
Midtermactivities
Outputs
Outputindicators i)Currentcommunication practicesof(regionalofficeof governor)between departmentsandwiththe communityimproved ii)Keystakeholdersattend workshoponexisting communityfeedback mechanismanddemonstrate increasedknowledgethrough preandpostworkshop questionnaires
i)Recommendations i)Implementationofthe agreedandimplemented recommendationsonthe reengineeredcommunication ii)Suggestedcommunity processes feedbackmechanism ii)Holdworkshopconcerning implemented findingsofanalyticalreport andothercitizenfeedback mechanisms iii)Selectandimplement new/improvedcitizen feedbackmechanisms
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1. Lack of technical and experienced staff to carry out the planning and budgeting activities 2. Lackofformalstructureforinvolvingdifferentstakeholdersinstrategypreparation 3. Lack of supporting document or regulations to prepare strategic document (such as a manual, guidelines of approving strategic documents and formation of working groupsforthepreparationofstrategicdocuments) 4. Lackofappropriatemethodologytodesignthestrategicplan 5. Inappropriate organizational structure for strategic planning, monitoring and evaluation(addressedaboveunderorganizationalarrangements) EnablingEnvironment: Under the enabling environment point of entry, the Kvemo Kartli project plans to conduct a study on the current planning methodologies in use as a shortterm activity and to provide recommendations on a comprehensive planning methodology for consideration by national government. Some of the organizations working in Georgia have already come up with manuals on How to Prepare a Regional and Municipal Strategy. If there is a need, the UNDP project plans to support the regional and local administrationinthepreparationofsuchamanual,whichwillbehelpfulfortheminthe futuretopreparesuchstrategieswithoutanyexternalassistance. Shorttermactivities Midtermactivities Longtermactivities Therearenolongterm activities
i)Preparationofthe i)Conductstudyoncurrent planningmethodologiesinuse manualonHowto PrepareaRegional ii)Providerecommendations Strategy onacomprehensiveplanning methodologyfor considerationbynational government
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understandingon impedimentstostrategy implementation iii)Increased understandingofthe supportingdocuments requiredforpreparationof alongtermstrategybythe regionalofficeofthe governor
Outputs
Outputindicators
Therearenolongtermactivitiesunderthissection. Organizational: Activities under this point of entry are linked to activities under organizational arrangements. Shorttermactivities i)Conductstudyonthe organizationalframeworkon strategicplanningincluding involvementofdifferent stakeholders(linkedtothe activitymentionedabove)
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stakeholders(linkedtothe activitymentionedabove)
questionnaires
Therearenolongtermactivitiesunderthissection. Individual: There are no shortterm activities under this section. Most of the activities under the individual point of entry will be implemented by the regional administration with support from the UNDP project as midterm activities. According to the law, the regional development unit is responsible for the preparation and implementation of the longterm strategies. The regional office of the governor, with support from the UNDP project, plans to organize a training program on strategic and participatory planning and to organize an exposurevisittoacountryinthisregionwhichhassimilarexperiences. Shorttermactivities Therearenoshortterm activities Midtermactivities i)Organizetrainingsfor staffofregional developmentuniton strategicandparticipatory planning ii)Organizeexposurevisit tooneoftheEuropean countrieshavingsimilar experiences Longtermactivities Therearenolongterm activities
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regionaldevelopmentunit knowledgethroughpreand designed posttrainingquestionnaires ii)Atleastoneworkshop organizedaftertheexposure visittosharetheexperiences withotherregionaland municipaladministrationstaff andtoagreeuponaplanof actiontochangeatleasttwo ongoingactivitiesbasedon thelessonslearnedfromthe experienceintheother country.
Therearenolongtermactivitiesunderthissection.
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Performanceevaluationcriterianotexplained
Under this point of entry, the Kvemo Kartli region plans to implement activities to streamlinethehumanresourcemanagementsystem.Asashorttermactivity,withsupport from UNDP, the project will provide technical assistance in undertaking functional analysis for two of the municipalities to develop guidelines for the staffing structure of the municipalities and organize a workshop to raise awareness on the current civil service code and existing practices related to human resources management. Under the midterm activities, the Kvemo Kartli region plans to implement a functional analysis in two municipalities,applytherecommendedguidelinesforrecruitmentintwomunicipalitiesand provide technical support to municipal authorities on performance assessment and promotion of civil servants. Most of the activities under the longterm strategy are related to influencing policy by organizing workshops on all aspects of human resources management and sharing experiences on the basis of the pilot experience in the two municipalities. Shorttermactivities Midtermactivities Longtermactivities i)Developcriteriafor selectionofmunicipalities, andsubsequentselectionof thetwopilots ii)Applicationofstaffing structureguidelinesinthe twopilots iii)Codifyprocessandmake recommendationsfor improvementconcerningthe applicationguidelines iv)Pilottestsuggestedcivil servicecodeimprovementsas notedbyconsultant v)Organizeworkshopand presentresultstoother municipalities,regional authoritiesandministerof regionsandNALA
i)Functionalanalysisin i)Developcriteriafor collaborationwithCEGSTAR selectionofmunicipalities andsubsequentselection ii)Designguidelinesfor ofthetwopilots staffingstructureof municipalities ii)Applicationofguidelines inthetwopilots iii)Workshoporganizedfor municipalstaffmembers, iii)Codifyprocessand specializedgovernance makerecommendations organizations,andMinistryof forimprovement RegionalDevelopment, concerningtheapplication Governorsoffice ofguidelines iv)Workshoponcurrent status/difficultiesin enforcementofthecivil servicecode v)Workshopwithmunicipal andregionalauthoritiesto increaseunderstandingof recruitmentprocedures iv)Provideadviceto municipalauthoritieson howtoimprovecivil servicecode,experiences fromnewEUmember statesoncivilservicecode reformandbestpractices v)Definecriteriafor applicationofappropriate
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vi)Supportpreparationof decreeonscalingupand applicationofcriteria vii)Applyguidelinesin remainingmunicipalitiesin theKvemoKartliregion viii)Organizeworkshopand presentmunicipal perspectivesandresultsof researchondifferent promotionpoliciestonational stakeholders ix)Organizeworkshopto presentexperiencesofpilot municipalitiesinapplying performanceevaluation criteria
Shorttermactivities i)Functionalanalysisin collaborationwithCEGSTAR ii)Designguidelinesforstaffing structureofmunicipalities iii)Workshoporganizedfor municipalstaffmembers, specializedgovernance organizations,andMinistryof RegionalDevelopment,and Governorsoffice iv)Workshoponcurrent status/difficultiesin enforcementofthecivilservice code v)Workshopwithmunicipaland regionalauthoritiestoincrease understandingofrecruitment
Outputs
Outputindicators
i)Increasedstakeholder i)Keystakeholdersattend understandingofstaffing awarenessraisingworkshop anddemonstrateincreased structuredeficiencies knowledgethroughpreand ii)Appropriatestaffing postworkshop structurefor questionnaires municipalitiesdefined ii)Model/templatefor iii)Generic/templatejob municipalstaffingstructure descriptionsdeveloped elaborated fordepartmentheads andtwokeystaffineight iii)24jobdescriptions departmentintwopilot includingcompetencyprofiles municipalities developed(threeper departmentxeight departments)
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procedures
Medtermactivities
Outputs
Outputindicators i)Twomunicipalitiesapply staffingstructureguidelines withimpactuponnumber andplacementofstaffin departments. ii)Conciseandreaderfriendly documentproducedoutlining processandlessonslearned iii)Stakeholdersdemonstrate increasedknowledgeinthis areathroughapreandpost informationprovision questionnaire iv)Clearrecruitmentcriteria documentproducedand appliedinthetwopilot municipalitieswithpositive impactuponrecruitment procedures v)Keystakeholdersattend workshopanddemonstrate increasedknowledgethrough preandpostworkshop questionnaires
