Methodology For The Assessment of Municipal Capacities in Turkey and The Western Balkans

Methodology for the assessment of municipal capacities in Turkey and theWesternBalkans to deliver services
User guide and questionnaire
User guide
Municipal service delivery capacity assessment - Turkey and the Western Balkans
Contents
Glossary of acronyms Introduction Purpose of this capacity assessment methodology Climate change and economic crises Social inclusion and local service delivery UNDP capacity assessment framework Working with stakeholders The questionnaire Survey implementation Sampling Piloting the questionnaire Verifying results Survey data analysis Gap assessment and prioritization Following up the capacity assessment programming and measuring capacity development Resources Annexes Glossary of key terms References Optional supplementary questions For Part 2 of the Questionnaire Services that are the sole responsibility of the municipality For Part 3 of the Questionnaire Services where responsibility is shared by the municipality with one or more other service delivery organizations 121 136 138 144 170 3 4 4 8 12 15 17 19 23 23 25 26 27 34 37 44 45 46 47 50 51
Questionnaire Part 1 Part 2 Part 3
This document was produced by the Capacity Development Practice, UNDP Bratislava Regional Centre, RBEC May 2010 2 more information, please visit: http://europeandcis.undp.org/cd For
User guide
Glossary of acronyms
BRC CAF CD CDLR EC EU FYROM GHG IPA LSE MDG NGO PPP UNCDF UNDP UNICEF UNIFEM UNDP Bratislava Regional Centre UNDPs Capacity Assessment Framework Capacity Development Council of Europe Steering Committee on Local and Regional Democracy European Commission European Union Former Yugoslav Republic of Macedonia Greenhouse Gas Instrument for Pre-Accession London School of Economics and Political Science Millennium Development Goal Non-Governmental Organization Public Private Partnership United Nations Capital Development Fund United Nations Development Programme United Nations Childrens Fund United Nations Development Fund for Women
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Introduction
Access to basic services such as drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education, is vital for poverty reduction and the achievement of the Millennium Development Goals (MDGs). Moreover, these services are covered by the European Union (EU) acquis communautaire, which countries in the region will need to incorporate into national legislation, and implement, as they approach membership of the EU.
Typical challenges during this long decentralization process include, for example: 2 yy Fragmentation of administrative structures; yy Undefined roles of some actors; yy Lack of clarity in assignment of responsibilities between key actors; yy Incomplete reforms leading to conflicts between old and new systems;
yy Conflicts between emerging sectoral stratArticle 3 of the European Charter of Local egies and the decentralization process; Self-Government1 defines local self-government as the right and the ability of local au- yy Lack of accountability and transparency thorities, within the limits of the law, to reguat the local level; late and manage a substantial share of public affairs under their own responsibility and in yy Insufficient local expenditure autonomy; the interests of the local population. yy Mismatches between local fiscal requireIn the Western Balkans and Turkey, fiscal planments and resources; and ning, and operational decentralization has transferred much responsibility to local struc- yy Lack of local capacity to manage and detures that often lack the capacity to deliver liver services efficiently. these services effectively. Population changes, migration, and urbanization, place additional demands on systems that already struggle to provide reliable, quality services on an equitable basis to all groups in the community, in a responsible and sustainable manner.
Purpose of this capacity assessment methodology
This last point highlights the additional challenge for local administrative structures across the region, of ensuring that reliable, quality services are available to, and meet the needs of, numerous socially excluded groups, including women, ethnic and religious minorities, old people, people with disabilities, and other groups that are typically vulnerable to social exclusion.
This capacity assessment methodology (including the capacity assessment questionnaire) has been developed in response to a need identified by EU member states, and EU candidate and potential candidate countries3 to enhance the capacities of the latter two to achieve development goals.
http://conventions.coe.int/Treaty/EN/Treaties/Html/122.htm
See, for example, Albania: Decentralization in Transition. Volume I: Summary Report and Matrix of Issues and Options. February 2004. Poverty Reduction and Economic Management Unit, Europe and Central Asia Unit http://ec.europa.eu/enlargement/countries/index_en.htm
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This capacity assessment it is intended to identify and address strategic issues within each country that will have the most impact overall on the delivery of five basic services in each country, taking into account the limited resources available for capacity development responses. Services covered Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education This methodology does not aim to identify and address all capacity gaps in all regions of all countries. It is also not intended as a tool to identify and address service delivery gaps on a municipality by municipality basis.
yy in a manner that is responsive to the differing requirements and needs of different groups of citizens within the community yy equitably to all citizens yy at a price they can afford yy of the required quantity and quality yy at the time required yy in compliance with local, regional, national, and international obligations, regulations, and recognized best practices yy in a responsible and sustainable manner Capacity = Mandate Motivation Means Responsibility Authority Incentives Accountability Funding Staff Knowledge & skills
The methodology also aims to support canThe methodology is limited to services that didate and potential candidate countries to are delivered exclusively by municipalities, meet the requirements of EU policies in the 4 and to a lesser extent, services that are de- areas of social protection, social inclusion, livered with the involvement of other service and the environment (specifically water delivery organizations. It does not cover ser- quality and waste management). vices for which municipalities have no responsibility, or for which they have minimal The methodology thus provides an opporresponsibility. Thus, in some countries, the tunity for the United Nations Development methodology may not cover all five of the Programme (UNDP) to add value to the acabove services, where municipalities have cession process. little or no involvement in the delivery of one While these services are the primary focus of or other of these services. this methodology, it will also provide insight For the purposes of this capacity methodol- into the capacity to deliver other services and can be readily adapted to help assess ogy, service delivery capacity is defined as: capacity in other specific areas. The mandate, motivation, and means to provide services required and needed by local citi- The target audience for this user guide is primarily staff of UNDP country offices in Turkey zens: and the Western Balkans who are currently yy in a manner that is responsive to changes in involved, or may become involved, in the assessment of municipal capacities. requirements and needs over time The guide is also intended for other parties
4 http://ec.europa.eu/social/main.jsp?langId=en&catId=750
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that have a role or interest in any assessment The results of capacity assessment are inof municipal capacities in EU candidate and tended to be used jointly by central, regional, potential candidate countries, and these will and local stakeholders in each country to: include, among others: yy Identify and prioritize capacity gaps; yy Central, regional, and provincial authorities; yy Identify, design, implement, and review yy Associations of municipalities; appropriate capacity development reyy Groupings of other public and private secsponses; and tor service delivery organizations; yy Local and national non-governmental or- yy Support capacity development funding ganizations (NGOs); requests by demonstrating a clear link yy Citizens representatives; and between capacity development project yy European Commission Delegations. proposals and real, evidence-based needs that are well defined and documented.
Country by country strategic assessment

This methodology is part of a country by country capacity assessment process. This means that while the results may be used to make comparisons between sub-national regions within countries, they should not be used to make comparisons between different countries. The process is intended to be owned and steered by national stakeholders, including central, regional, and local authorities, NGOs, and local citizens. While it is expected that UNDP country offices will initially play a prominent facilitating role in implementing the methodology and translating the results into follow-up actions, the aim should be to develop and embed sustainable capacity in each country to carry out subsequent rounds of capacity assessment in other thematic areas, relying increasingly on national expertise and resources, systems, processes, and procedures, and less on external support.
The methodology takes the municipality as the starting point, but recognizes that other actors are involved to varying extents, at local, regional, and central levels, and in the public and private sectors. These are referred to in this user guide as other service delivery organizations. In some cases these organizations may be delivering services in partnership with the municipal authorities, while in other cases, there may be little or no municipal involvement. Whatever the relationship, stakeholders at the municipal level will nevertheless be in a position to provide valuable insight into the availability, reliability, and quality of services delivered by other service delivery organizations within their communities. This exercise builds on the experience of a survey and assessment carried out in Bulgaria in 2004 to assess municipal and district capacities to absorb EU Structural and Cohesion Funds.5 That exercise, which was implemented by UNDP and the Ministry of Regional Development and Public Works, with the participation of the National Association of Municipalities, covered 24 districts and 209 municipalities. In 2005, the findings
5 http://www.undp.bg/publications.php?id=1670. A follow-up survey and assessment were carried out in 2006.
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of that assessment were used extensively in the development of part of the Structural Funds operational programmes for Bulgaria. A complementary exercise was carried out in Bulgaria in 2006 to assess the capacity of NGOs and businesses to participate in the absorption of these Funds.6 This covered all 28 districts and 243 Bulgarian municipalities.
tool developed by UNDP in early 2008 to assess the capacitiesw of municipalities in the Western Balkans and Turkey to absorb EU Instrument for Pre-Accession (IPA)7 funding. In 2008, the UNDP municipal capacity assessment methodology was piloted in the Western Balkans. Two pilot municipalities were selected in each of six countries and Kosovo. In close cooperation with key stakeholders, capacity assessment (CA) reports and capacity development (CD) action plans were developed for each of the 14 selected municipalities. Round table discussions were then held at the national level to discuss the findings and recommendations of the assessments with a view to identifying and implementing local (decentralized) CD actions in each country and Kosovo8. The results of the pilot capacity assessment are summarised in the document Capacity Development for Quality Public Service Delivery at the Local Level in the Western Balkans. In applying this methodology, it is important to take account of other, related, work that has already been carried out, is currently being carried out, or is expected to be carried out. Implementation of this capacity assessment methodology should not duplicate other efforts, but should, where possible, incorporate the results of other similar exercises, and focus on issues that have not already been covered, or are not expected to be covered in the near future.
Capacity Assessment
Support with analysis
Facilitation of process
Programming
Additional in-depth analysis (who,how,when,where) Ensuring programme logic and quality of design
This methodology also draws on a similiar

6 http://www.undp.bg/publications.php?id=1766. This assessment was carried in the framework of the UNDP Ministry of Regional Development and Public Works joint project Strengthening Partnership in the Planning and Absorption of the EU Structural and Cohesion Funds. 7 8 http://ec.europa.eu/enlargement/how-does-it-work/financial-assistance/ instrument-pre-accession_en.htm Hereafter referred to in the context of the UN Security Council Resolution 1244 (1999)
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Identification of innovative solutions As well as identifying gaps and needs, the capacity assessment is a useful mechanism for identifying innovative solutions and best practices already being implemented by municipalities. Such examples may then act as an inspiration or catalyst for other municipalities. In Serbia, one municipality has a development plan for education. In Kanjiza, an association of education professionals was created. The organization has overcome legal obstacles and ensures a coordinated and strategic development vision for education in the municipality. This demonstrates how strategy can be influenced locally, despite a legal framework that does not envisage significant local input in this area. In Delnice, Croatia, a group of municipalities share the communal water supply enterprise. This is a good example of shared service delivery for municipalities that are too small, or that lack sufficient financial resources to organize their own. Capacity assessment recommendations and action plans should actively encourage exploration of flexible and innovative solutions. This is particularly important if municipalities are to respond to changing demands and shocks in the operating environment, including demographic changes, economic shocks, and climate change. This is likely to involve significantly more strategic and operational co-ordination and co-operation between municipalities, and an increasing use of public-private partnerships.
Climate change shocks are also likely to exacerbate economic crises in some situations. For example, in Moldova, a recent drought meant that the rural population was already in a vulnerable position as the economic crisis unfolded.9 The possible future combination of economic and climate change crises and shocks has the potential to catalyze significant social and political unrest. Significantly enhanced municipal capacity is therefore vital, not only to address the major challenges presented by climate change, but also to identify and address other risks that could potentially compound an already serious situation. The UNDP document, Charting A New LowCarbon Route To Development,10 highlights the importance of local and regional authorities in adapting to, and mitigating the effects of, climate change. Greenhouse gas (GHG) emissions are largely the result of the activities of regional and local actors (including households and individuals).
While relevant policies are set at the national level, they are largely implemented at the regional and local levels. Effective decentralization and clarity in the division of responsibilities are made all the more important by this heavy responsibility. Greater decentralization is required to enable local and regional actors to implement climate change policies Climate change and the economic crisis in a way that is fine-tuned to local charactershare certain common characteristics. They istics, such as, geography, population densiboth present the possibility of major shocks ty, a mix of economic activities, existing local that may lead to social and political instabil- legislation and policies and strategies. ity. The poor and socially excluded are most vulnerable, as they tend to be the least insulated from such shocks, and they lack access to resources and support networks to mini- 9 Impact of the global financial crisis on local communities in Moldova, UNDP mize their effects. Moldova, August 2009
Climate change and economic crises
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http://www.undp.md/presscentre/2009/ILDP_Report_Crisis/Report_impact_financial_crisis_eng.pdf http://www.un.org/esa/dsd/dsd_aofw_cc/cc_pdfs/cc_sideevent1109/ Charting_carbon_route_web_final_UNDP.pdf
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More decentralization is also needed to enable local administrations to react quickly and appropriately to shocks and crises, including climate-related and economic problems. The UNDP report Impact of the global financial crisis on local communities in Moldova notes that the lack of decentralization combined with slow decision making at the central level have undermined the ability of local authorities to react quickly to the current economic crisis, thereby making a difficult situation worse for local communities. Heavy reliance on budget transfers from the central government undermines the ability of local authorities to allocate budgets to those issues that they consider to be the highest priorities, and utilize funds in the most efficient manner. It also acts as a disincentive to municipalities to stimulate local business, as there is a lack of linkage between the performance of the local business sector, and the revenue that municipalities are able to collect from the sector.
Depending on how hot the world actually becomes, effects are expected to include widespread species extinction, and large scale displacement of people due to flooding and reduced food production. Adaptation to climate change is not only about limiting the risk of exposure to sudden catastrophic events, and planning for such events. It is also about introducing fundamental changes in socio-economic behaviour in order to adapt to more gradual, long-term climateinduced changes. Municipalities have a four-fold responsibility with respect to adaptation to, and mitigation of, climate change. These three key areas need to be brought together in a coherent and workable climate change adaptation and mitigation policy.
Firstly they need to limit their own GHG emissions. This includes, for example, reducing energy consumption in municipal buildings and by municipal vehicles, and reducing reliance on fossil fuels. Municipalities can also limit and reduce GHG emissions in the longer term through careful infrastructure Relevant and innovative solutions to climate planning. For example, higher quality infrachange and economic challenges are likely structure with a longer working life may be to be developed at the local and regional more expensive in the short term, but it will levels, rather than the central level. Effective not need to be replaced so frequently, and decentralization is needed to release this po- maintenance costs are likely to be lower. tential. Therefore, the cost of ownership is likely to Enhanced decentralization means address- be lower in the long run, and, in the long ing capacity gaps at all three capacity as- term, construction and maintenance operasessment entry levels, namely, the enabling tions will emit lower levels of GHGs. Careful environment, the organization, and the indi- consideration of construction materials and vidual. techniques can also limit GHGs. The effects of climate change are now unavoidable. Average temperatures are currently forecast to increase by approximately 2C relative to 1990 levels by 2050.
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Municipalities can also reduce GHG emissions, reduce costs, and enhance the environment by improving the efficiency of operations and co-ordination with other actors.
Manufacturers can be encouraged to reduce packing (even if they are located outside the region), by requiring retailers to dispose of packaging returned to them by consumers. Awareness can be raised amongst school Secondly, municipalities need to implement children by including relevant topics and policies that limit the emissions of other lo- activities into the school curriculum. The becal actors, including businesses and house- haviour of professionals can be influenced holds. by courses and information events initiated by the municipality. This means changing the behaviour of these actors. In some cases, this can lead to a dou- Increased recycling, while not necessarily dible benefit. rectly reducing municipal energy consumption for transport and processing, does, howFor example, if household waste is reduced, ever, reduce the need for landfill sites and this will require less energy to transport and should reduce manufacturing-related GHG process, and it means that less energy will emissions. have been consumed in manufacturing and transporting materials, such as packaging, Thirdly, municipalities need to develop longthat will eventually be discarded. In addition term infrastructure and resource utilization to GHG benefits, waste reduction has other plans that fully take into account the likely benefits: impact of future resource utilization on GHG emissions. yy Enhanced environment (fewer waste vehicle kilometres per year and reduced need This includes, for example, zoning to limit for new landfill sites); urban sprawl and thus limit long daily commutes. This could be linked to improved yy Reduced transport costs; and public transport infrastructure. Zoning may be necessary to limit construction in areas at yy Reduced waste management costs, such risk of flooding and on land that is important as the creation and management of land- for the management of natural water flows. fills. Long-term planning of forest utilization is necessary to balance the need for GHG-neuMunicipalities can influence the behaviour of tral construction materials and fuels against businesses, professionals, households, and the need to maintain and increase the area school children. Behaviour changing strate- of forests, which are a critical sink for CO2. gies include, for example, charging house- Even where municipalities do not have direct holds and businesses for waste removal on responsibilities in these areas, they should the basis of weight.11 nevertheless be able to contribute to the decision making process in a knowledgeable and assertive manner.
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In England, for example, municipalities are considering the introduction of technology on bins and waste collection vehicles that would enable the waste collected from each household to be accurately recorded.
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Fourthly, municipalities have a role in at increase the flexibility of local authortracting and promoting green industries and ities to address constantly changing services locally. This can stimulate local ecorisks and challenges nomic development, as well as helping to adapt to, and mitigate the effects of, climate yy Full recovery of the cost of services, inchange. cluding provision for maintenance and depreciation. Recent research in the WestClimate change adaptation and mitigation ern Balkans indicates that this is a signifirequires that municipalities enhance their cant problem.12 capacities in the following areas: yy Knowledge of sources of climate change adaptation and mitigation funding. Acyy Identification and analysis of climate cess to funding will require that municichange risks for the municipality, and palities can demonstrate: identifying response strategies and actions; capacity to utilize the funding effecyy Short- and medium-term risk analysis and tively, including coherent investment disaster/crisis planning; plans that address the most imporyy Incorporating adaptation into policy and tant long term, as well as mediuminvestment decision-making; and short-term priorities; and yy Co-ordination with other local and region understanding of the requirements al actors to plan and implement regional and expectations of different donors. mitigation strategies and actions; Enhancement of these capacities are yy Estimating the impacts of long term infranot only essential in order to adapt structure and resource utilization strateto mitigate the effects of climate gies; change, but they are also highly deyy Incorporation of national, regional, and sirable to improve the overall service local climate change mitigation policies delivery capacity of municipalities, into existing sectoral policies, and solving especially during times of economic conflicts between between different policrisis, when municipal budgets are cies; under significant pressure. yy Clear and effective public communication about difficult choices, and potential benefits of climate change mitigation actions; yy Long term investment planning; yy Planning and management of operations to improve efficiency; yy Institutional restructuring to:
streamline human resource management and eliminate positions that do not add value (i.e. jobs that exist largely as a social service for the job holder) emphasize major issue and themes rather than sectors
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Capacity Development for Quality Public Service Delivery at the Local Level in the Western Balkans, UNDP Europe and the CIS & SNV Netherlands Development Organisation, May 2009. http://europeandcis.undp.org/cd/show/A68ABF95-F203-1EE9-B8DCEFB6D8151472
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The current economic crisis is characterised It is vital that reliable, high quality public at the local level by: services are readily accessible and affordable for the poorest and most marginalised yy Increased cost of finance and raw materi- members of the community to guarantee als for businesses; their human rights, and to achieve poverty yy Increased unemployment. Recent re- reduction targets, MDGs, and other national search in Moldova13 suggests that this is development goals. likely to be larger than indicated by official statistics, as many people are discouraged A major aim of this capacity assessment is from seeking work and do not register thus to promote the rights and participawith employment offices, as they believe tion of poor and socially excluded individuthat there are unlikely to be any suitable als through a process of social inclusion opportunities; within service delivery (exclusion and povyy Return of migrant workers resulting in sig- erty are related - poor people are often sonificantly reduced overseas remittances cially excluded but they are not the same in and increased pressure on local public ser- concept).14 vices, together with reduced demand for local goods and private sector services; The questionnaire therefore includes quesyy Downward pressure on wages, even in tions that directly address the accessibility businesses that continue to perform rela- of public services to these groups (includtively well; ing quality and affordability) with respect to yy Increased risk of crime and corruption; their needs, their participation in defining yy Increased poverty, and thus increased these services, and their participation in serof vulnerability to crimes such as human vice delivery. trafficking; and yy Increase in psychological problems, such What is social exclusion? as depression.
Social inclusion and local service delivery

Promoting social inclusion through service delivery
A key aspect of this methodology is that it focuses on the capacity of municipal administrations to deliver services to all sectors of the community, in particular those members of the community facing increased risk of poverty and social exclusion.
13 Impact of the global financial crisis on local communities in Moldova, UNDP Moldova, August 2009
Social exclusion is the official or unofficial, systematic disenfranchisement, alienation, and/or exclusion of specific groups within society on the basis of race, ethnicity, gender, age, income, health status, etc. Social exclusion prevents affected groups from accessing opportunities, services, and rights that are freely available to the rest of society.
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Social inclusion is a process which ensures that those at risk of poverty and social exclusion gain the opportunities and resources necessary to participate fully in economic, social and cultural life and to enjoy a standard of living and well-being that is considered normal in the society in which they live. It ensures that they have a greater participation in decision-making which affects their lives and access to their fundamental rights. Source: Report on social inclusion 2005. An analysis of the National Action Plans on Social Inclusion (2004-2006) submitted by the 10 new Member States. EC Directorate-General for Employment, Social Affairs and Equal Opportunities, February 2005.
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Social exclusion may appear in numerous areas, such as national and local politics, community planning and decision making, employment, healthcare, education, local infrastructure, justice, etc. Groups that are typically socially excluded are women, ethnic and religious minorities, people with disabilities, and old people. There are numerous groups who are socially excluded in the Western Balkans and Turkey. They include: yy Women; yy Women and men with low incomes (the unemployed, the elderly with no pensions, single-parent families, families with more than two children, single mothers, and older women); yy Internally displaced people and migrants (e.g. Kurds), refugees, and vulnerable ethnic minorities (e.g. Roma);15 yy People with special needs (people with disabilities, mental problems, and illnesses); yy Other groups that are not so numerous but those which face the challenges of extreme poverty, such as the homeless, former addicts, and Roma.16
The pilot capacity assessment in the Western Balkans noted that in Serbia, primary education is socially inclusive with respect to persons with disabilities, and that municipalities have taken steps to facilitate their movement around school facilities. There are civil society organizations active in this area, and they are reported to have capacity for policy analysis and advocacy, as well as taking part in actual service provision. This is a good example of how civil society organizations can influence local government policy and participate in service delivery. Although not covered by the Western Balkan pilot capacity assessment, a strong example of social inclusion is nevertheless provided by the municipality of Lom in North West Bulgaria.17 The municipality comprises the town of Lom and 10 villages, with a total population of 32, 602, of which 81 percent live in the town of Lom. Official figures indicate that Roma comprise 18 percent of the population, although unofficial estimates put the figure at 40percent. Roma have been subject to systematic social exclusion in Bulgaria over a number of years, leading to growing long term unemployment, deteriorating infrastructure and living conditions, and reduced access to quality social services, health care, and education. Since 2003, the municipality of Lom has incorporated a strategy for the social inclusion of Roma as an integral part of its long term development plans (starting with the 2004-2007 plan and continuing with the 2007-2013 plan). The Roma community has been actively engaged as a key stakeholder, and this, together with the municipalitys growing functional and technical capacities, has led to visible social inclusion outcomes. Social inclusion is now recognised as integral element of the municipal mandate in Lom.
The gender aspect of social exclusion in the region

The post-socialist transition has affected women and men in different ways in the Western Balkans. Data gathered in the region indicates that womens access to assets, property, and political representation has declined relative to men.
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Turkey is a majority Muslim country but constitutionally a secular state that guarantees substantial rights to religious minorities, Jews, Greeks and Armenians. According to the Copenhagen Criteria Kurds (who constitute over 20 percent of the population), Assyrians, Laz, Roma and many others are also considered minorities. In some regions, these groups are the majority and may not identify themselves as minorities. Users should be aware of this when planning and implementing a capacity assessment utilizing this methodology. This summary builds on information given in MDG and Human Development Reports in the region where the EU indicators on poverty and social exclusion (the Laeken indicators) have been introduced progressively. However, not all data required by the Laeken indicators is currently available, especially not on a regional and municipal level.
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See Capacity Development of Public institutions: The key link to achieving social inclusion outcomes in the Europe and CIS Region, Anna Bengtsson, 15 September 2009.
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Poverty rates and unemployment levels among women are higher than for men, and women have seen a comparative reduction in their salaries, relative to mens.18 One reason is that at the beginning of the 1990s, women were forced out of the labour market in far greater numbers than men, and pushed into lower paying jobs in the public sector or service industries.19 Another reason is that they have lost many of the rights they enjoyed under the previous system. This had provided them with basic security in the fields of employment, health and childcare, and even some ideologically limited, but still real, political participation. As women tend to spend more time on childcare and unpaid work than men, due to socio-cultural factors, mothers (especially single mothers) in the region now face real challenges in reconciling work and family life (the so called double burden). Domestic violence and trafficking for sexual exploitation are major health threats, that affect women in particular. Available data suggests that participation in local and national government in the region is considerably lower for women than for men. For example, in three countries (Albania, Montenegro and Turkey) women hold fewer than 10 percent of seats in parliament. In all countries, female participation is below 30 percent. It is more difficult to draw conclusions about womens participation in local government due to lack of data and institutional differences within the region. Nevertheless, the available data indicates that women are under-represented at the local level as well.
The pilot capacity assessment in Albania mentions high, longterm unemployment amongst women. The report also provides a breakdown of interviewees by gender.
Promoting womens involvement in Public Private Partnership (PPP) for local service delivery.20
Questions to assess the municipalitys capacity to promote the involvement of women as no The pilot capacity assessment in Albania mentions high, long-term unemployment amongst women. The report also provides a breakdown of interviewees by gender. n-state providers of basic services have been included in the questionnaire (see, for example, No.42). To develop this capacity, municipalities should encourage women to assume greater responsibility in private decision-making bodies and local service delivery organization by supporting preference policies and administrative measures facilitating womens involvement, as well as supporting womens shareholding in private businesses contracted to deliver local public services through PPP arrangements, and by providing investment financing and microfinance to women entrepreneurs.21 Local authorities should also undertake research in service sectors where women are less represented (such as water supply, energy, and transportation), especially in rural areas, to identify opportunities for business that could be led by women through PPP arrangements.