i)Staffingstructure i)Developcriteriafor selectionofmunicipalitiesand guidelinesimplementedin twomunicipalities subsequentselectionoftwo pilots ii)Experienceofpilottests ii)Applicationofguidelinesin ofstaffingstructure twopilots implementationcodified andlessonslearned iii)Codifyprocessandmake documented recommendationsfor improvementconcerningthe iii)Increasedstakeholder applicationofguidelines awarenessofoptionsand bestpracticesforcivil iv)Provideadviceto servicecodereform municipalauthoritiesonhow toimprovecivilservicecode, iv).Recruitmentcriteria experiencesfromnewEU definedandpilotedintwo memberstatesoncivilservice municipalities. codereformandbest v)Increasedstakeholder practices knowledgeconcerning differentoptionsof v)Definecriteriafor promotionpolicies. applicationofappropriate recruitmentprocesses (whethertochoose permanentrecruitmentor shorttermrecruitment) vi)Conductresearchon promotionpoliciesrelevantto Georgiancontext
Longtermactivities i)Developcriteriafor
Outputs i)Experienceoffunctional
Outputindicators i)Fivemunicipalitiesofthe
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analysisscaleduptoother KvemoKartliregionpiloted municipalitiesandregions functionalanalysis ii)Nationalpolicyand guidelinesinfluenced iii)Civilservicecode amendmentinfluenced iv)Nationalpolicy concerningpromotionin civilserviceinfluenced ii)Atleastonecentrallevel workshoporganizedtoshare thefindingsontheguidelines onrecruitment,promotion, andcivilservicecode
iv)Pilottestsuggestedcivil v)Policydialoguebasedon servicecodeimprovementsas pilotexperiences notedbyconsultant influenced v)Organizeworkshopand presentresultstoother municipalities,regional authoritiesandministerof regions,NALA. vi)Supportpreparationof decreeonscalingupand applicationofcriteria vii)Applyguidelinesin remainingmunicipalitiesin theKvemoKartliregion viii)Organizeworkshopand presentmunicipal perspectivesandresultsof researchondifferent promotionpoliciestonational stakeholders ix)Organizeworkshopto presentexperiencesofpilot municipalitiesinapplying performanceevaluation criteria
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Organizational Theissueslearnedunderthissectionarethefollowing: Lack of job descriptions and standardized format (coverage, quality and inconsistencyinformat) Lackofstandardizedandtransparentrecruitmentguidelinesforshorttermposts (durationofadvertisement,whatdetailsarerequiredinaToR,whereadvertised, selectionpanel) Fiscal and nonfiscal incentives are subjective no objective criteria that determine which staff will receive them nor specification of type/amount of incentive Performancecriteriaforstaffarenotyetdefinednorlinkedtoannualworkplans (whicharesubsequentlylinkedtodepartmentworkplans)
Undertheorganizationalpointofentry,theKvemoKartliregionfocusesonstreamliningthe number of departments and review functions of each of those departments, develop job descriptions for all the civil servants working in two pilot municipalities as shortterm activities.Mostoftheactivitiesunderthemidtermrangearerelatedtopreparationforup scalingjobdescriptions,suchasthedevelopmentofatrainingmanualandorganizationofa workshop to train municipal administration. Under the longerterm activities, training will be organized for the civil servants of the remaining five municipalities to develop job descriptionsforallthestaffinthemunicipalitiesontheirown. Shorttermactivities i)Functionalanalysisin collaborationwithCEGSTAR (LINKED) ii)Developjobdescriptionsin cooperationwithrelevant municipalHRfocalpoints basedonaccuratedescription ofthepost'sfunctions Midtermactivities i)Developtrainingmanual onjobdescription formulation ii)Holdworkshoptotrain municipaladministrationin twopilotsandregional administrationonjob descriptionformulation Longtermactivities i)Organizeworkshopto trainadministrationinfive othermunicipalitiesonhow toformulatejob descriptions ii)Documentbestpractices andlessonslearnedfrom pilotanddisseminateto relevantstakeholders
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states iv)Holdworkshopfor municipalexecutiveand legislativerepresentativesto gainbuyinonapplicationof policy v)Implementthepilot testing vi)Conductstudyoncurrent practicesinperformance assessmentinGeorgiaand newEUmemberstates
disseminationoflessons learned
ii)Keystakeholdersshow increasedknowledge ii)Increasedawarenessof throughfieldingofpreand departmentsandheadofthe postactivityquestionnaires executiveintwopilot iii)Reportinglinediagrams municipalitiesonneedfor anddescriptionsformulated improvedcoordination for16departments(eight departmentsxtwo iii)Mappingofexisting reportinglinesconductedin municipalities) alldepartmentsintwo iv)Functionsmappedto16 municipalities departments(eight departmentsxtwo iv)Mappingexisting municipalities) departmentfunctionsvis visservicesintwopilot v)Budgetingandfinancial municipalitiesconducted managementprocesses v)Mappingofexisting mappedandanalyzed
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Midtermactivities i)Developtrainingmanualon jobdescriptionformulation ii)Holdworkshoptotrain municipaladministrationin twopilotsandregional administrationonjob descriptionformulation iii)Conductstudyoncurrent incentivesbeingofferedand rangeofoptionsbasedon stafffeedbackandbest practicesinnewEUmember states iv)Holdworkshopfor municipalexecutiveand legislativerepresentativesto gainbuyinonapplicationof policy v)Implementthepilottesting vi)Conductstudyoncurrent practicesinperformance assessmentinGeorgiaand newEUmemberstates
ii)Fiscalandnonfiscal incentivepolicy developed,andcriteria forapplicationofthese iii)Incentivepolicydeveloped incentivesmechanismsin andmechanismsestablished theexecutiveestablished iii)Incentivepolicytested inonemunicipality targetingexecutiveand administrativeunitof Sakrebulo iv)Performance evaluationguidelinesand proceduresdeveloped iv)Incentivepolicyappliedin onemunicipalityas demonstratedthroughstaff survey v)Guidelinesdevelopedand disseminatedtorelevant stakeholders
Longtermactivities i)Organizeworkshoptotrain
Outputs i)Trainingonjob
Outputindicators i)Atleastonetraininghaving
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administrationinfiveother municipalitiesonhowto formulatejobdescriptions ii)Documentbestpractices andlessonslearnedofpilot anddisseminatetorelevant stakeholders iii)Pilottestingof performanceevaluationin onemunicipality iv)Documentationand disseminationoflessons learned
Individual Someoftheissuesundertheindividuallevelarethefollowing: i). Lack of technically skilled staff in certain sectors (no response in short, medium and longtermasthisisbeyondscopeofproject)relatedtoeducationreformandotherfactors.
5.2.2 Organizationalarrangements
Enablingenvironment Someoftheissuesunderthisclusterarethefollowing: Lack of alignment of local priorities and budget allocation provided by the central government Information fragmentation: Municipalities lack access to and/or understanding of key guidelines issued by the central government (including budgeting, procurement, public expenditure management/accounting and reporting, financial control, audit, lawsanddecrees,anddelegatedresponsibilities)
There are no shortterm activities under this section. Under the midterm activities, the KvemoKartliregionplanstoholdaworkshoponBDDandMTEFprocessesformunicipalities to raise awareness and develop an inventory of all applicable laws. Most of the initiatives under the longterm activities are related to dissemination of results of the study and workshopatnationallevel.
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Midtermactivities i)HoldworkshoponBDDand MTEFprocessesfor municipalitiesintheKvemo Kartliregiontoascertain impedimentstotheir participationand understandingandtoincrease dialoguebetweennational stakeholdersandmunicipalities intheKvemoKartliregion. ii)Developaninventoryofall applicablelaws,decrees, processes/proceduresrelevant tomunicipalfunctionsand responsibilities. iii)Establishphysicalande libraryofinformation
Midtermactivities i)HoldworkshoponBDDand MTEFprocessesfor municipalitiesintheKvemo Kartliregiontoascertain impedimentstotheir participationand understandingandtoincrease dialoguebetweennational stakeholdersand municipalitiesintheKvemo Kartliregion. ii)Developaninventoryofall applicablelaws,decrees, processes/procedures relevanttomunicipal Outputs i)Increasedawarenessof municipalandcentral levelstakeholdersonlack ofalignmentandits impactondevelopmentat thelocallevel ii)Establisha clearinghouseof informationrelatedto municipalfunctions, responsibilities,and processes/procedures Outputindicators i)Keystakeholdersattend workshopanddemonstrate knowledgeacquisition throughapreandpost workshopquestionnaire ii)Inventorylistingall applicablelaws,decrees, processes,procedures iii)Physicaland/orelibrary containingtheinventoryinan easilysearchableformat.