20 18 Development and Transition, 8th issue - Gender in Transition. UNDP and London School of Economics 2008, available at: http://europeandcis.undp. org/gender/show/D99F035D-F203-1EE9-B29C9BCC4D51CA75 The Story Behind the Numbers: Women and Employment in Central and Eastern Europe and the Western Commonwealth of Independent States. UNIFEM 2006, available at: http://www.unifem.sk/index. cfm?Module=Static&page=w&s=IWP
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PPP-SD is a UNDP grant facility set up to support developing countries to promote PPP as a mechanism for improving delivery of basic services such as water, sanitation and waste management: http://www.undp.org/capacity/ local.shtml The recommendations stem from the Report of Regional Meeting on Gender and Capacity Development for Public Private Partnership for local public services delivery in Dakar 3-6 September 2007 organised by the UNDP Gender Team, the Public Private Partnership for Service Delivery (PPP-SD) Programme, and Capacity 2015 Africa.
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Finally, assessments of both the individual and organizational capacity of the municipality to deal with gender related issues in service delivery should be undertaken to analyze, for example, its capacity to formulate gender-sensitive and pro-poor PPP policies, its capacity to mobilize resources for gender and capacity development and its capacity to play a monitoring role.
enabling environment or the individual. The enabling environment is particularly important in the context of this capacity assessment methodology, since the delivery of services at the municipal level is complicated by factors beyond the immediate control of municipal stakeholders, such as:22 yy The clarity of roles and responsibilities of different actors; yy The ability of the municipality to raise funds with which provide services; yy Limitations on the use of grants or transfers from central government; yy Access to capital for investment in service infrastructure. The capacity assessment methodology approaches the CAF from the perspective of functional capacities. It should be noted that, in the context of the CAF, functional and technical capacities are not the same.
UNDP Capacity Assessment Framework

This capacity assessment methodology is based on the UNDP Capacity Assessment Framework (CAF). The CAF can be visualised as a three dimensional matrix. The three dimensions are functional capacities, core issues, and points of entry. This capacity assessment methodology focuses on the organizational point of entry, since the aim is to assess the capacities of a particular type of organization, namely municipalities and other service delivery organisations. However, it is not possible to look at a single point of entry without touching on the other two, and there are therefore questions relating to either the
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See for example, Report No.: 27885-ALB, ALBANIA: DECENTRALIZATION IN TRANSITION Volume I: Summary Report and Matrix of Issues and Options, February 2004, Poverty Reduction and Economic Management Unit, Europe and Central Asia Unit, World Bank.
Two dimensions of the three dimensional Capacity Assessment Framework Functional capacities Engage and build consensus amongst all stakeholders Institutional arrangements Leadership Knowledge Mutual accountability Assess situation and define vision and mandate Formulate Budget policies, manage and strategies, and implement actions Monitor and evaluate
Core issues
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Technical capacities are sector-specific skills, Steps in the capacity assessment exercise knowledge, and institutional structures that are needed to fulfil a specific role in a given The capacity assessment exercise consists of sector, such as agriculture, healthcare, edu- several steps, of which the capacity assesscation, law enforcement, and others. ment survey is one. Other steps include analysis and interpretation of the survey feedFunctional capacities, on the other hand, are back, verification of the survey results (e.g. not sector-specific. These are the general by means of focus groups and/or follow-up managerial skills, knowledge, leadership, interviews), benchmarking, gap identificaand institutional arrangements that any in- tion, and gap prioritization. stitution requires to perform its function effectively, regardless of which sector it is in. This methodology does not aim to assess technical capacities. This is not within UNDPs mandate or area of expertise. UNDPs mandate is to build managerial capacity. Where obvious technical problems are identified, other relevant United Nations agencies or other actors should be involved. While taking the CAF as its starting point, this methodology does not include questions specifically for each of the CAFs five functional capacities and four core issues. The CAF is an excellent framework for conceptualizing a capacity assessment and approaching the capacity assessment exercise, but it is not a blueprint for a capacity assessment questionnaire and must be adapted. From the practical point of a questionnaire, there would be an overlap between the different functional capacities and core issues as some questions would be applicable for several different areas. Sticking rigidly to this framework when developing a questionnaire tends to result in (1)an unmanageably large number of questions, and (2)repetition between different sections of the questionnaire.
Initial Survey
Survey
Identify gaps
Address needs
Address needs
These steps should then be followed up with a detailed analysis of the prioritized gaps in order to identify and design appropriate capacity development responses. Implementation of capacity response strategies should be monitored and the results evaluated. Further capacity assessment should be undertaken to identify if gaps remain or if new gaps have arisen due to changes in the operating environment that may have an impact on municipalities.
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Thus, capacity assessment and capacity devel- yy Encouraging stakeholders to think at an opment form part of a continuous cycle, and early stage about how capacity gaps will be addressed so that relevant actions can should be carried out at regular intervals to be planned and implemented in a timely take account of the constantly changing opermanner. Leaving this until the capacity asating environment, and to assess the effective23 sessment has been finalized means that it ness of capacity development responses. may not be possible to start such actions until one or two years later, by which time the situation may have changed. This is particularly important for capacity development responses with a long lead time, A capacity assessment needs to be undersuch as infrastructure investments, which taken in close co-operation with key stakemay require environmental impact assessholders in order to ensure the relevance of ments, public consultations, and special the exercise, to gain their trust, ensure their permits. ownership at the highest levels over the process and the results, and thus commitment to subsequent capacity development yy Establishing a capacity assessment steering group. This should be chaired by the responses. It is important to present the carepresentative of a relevant national body, pacity assessment as a process involving a such as a ministry of regional developnumber of steps, not simply as a survey. And ment. Ideally, this will be an organization it is not an end in itself, but is a starting point that actively promotes equitable particifor addressing key capacity gaps. The capacpation of women, minorities, and other ity assessment exercise serves little purpose socially excluded groups. The steering if it is not promptly followed by actions to group should involve key actors at cenaddress identified gaps. tral, regional, and local levels, for example (depending on administrative structures Ownership and consensus can be enhanced in each country): by:
Working with stakeholders
yy Ensuring that stakeholders understand the purpose of the capacity assessment and each of its steps, including the survey. yy Involving key stakeholders in planning each step of the capacity assessment at an early stage. This should include consensus building, consultation on fine tuning the questionnaire, piloting the survey, sampling methodology, implementation of the survey, analysis of the results, verification of results, gap identification, and gap prioritization.
23 Changes in the operating environment include legislative developments, changes in national administrative arrangements, institutional restructuring, economic developments, shifts in human resource availability, ethnic and demographic changes, technological developments, and changes in the physical environment, such as climate change.
Central government ministries; Regional authorities; Regional development agencies; Provincial authorities; District authorities Associations of municipalities; Groupings of other relevant public and private sector service delivery organizations; and NGO sector - groups representing the interests of women, ethnic minorities, people with disabilities, people with a low income, and other socially excluded groups.
A steering group can provide the necessary consultative input, it can act as a channel of
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User guide
communication with a wider range of stake- yy Direct access to up to date information on holders, and it can be the driving force to the progress of the capacity assessment exercise; ensure that the capacity assessment is followed up with necessary actions in a timely yy Guidance on the use of the questionnaire; manner, and that these are embedded in nayy Information about key findings of the cational policy and budgeting processes. pacity assessment; and European Union Commission (EC) Delega- yy Information about follow-up capacity development action. tions will have an interest and should be involved, at least in a consultative or advisory role, as the services included in this as- Emphasis should be placed on clear and sessment methodology are, to a greater or concise communication with all stakeholdlesser extent, covered by EU legislation. If ers. Care should be taken to ensure that the relevant national legislation has not already capacity assessment process is transparent have been harmonized with EU legislation, to all stakeholders, and that there are no barit is likely that harmonization is envisaged at riers to their participation in the process. This means communicating in languages that can some point in the future. be readily understood by all stakeholders in Moreover, it may be possible for national, each country. It also means taking steps to regional, and local authorities to utilize IPA ensure equitable participation of women funding to address capacity gaps that are and men throughout the process, as well as identified through the capacity assessment participation of typically socially excluded process. IPA spending requires approval by groups. the EC, and the procedure can be significantly facilitated if central national authorities Level of stakeholder participation and ownership in the pilot comsubmit well substantiated proposals. This munities highlights the need for the involvement of a key central body to ensure that the results of The pilot capacity assessment in the Western Balkans involved extensive consultation with key municipal stakeholders. And there the capacity assessment are acted upon.24 For the same reasons, other national and international funding organizations may have an interest in this type of capacity assessment, and should be involved, if possible.
25
are some good examples of citizen involvement in the process. In Serbia, there was a workshop with local stakeholders to provide more citizen-based perception of local service delivery and a quasi client satisfaction analysis. In Croatian, large client satisfaction surveys were carried out. It is also important that municipalities are effectively involved in developing action plans, to ensure that these are relevant and realistic, and that municipalities are committed to their implementation. This does not mean that ambitious recommendations should be avoided. Rather, it is intended to avoid a situation where recommendations and action plans are simply ignored by the addressees as irrelevant or impractical.
In addition to the steering group mentioned above, communication with stakeholders should be reinforced by means such as a capacity assessment website, newsletters, and regional meetings. These should be used to provide all municipalities with:
24 25 UNDP has developed a tool to assess the absorption capacities of municipalities in the Western Balkans and Turkey to absorb IPA funding. For example, Iller Bank in Turkey. http://www.ilbank.gov.tr/pyb/index. php?page=main&lang=eng
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User guide
The questionnaire
Overview
climate change adaptation and mitigation in the context of promoting economic recovery.
The questionnaire is intended to be used Parts 2 and 3 deal only with the following as it stands. However, adaptation will be five services. Other services should not be required to ensure that the questions accu- considered when providing answers. rately reflect the situation in a given country or locality. Services covered If it is considered desirable and feasible, some supplementary questions may be added. These may be formulated by the assessment team, or may be taken directly from the list of supplementary questions annexed to this user guide. The annexed supplementary questions are organized as follows: Questions 1 to 159 may be included in Part 2 of the questionnaire. Questions 160 to 184 may be included in Part 3 of the questionnaire. 1-23 Mobilizing, informing, and involving stakeholders in service delivery 24-50 Analysing statistics and issues affecting service delivery 51-88 Policy and strategy formulation for effective service delivery 89-129 Financial resources, budgeting, and managing implementation of service delivery 130-159 Monitoring and evaluation of service delivery 160-184 Working with other service delivery organizations The questionnaire consists of three parts. Part1 covers background information about the municipality. Part2 covers services that are the sole responsibility of the municipality. Part3 covers services where responsibility is shared by the municipality with one or more other service delivery organizations. Social inclusion is a major theme throughout the questionnaire, as are local capacities for Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education In Part 2, respondents should only provide answers in respect of any of the five services for which the municipal administration has full and sole responsibility. For example, if the municipal administration does not have full and sole responsibility for solid waste management, respondents should ignore this service when providing answers. In some questions, these services are listed and in others they are not. When they are listed, answers should be provided for each service, separately. Where they are not listed, answers should be provided that reflect the overall situation for those of the five services for which the municipal administration has full and sole responsibility. Example of questions where the services are listed: To what extent are specialist gender and human rights staff, departments, and other bodies (e.g. councils and committees) involved in policy, strategy, and service development activities for the five services?
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Frequently Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
Sometimes
Rarely
Never
Not sure
Example of questions where the services are not explicitly listed: Overall, how do you rate the capacity of the municipal administration to undertake the following activities related to the five services?
with other service delivery organizations. As in Part2, some questions list the services and some do not.
Nearly all questions provide a range of options to choose from. This facilitates subsequent analysis and avoids the inclusion of In Part 3, respondents should only provide the wrong type of information, and possible answers in respect of any of the five services ambiguities caused by unclear answers. where the municipality shares responsibility No capacity
Strong Integrate gender and human rights concerns into proposals for policy, strategy, and service development (mainstreaming) Formulate service proposals that are specifically targeted at enhancing gender equality Formulate service proposals that are specifically targeted at enhancing the situation of groups that are typically socially excluded Translate findings of research and analysis on women into coherent policy, strategy and service proposals Translate findings of research and analysis on minorities into coherent policy, strategy and service proposals Translate findings of research and analysis on people with disabilities into coherent policy, strategy and service proposals
Moderate
Weak
Not sure
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User guide
A number of answers require respondents to insert a ranking in the form of a number. A few questions require the respondent to insert answers, but these are restricted to numbers, such as budgets.
change capacity are included, in particular, with regard to planning capacity.
As mentioned above, climate change shocks and economic crises, especially if they occur together, have the potential to catalyze significant social and political unrest. The poor None of the questions require the respondent and socially excluded are most vulnerable, as to insert text. This type of answer is difficult they tend to be the least insulated from such to analyze, since they have to be categorized shocks, and they lack access to resources and first by an analyst, which is time consuming, support networks to minimize their effects. and different analysts may categorize the The capacity to identify in advance, and limit same answers in different ways. the effects of, major economic risks, is therefore, like climate change, an issue that has to Where more detailed information on certain be considered as integral to all aspects of loissues is required, or where explanations are cal service delivery, in particular, planning to needed, these should be obtained during limit risks and promote economic recovery. the survey verification phase (focus groups and/or interviews). Integrating a gender perspective into the
Incorporating climate change and economic recovery
assessment
Women are more affected by poverty and social exclusion than men, especially in combination with certain ages, ethnicities, and disabilities, and in the context of migration, and sexual violence. Women have fewer economic and political opportunities and less access to services than men. It is therefore important that the assessment and resulting capacity development responses clearly reflect this gender aspect, and acknowledge the different experiences of women and men with respect to service delivery.
As noted above, the effects of climate change are now unavoidable and municipalities will need to play a leading role in adapting to, and mitigating the effects of, climate change. As well as limiting their own GHG emissions, municipalities need to implement policies that limit the emissions of other local actors. They need to develop long term infrastructure and resource utilization plans that fully take into account the likely impact of future resource utilization on GHG emissions. And they need to attract and stimulate green in- The questionnaire aims, at a minimum, to consider the situation of women in economdustries and services locally. ic and political participation, and how they Climate change is therefore not simply an relate to the functions and services of the additional, stand-alone issue for the consid- municipality. Questions have been included eration of municipalities. Rather, it is an issue in the questionnaire to assess the ability of that has far reaching implications for the eq- the municipal administration to implement uitable delivery of local services, and should gender-mainstreaming measures efficiently. be considered as a lens through which every Questions also cover specific actions, such aspect of local service delivery needs to be as encouraging women to apply for vacanscrutinized. Questions relating to climate cies, and measures to increase the number
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User guide
of women in public and private decisionmaking bodies, and the quality of their participation (for example through quotas, leadershiptraining for women, etc.).26 Capacity development responses should include constructive solutions to eliminate different identified differences between women and men.
other service delivery organizations need to have adequate policies in place to ensure equitable access to reliable, quality services for these groups; to systematically address discrimination against these communities; and to promote social inclusion. While international organizations and observers may refer to particular groups as ethnic minorities, such groups may not be widely or officially recognized as such within their own country. In such circumstances, including questions on ethnic minorities may undermine the ownership of key national stakeholders over the capacity assessment process. Complications arise where the predominating ethnic group within a region (and thus within municipalities within that region) is a minority within the country as a whole. Clear guidance needs to be provided about which minority is being referred to here - the minority ethnic group within the municipality, or the majority ethnic group within the municipality as it is a minority in the country as whole. The former would require that the predominating ethnic group within the country to be classified as a minority for the purposes of the survey, which may be politically unacceptable. The latter would not address the issue of how the municipal administration interacts within different ethnic groups within the municipality. A further complication arises when there are two or more ethnic groups with an equal share of the municipal population. Definitions and guidelines for completing questions on ethnic minorities may be complicated, and completing such questions may take a disproportionate amount of time, at the expense of other parts of the questionnaire.
Including minority concerns in the questionnaire

The questionnaire aims to cover the situation of national minorities (who are often also displaced or refugees), as poverty and social exclusion amongst these groups is disproportionately high compared to the majority population.27 Limited statistics are available on social exclusion disaggregated by ethnicity, but Roma are clearly the group with the highest risk of poverty and social exclusion among minorities in the Western Balkans.28 While issues related to social inclusion of minorities (ethnic, linguistic, religious, cultural) are considered politically sensitive and of a complex nature in many countries, it is highly desirable that minority issues are addressed in the assessment and resulting capacity development responses. Municipalities and
26 Gender mainstreaming is the integration of the gender perspective into every stage of the policy process design, implementation, monitoring and evaluation with a view to promoting equality between women and men. Gender mainstreaming is not a goal in itself but a means to achieving equality. Similarly, it is not concerned only with women, but with the relationship between women and men for the benefit of both. Specific actions may be required in addition to remove those inequalities between women and men which have been identified. Manual for Gender Mainstreaming Social Inclusion and Social Protection Policies. EC Directorate-General for Employment, Social Affairs and Equal Opportunities Some of these minorities are for example, the Serb and Roma minorities in Croatia; Ethnic Albanians and Roma, religious Muslims and minority non-Orthodox Christians in Serbia; Roma and Egyptian communities in Albania and Kosovo, as well as the Ashkali community; Roma in Bosnia and Herzegovina; Albanian, Turkish, Roma and Serb communities in FYROM; Croats, Bosnians, Serbians and minorities from Kosovo in Montenegro; and Assyrians, Kurds and Alevis in Turkey. For country specific data see Faces of Poverty, Faces of Hope. UNDP BRC 2005, available at: http://europeandcis.undp.org/home/show/62BFE488-F2031EE9-BA01C0FAE5A9E819
27
28
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The predominant ethnicity within munici- Sample size palities is an important factor when considering the survey sample, but this is not the The decision on the size of the sample is same issue as asking questions about ethnic closely related to (a) the resource intensity of minorities within the questionnaire itself. the approach used to carry out the survey, and (b) the resources available to carry out the survey and analyse the results.
Survey implementation
In order to ensure commitment to the capacity assessment process, and to the resulting capacity development responses, it is important that the mayor of each participating municipality takes ownership of the responses provided by his/her municipality. It is envisaged that implementation of this assessment will follow the experience of the survey and assessment carried out in Bulgaria in 2004 to assess municipal and district capacities to absorb EU Structural and Cohesion Funds. This means that questionnaires should be circulated to municipalities through a national body, such as an association of municipalities, or relevant government ministry.29 The questionnaires should be completed by mayors and/or their municipal administrations, and signed by the mayor after her/his review of the answers to ensure the correctness of the responses.
While completion of the questionnaire is expected to be done by municipal administrations, and will not therefore require input from consultants or facilitators, there are some aspects of the survey which require decisions to be made about resource requirements, which in turn have a bearing on sample size. For example, it may be desirable to set aside resources to encourage municipal administrations to complete and submit questionnaires, especially when the response rate is low. Rather than risking a low rate of response across the country as a whole, it may be considered desirable to focus resources on ensuring a good rate of response from selected regions within each country.
In all cases, verification of the results will need to be undertaken with various stakeholders, including socially excluded groups, other service delivery organizations, and other local, regional, and central bodies. In a large country, such as Turkey, resource constraints may make it unfeasible to carry out the deIn an ideal situation, all municipalities will sired level of verification with all groups and be covered by the survey in each country. stakeholders in all parts of the country. In Where this is not possible, the following view of this, it may be considered desirable points should be kept in mind. to carry out the survey in a sample of municipalities, which would allow full verification of Sampling refers to both sample size, and the results to be carried out. sample diversity.
Sampling
29
In Bulgaria, the survey was implemented through the Ministry of Regional Development and Public Works with the participation of the National Association of Municipalities.
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User guide
Sample diversity
Of course, in countries where the survey covers all municipalities, sample diversity is not In order to ensure the representativeness of an issue. the feedback from the capacity assessment survey, the sample needs to be diverse. It Selection of pilot municipalities should include: yy Municipalities in all regions of the country (subject to the availability of sufficient financial resources to ensure the validity of the sample - otherwise the survey should focus on one or more selected regions). The sample should be representative of the ethnic and social diversity within each region; yy Municipalities of different sizes (km2); yy Municipalities with differing topographical and climatic conditions; yy Municipalities of different sizes (population); yy Municipalities with different population groups; yy Municipalities with different types of economy (e.g. industrial and agricultural); yy Municipalities with different levels of economic activity; and yy Municipalities with different levels of donor support.
In Serbia, it is evident that careful consideration was given to the criteria for selecting the pilot municipalities. It was decided that, for piloting purposes, municipalities should be selected where there was already at least a minimum of institutional capacity. This included, for example: Some data collection and analysis capacity amongst local government and service providers; Some experience with development concepts, ideally including some experience of institutional analysis; Existence of a local development strategy against which current and future capacity needs could be gauged. This proved important because the municipalities were being assessed on their capacity to develop key communal functions that required a certain degree of sophistication. In Croatia, the main criteria for selection were the responsiveness of local leadership to engage in the project, and the capacities of local leadership and local administration to implement the recommendations and action plans for improved service delivery. This is necessary for long-term implementation and sustainability of initiatives. It could be argued that selecting municipalities that already have recognizable capacity hides the true picture. However, there are good arguments in favour of this approach: These are likely to be most receptive towards the capacity assessment exercise, and thus the most likely to contribute effectively, and to implement the recommendations; Effective capacity assessment leading to demonstrable benefits in the more receptive and prepared municipalities, may act as a catalyst for other municipalities to get involved; Piloting in more favourable situations enables the methodology to be fine-tuned and adapted before application in more challenging situations. The demographic profiles of the municipalities in both Croatia and Serbia were different from each other and this enabled the methodology to be tested in different contexts.
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User guide
Further resource considerations

Overall, it is expected that limited resources will be required to collect data, since municipal administrations will be requested to complete and return the questionnaire. Nevertheless, given that financial resources to implement the survey are likely to be constrained, consideration should be given to achieving the right balance of funding between data collection and analysis.
Piloting the questionnaire

Piloting the questionnaire in a small, diverse sample of municipalities provides an opportunity to test its design, different methods of survey implementation, and the systems that will be used to analyze the feedback. Among the questions it will help to answer, before implementing across the country are:
Collecting large volumes of data may be yy Has the right balance been struck between counterproductive if this consumes resourcsample size, complexity of questionnaire, es that are required for data analysis. This and method of implementation? will result in a lack of analytical resource, and yy Are any of the questions unclear? consequently it may not be possible to fully yy What is the overall reaction of responexploit the collected data. dents to the questionnaire and the method used to complete it (e.g. focus groups or interviews).
Financial resource envelope Analytical capacity Analytical capacity requirements increase as the quantity and complexity of data collected increase
Data collection
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User guide
yy Are any of the questions too sensitive? e.g. culturally or politically? yy Did the respondents have sufficient information about the purpose and content of the survey before they were asked to complete the questionnaire? yy Were the logistical arrangements for completing the questionnaire well planned and implemented? yy Were the appropriate people available to contribute to the completion of the questionnaire? yy Could the respondents make sufficient time available to complete the questionnaire? Is it too long? yy How well prepared are the national consultants to implement the survey? Do they need more training? yy Is there sufficient capacity to analyze, interpret, and communicate the survey feedback in a timely manner? yy Does the survey provide useful information about the capacity of the municipal administrations? yy Does the survey provide useful information about the ability of the municipal administration to target women and people that are typically socially excluded, for example minorities? yy Follow-up steps (verification, gap analysis, identification of capacity development responses, etc.).
Verifying results
Verification of results fulfils three objectives. Firstly, it enables specific issues to be examined in more detail to gain better insight. Secondly, it is a means of establishing the validity of the survey feedback, and the analysis of the feedback. Thirdly, it is a means of clarifying ambiguous or unclear results. Verification can be undertaken through focus groups and/or in-depth interviews. Resource constraints will limit the extent of verification. Therefore, careful consideration should be given to ensuring that verification involves a representative range of stakeholders in a broad range of municipalities. Verification should involve socially excluded groups and other stakeholders. While this capacity assessment exercise focuses on municipalities, it is important to verify the results with other stakeholders that interact with municipalities. This includes other service delivery organizations, and stakeholders at central, regional, provincial, and local levels, and public and private sector stakeholders. It is especially important to verify results with population groups that are generally under-represented in public economic and political decision-making processes, in particular women, and typically socially excluded groups such as minorities and displaced persons. Validation should be carried out using the same questions that are used in the main survey. A subset of the questions may be used where a specific group is being consulted on a particular aspect of the survey results.
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User guide
Survey data analysis
They have the added benefit that they are already installed on most computers and most users of this guide will have some familiarity It may be possible to draw conclusions from with them. This section therefore focuses on raw survey data when the survey is simple the use of spreadsheets. and covers a very small number of respondents. However, this rapidly becomes impos- The first step is to transform the questions sible as the complexity and size of the survey so that they can be conveniently displayed increase. Moreover, to be useful to decision in a spreadsheet. For example, the following makers, survey results need to be presented question: in a clear and concise manner so that key issues can be readily identified. Thus survey To what extent does the municipal adminfeedback requires some kind of processing. istration collect disaggregated data for the The simplest type of processing involves data five services, for example user data, assessconsolidation, and cross tabulation is conve- ments of impacts of services, number of nient way of doing this. This in itself can pro- staff, positions and payments, membership vide considerable insight into survey feed- on public and private boards, etc.? Rank 1-4. back without any additional analysis, and in 1=frequently; 2=sometimes; 3=rarely/never; many cases may be all that is required. 4=not sure. Numerous commercial tools are available for
Data disaggregated Data disaggregated Data disaggregated Data disaggregated by gender by ethnicity by age by disability Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
analysis of survey data.30 If they are already available, it is worth considering using them to analyze survey feedback in the context of municipal capacity assessment. However, standard spreadsheet applications may well be sufficient.
In this example, the five services have been abbreviated to DWS, LWM, SWM, BH, and PE. The four column headings from the question are represented as a, b, c, and d. In this example, it is assumed that there are 10 respondents, each of which is represented by a sequential number in the left most column. Each respondent is requested to provide 20 responses. Thus the table has 200 cells.
30
Examples include SPSS http://www.spss.com/, Stata http://www.stata.com/, and SAS http://www.sas.com/.