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functionsandresponsibilities. iii).Establishphysicalande libraryofinformation Longtermactivities i)Disseminatefindings/result ofworkshoptorelevant stakeholdersatthenational level ii)Analysisoflaws,decrees, legalacts,procedures,etc. Outputs i)Nationalpolicy influencedconcerning BDDandMTEFprocesses visvismunicipalities ii)Functions, responsibilities, proceduresandprocesses ofmunicipalitiesclearly defined Outputindicators i)Atleastonenationallevel workshoptoinfluencenational policyconcerningBDDand MTEF ii)Atleastfivemunicipalities definefunctions, responsibilities,procedures andprocessesclearly
Organizational Thefollowingissueswerelearnedunderthissection: Weakhorizontalcoordinationandinformationsharingbetweendepartments Lackofcoordinationbetweentheheadoftheexecutiveanddepartments Lackofclearreportinglineswithindepartments Lack of alignment and overlap of departments functions to the services the municipalityhastoprovide Limitedtransparencyandunderstandingoffinancialmanagementprocesswithinthe municipality Lack of coordination and information sharing between regional and local administrations
Under the organizational point of entry, the Kvemo Kartli region, with support from the UNDP project, plans to undertake a functional analysis and business process mapping for coordination among different municipal departments as short and midterm activities. Under the longterm activity, the Kvemo Kartli region plans to document the experience of the business process mapping, implementation of the proposed recommendations in two municipalitiesanddiscusswithcentralministriesforinfluencingpolicyatnationallevel.
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ii)Conductstudyonexisting practicesandimpedimentsto coordinationandinformation ii)Organizebriefingworkshop onthedraftguidelines ii)Implementtheprocess sharing mappingacross iii)Developguidelinesonwhy municipalities andhowcoordinationshould occur iv)Organizebriefing workshoponthedraft guidelines v)Codificationoflessons drawnfromfunctional analysis vi)Implementationin remainingfivemunicipalities vii)Workshopwithallthe KvemoKartliregional municipalitiesonthefindings ofthemappingandthe proposedchanges viii)Implementchangesin departmentstructureand functionsintwo municipalities ix)Workshopwithallthe KvemoKartliregion municipalitiesonfindingsof functionalanalysisand proposedchanges x)Implementchangesintwo municipalities
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xi)Workshopwithallthe KvemoKartliregion municipalitiesonfindings studyandpositions xii)Implementchangesinall municipalitiesintheKvemo Kartliregion Shorttermactivities i)Functionalanalysisin collaborationwithCEGSTAR Outputs Outputindicators i)Keystakeholdersshow increaseinknowledge throughfieldingofpre andpostactivity questionnaires ii)Keystakeholdersshow increaseinknowledge throughfieldingofpre andpostactivity questionnaires iii)Reportinglinediagrams anddescriptions formulatedfor16 departments(eight departmentsxtwo municipalities)
i)Improvedunderstanding withindepartmentsintwo pilotmunicipalitiesonneed ii)Conductstudyonexisting forenhancedcommunication practicesandimpedimentsto andinformationsharing coordinationandinformation ii)Increasedawarenessof sharing departmentsandheadofthe executiveintwopilot municipalitiesontheneedfor improvedcoordination iii)Mappingofexisting reportinglinesconductedin alldepartmentsintwo municipalities
iv)Mappingofexisting departmentfunctionsvisvis servicesintwopilot iv)Functionsmappedto16 municipalitiesconducted departments(eight departmentsxtwo v)Mappingofexisting municipalities) budgetingconductedand financialmanagement v)Budgetingandfinancial processdocumentedinall managementprocesses departmentsintwo mappedandanalyzed within16departments municipalities (eightdepartmentsxtwo vi)Increasedstakeholder municipalities) awarenessonissues
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Midtermactivities i)Developguidelinesonwhy andhowinformationsharing betweendepartmentscan occur Outputs i)Guidelinesoninformation sharingdeveloped Outputindicators i)Conciseandpragmatic guidelinesforinformation sharingproducedin Georgianlanguage
ii)16departmentsintwo municipalitiesrespond positivelytoapreand iii)Developguidelinesonwhy iii)Guidelinesoncoordination postguideline andhowcoordinationshould mechanismsandinformation questionnaireconcerning occur sharingdeveloped improvedcoordination iv)Organizebriefing workshoponthedraft guidelines v)Codificationoflessons drawnfromfunctional analysis vi)Implementationin remainingfivemunicipalities vii)Workshopwithallthe KvemoKartliregional municipalitiesonthefindings onmappingandproposed changes viii)Implementchangesin departmentstructureand functionsintwo iv)Guidelinesonimproved coordinationendorsedand appliedbytwomunicipalities leadingtoimproved coordinationbetweenthe headofexecutiveand departmentsintwo municipalities iii)Guidelinesonexecutive departmentcoordination producedintheGeorgian languageand disseminated
iv)Twomunicipalities applyguidelineswitha positiveresultas v)Lessonslearnedfrom illustratedthroughpre functionalanalysiscodified andpostprocess vi)Guidelinesimplementedin questionnaires thefiveremaining v)Codificationdocument municipalities producedand vii)Functionsofdepartments disseminated rationalizedwiththeservices tobeprovided vi)Fivemunicipalities applyguidelinesand demonstratethepositive
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municipalities ix)Workshopwithallthe KvemoKartliregional municipalitiesonthefindings ofthefunctionalanalysisand proposedchanges x)Implementchangesintwo municipalities xi)Workshopwithallthe KvemoKartliregional municipalitiesonfindings studyandpositions xii)Implementchangesinall municipalitiesintheKvemo Kartliregion
vii)Functionsof departmentsalignedwith ix)Improvedcoordinationand theservicesprovidedby informationsharingbetween municipalitywithclear municipalandregional areasofresponsibilityand administrationintheKvemo linesofaccountability Kartliregion. vii)Sixteendepartments demonstratepositive changesandimproved understandingof processesthroughpre andpostprocess questionnaires viii)Keystakeholdersin municipalandregional administrations demonstrateimproved coordinationprocesses throughapreandpost implementation questionnaire
Longtermactivities i)Documentationand disseminationofbest practicesandlessonslearned frompilotexperience Outputs i)Endorsementand applicationofguidelinesby municipalitiesacrossGeorgia scaledup Outputindicators i)Atleastfive municipalitiesapplythe guidelines
ii)Fivemunicipalitiesof ii)Processmappinginother theKvemoKartliregion ii)Implementtheprocess replicateprocessmapping mappingacrossmunicipalities fivemunicipalitiesinthe KvemoKartliregionreplicated exercise iii)Nationallevelstakeholders iii)Atleastoneworkshop influencedtoendorseand organizedtoinfluencethe replicatecoordinationand
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informationsharingpractices
nationallevelstakeholders
5.2.3 Externalaccountability
Someoftheissuesunderthissectionarethefollowing: LackofknowledgeandunderstandingoftheGeorgianlanguageformanycitizens Municipalities have weak communication culture concerning consultation with and disseminationofinformationtocommunities Weaksystemamongthemunicipalitiestoreceivefeedbackfromthecommunity Lackofhorizontalaccountabilitybetweenexecutiveandrepresentativebodies Weakcitizenparticipationinaccountabilitymechanisms
EnablingEnvironment This section does not have any shortterm or longterm activities. During the institutional baseline mapping exercise, it was learned that a number of people in the different municipalities in the Kvemo Kartli region do not communicate in Georgian. So under the midterm activities, the Kvemo Kartli region plans to prepare an information package on citizensrightsandresponsibilitiesinlanguagesotherthanGeorgian. Shorttermactivities Therearenoshortterm activities Midtermactivities Longtermactivities
Midtermactivities i)Prepareinformationpackage oncitizensrightsand responsibilitiesinlanguages otherthanGeorgianand Outputs i)Increasedawarenessof municipalstakeholdersto provideunofficialtranslation ofdocumentsforthosewho Outputindicators i)Atleastfivekeydocuments aretranslatedintoother languagesanddisseminated
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distributeacrosstheKKregion
donotspeakorreadGeorgian
Nolongtermactivities. Organizational Under the organizational point of entry, the Kvemo Kartli region plans to develop communication strategies for two municipalities on a pilot basis as shortterm activities. Under the midterm activities, the Kvemo Kartli region will implement the communication strategy, especially those that will strengthen the feedback mechanism between the community and the local administration. The UNDP project plans to bring in experiences from the region on similar issues, which will be discussed with local administration for consensusandimplementation. Shorttermactivities i)Developadraft communicationstrategyfor twomunicipalitiesconcerning consultationandinformation dissemination(including budgetprocessandresult) ii)Prepareananalyticalstudy onstrengthsandweaknesses ofcurrentfeedback mechanism Midtermactivities i)Presentationby municipalitiestocitizenson communicationstrategy ii)Selectpublicinformation focalpointwithin municipalities iii)Implement communicationstrategy iv)Holdworkshopwithpilot municipalitiesconcerning findingsoftheanalytical reportandothercitizen feedbackmechanisms v)Selectandimplement new/improvedcitizen feedbackmechanism vi)Conductstudyonexisting practicesintwopilot municipalities,document strengthsandweaknessesof systemandprovide recommendationsfor
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improvement vii)Discussfindingsofstudy withtwomunicipalitiesand implementagreedupon recommendations viii)Supportcommunityin selforganizationefforts throughprovisionof examples/modelsutilizedin othercountriesand elsewhereinGeorgia
i)Twocommunication i)External communicationsystemof strategiesfortwo municipalities municipalitiesdeveloped strengthened ii)Atleastoneworkshop ii)Stakeholderawareness organizedtoraiseawareness ofissuesrelatedto onexistingcommunity ii)Prepareanalyticalstudyon existingcommunity feedbackmechanism strengthsandweaknessesof feedbackmechanism currentfeedbackmechanism increased
Midtermactivities i)Presentationby municipalitiestocitizenson communicationstrategy ii)Selectpublicinformation focalpointwithin municipalities iii)Implementcommunication strategy Outputs i)Communication strategyapprovedand implementedbytwo pilotmunicipalities ii)New/improvedcitizen feedbackmechanism pilottestedintwo municipalities iii)Oversightmechanism Outputindicators i)Communicationstrategy developed,approvedand distributedinGeorgian language ii)Twopublicinformationfocal pointsselectedinmunicipality iii)Pilotmechanismdeveloped, testedandevaluatedintwo municipalitiesthrough
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iv).Holdworkshopwithpilot municipalitiesconcerning findingsofanalyticalreport andothercitizenfeedback mechanisms v)Selectandimplement new/improvedcitizen feedbackmechanism vi)Conductstudyonexisting practicesintwopilot municipalities,document strengthsandweaknessesof systemandprovide recommendationsfor improvement vii)Discussfindingsofstudy withtwomunicipalitiesand implementagreedupon recommendations viii)Supportcommunityin selforganizationefforts throughprovisionof examples/modelsutilizedin othercountriesandelsewhere inGeorgia
communitysurvey iv)Currentoversight mechanismimprovedand operationalizedas demonstratedthroughpositive citizenfeedbackgathered throughaquestionnaire v)Increaseinthenumberof citizens(includinganincrease marginalizedcitizens) participatinginthe accountabilitymechanismas illustratedinapreandpost activitysurvey
Longtermactivities i)Documentexperiencesof twopilotmunicipalitiesand sharelessonslearnedand strategy Outputs i)Raisedawareness amongother municipalitiesinGeorgia ontheneedfora communicationstrategy, newcommunity mechanism,new oversightmechanismand communityself Outputindicators i).Atleastoneworkshop organizedtoincrease awarenessonneedfora communicationstrategy,new communitymechanism,new oversightmechanismand communityselforganization efforts.
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organizationefforts
5.2.4 Strategicplanning
Differentissuesunderthissectionarethefollowing: Lack of central government issued methodology/guidelines for data collection, storageandanalysis Lack of planning methodology and guidelines from the central government for the municipalities Lack of proper participatory planning, implementation, monitoring and evaluation mechanismsforprojectsandactivities Lack of practice to share information with other municipalities within the Kvemo Kartliregioninrelationtostrategydevelopmentandplanning Lack of technical and experienced staff to carry out the planning and budgeting activities
EnablingEnvironment Under this point of entry, as a shortterm activity, the Kvemo Kartli region plans to review the current municipal, line ministry and statistics department practices in the area of data collection,etc.andproviderecommendationsforimprovement.Thisreviewwillbedoneat the local, regional and central levels (Please find reference to similar activity under the strategic planning section and the regional administration capacity development response strategy). Other than this, the Kvemo Kartli region plans to conduct a study on the current planningmethodologiesinuseandproviderecommendationsonacomprehensiveplanning methodology for consideration by national government as a shortterm activity. All the recommendations of the above studies will be implemented as midterm activities with support from the UNDP project. If some of the recommendations work well in the municipalities,thentheKvemoKartliprojectplanstoinfluencethenationalpolicy. Shorttermactivities i)Conductreviewofcurrent municipal,lineministryand statisticsdepartment practicesintheareaofdata collection,etc.andprovide recommendationsfor Midtermactivities i)Establishaworking groupatthenationallevel onlocalleveldata collection,sharing,storage andanalysis. Longtermactivities i)Conducttrainingoftrainers ofrelevantnational governmentstafftoensure thatlocallevelstaffwillbe trainedinnewmethodology
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improvement ii)Workshopforrelevant centralandregional governmentauthoritiesand municipalitiestopresent findingsand recommendationsofreview iii)Conductstudyoncurrent planningmethodologiesin useandprovide recommendationsona comprehensiveplanning methodologyfor considerationbythenational government.
ii)Pilottestingintwoor threemunicipalitiesbased onrecommendations madeinthereview iii)Workshopforrelevant nationalandlocal stakeholderstodiscuss findingsofstudyand endorseastandardized planningmethodology.
Shorttermactivities i)Conductreviewofcurrent municipal,lineministryand statisticsdepartment practicesinareaofdata collection,etc.andprovide recommendationsfor improvement ii)Workshopforrelevant centralandregional governmentauthoritiesand municipalitiestopresent findingsand recommendationsofreview iii)Conductstudyoncurrent planningmethodologiesin useandprovide recommendationsona comprehensiveplanning methodologyfor
Outputs i)Increasedstakeholder understandingofexisting datacollection,sharing, storageandanalysis practices ii)Increasedstakeholder understandingofcurrent planningmethodologiesin use iii)Increasedstakeholder understandingof impedimentstostrategy implementation
Outputindicators i)Keystakeholdersattend awarenessraisingworkshop anddemonstrateincreasein knowledgethroughpreand postworkshopsurvey ii)Keystakeholdersattend awarenessraisingworkshop anddemonstrateincreasein knowledgethroughpreand postworkshopquestionnaire iii)Keystakeholdersattend awarenessraisingworkshop anddemonstrateincreasein knowledgethroughpreand postworkshop questionnaires
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considerationbythenational government.
Midtermactivities i)Establishaworkinggroupat thenationallevelonlocal leveldatacollection,sharing, storageandanalysis. ii)Pilottestingintwoorthree municipalitiesbasedon recommendationsmadein thereview iii)Workshopforrelevant nationalandlocal stakeholderstodiscuss findingsofstudyandendorse astandardizedplanning methodology.