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User guide
Is transformed into this: DWS Respondent No. 1 2 3 4 5 6 7 8 9 10 The following table is identical to the previous table, except that in this case, it has been populated with responses.31 This information is then consolidated in two further stages.
31 These are not responses from any actual survey. They have been randomly generated for demonstration purposes.
LWM c d a b c d a
SWM b c d a b
BH c d a b
PE c d
The first of these consolidation stages shows the number of items that have been ranked 1, 2, 3, and 4 for each of the services and each type of data disaggregation indicated in the question. This is illustrated in the following table.
DWS Respondent No. 1 2 3 4 5 6 7 8 9 10 a 1 2 3 3 2 4 1 2 3 1 b 3 3 3 3 3 3 3 3 3 3 c 3 4 3 3 2 4 3 4 3 3 d 4 4 3 4 2 4 4 4 3 3 a 1 2 3 3 2 4 1 2 3 3
LWM b 2 2 3 4 2 4 2 2 3 3 c 3 4 3 3 2 4 3 4 3 3 d 4 4 3 4 2 4 4 4 3 4 a 1 2 3 3 2 4 1 2 3 4
SWM b 2 2 3 4 2 4 2 2 3 4 c 3 4 3 3 2 4 3 4 3 4 d 4 4 3 4 2 4 4 4 3 4 a 1 2 3 3 2 4 1 2 3 4 b 2 2 3 4 2 4 2 2 3 4
BH c 3 4 3 3 2 4 3 4 3 4 d 4 4 3 4 2 4 4 4 3 4 a 1 2 3 3 2 4 1 2 3 4 b 2 2 3 4 2 4 2 2 3 4
PE c 3 4 3 3 2 4 3 4 3 4 d 4 4 4 4 4 4 4 4 4 4
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DWS Rank 1 2 3 4 a 3 3 1 b 0 0 0 c 0 1 3 d 0 1 3 6 a 2 3 4 1
LWM b 0 5 3 2 c 0 1 6 3 d 0 1 2 7 a 2 3 3 2
SWM b 0 5 2 3 c 0 1 5 4 d 0 1 2 7 a 2 3 3 2 b 0 5 2 3
BH c 0 1 5 4 d 0 1 2 7 a 2 3 3 2 b 0 5 2 3
PE c 0 1 5 d 0 0 0
3 10 6
4 10
For example, for liquid waste management, two rankings of 1 (data frequently disaggregated) were provided for a (Data disaggregated by gender). But no rankings of 1 were provided for the three other types of data disaggregation identified in the question (Data disaggregated by ethnicity,Data disaggregated by age, and Data disaggregated by disability).
In contrast, there are more rankings of 3 and 4 (rarely/never, and Not sure). This suggests that data is generally not disaggregated by gender, ethnicity, age, and disability. However, the information is still difficult to understand and further consolidation can help. This consolidation makes use of the COUNTIF function, as shown in the following screenshot.
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This table summarises the data for each service. Rank 1 2 3 4 DWS 3 5 22 10 LWM 2 10 15 13 SWM 2 10 12 16 BH 2 10 12 16 PE 2 9 10 19 Total 11 44 71 74
While this table summarises the data by type of disaggregation. a Rank 1 Rank 2 Rank 3 Rank 4 11 15 16 8 b 0 20 19 11 c 0 5 27 18 d 0 4 9 37 Total 11 44 71 74
Understanding can be further improved by presenting the data graphically. In this chart, rankings are shown on the X axis, with higher rankings to the left. The Y axis shows the number of responses. From this it can be clearly seen that there is a high level of uncertainty amongst respondents as to wheth-
er or not data is disaggregated by disability. This may well indicate that, in practise, it is not. It may therefore be helpful to group the responses for rankings 3 and 4 (rarely/ never and not sure) in order to simplify the picture further.
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In this chart, rankings 3 and 4 have been grouped together, as described above. The chart now indicates that, overall, there is relatively little data disaggregation of any type,
The overview can be enhanced by introducing other information, such as geographical location, or size of municipality. In the following table, a Region column has been added,
although it is somewhat more frequent for and the rankings provided by each respongender and ethnicity than for age and dis- dent have been averaged to simplify the ability. procedure. Fractions do not relate to specific rankings, but lower averages indicate municBefore developing a response it would be ipalities that tend to do more data disaggrenecessary to identify if this is because data gation, while higher averages indicate the systems dont permit this type of disaggre- opposite. As in the examples above, a rankgation, or because management are not ing of 4 (not sure) is treated as indicating interested in this type of disaggregation, or a lack of data disaggregation. possibly both of these (i.e. appropriate systems have not been established because the From this, the following cross tabulation can management is not interested). If it is the lat- be derived: ter, it will be necessary to change management attitudes before adjusting systems. Range A B C The same approach can be used to assess whether or not there are differences between services. If there are differences, further research might be necessary to understand why. 1.0 -1.99 2.0 - 2.49 2.5 - 2.99 3.0 - 4.0 0 1 1 2 0 0 1 2 0 0 0 3
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User guide
DWS 1 2 3 4 5 6 7 8 9 10
LWM
SWM d 4 4 3 4 2 4 4 4 3 4 a 1 2 3 3 2 4 1 2 3 4
BH b
PE c d a b c d
Average 2.55 3.05 3.05 3.45 2.15 3.95 2.55 3.05 3.05 3.55
Region A B C C A B B A A C
Respondent No. a b c d a b c d a b c 1 3 3 4 1 2 3 4 1 2 3 2 3 4 4 2 2 4 4 2 2 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 3 4 3 4 3 4 3 2 3 2 2 2 2 2 2 2 2 2 4 3 4 4 4 4 4 4 4 4 4 1 3 3 4 1 2 3 4 1 2 3 2 3 4 4 2 2 4 4 2 2 4 3 3 3 3 3 3 3 3 3 3 3 1 3 3 3 3 3 3 4 4 4 4
2 3 4 1 2 3 4 2 4 4 2 2 4 4 3 3 3 3 3 3 4 4 3 4 3 4 3 4 2 2 2 2 2 2 4 4 4 4 4 4 4 4 2 3 4 1 2 3 4 2 4 4 2 2 4 4 3 3 3 3 3 3 4 4 4 4 4 4 4 4
This indicates that there were no respondents in any of the three regions that provided responses with an average of less than 2. But there were two municipalities in each of Regions A and B, and 3 in Region C with average rankings between 3 and 4 inclusive.
Once again, graphical representation of this information may enhance understanding. This chart shows the predominance of municipalities in all three regions with average response rankings between 3 and 4. This is shown to be most pronounced in Region C, and least pronounced in RegionA.
3 Number of respondents 2 1 0 1.0-1.99 2.0 - 2.49 2.5 - 2.99 3.0 - 4.0
A
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This cross-tabulation has two criteria: range, it enables the use of multiple criteria. The and region. This uses the COUNTIFS func- following screenshot shows how this is emtion. This is similar to COUNTIF, except that ployed here.
DWS 1 2 3 4 5 6 7 8 9 10
LWM
SWM d 4 4 3 4 2 4 4 4 3 4 a 1 2 3 3 2 4 1 2 3 4
BH b
PE c d a b c d
Average 2.55 3.05 3.05 3.45 2.15 3.95 2.55 3.05 3.05 3.55 A B A 0 1 1 2
Region A B C C A B B A A C C B 0 0 1 2 D C 0 0 0 3
Respondent No. a b c d a b c d a b c 1 3 3 4 1 2 3 4 1 2 3 2 3 4 4 2 2 4 4 2 2 4 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 3 4 3 4 3 4 3 2 3 2 2 2 2 2 2 2 2 2 4 3 4 4 4 4 4 4 4 4 4 1 3 3 4 1 2 3 4 1 2 3 2 3 4 4 2 2 4 4 2 2 4 3 3 3 3 3 3 3 3 3 3 3 1 3 3 3 3 3 3 4 4 4 4
2 3 4 1 2 3 4 2 4 4 2 2 4 4 3 3 3 3 3 3 4 4 3 4 3 4 3 4 2 2 2 2 2 2 4 4 4 4 4 4 4 4 2 3 4 1 2 3 4 2 4 4 2 2 4 4 3 3 3 3 3 3 4 4 4 4 4 4 4 4
1 2 3 4 5
Range 1.0 -1.99 2.0 - 2.49 2.5 - 2.99 3.0 - 4.0
=COUNTIFS( Raw data :: B$3 : $W$12 , B$1 , Raw data : : $V$3:$V$12 ,>=1 , Raw data :: $V$3 : $V$12 , < = 1.99)
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Gap assessment and prioritization

Financial resources for capacity development responses are likely to be limited, and these may be complicated, especially those requiring investment in infrastructure, and the capacity of municipalities and other service delivery organizations may be limited. The aim of the capacity assessment process should therefore be to identify and address issues that, given these constraints, will have the most impact overall on the delivery of the five key services across the country. Prioritization of capacity gaps will therefore be necessary. This should be done at the national level, since capacity development responses will most likely be funded and implemented at the national level. UNDP is well placed to support key national stakeholders through the gap assessment process.
Identification of strategic problems and relevance of recommendations and action plans A capacity assessment should identify and prioritize key strategic issues, and these should be reflected in prioritized recommendations and action plans. The latter should reflect the implementation capacities of the target municipalities. Too many and/or recommendations that are not prioritized could dilute municipal efforts to enhance service delivery. In Serbia, clear needs are identified, and the recommendations are highly relevant. A need is identified for stronger representation of local government interests to the national government. This will require a significant amount of coordinated lobbying on the behalf of municipalities. The capacity assessment and action plan for Montenegro describes both municipalities and then highlights common recommendations. This is important, because it avoids potential duplication of capacity development responses that could be more efficiently and effectively delivered on a national, rather than a local basis. It also facilitates the identification of joint actions. Joint action is likely to be more effective than individual action, for example in lobbying the central government on specific issues.
Joint actions could extend, for example, to joint service delivery, joint procurement, joint research and strategy development (for example for natural resources that extend over several municipal territories), and sharing of various costs. These types of potential benefits are much harder to identify when capacity assessments, recommendations, and action plans are presented entirely separately for each municipality. The recommendations for Montenegro are also clearly prioritized, thus guiding stakeholders to address the most important issues first. Several reports identify the continuing high degree of centralization as a problem. In general, this is an issue requirin g more co-ordinated and concerted action by local governments. Most municipalities were found to have some type of strategic plan in place, which were generally either not being implemented, or only partially implemented. It is important to understand why these strategic plans were not being implemented, and how they could have been made more useful. This is particularly important in view of the fact that one of the products of the capacity assessment itself is an action plan that could follow the same path, if the causes of non-implementation of existing strategies are not fully understood. In some municipalities, it is evident that considerable international support has been provided to develop a series of strategic and policy documents. This suggests that there may be a lack of capacity in this area. Other commonly identified problems include: Procurement; Weak judicial framework for enforcing contracts and difficulty managing contractors; Management of semi-autonomous local utility companies; Significant levels of uncollected debts, in part due to the absence of alternative dispute resolution mechanisms combined with overloaded and/or inefficient court systems; Data collection and analysis; Cost benefit analysis; Budgeting and operational planning; Service cost recovery (besides the issue of uncollected debts); and Monitoring and evaluation of service delivery. Some action plans envisage extensive training in different thematic areas. Training is, of course, important, but it must be justified by identified issues. It is important to understand how training relates to organizational needs, and how it is expected to improve organizational efficiency and effectiveness. Various types of training have been provided to municipalities in the past. It is important to understand in which areas, and how this benefited the relevant municipalities. If organizational restructuring is required, the provision of training before this has taken place is likely to be ineffective and may need to be repeated relatively soon.
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As with other aspects of the capacity assessment exercise, it is important that a gap assessment is done through dialogue with key stakeholders, including typically socially excluded groups, such as women, minorities, and people with disabilities. The services covered by this capacity assessment methodology are, to a greater or lesser extent, covered by EU legislation. If relevant national legislation has not already been harmonized with EU legislation, it is likely that harmonization is envisaged at some point in the future. Either way, it will be highly desirable to involve EC Delegations at this stage, especially if they have not already been consulted about the capacity assessment.
Presentation of the municipal capacity assessment Ideally, the capacity assessment report will present not only the assessment itself, and the action plan, but also relevant background information that puts the capacity assessment into context. For example: Regulatory and institutional framework of the local selfgovernment system and the decentralized services; Overview of the municipality, including territorial characteristics, demographics, and economy; Organization and management of the municipal administration; Overview of the selected public services in the municipality, including level of municipal responsibility, overview of service providers and implementation arrangements, share of local public funding, current state of affairs, etc. The capacity assessment report should also provide a clear description of the methodology applied, including: Selection criteria, where the capacity assessment covers a sample of municipalities; Involvement of the municipality in steering the capacity assessment; Description of the tools used to gather data, such as structured interviews, focus groups, questionnaires, etc.; and Details of who was consulted, and at which stages.
Moreover, it may be possible for national, regional, and local authorities to utilize IPA funding to address capacity gaps that are identified through the capacity assessment process. IPA spending requires approval by the EC, and the procedure can be significantly facilitated if central national authorities submit well substantiated proposals. This highlights the need for the involvement of a Prioritization involves assessing the extent key central body to ensure that the results of and severity of any identified problems rethe capacity assessment are acted upon. garding key issues with respect to service delivery capacity amongst the sample. This For the same reasons, other national and ininformation can then be combined with international funding organizations may have formation about the importance of this isan interest in this type of capacity assesssue for service delivery. The resulting overall ment, and should be involved, if possible. priority score provides a guide as to where to focus limited resources to develop service delivery capacity. Key issues are general issues that correspond in some way to groups of questions in the questionnaire. These may be the CAF core issues or functional capacities. Or they could be developed by grouping questions in some other way. For example, one such alternative set of key issues might look something like this:
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The following table is an example of one possible tool to facilitate prioritization. A B C D E
Key issue
Rank (importance for service delivery)
Severity of identified Extent of gaps (if gaps (i.e. what % of any) regarding this the sample proissue amongst the vided very negative Overall priority score sample. (i.e. what responses, as op(=CXD/B) % of the sample posed to moderately gave neutral or negative, and neutral negative responses) responses) 70% 40% 0.14
Partnerships Consensus building Stakeholder participation Medium and longer term planning Project development Project management Project follow-up Human resource management
60%
30%
0.18
In some areas, capacities may fall below benchmarks, and the gaps may be widespread and relatively severe. However, these may not necessarily be the most important gaps to be addressed in the short term for the enhancement of service delivery capacities. In the above example, Medium and longer term planning is ranked 1 (most important), whilePartnershipsis ranked 2. AlthoughPartnerships appears to be the more problematic of the two issues, Medium and longer term planning has been given a higher ranking for importance for service delivery and thus has a higher overall priority score of 0.18 (which is derived, in this example, by multiplying the scores in columns C and D, and then dividing by the ranking in column B.
In this example, the results given in columns C and D might be used as benchmarks against which to assess the responses from different regions within the same country, and this may be helpful in geographically targeting subsequent capacity development responses. This example is for illustrative purposes only, and it is not suggested that this is how prioritization must be done. The issues that are considered to be key issues may change from one round of capacity assessment to the next, and the ranking of the same issue may change. If, however, the same key issues are retained (regardless of ranking), the results from one capacity assessment may be used as benchmarks for subsequent capacity assessments.
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Following up the capacity assessment programming and measuring capacity development
capacity is due to high staff turnover resulting from poor human resource management and uncertainty in local public administration, staff training can, at best, provide only a short term improvement and will need to be repeated frequently. Management training can help to address the problem of poor human resource management, but this will not address the issue of uncertainty in the loIdentifying capacity development needs cal public administration, which may require the acceleration of pending government deGap assessment and prioritization help to cisions, acceleration of ongoing restructuridentify which issues are of most immediate ing, or possibly the drafting and enactment concern for developing capacity. However, of new legislation. this alone may not be sufficient to identify precisely how, and at what level, to address In the event that underlying problems are these issues. Detailed programming requires likely to take some time to resolve (e.g. additional, in-depth analysis. through new legislation), it may be necessary Additional in-depth analysis helps to ensure that capacity development responses address the underlying causes, rather than the just the obvious symptoms of any identified gaps. For example, the capacity assessment survey may identify unreliable, or low quality service delivery, but not necessarily the causes of this. There may be several underlying causes, and thus several possible solutions ranging from staff training to local public administration reform. Where lack of to implement another, intermediate, strategy while the underlying issue is resolved. For example, if new legislation is necessary, it may be impossible to limit staff turnover in the short term. In this case, an intermediate strategy might be to accept this as a fact for the short term and address it by establishing centralized capacity to deliver intensive training on specific issues, on a continuous basis, until the new legislation has been implemented.
Issue: lack of project management capacity in municipalities due to high staff turnover Underlying cause Short term capacity development response Management training Establish centralized training capacity until new legislation is passed Focus of short term capacity development response Human resource managers in municipalities Medium/long term capacity development response Establish/restructure human resource management structures Development and introduction of new local public administration legislation Focus of medium/long term capacity development response
Human resource management
Municipalities
Uncertainty in local public administration
Municipalities
Central government
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Active stakeholder participation in this process is important to ensure consensus on capacity development responses, and real stakeholder ownership. The involvement of key stakeholders at central and regional levels in steering the capacity assessment process will be a great advantage when planning capacity development responses that require decisions to be made at either of these levels.
The stated objective should reflect the fact that capacity development actions are undertaken to bring about desired, sustained change in the performance, stability, and adaptability of a system. In turn, such changes are made up of positive changes in capacity across the four core issues:
yy Institutional arrangements; yy Leadership; yy Knowledge; and A needs assessment may involve further yy Accountability. surveys on specific issues, focus groups, and individual interviews. To some extent, the in- Large, strategic capacity development reformation required for a needs assessment sponses may be expected to lead to positive may be available from the survey verification changes in regional and national systems. activities. However, care should be taken Capacity development responses targeting not to compromise the verification process individual municipalities will contribute to by combing it with the needs assessment, capacity development in regional and naas these two activities have different objec- tional systems, but cannot, on their own, tives. bring about significant change at these wider levels. Therefore, as mentioned in the Measuring Capacity Development,Practice Capacity development response design Note, desired outcomes will likely be difCapacity development responses should eq- ferent for capacity development responses uitably address the needs of all sections of at the national level, and capacity developthe community, including, women, the poor ment responses targeting an individual instiand socially excluded. These groups are un- tution or department. The implication of this der-represented in policy and planning pro- is that outcomes may relate to an entire nacesses. It is therefore important that these tional, regional, or local system, or to one or groups are effectively involved in the devel- more of the four core issues at one or other opment of relevant capacity development of these levels. responses to ensure that they have equitable access to these services, and that they have a In designing capacity development responses, it is therefore vital to identify the scope future role in guiding and delivering them. clearly so that relevant objectives can be A capacity development response should set, and appropriate indicators can be deterhave clearly defined objectives, and these mined. need to be agreed amongst the key actors. As noted in the UNDP Practice Note Measuring Capacity Development, outcomes and outputs must be clear and cannot be stated in vague language such as improve, enhance, strengthen, or increase capacity. It is also important to understand the difference between outputs and outcomes. The Practice Note states that outputs are products and services that facilitate achievement of outcomes. Outputs are the products and services produced by implementation of a programmes activities, and are the key compo-
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nents that make achievement of programme outcomes possible. It also notes that while outputs are required to bring about outcomes, a collection of outputs does not make up an outcome. Outcomes depend on how, and to what extent outputs are utilized. Indeed, it is possible that the desired outcomes may not be achieved even when all the outputs have been delivered on time and to a high standard, and are being fully utilized. This may indicate any or all of the following:
es should not focus only the outputs, but should include activities that help to ensure that outputs are effectively and promptly utilized (e.g. training on the roles and responsibilities of new structures, training for staff to take on new responsibilities and utilize new techniques and tools, etc.).
Measuring capacity development
Indicators for measuring capacity development need to be identified at the same time that activities, outputs, and desired yy An insufficient capacity development re- outcomes are developed. Leaving this until sponse; later may make it difficult to collect the necessary information, for example because the yy A lack of relevance of the chosen capacity information is simply no longer available, or development response; and because insufficient funds have been budgeted. Although this is a simple concept, it yy A change in one or more critical factors continues to be widely misunderstood and since the capacity assessment was carried misapplied. An indicator is simply a variable out. that is used to identify, respectively, the extent to which activities are implemented, Outcomes outputs delivered, and desired outcomes are achieved. Different types of indicators are required in each case. Indicators should be obOutputs jectively verifiable, either by means of direct statistics, or by means of indirect statistics Activities based on systematic, representative qualitative feedback from relevant stakeholders. Outcomes are the changes in systems and core issues that are brought about by ca- In order to measure change, it is necessary pacity development responses. Legislation to identify baselines against which change drafted, new department established, etc., can be measured. This is generally done in are outputs, and while they may be essen- the context of a preliminary study shortly tial prerequisites for desired changes in mu- before or after implementation commences. nicipal service delivery capacity, they do not, In some cases, statistics may already be availon their own, demonstrate that the desired able within the municipality (for example, changes are taking place, since legislation levels of arrears), while in other cases, it may must also be enacted and effectively imple- be necessary to carry out additional work to mented, and new departments must be em- gather the relevant information (for example, powered, staffed, equipped, and trained. a survey to establish levels of customer satisfaction for various aspects of specific serThis highlights an important design issue, vices). The emphasis is usually on identifying namely that capacity development respons- baselines for desired outcomes. Baselines
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for capacity development response activi- sues institutional arrangements, leaderties and outputs may have little meaning. ship, and accountability. A hypothetical capacity development response to address A simplified example may help to illustrate this problem in a single municipality might, these relationships. The UNDP/SNV Western for example, be to establish a debt collecBalkan pilot capacity assessment highlight- tion department, complete with a new debt ed, among other issues, significant problems tracking system. The desired outcome is a in some countries with arrears for municipal reduction in arrears. The establishment of a services. To some extent this is due to is- debt collection department is an output and sues in the enabling environment (issues is simply a means to achieving the desired beyond the immediate control of the mu- outcome. There may well be other approachnicipality). However, it is also likely that this es to achieving the same outcome. A simple could, at least to some extent, be addressed logical framework for this capacity developby strengthening capacity in the core is- ment response might look as follows:
Description
Indicators
Outcomes
[X%] (of number) of monthly service charges paid on time within 3 months of start of debt collection department operations [Y%] (of number) of monthly service charges paid on time within 6 months of start of debt collection department operations [Z%] (of number) of monthly service charges paid on time within 12 Reduction in overdue paymonths of start of debt collection department operations ments for the provision of [L%] (of value) of monthly service charges paid on time within 3 months municipal services of start of debt collection department operations [M%] (of value) of monthly service charges paid on time within 6 months of start of debt collection department operations [N%] (of value) of monthly service charges paid on time within 12 months of start of debt collection department operations [Number of] debt analysis reports issued each quarter [Number of] reminder notices issued per month [Number of] enforcement notices issued per month [Number of] enforcement proceedings concluded each month Functioning debt collection [Number of] action plans agreed with marginalized, poor, and socially excluded households to avoid service interruption department Half yearly research among different users to identify reasons for late payments, including, for example dissatisfaction with service quality, inconvenience of payment arrangements, etc. [Number of] recommendations developed to change systems and approaches to facilitate timely payments and reduce arrears
Outputs
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Description
Indicators
Define objectives and responsibilities of new department Establish new department Draft establishment and operational regulations and discuss with key in municipality structure. stakeholders Enact new regulations Determine staffing requirements Draft job descriptions Advertise vacancies Shortlist and interview candidates Contract selected candidates Assess and address training needs of new staff
Activities and Recruit new staff inputs
Allocate and furnish office space Establish departmental in- Develop debt tracking module for municipal accounting system frastructure and systems. Establish network connection between debt collection department and accounting department
However, it is not enough simply to identify whether or not levels of late payments have been reduced as a result of the capacity development response. It is also necessary to assess issues, such as the overall utility, flexibility, and sustainability of the benefits. If the amortized cost of establishing the new department, and the annual running costs are relatively high compared with the reduction in arrears, it may be questionable as to whether or not the capacity development response is useful. If the reduction in arrears cannot be sustained, the investment represented by the capacity development response may be lost. And if the capacity development response has not also developed the capacity to refocus, adapt, restructure, or redeploy the debt collection department to address future challenges and priorities as they arise, then the department may become redundant, and/or further capacity development responses may be necessary.
To address these types of questions, UNDP identifies three key capacity development factors for the evaluation of outcomes:32 performance, stability, and adaptability. These are further broken down into components, as indicated in the following table. The last column provides examples of possible indicators for the debt collection department example.
32
For further details and examples, see UNDPs Practice Note Measuring Capacity Development.
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Evaluation Factors
Components
Component Description Cost-benefit ratio, or ratio of results to the inputs used to create them Extent to which the CD response is bringing about the desired change in the performance and/or behaviour of systems, institutions, target groups, etc. Importantly, improvements in performance must be assessed over a period of time, not at a single point, which may not reflect the longer term picture.
Debt Collection Department Example Amortized cost of establishing the department, and annual running costs compared to reduction in arrears
Efficiency
Performance Effectiveness
Extent of reduction in number and value of arrears
Risk mitigation
Low levels of staff turnover in the Identification, analysis, and management debt collection department of risks to the benefits of CD responses. Incorporation of adequate proviThese will contribute to the sustainability sion for the department in annual of performance improvements. budgets Extent to which debt collection guidelines and procedures are formalised and implemented Knowledge and responsibilities are distributed, and responsibilities are formally assigned and recognized Extent to which senior management supports the new department Identification of risks that might lead to increased arrears in future (e.g. economic crisis, climate change events, etc.), and development of plans to address those risks. Continuous efforts to further reduce arrears, and reduce the cost of eliminating and collecting arrears. This might, for example, include rewards for timely payments, and modifications to the system to facilitate payments.
Stability
Institutionalization
Effective incorporation of new systems, structures, procedures, cultures, knowledge, skills, etc. Again, this will contribute to the sustainability of performance improvements.
Investment for growth and change
Proactive planning to anticipate and address changes in needs, operating environment, and risks, etc.