Outputindicators i)Workinggroupestablished andfunctioningatnational levelproducingatleasttwo keyrecommendationsonhow toimprovenationalpolicy towardsdatacollection, sharingandanalysis. ii)Workshopheldwithkey stakeholdersand standardizedplanning methodologyendorsed
Organizational TheKvemoKartliregionplanstohaveaseriesofinitiativesundertheorganizationalpointof entryunderthestrategicplanningcluster.Tostartwith,asshorttermactivities,theKvemo Kartli region plans to conduct stakeholder analysis and form working groups followed by datacollectionandsituationanalysisatthemunicipallevel,whichwillleadtoalongerterm strategy. Some of the activities, like roads, cannot be implemented by one municipal administration. There is a need for strong intermunicipal cooperation, which can be
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initiated by undertaking a study as a shortterm activity and coming up with recommendationsforimplementationslateron. Shorttermactivities i)Conductstakeholder analysisandformworking groups ii)Providetrainingfor workinggroupson participatoryplanning iii)Datacollectionand situationanalysis iv)Conductstudyonbest practicesinintermunicipal cooperationinGeorgiaand newEUmemberstatesand accessioncountries v)Holdsymposiumfor interestedmunicipal stakeholdersonfindingsof study
Midtermactivities i)Traindepartmentson participatoryplanning, budgeting, implementation,andM&E methodology ii)Implementationof selectedpilotprojects iii)Implementselected pilotprojectswithcriteria thatwillencourageinter municipalcooperationin termsofplanningand implementation
Shorttermactivities i)Conductstakeholder analysisandformworking groups ii)Providetrainingfor workinggroupson participatoryplanning iii)Datacollectionand situationanalysis iv)Conductstudyonbest practicesinintermunicipal cooperationinGeorgiaand
Outputs i)Increasestakeholder awarenessconcerning participatoryplanning implementationguidelines andneedfor/purposeof monitoringandevaluation ii)Introduceconceptsof intermunicipal cooperationand partnershiptofacilitate moreeffectiveand efficientstrategy
Outputindicators i)Keystakeholdersattend awarenessraisingworkshop anddemonstrateincreasein knowledgethroughpreand postworkshopquestionnaires ii)Keystakeholdersattend awarenessraisingworkshop anddemonstrateincreasein knowledgethroughpreand postworkshopquestionnaires
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development,planning andimplementation
Outputindicators i)Twomunicipalitiesand regionalgovernmenthave operationalparticipatory planning,implementationand M&Esysteminplacebythe endof2010 ii)Atleasttwointermunicipal cooperationprojects developedandininitialstages ofimplementation
ii)Implementationofselected pilotprojects ii)Intermunicipal cooperationestablishedin iii)Implementselectedpilot regardstostrategy projectswithcriteriathatwill developmentandproject encourageintermunicipal implementation cooperationintermsof planningandimplementation
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Cluster
Issues
CD Level
Short-Term responses
Short-Term activities
Responsible parties
Medium-Term responses
Medium-Term activities
Responsible parties
Long-Term responses
Long-Term activities
Responsible parties
i) Unclear or inappropriate HR regulations and rules, which are necessary to implement functions properly
Enabling Environment
i) Map the processes related to recruitment, performance assessment and promotion and suggest improvements
i) Support implementation of recommendations related to recruitment, performance assessment and promotion No medium-term activities No medium-term activities
KK project team
No long-term responses
No long-term activities
HR
Organizational
Individual
No long-term responses
No long-term activities
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i) Conduct review of current municipal, regional office of governor, line ministry, and Statistics Department practices in area of data collection, etc. and provide recommendations for improvement ii) Organize workshop for relevant central and regional government authorities and municipalities to present findings and recommendations of review Enabling Environment i). Increase stakeholder awareness of existing data collection, sharing, storage and analysis practices Consulting firm and KK project team i) Implementation of recommendations through the study
i) Weak horizontal coordination and information sharing between departments ii) Lack of coordination and information sharing between regional and local administrations iii) Inappropriate organizational structure for strategic planning, monitoring and evaluation iv) Lack of central government issued methodology/guidelines for data collection, storage and analysis
Organizational Arrangements
i) Discuss the recommendations of the study with the regional administration and support implementation
KK project team
i) Influence national policy concerning data collection, sharing, storage, and analysis
i) Establish a working group at the national level on local level data collection, sharing, storage, and analysis
i) UNDP CO and UN Country team, relevant national government stakeholders ii) KK Project team
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Organizational
i) Increase awareness of departments on need for improved communication and information sharing ii) Increase awareness of departments on need for improved coordination iii) Raise stakeholder awareness on issues concerning coordination and information sharing between municipal and regional administrations iv). Increase awareness of the regional office of the governor on the appropriate organizational framework for regional strategy development, monitoring and evaluation
i) Functional analysis and business process mapping and reengineering on communication and coordination ii) Study to find out the appropriate organizational framework
i) Improve coordination and information sharing between departments in the regional office of the governor ii) Guidelines endorsed and applied by the regional office of the governor iii) Recommendations on data collection is endorsed by regional office of governor
i) Develop guidelines on why and how information sharing between departments can occur ii) Organize briefing workshop on the draft guidelines iii) Implementation of the recommendations on data collection, analysis and storage
KK project team
i) Documentation and dissemination of best practices and lessons learned from Kvemo Kartli experience
Individual i). The regional office of the governor has weak communication culture concerning consultation with and dissemination of
No short-term response
No short-term activities
No medium-term response
No medium-term activities
No long-term responses
No long-term activities
Enabling Environment
No short-term response
No short-term activities
No medium-term response
No medium-term activities
No long-term responses
No long-term activities
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information to communities ii) Weak system at the regional office of the governor to receive feedback from the community i). Agreement on the recommendations and implementation ii) Implementation of suggested community feedback mechanism
Organizational
i). Strengthen external communication system of the regional office of the governor ii) \Increase stakeholder awareness of issues related to existing community feedback mechanism
i) Functional analysis and business process mapping and reengineering on communication (linked to other activities) ii) Prepare analytical study on strengths and weaknesses of current feedback mechanism
i) Implementation of the recommendations on the reengineered processes ii) Hold workshop concerning findings of analytical report and other citizen feedback mechanisms iii) Select and implement new/improved citizen feedback mechanism
KK project team
No long-term responses
No long-term activities
Individual
No short-term response
No short-term activities
No medium-term response
No medium-term activities
No long-term responses
No long-term activities
i) Lack of technical and experienced staff to carry out the planning and budgeting activities ii) Lack of formal structure for involving different stakeholders in strategy preparation iii) Lack of supporting document or regulations to prepare strategic document (such as manual, guidelines for approving strategic documents and formation of working groups for the preparation of strategic documents) iv) Lack of appropriate methodology to design the strategic plan v) Inappropriate organizational structure for strategic planning, monitoring and evaluation (addressed above under organizational arrangements)
Enabling Environment
i). Increase stakeholder understanding on current planning methodologies in use ii) Increase stakeholder understanding on impediments to strategy implementation iii) Increase regional office of governor's understanding on the supporting document required for preparation of long-term strategy
i) Conduct study on current planning methodologies in use ii.) Provide recommendations on a comprehensive planning methodology for consideration by national government
i) Discuss the need for a manual on How to Prepare a Regional Strategy" with the regional administration
No long-term responses
No long-term activities
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Organizational
i) Increase stakeholders understanding on the advantages of having a formal structure of involving different stakeholders in the strategic planning process
i) conduct study on the organizational framework on strategic planning including involvement of different stakeholders (linked to the above activity)
KK project team
No long-term responses
No long-term activities
Individual
No short-term response
No short-term activities
i) Design generic and specific training for the staff of regional development unit
i) Organize training for staff of regional development unit on strategic and participatory planning ii) Organize exposure visit to one of the European countries having similar experiences
KK project team
No long-term responses
No long-term activities
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AppendixII CapacityDevelopmentResponseStrategyMatrix(LocalAdministration)
CD Response Table CD Response and Activities CD Level
Cluster
Short-Term Activities
ShortTerm Indicators
MediumTerm Activities
MedTerm Costs
MedTerm Indicators
Long-Term Activities
LongTerm Costs
LongTerm Indicators
i) Increase stakeholder awareness of staffing structure deficiencies ii) Define appropriate staffing structure for municipalities
i) Unclear or inappropriate criteria at municipalities for staffing structure (level and number) referring to executive
i) Functional analysis in collaboration with CEGSTAR (LINKED) ii) Design guidelines for staffing structure of municipalities iii) Workshop organized for municipal staff members, specialized governance organizations, Ministry of Regional Development, Governors office
Enabling Environment
Human Resources
i) KK Project in partnership with CEGSTAR, NALA and municipal authorities ii) KK Project in cooperation with NALA iii) KK project in cooperation with municipal government, NALA
i) Pilot testing implementation in two municipalities ii) Codification of pilot tests and documenting of lessons learned
i) Develop criteria for selection of municipalities, and subsequent selection of the two pilots ii) Application of staffing structure guidelines in two pilots iii) Codify process and make recommendations for improvement concerning the application guidelines
i) KK Project in collaboration with office of the governor and minister of regions, NALA ii) Municipalities with support from KK project iii) NALA with support of KK project
i) Scale up to all municipalities in KK region ii) Scale up to municipalities in other Regions iii) Influence national policy and guidelines
i) Organize workshop and present results to other municipalities, regional authorities, and minister of regions, NALA ii) Support preparation of decree on scaling up and application of guidelines iii) Apply guidelines in remaining municipalities in KK region
i) KK project ii) CEGSTAR and NALA iii) KK Project in collaboration with NALA and CEGSTAR
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i) Increase stakeholder awareness of civil service code and labour regulations ii) Lack of enforcement of civil service code (permanent staff being forced out when there are political changes) i) Workshop on current status/difficulties in enforcement of civil service code i) KK project in partnership with CEGSTAR and NALA i) Increase stakeholder awareness on options and best practices for civil service code reform i) Provide advice to municipal authorities on how to improve civil service code, experiences from new EU member states on civil service code reform, and provide project with best practices i) KK project in cooperation with independent expert(s) i). Influence amendment of civil service code i). Pilot test suggested civil service code improvements as noted by consultant i). KK project in cooperation with NALA and CEGSTAR
iii) No criteria for determining which recruitment process to use (professional vs. shortterm) and lack of awareness at municipal level of the recruitment procedures
i)\ Workshop with municipal and regional authorities to increase understanding of recruitment procedures
i) Define criteria for application of appropriate recruitment process (whether to choose permanent recruitment or short-term recruitment)
i) Scale up testing of criteria to all municipalities in KK Region ii) Influence national policy
i) Organize workshop and present results to other municipalities, regional authorities, and minister of regions, NALA ii) Support preparation of decree on scaling up and application of criteria iii) Apply guidelines in remaining municipalities in KK region
i) KK project ii) CEGSTAR and NALA iii) KK Project in collaboration with NALA and CEGSTAR
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iv) Promotion criteria not clearly defined in civil service code i) Increase stakeholder awareness concerning different options of promotion policies i) Conduct research on promotion policies relevant to Georgian context ii) Prepare advocacy materials to be shared with relevant stakeholders i) KK project in cooperation with municipalities, NALA, CEGSTAR, independent experts i) Influence national policy concerning promotion in civil service i) Organize workshop and present municipal perspectives and results of research on different promotion policies to national stakeholders i) KK project in cooperation with municipalities, NALA, and CEGSTAR
N/A
i) Influence policy dialogue based on pilot experiences No response in short term. No activities in short term. N/A No response in mediumterm. No activities in medium-term. N/A N/A N/A
i) Organize workshop to present experiences of pilot municipalities in applying performance evaluation criteria
i) Lack of job descriptions and standardized format (coverage, quality and inconsistency in format)
i) Develop generic/template job descriptions for department heads and two key staff per department in two pilot municipalities
Organizational
i) Functional analysis in collaboration with CEGSTAR (LINKED) ii) Develop job descriptions in cooperation with relevant Municipal HR focal points based on accurate description of the post's functions
i) Develop training manual on job description formulation ii) Hold workshop to train municipal administration in two pilots and regional administration on job description formulation
i) Scale up training to remaining five municipalities in KK region ii) Influence national policy and guidelines
i) Organize workshop to train administration in five other municipalities on how to formulate job descriptions.
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ii). Lack of standardized and transparent recruitment guidelines for short-term posts (duration of advertisement, what details are required in a ToR, where advertised, selection panel) iii) Fiscal and non-fiscal incentives are subjective no objective criteria that determine which staff will receive them, nor specification of type/amount of incentive
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
i) Develop fiscal and non-fiscal incentive policy and criteria for application of these incentives in the executive ii) Pilot testing of incentives policy in one municipality targeting executive and administrative unit of sakrebulo
i) Conduct study on current incentives being offered, and range of options based on staff feedback and best practices in new EU member states ii) Hold workshop for municipal executive and legislative representatives to gain buy-in on application of policy iii) Implement the pilot testing
i) KK project, independent experts, NALA, and municipalities ii) KK Project, NALA iii) KK Project and municipality
i) Document best practices and lessons learned of pilot, and disseminate to relevant stakeholders
i) KK Project, NALA
iv) Performance criteria for staff are not yet defined. Not linked to annual work plans (which are subsequently linked to department work plans)
i).- Develop performance evaluation guidelines and procedures No response in short term. No response in short term. N/A N/A N/A
i) Conduct study on current practices in performance assessment in Georgia and new EU member states
i) Pilot testing of performance evaluation in one municipality ii)Documentatio n and dissemination of lessons learned
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No response in the short term. Beyond scope of project related to education reform, and other factors.
Individual
N/A
N/A
N/A
No response in mediumterm.
No activities in medium-term.
N/A
N/A
N/A
N/A
N/A
N/A
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CD Response Table
Cluster
ShortTerm Activities
ShortTerm Costs
ShortTerm Indicators
MediumTerm Outputs (2009 & 2010) i) Increase awareness of municipal and central level stakeholders on lack of alignment and its impact on development at the local level
MediumTerm Activities
MedTerm Costs
MedTerm Indicators
Long-Term Activities
LongTerm Costs
LongTerm Indicators
i) Lack of alignment of local priorities and budget allocation provided by central government
No shortterm responses
No shortterm activities
N/A
N/A
N/A
i) Hold workshop on BDD and MTEF processes for municipalities in KK Region to ascertain impediments to their participation and understanding and to increase dialogue between national stakeholders and municipalities in KK region
i) Influence national policy concerning BDD and MTEF processes vis-vis municipalities
Organizational Arrangements
Enabling Environment
i) Ministry of Finance
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ii) Information fragmentation. Municipalities lack access to and/or understanding of key guidelines issued by central government (including budgeting, procurement, public expenditure management/ accounting and reporting, financial control, audit, laws and decrees, and delegated responsibilities) i) Establish clearinghouse of information related municipal functions, responsibilities, processes/ procedures No shortterm responses No shortterm activities i) Develop an inventory of all applicable laws, decrees, processes/ procedures relevant to municipal functions and responsibilities ii) Establish physical and e-library of information. i) CEGSTAR and NALA i) Clearly define functions, responsibilities, procedures and processes of municipalities. i) Analysis of laws, decrees, legal acts, procedures, etc. i) Central government
N/A
N/A
N/A
i) Increase awareness of departments in two pilot municipalities on need for improved communication and information sharing
Organizational
i) Improve coordination and information sharing between departments in two municipalities ii) Guidelines endorsed and applied by two municipalities i) Improve coordination between executive and departments in two municipalities Ii) Guidelines on improved coordination endorsed and applied by two municipalities
i) Develop guidelines on why and how information sharing between departments can occur ii) Organize briefing workshop on the draft guidelines
i) Documentation and dissemination of best practices and lessons learned from pilot experience
i) Increase awareness of departments and the head of the executive in two pilot municipalities on need for improved coordination
i) Develop guidelines on why and how coordination should occur ii) Organize briefing workshop on the draft guidelines
i) Documentation and dissemination of best practices and lessons learned from pilot experience
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iii) Lack of clear reporting lines within departments i) Mapping of existing reporting lines in all departments in two municipalities i) Functional analysis in collaboration with CEGSTAR (LINKED) i) KK Project in cooperation with CEGSTAR and two municipalities i). Scaling up of application of guidelines to other municipalities in KK Region i) Codification of lessons drawn from functional analysis ii)Implementation in five remaining municipalities i) KK Project i) Scale up endorsement and application of guidelines by municipalities across Georgia i) Documentation and dissemination of best practices and lessons learned from pilot experience in KK Region i). Documentation and dissemination of best practices and lessons learned from pilot experience in KK Region ii) Implement the process across municipalities. i) Central government, NALA
iv) Lack of alignment and overlap of departments' functions to the services municipality has to provide
i). Mapping existing department functions vis--vis services in two pilot municipalities
i) Workshop with all KK Regional municipalities on findings on mapping and proposed changes ii) Implement changes in department structure and functions in 2 municipalities
i) KK Project ii) Two pilot municipalities, and office of governor at regional level
i) Mapping of existing budgeting and financial manageme nt process in all departments in two municipalities
i) Improve transparency and understanding of financial management processes within departments in two pilot municipalities
i) Workshop with all KK regional municipalities on findings of functional analysis and proposed changes ii) Implement changes in two municipalities
i) KK Project ii) Two pilot municipalities, and office of governor at regional level
i) Documentation and dissemination of best practices and lessons learned from pilot experience in KK Region ii) Implement the process across municipalities.