Adaptability Continuous improvement
Incorporation of search for improvement as a standard aspect of all work at all times, to improve the quality, extent, timeliness, and relevance of services, while improving efficiency and (where possible) reducing service delivery costs to citizens
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Indicators should be developed for each of the above components. Different evaluation indicators will be used depending on the stage of implementation of a capacity development response. For example, it is often unrealistic to expect to identify evidence of impact during the early stages of implementation, or indeed at any time during implementation, as it may take several years for the overarching benefits to become evident. In these circumstances, it is necessary to focus on indicators that measure shorter-term changes that are a pre-requisite for achieving the ultimate objective.
For larger, longer capacity development responses, it may be desirable to carry out annual evaluations during implementation, with a final or ex-post evaluation towards the end of, or after, implementation. For smaller and shorter capacity development responses, it may be sufficient to limit evaluation to a mid-term evaluation and a final or ex-post evaluation. Where capacity development responses are implemented in under one year, a final, or ex-post, evaluation alone will be the only feasible option.
Evaluation involves several costs that need to be considered when the capacity develIt is important to evaluate capacity develop- opment response is designed. ment responses (i.e. measure the CD brought about by specific CD responses) at regular yy The direct cost of the evaluations themintervals to assess the extent to which they selves; are leading to the desired outcomes, and yy The cost of establishing effective moniwhether or not the approach of current and toring systems, and the regular and sysplanned capacity development responses tematic collection of relevant monitoring need to be modified, or if entirely new capacdata; and ity development responses are necessary or yy The cost of baseline studies that provide desirable. the basis against which future changes in performance can be measured. The quality and extent of monitoring and baseline data has a direct impact on the quality and utility of subsequent evaluation for any given budget.
Quality and utility of evaluation
Quality of monitoring and baselines
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Resources
A wide range of resources will be required to manage, implement, and follow-up the capacity assessment exercise. The table below gives an indication of the necessary resources, their role, and the institutions that might provide them.
Type of resource
Role
Who
Management
Steering body involving: UNDP country offices Mobilize stakeholders National central, regional, and local adminAchieve consensus between stakeholders Steer the caistrations Associations of municipalities pacity assessment process Steer the design of capacity National, regional, and local NGOs Citizen development responses. representatives National public administration academies EC Delegations UNDP country offices National central administration National public administration academies. Independent experts UNDP country offices Independent experts
Assess, verify, and interpret survey results Design and Capacity devel- oversee additional, detailed analysis opment experts Input into the design and implementation of resulting capacity development responses Statistical/anaCarry out analysis of survey and summarize results lytical experts
Administration
Act as secretariat to the capacity assessment steering body Key central stakeholder (e.g. relevant minCarry out communication with stakeholders as re- istry or association of municipalities) supquested by the steering body Circulate questionnaires ported by UNDP country offices to municipalities
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Annexes
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Glossary of key terms used in the user guide and questionnaire

Capacity Other service delivery organization The ability of individuals, organizations, and societies to perform functions, solve problems, and set and achieve objectives in a sustainable manner Any other organization that is involved in the delivery of the five services. Such organizations may have sole responsibility for the delivery of the services, or may share responsibility with the municipality and/or other bodies. The mandate, motivation, and means to provide services required and needed by local citizens: in a manner that is responsive to changes in requirements and needs over time in a manner that is responsive to the differing requirements and needs of different groups of citizens within the community equitably to all citizens at a price they can afford of the required quantity and quality Official or unofficial, systematic disenfranchisement, alienation, and/or exclusion of specific groups within society on the basis of race, ethnicity, gender, age, income, health status, etc. Social exclusion prevents affected groups from accessing opportunities, services, and rights that are freely available to the rest of society. Social exclusion may appear in numerous areas, such as national and local politics, community planning and decision making, employment, healthcare, education, local infrastructure, justice, etc. Groups that are typically socially excluded are women, ethnic and religious minorities, people with disabilities, and old people. A strategy to combat social exclusion. This may include a wide range of actions from policy and institutional reform, to influencing the behaviour and perceptions of specific groups.
Service delivery capacity
Social exclusion
Social inclusion
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References
UNDP Practice Notes & Other Documents
Concept Note for E-discussion on "Capacity to Effectively and Sustainably Deliver Local Basic Services to the Poor," 08-26 October, 2007 http://sdnhq.undp.org/w/images/5/5f/Consolidated_ Summary-capacity_to_effectively_and_sustainably_ deliver_local_basic_services_to_the_poor_LATEST.pdf Improving Local Service Delivery For The MDGs In Asia: Pilot Of Methodology For Support To National Policy And MDG Strategies - Technical Workshop - 15-17 October 2007 Workshop Report. UNICEF, UNCDF, UNDP Summary e-discussions on capacity to local basic services to the poor Improving the accessibility and quality of public services. PowerPoint presentation. Bratislava Regional Centre. Strengthening Public Service Delivery in the Western Balkans - CoP Meeting Zagreb 16 October 2007 Report of Regional Meeting on Gender and Capacity Development for Public Private Partnership for local public services delivery. Dakar, 3 6 September 2007 Decentralized Governance for Development: A Combined Practice Note on Decentralization, Local Governance and Urban/Rural Development http://www.pogar.org/publications/other/undp/decentralization/decentralization-04e.pdf Fiscal Decentralization and Poverty Reduction http://content.undp.org/go/cms-service/download/publi cation/?version=live&id=2219894 A Global Analysis of UNDP Support to Decentralization and Local Governance Programmes 2001 http://content.undp.org/go/cms-service/download/publi cation/?version=live&id=2220180 PRO-POOR URBAN GOVERNANCE Lessons from LIFE 19922005. Democratic Governance Group, Bureau for Development Policy, United Nations Development Programme http://content.undp.org/go/cms-service/download/publi cation/?version=live&id=2220175 Public Administration Reform Practice Note
http://content.undp.org/go/cms-service/download/publi cation/?version=live&id=2216427 Development and Transition, 8th issue - Gender in Transition. UNDP & London School of Economics 2008 http://europeandcis.undp.org/gender/show/D99F035DF203-1EE9-B29C9BCC4D51CA75 Gender Mainstreaming in Practice: A Toolkit. UNDP BRC 2007 http://europeandcis.undp.org/home/show/6D8DE77FF203-1EE9-B2E5652990E8B4B9 Faces of Poverty, Faces of Hope. Vulnerability Profiles for Decade of Roma Inclusion Countries. UNDP BRC 2005 http://europeandcis.undp.org/home/show/62BFE488F203-1EE9-BA01C0FAE5A9E819 At Risk: Roma and the Displaced in Southeast Europe. UNDP RBEC 2006 http://europeandcis.undp.org/home/show/1F158B1FF203-1EE9-B8384A4FF5BF9916
UNDP Practice Notes & Other Documents

Guidebook On Promoting Good Governance In PublicPrivate Partnerships. United Nations Economic Commission for Europe http://www.unece.org/ceci/publications/ppp.pdf Are You Being Served? New Tools for Measuring Service Delivery. World Bank http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/ EXTPOVERTY/EXTISPMA/0,,contentMDK:21656803~me nuPK:384336~pagePK:148956~piPK:216618~theSite PK:384329,00.html Albania: Decentralization In Transition (in Two Volumes) Volume I: Summary Report and Matrix of Issues and Options. February 2004. World Bank Poverty Reduction and Economic Management Unit Europe and Central Asia Unit http://siteresources.worldbank.org/INTALBANIA/Resources/DecentralizationInTransition1.pdf European Charter of Local Self Government. Council of Europe. 15 October1985 http://conventions.coe.int/Treaty/EN/Treaties/Html/122. htm
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LOCAL GOVERNMENT STRUCTURE. United Nations Public Administration Network http://unpan1.un.org/intradoc/groups/public/documents/UNTC/UNPAN017646.pdf Division of Responsibility Between Levels of Power. Kenneth Davey http://unpan1.un.org/intradoc/groups/public/documents/UNTC/UNPAN017645.pdf Valencia Declaration. Council of Europe http://www.issirfa.cnr.it/download/File/MCL-Valencia%20Declaration%2015%282007%295E-final.pdf Performance Management at Local Level. Survey of CDLR members: findings and conclusions. Council of Europe https://wcd.coe.int/ViewDoc.jsp?id=1384221&Site=COE &BackColorInternet=DBDCF2&BackColorIntranet=FDC86 4&BackColorLogged=FDC864 Survey Tools for Assessing Performance in Service Delivery. Jan Dehn, Ritva Reinikka, and Jakob Svensson http://www1.worldbank.org/publicsector/pe/PETS1.pdf Institutional Dialogue Between the State, Regions, Local Authorities and their Associations. Council of Europe Steering Committee on Local and Regional Democracy. May 2002 https://wcd.coe.int/ViewDoc.jsp?id=1383771&Site=COE &BackColorInternet=DBDCF2&BackColorIntranet=FDC86 4&BackColorLogged=FDC864 The relationship between central and local authorities. Council of Europe European Committee on Local and Regional Democracy. September 2007 https://wcd.coe.int/ViewDoc.jsp?id=1364497&Site=COE &BackColorInternet=DBDCF2&BackColorIntranet=FDC86 4&BackColorLogged=FDC864 Good practices in inter municipal co-operation in Europe. Council of Europe European Committee on Local and Regional Democracy. 2007 https://wcd.coe.int/ViewDoc.jsp?id=1376549&Site=COE &BackColorInternet=DBDCF2&BackColorIntranet=FDC86 4&BackColorLogged=FDC864 A Handbook on Finance at Local and Regional Level. Council of Europe
https://wcd.coe.int/ViewDoc.jsp?id=1378257&Site=COE &BackColorInternet=DBDCF2&BackColorIntranet=FDC86 4&BackColorLogged=FDC864 Administrative and Territorial Reforms Creating Territorial Communities or Authorities at Different Levels. Council of Europe Steering Committee on Local and Regional Democracy (CDLR) https://wcd.coe.int/ViewDoc.jsp?id=27729&Site=COE&B ackColorInternet=DBDCF2&BackColorIntranet=FDC864& BackColorLogged=FDC864 The Story Behind the Numbers: Women and Employment in Central and Eastern Europe and the Western Commonwealth of Independent States. UNIFEM 2006 http://www.unifem.sk/index. cfm?Module=Static&page=w&s=IWP Manual for Gender Mainstreaming Social Inclusion and Social Protection Policies. EC Directorate-General for Employment, Social Affairs and Equal Opportunities 2008 http://ec.europa.eu/employment_social/spsi/strategy_ reports_en.htm Report on social inclusion 2005. An analysis of the National Action Plans on Social Inclusion (2004-2006) submitted by the 10 new Member States. EC Directorate-General for Employment, Social Affairs and Equal Opportunities, 2005 http://ec.europa.eu/employment_social/spsi/joint_reports_en.htm#2005_2
Links
United Nations Development Programme http://www.undp.org/ United Nations Development Programme Europe & CIS http://europeandcis.undp.org/ United Nations Development Programme capacity development website http://www.undp.org/capacity/ United Nations Development Programme Capacity Development in Europe and CIS http://europeandcis.undp.org/cd United Nations Public Administration Network
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http://www.unpan.org/ European Commission Directorate General for Regional Policy http://ec.europa.eu/dgs/regional_policy/index_en.htm European Commission social inclusion policy http://ec.europa.eu/employment_social/spsi/poverty_ social_exclusion_en.htm Council of Europe http://www.coe.int/ LSE The Centre for the Analysis of Social Exclusion http://sticerd.lse.ac.uk/case/_new/ EC Directorate-General for Employment, Social Affairs and Equal Opportunities http://ec.europa.eu/employment_social/index_en.html United Nations Statistics Division http://unstats.un.org/unsd/default.htm Women in National Parliaments. The Inter-Parliamentary Union http://www.ipu.org/wmn-e/classif.htm
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User guide Supplementary questions for part 2 of the questionnaire
Optional supplementary questions

This annex contains optional supplementary questions for the municipal capacity assessment questionnaire. Questions 1 to 125 may be included in Part 2 of the questionnaire. Questions 126 to 142 may be included in Part3 of the questionnaire. 1-23 24-50 51-88 89-129 130-159 160-184 Mobilizing, informing, and involving stakeholders in service delivery Analysing statistics and issues affecting service delivery Policy and strategy formulation for effective service delivery Financial resources, budgeting, and managing implementation of service delivery Monitoring and evaluation of service delivery Working with other service delivery organizations
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Optional Supplementary Questions for Part 2 of the Questionnaire Services that are the sole responsibility of the municipality
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1. What, if any, explicit stakeholder consultation obligations does legislation place on relevant service providers with respect to these services? Stakeholder consultation required Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 2. Does legislation contain any special obligations concerning participation of the following stakeholders in consultations (for example quotas or rules to ensure equal participation of women and men, and effective participation of minority groups; special methods to involve typically socially excluded groups, etc.)? Yes, there are obligations Women Minorities Groups that are typically socially excluded 3. How clearly are stakeholder consultation responsibilities divided between the relevant service providers in practice? Not applicable. Service delivery not shared or municipality has no responsibility for this service Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Stakeholder consultation encouraged
No obligation
Stakeholder consultation discouraged
Stakeholder consultation not permitted
Not sure
No obligation
Not sure
Division of responsibilities is clear in practice
Division of responsibilities is not clear in practice
Not sure
4. How are stakeholder consultations actually undertaken? Not applicable. Service delivery not shared or municipality has no responsibility for this service Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 5. With respect to stakeholder consultation, how good is co-ordination between the municipal administration and other service delivery organizations? NA Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 6. Do public consultation guidelines / procedures exist for these services within the municipal administration? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Jointly by the municipal administration and other service delivery organizations
By the municipal administration only
By other service delivery organizations only
Not sure
Excellent
Adequate
Problematic
Not sure
No
Not sure
7. Do municipal public consultation guidelines / procedures give guidance on how to achieve equal participation of women and men, and effective participation of minority groups and typically socially excluded groups in public consultations? Yes Women Minorities Other groups that are typically socially excluded 8. If there are public consultation guidelines / procedures within the municipal administration, to what extent are they implemented? Fully Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 9. Are stakeholder consultation responsibilities for these services clearly assigned within the municipal administration? To specific departments Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education No Not sure To specific job holders Yes No Not sure Partly Seldom/ never Not sure No Not sure
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10. Are there sufficient, suitably qualified and experienced staff to carry out effective stakeholder consultation for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 11. Are there sufficient financial resources to carry out effective stakeholder consultation for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 12. How are stakeholder consultations undertaken for these services? Interviews Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Surveys Focus groups Advisory panels Working groups Public meetings Other Not sure No Not sure No Not sure
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13. How important are the following stakeholders with respect to the provision of these services in the municipality? [Rank 1=very important; 2=moderately important; 3=not important/relevant]. Municipality has no responsibility for this service Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education This municipal administration Other municipalities Central authorities Regional / district authorities State owned enterprises Private enterprises NGO Local residents Other Not sure
14. How important are the following stakeholders in particular, with respect to the provision of these services? [RankI=very important; 2=moderately important; 3=not important/relevant] Gender and/or human rights resource persons within the municipal administration (advisor, sub-department, councils etc.) Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Not sure Civil society organizations and Civil society organisations and private enterprises representing in private enterprises representing in particular womens interests and particular minority interests and demands demands Other civil society organizations and private enterprises representing typically socially excluded groups interests and demands