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i) Raise stakeholder awareness on issues concerning coordination and information sharing between municipal and regional administrati ons i) Conduct study on existing practices and impediments to coordination and information sharing i) KK Project i) Improve coordination and information sharing between municipal and regional administration in KK Region i) Workshop with all KK Region municipalities on findings study and propositions ii) Implement changes in all municipalities in KK Region i) KK Project ii) Municipalities, and office of governor at regional level i) Influence national level stakeholders to endorse and replicate coordination and information sharing practices i) Documentation and dissemination of best practices and lessons learned from pilot experience in KK Region ii) Implement the process across Georgia i) KK Project with independent consultants ii) Municipalities and regional administration
vi) Lack of coordination and information sharing between regional and local administrations
Individual
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
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CD Response Table CD Response and Activities CD Level
Cluster
Short-Term Activities
ShortTerm Indicators
MediumTerm Activities
MedTerm Costs
MedTerm Indicators
Long-term Activities
Enabling Environment
No short-term responses
No short-term activities
N/A
N/A
N/A
i) Increase awareness of municipal stakeholders to provide unofficial translation of documents for those who do not speak or read Georgian
i) Prepare information package on citizen rights and responsibilitie s in languages other than Georgian and distribute to across KK Region
N/A
N/A
N/A
External Accountability
i) Municipalities have weak communication culture concerning consultation with and dissemination of information to communities Organizational
i) Develop draft communication strategy for two municipalities concerning consultation and information dissemination (including budget process and result)
i) Presentation by municipalities to citizens on communication strategy ii) Select public information focal point within municipalities iii) Implement communicatio n strategy
i) Raise awareness amongst five other municipalities in KK Region on need for communicatio n strategy
i) Document experiences of two pilot municipalities and share strategy and lessons learned
i). KK Project
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ii) Weak system among the municipalities to receive feedback from the community i) Increase stakeholder awareness of issues related to existing community feedback mechanism i) Prepare analytical study on strengths and weaknesses of current feedback mechanism i) KK Project i) Pilot test new/improved citizen feedback mechanism in two municipalities i) Hold workshop with two pilot municipalities concerning findings of analytical report and other citizen feedback mechanisms ii) Select and implement new/improved citizen feedback mechanism i) KK Project and municipalities ii) KK project and municipalities i) Raise awareness amongst other municipalities in Georgia on need for new/improved community mechanism i) Document experiences of two pilot municipalities and share lessons learned i) KK Project, NALA
No short-term responses
No short-term activities
N/A
N/A
N/A
i) Conduct study on existing practices in two pilot municipalities, document strengths and weaknesses of system, and provide recommendations for improvement ii) Discuss findings of study with two municipalities and implement agreed upon recommendations
i) Raise awareness amongst other municipalities in KK Region on need for new/improved oversight mechanism
i) KK Project, NALA
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iv) Weak citizen participation in accountability mechanisms i) Increased citizen participation in accountability mechanisms i) Support community in selforganization efforts through provision of examples/ models utilized in other countries and elsewhere in Georgia i) KK project, selected communities in two2 pilot municipalities i) Raise awareness amongst other municipalities and communities on community selforganization efforts i) Document experiences and share lessons learned i) KK project
No short-term responses
No short-term activities
N/A
N/A
N/A
I n d i v i d u a l
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
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CD Response Table CD Response and Activities Priority Issue (Description) CD Level Cluster
Short-Term Responses (by end 2008) i) Increase stakeholder awareness of existing data collection, sharing, storage and analysis practices
Short-Term Activities
ShortTerm Costs
ShortTerm Indicators
Medium-Term Responses (2009 & 2010) i). Influence national policy concerning data collection, sharing, storage, and analysis
MediumTerm Activities i) Establish a working group at the national level on local level data collection, sharing, storing, and analysis ii) Pilot testing in two or three municipalities based on recommendations made in the review
MediumTerm Responsible Parties i) UNDP CO and UN Country team, relevant national government stakeholders ii) KK Project
Medterm Costs
Medterm Indicators
Long-Term Activities
LongTerm Costs
LongTerm Indicators
i) Lack of central government issued methodology/ guidelines for data collection, storage and analysis Enabling Environment Strategy and Planning
i) Conduct review of current municipal, line ministry, and Statistics Department practices in area of data collection etc. and provide recommendations for improvement ii) Workshop for relevant central and regional government authorities and municipalities to present findings and recommendations of review
No long-term responses
No long-term activities
N/A
N/A
N/A
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ii). Lack of planning methodology and guidelines from the central government for the municipalities i) Increase stakeholder understanding on current planning methodologies in use ii). Increase stakeholder understanding on impediments to strategy implementation i) Conduct study on current planning methodologies in use ii) provide recommendations on a comprehensive planning methodology for consideration by national government i). KK Project, donors ii) other partners who have developed other planning methodologies i) Influence national policy concerning standardized planning methodology i) Workshop for relevant national and local stakeholders to discuss findings of study and endorse a standardized planning methodology i) UNDP CO, other donors who have developed planning methodologies, relevant national government stakeholders i) Apply standardized planning methodology across Georgia i)Conduct training of trainers of relevant national government staff to ensure that local level staff will be trained in new methodology i) To be determined
Organizational
i) Lack of proper participatory planning, implementatio n, monitoring and evaluation mechanism for projects and activities
i) Increase stakeholder awareness and capacity concerning participatory planning, implementation guidelines, and need for/purpose of monitoring and evaluation
i) Conduct stakeholder analysis and form working groups ii) Provide training for working groups on participatory planning iii) Data collection and situation analysis
i) Introduce participatory planning, implementation, M&E culture in two or three municipalities and regional government
i) Train department(s) on participatory planning, budgeting, implementation, M&E methodology ii) Implementation of selected pilot projects
i) KK Project
i) Documentation and dissemination of lessons learned and best practices from the pilot projects to other municipalities
i). KK Project
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ii). Lack of practice to share information with other municipalities within Kvemo Kartli region in relation to strategy development and planning i) Introduce concepts of inter-municipal cooperation and partnership to facilitate more effective and efficient strategy development, planning and implementation i) Conduct study on best practices in inter-municipal cooperation in Georgia and new EU member states and accession countries ii) Hold symposium for interested municipal stakeholders on findings of study i) KK Project i) Facilitate inter-municipal cooperation in regards to strategy development and project implementation i) Implement selected pilot projects with criteria that will encourage intermunicipal cooperation in terms of planning and implementation i) KK Project
No long-term responses
No long-term activities
N/A
N/A
N/A
i). Lack of technical and experienced staff to carry out the planning and budgeting activities
Individual
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AppendixIII ExecutiveSummaryofInstitutionalBaselineMappingReport
Strengthening Regional and Local Governance in the Kvemo Kartli region project started its implementation by UNDP in September 2007 with financial assistance from SIDA. The projecthasthefollowingobjectives: Improved regional governance: Increased capacity of the regional government to coordinate and facilitate the formulation and implementation of the regional developmentstrategyandplans. Improved local governance: Improved capacity of municipal officials to streamline administrativeproceduresandsystemsforefficientdeliveryofpublicservices. Secure policy mainstreaming of the projects experience: Documented policy experience of the project. Attempts taken to ensure that the experience of the project is utilized by other districts in the country as well as by policy makers at the national level.
Through a combination of capacity development tools, the project tries to enhance the seven municipalities and the regions ability to be both better governed and to deliver services to the full spectrum of local citizens, thus counteracting poverty and disadvantage intheregion. In order to implement these objectives, the Kvemo Kartli project initiated a capacity assessment by undertaking an institutional baseline mapping exercise to find out capacity strengths and weaknesses. The institutional baseline mapping exercise has covered the followingthematicareas: 1. 2. 3. 4. 5. 6. Organizationalandhumanresourcemanagementissues Planningandcoordination Budgetingandfinancialmanagement Procurementandservicedelivery Monitoringandevaluation Communicationandimplementation
There is also a separate chapter of questionnaires covering issues and challenges related to theSakrebulo(representativebody)7. Organizationandhumanresourcemanagementissues Thefollowingorganizational/humanresourcemanagementissueshavebeendocumented: Organizationalstructure
Inthisdocument,Sakrebulowillbereferredtoastherepresentativebody
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Basedonthesemanagementissues,somebroadconclusionscanbemade: The structure and number of staff within departments vary in each municipality. Even if the roles and responsibilities of departments are clearly defined by law, it is notcleartomostofthedepartments. Functionsoftheregionaladministrationaredefinedinthelawinverygeneralterms. The governance system of the region and municipalities as a whole is based on a strong upward accountability. Efficiency in administration, and ultimately in service delivery, is compromised as there is a considerable lack of clarity of functional responsibilities. Civil servants are occupied with ad hoc activities given by the head oftheexecutive. Theratioofthecivilservanttothepopulationis1:891.Mostofthecivilservantsare young and have one to ten years of experience. The ratio of minority staff to the total staff is very low, even though the minority population in the particular municipalitiesisveryhigh.Localauthoritiesdecidetheirstaffingstructureandcover thesalarycosts. There is significant training focused on the dissemination of information about new rules, regulations and policies. There is not, however, a sequenced program of training linked to wider policy objectives that targets a broad base of staff. Moreover, training is not systematically provided on the basis of identified training needs. There does not appear to be any performance orientation in the current training system. The decree of the Sakrebulo (representative body) defines the functions of departments, which determine individual job descriptions. But some of the departmentswithindifferentmunicipalitiesdonothaveindividualjobdescriptions. There is no formalized system of recruitment or of promotion and performance evaluation of civil servants. Recruitment of civil servants is done by the head of the
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executive8 with recommendations from heads of different department. Performanceofcivilservantsismeasuredbytheheadoftheexecutive. Planningandcoordination This section reviews the current planning process at both the regional and municipal levels. Someoftheimportantissuesinthissectorhavebeenexplainedbelow: Almost all municipalities mentioned the lack of a short, mid or longterm socioeconomic development strategy or plan. The exceptions are Tetritskaro, Dmanisi and Rustavi, who have recently started this process, but they do not follow aparticularmethodology. At the regional level, longterm plans are being prepared with support from UNDP, EC,OSCEandACH. Municipal plans are prepared on an ad hoc basis. The primary purpose of the municipal annual planning process is to define financial priorities as a part of the annualbudgetingprocess. Some municipalities' Decrees of the Representative Body on the Regulation of Activities of the Executive do not define clearly which department is responsible for the development and implementation of annual, medium and longterm socioeconomicdevelopmentplans. The problems in the planning process can be summarized as: lack of legislation and supporting decrees or documents that enable local authorities to prepare their socioeconomic development plans; lack of linkage between the planning and budgeting processes; lack of authentic data for analysis; and lack of involvement of allstakeholders. Noformalcoordinationmechanismexistswithinthemunicipalities.Theheadofthe executive calls for weekly meetings among departments to discuss various issues. Most of the time, different departments try to coordinate with other departments informallyratherthanbysendingformalletters.
InthisdocumentGamgeobawillbereferredasexecutive
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Internalauditmechanisms Arrangementsforcashmanagement
Thereviewhighlightsaseriesofweaknessesinthecurrentsysteminrelationtoprocedures, reportingandcapacityissues.Forexample: Weak linkages between capital and recurrent expenditure systems and misclassificationsofcapitalandrecurrentschemes; Asignificantdegreeofcentralcontrolcombinedwithalackoflocalfunds Recurrent expenditures are very high in some municipalities. This gives very little scopetothemunicipaladministrationtoplanfortheirdevelopmentalactivities. Current internal auditing mechanisms look strong having three types of auditing practices: inbuilt audit, which is done by the department of finance; external audit, which is done by external auditors hired by the representative body; and finally, centralauditfromthestatechamberofcontrol,whichauditsspecialprojects.
Procurementandservicedelivery This section is concerned with the procurement and service delivery processes at both the regional and municipal levels. Some of the findings in this section can be summarized as follows: There is considerable misunderstanding and misinformation concerning present procurementpractices. Some municipalities have established permanent committees, and some of the municipalitieshavetemporarycommitteeswithnopermanentmembers. Private sector capacity varies across the region. Some of the public services, which are delivered with support from the private sector, are electricity, gas, water provision, road construction, garbage collection, public health, sport, and culture andyouthservices.Someofthepublicservicesareprovidedbyorganizations(LTDs) establishedbymunicipalities. Existing operations and maintenance of services by regional and municipal administrations are limited. Some operations and maintenance expenditures are budgeted under capital projects, which are not guaranteed or regular. There is no scheduling of operations and maintenance. All municipalities are using an ad hoc, reactiveapproachtooperationsandmaintenanceneeds.
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Communicationstrategyandimplementation Thefollowingaresomeofthehighlightsofthissection: The information among different departments of the executive is shared formally and informally. The formal sharing of information is done via regular meetings with theheadoftheexecutivesandbyofficialletters.Informationfromthecommunityis collectedbytheexecutiverepresentativesbasedwithinthecommunity. Informationisnotcommonlysharedwithothermunicipalities. Information sharing between the municipal and local population is done by representatives of the executive within the community; local newspaper, television, radio,orpromotionalposters;andbymembersofrepresentativebody. Information sharing practices of municipalities are reactive and not proactive in nature. According to the law, information is open to the public. Citizens can write an official request to municipalities or to the regional office of the governor and collectinformation.However,theyhavetopayanominalfeeforthisservice.
Monitoringandevaluation Ingeneral,thereisnospecialmechanisminplaceformonitoringandevaluation. Someoftheactivities,whicharemonitoredatthemunicipallevel,arethefollowing: o A contract is signed between the executive and different organizations to undertake certain service delivery activities. Standards and conditions towards the project or service delivery are clearly defined in these contracts. A special commission of the executive inspects and assesses implemented works, conducts field visits and prepares reports. The commission recommends the department of finance to release payment after the evaluationoftheperformanceoftheproject. o Each department prepares an annual work plan on the basis of that planand implementsactivities.Theyreporttotheheadoftheexecutiveonamonthly basis, and the head of the executive monitors different activities undertaken by the departments. This report also gives enough scope to different heads ofdepartmentstomonitortheperformanceofindividualstaffmembers. Some of the indicators used by municipalities to monitor results are time, quality andopinionofthelocalpopulation.
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Representativebodyoflocalselfgovernment The issues and challenges of the representative body of municipalities can be summarized asfollows: LackofknowledgeofGeorgianlanguageisanimpediment. Lack of basic equipment for the members of the representative body to make their workefficientandeffective. Lowunderstandingoflocalselfgovernanceamongrepresentativebodymembers. Lack of budget to cover travel expenses makes it difficult for members to visit the communityregularly. Lackofhighqualificationsandunderstandingofthenuancesofthelaw. Perceived closeness of the regional office of the governor to the executive body of municipalitiesmakestherepresentativebodymuchweaker.
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AppendixIV PrioritizedCapacityGaps(Inconsultationwiththestakeholders)
1. LackofformalizedHRM(recruitment,promotion,incentive,performance evaluationandcommunityfeedbackmechanism)system. Mismatchoffunctionsandskills Lackofjobdescriptions(coverage,qualityandinconsistencyinformat) Unclearorinappropriatecriteriaatmunicipalitiesforstaffingstructure(level andnumber)
4. Lackofshort,medium,andlongtermstrategies Lackofmethodologyfordesigningstrategies Lackofclarityonresponsibilityofanyparticulardepartmenttodesign strategyformunicipality Lackofproperparticipatoryplanning,implementation,monitoringand evaluationmechanismforprojectsandactivities Lackofplanningmethodologyandguidelinesfromthecentralgovernment forthemunicipalities Limitedscopeforrespondingtolocalpriorities Lackoftechnicalandexperiencedstafftocarryouttheplanningand budgetingactivities
5. Lackofweakcommunicationculture
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Disseminationofinformationwithcommunity Lackofaccesstoinformationforthemunicipalities(civilservants)regarding therevisionoflawanddecreebythecentralgovernment LackofknowledgeandunderstandingofGeorgianlanguageformanycivil servantsandrepresentativebodymembersinsomeofthemunicipalities Inappropriatesystemamongthemunicipalitiestoreceivefeedbackfromthe community Lackofpracticetoshareinformationwithothermunicipalitieswithinthe KvemoKartliregionofGeorgia Lackofdialoguebetweenlocalandcentralgovernment
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ppendixV Samplequestionnaireforplanningandcoordinationcomponent
Baselinemapping StrengtheninglocalandregionalgovernanceintheKvemoKartliregion
Department/Organisation Interviewer Date
Notstartedyet Yes No
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2.4Ifyes,thenwhatarethey? 1 2 3 4
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2.7Nameofthestakeholdersinvolvedinpreparingthemunicipalitystrategyoractionplans? 1 2 3
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