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15. Which of the following best applies to the municipal administration regarding interaction with stakeholders regarding these services? It is up to stakeholders to come forward with their suggestions and feedback Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Stakeholder suggestions and feedback are actively sought Not sure
16. How are stakeholders encouraged to provide feedback on these services? Publishing/advertising details of the consultation process Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Publishing stakeholder feedback from public consultations Publishing/advertising changes resulting from public consultations Prizes / gifts Other Not sure
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17. Overall, how useful is feedback provided by the following stakeholders on these services: drinking water supply; liquid waste management; solid waste management; basic healthcare; primary education? Very useful Other municipalities Central authorities Regional / district authorities State owned enterprises Private enterprises Economic NGO Social NGO Womens interest groups / organizations Minority interest groups / organizations Local residents Other 18. Which of the following best describes decision making with respect to these services? Most matters are referred to a small number of senior staff for a decision Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Somewhat useful
Not useful
Feedback not provided
Not sure
Many staff can make decisions without first having to seek the approval of their managers
Not sure
19. How do you rate the municipal administrations capacity to negotiate with regional and central authorities, and service delivery partners with respect to these services? [Rank 1-5. 1=strong; 2=moderate; 3=weak; 4=no capacity in this area; 5=not sure] Capacity to negotiate with regional authorities Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Capacity to negotiate with central authorities Capacity to negotiate with service delivery partners [only applies if responsibility is shared]
20. In general, how easily can members of the public access information on the following. [Rank 1-4. 1=information is readily available at any time; 2=information is available upon request; 3=information is generally not available to the public; 4=not sure] Service delivery partnership Budgets Actual expenditure Performance targets Performance monitoring arrangements Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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21. How often are the views of clients sought on the following services? Continuously Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education At least once each month At least once every six months At least once each year Occasionally but not no fixed interval Never Not sure
22. To what extent are concerns of the following clients in relation to these services included in feed back? [Rank 1-4. 1=always; 2=sometimes; 3=seldom / never; 4=notsure]. Service quality and timeliness Women Persons belonging to religious, cultural and/or ethnic minorities Refugees and displaced persons Persons living with disabilities Young persons Persons with a low income Other groups that are typically socially excluded
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Service availability
Suggestions for service enhancement
Other
Not sure
23. To what extent are the results of client surveys made available to the public? This is standard practice Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Sometimes Rarely / never Not sure
24. How many staff are working on research, statistics, and analysis? Insert number, including 0 where appropriate. If not sure, do not insert numbers, but insert checkmark in Not sure column. Full time Part time Contracted Not sure Some of their Some of their Some of their All of their time All of their time All of their time time time time Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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25. In the areas of drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education, how many staff have a formal, nationally or internationally recognized qualification involving statistics? Insert number, including 0 where appropriate. If not sure, do not insert numbers, but insert checkmark in Not sure column. Full time Part time Contracted Not sure
26. Is there sufficient, suitably qualified and experienced staff to carry out effective research and analysis for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education No Not sure
27. Are there sufficient financial resources to carry out effective research and analysis for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education No Not sure
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28. Are there sufficient financial resources to carry out research regarding the risks posed by climate change to the delivery these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 29. Overall, how do you rate the capacity of the municipal administration to collect/generate statistical information relating to the delivery of these services? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 30. Overall, how do you rate the capacity of the municipal administration to collect/generate statistical information regarding the risks posed by climate change to the delivery of these services? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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No
Not sure
Moderate
Weak
No capacity
Not sure
Moderate
Weak
No capacity
Not sure
31. Has any research or assessment been carried out regarding the risks posed by climate change to the delivery of these services? Select one option in each row. Yes. Assessment Yes. Assessment Yes. Assessment Yes. Assessment covers next 30 covers next 20 covers next 10 covers next 5 No Not sure years years years years Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
32. To what extent is the delivery of these services likely to be impacted by climate change? Significantly Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Somewhat Little/not at all Not sure.
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33. Has any research or assessment been carried out regarding the risks posed by climate change to the delivery of the 5 basic services to the following groups? Select one option in each row. Yes Women Persons belonging to religious, cultural and/or ethnic minorities Refugees and displaced persons Persons living with disabilities Young persons Persons with a low income Other groups that are typically socially excluded No Not sure.
34. To what extent is the delivery of the 5 basic services to the following groups likely to be impacted by climate change over the next 30 years? Significantly Women Persons belonging to religious, cultural and/or ethnic minorities Refugees and displaced persons Persons living with disabilities Young persons Persons with a low income Other groups that are typically socially excluded Somewhat Little/not at all Not sure
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35. Has any research or assessment been carried out to identify the carbon footprint of these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 36. Does the municipal administration know the carbon footprint of these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 37. Does the municipality have any policies, strategies, or action plans covering the following for any of the following? Reducing energy consumption Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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No
Not sure
No
Not sure
Increasing use of renewable energy Yes No Not sure
Promotion of local green businesses (e.g. suppliers and service businesses) Yes No Not sure
No
Not sure
38. Overall, how do you rate the capacity of the municipal administration to analyze statistical information relating to the delivery these services? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Moderate Weak No capacity Not sure
39. How do you rate the research, statistics, and analysis IT of the municipal administration (computer workstations, servers, software, internal network, internet access, IT expertise)? Meets current and future needs Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Meets current needs Partially meets current needs Falls well short of current needs Not sure
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40. How does the municipal administration identify development needs of staff involved in research, statistics, and analysis in the areas of drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education? Regular Formal staff appraisal Training needs assessment Staff performance monitoring Department performance monitoring Requests from individual staff Feedback from other staff within the organization Feedback from external stakeholders When problems occur Ad hoc Never Not sure
41. Has any training been provided, or is any training planned for staff in relation to assessing climate change risks? Select one option in each row. Adequate training has been provided Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Training is planned Training is intended at some point in the future but has not yet been planned There are no plans for this type of training Not sure
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42. To what extent does the municipal administration determine its own research, statistics, and analysis priorities and methods, and to what extent are they specified by other authorities (e.g. central and regional)? Has significant influence over these Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Has some influence over these Has little influence over these Not sure
43. To what extent does the municipal administration rely on its own research, statistics, and analysis, and to what extent on research, statistics, and analysis provided by other authorities and organizations? Relies mainly on own research, statistics and analysis Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Relies on both own research, statistics and analysis, and research, statistics, and analysis provided by others Relies mainly on research, statistics, and analysis provided by others Not sure
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44. To what extent is the municipal administration able to negotiate with central and regional authorities regarding research, statistics, and analysis, specifically with respect to (1)determine roles and responsibilities, (2)define methods, (3)obtain resources, and (4) obtain data? Frequently able to Sometimes able to Rarely / never able get agreement to its get agreement to its to get agreement to Not sure proposals proposals its proposals Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
45. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organizations, etc.) in carrying out research and analysis with respect to these services? Often works closely with other munici- Sometimes works with other municipali- Rarely / never works with other municiNot sure palities and organizations ties and organizations palities and organizations Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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46. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organizations, etc.) in carrying out climate change risk analysis with respect to these services? Often works closely with other municipalities and organizations Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Sometimes works with other municipalities and organizations Rarely / never works with other municipalities and organizations Not sure
47. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration and its service delivery partners in the area of research, statistics, and analysis? Encouraged to innovate Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Neither encouraged to, nor discouraged from innovating Discouraged from innovating Not sure
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48. Is there any legal requirement for the municipality to assess the risks posed by climate change to the delivery of these services? Select one option in each row. Yes. Assessment should cover next 30 years or more Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Yes. Assessment should cover next 20 years Yes. Assessment should cover next 10 years Yes. Assessment should cover next 5 years No Not sure
49. How do you rate the knowledge of the municipal administration with respect to research, statistics, and analysis methods, regarding these services? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Moderate Weak Not sure
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50. To what extent does the municipal administration make research, statistics, and analysis related to these services available to the public? All research, statistics, and analysis is available to the public Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Some research, statistics, and analysis is available to the public Little / no research, statistics, and analysis is available to the public Not sure
51. What, if any, explicit policy, strategy, and service development obligations does legislation place on relevant service providers with respect to these services? Policy, strategy, and service development obligations exist in legislation Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Policy, strategy, and service development encouraged in legislation Legislation neither encourages nor discourages policy, strategy, and service development responsibilities Policy, strategy, and service development discouraged in legislation Policy, strategy, and service development reserved to other authorities (e.g. central and / or regional)
Not sure
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52. Is there any obligation on the municipal administration to develop climate change mitigation and adaptation policies and/or strategies? Obligations exist in legislation Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Encouraged by legislation Neither encouraged nor discouraged by legislation Discouraged in legislation Is the responsibility of other authorities (e.g. central and / or regional) Not sure
53. Does the municipal administration have formal policies, strategies, and plans for climate change mitigation and adaption for these services? Yes. Covering the next 30 years or more Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Yes. Covering the next 20 -30 years Yes. Covering the next 10-20 years Yes. Covering the next 5-10 years Yes. Covering the next 5 years No Not sure
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54. Has the municipal administration identified the municipalitys investment needs to mitigate and adapt to climate change? Yes. Covering the next 30 years or more Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 55. Do guidelines / procedures exist for the development of policies, strategies, and services for the following? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 56. If there are policy, strategy, and service development guidelines / procedures, to what extent are they implemented? Fully Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Yes. Covering the next 20 -30 years
Yes. Covering the next 10-20 years
Yes. Covering the next 5-10 years
Yes. Covering the next 5 years
No
Not sure
No
Not sure
Partly
Seldom/ never
Not sure
57. If there are policy, strategy, and service development guidelines / procedures, to what extent do they cover climate change risk mitigation and adaptation? Comprehensively Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Somewhat Little/not at all Not sure
58. If there are specific guidelines / procedures covering the integration gender and human rights issues into policies, strategies, and services, to what extent are they actually implemented with respect to drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education? Fully Integration womens needs and interests Integration of minority needs and interests Integration of needs and interests of people with disabilities Partly Rarely/ never Not sure
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59.
How many staff are working on policy, strategy, and service development issues? Insert number, including 0 where appropriate. If not sure, do not insert numbers, but insert checkmark in Not sure column. Full time Some of their time Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education All of their time Part time Some of their time All of their time Contracted Some of their time All of their time Not sure
60. To what extent is climate change mitigation and adaptation incorporated into the work of staff working on policy, strategy, and service development issues? A lot Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 61. In the areas of drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education, how many staff have a formal, nationally or internationally recognized qualification involving policy, strategy, and service / project development? Insert number, including 0 where appropriate. If not sure, do not insert numbers, but insert checkmark in Not sure column. Full time Part time Contracted Not sure Somewhat Little/not at all Not sure
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62. Are policy, strategy, and service development responsibilities for these services clearly assigned within the municipal administration? To specific departments Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 63. Are there sufficient, suitably qualified and experienced staff to carry out effective policy, strategy, and service development for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 64. Are there sufficient financial resources to carry out effective policy, strategy, and service development for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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To specific job holders Yes No Not sure
No
Not sure
No
Not sure
No
Not sure
65. Are there sufficient financial resources to carry out effective policy, strategy for these services in the area of climate change mitigation and adaptation for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education No Not sure
66. Overall, how do you rate the capacity of the municipal administration and other service delivery organizations to formulate policy, strategy, and service development proposals for these services? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Moderate Weak No capacity Not sure
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67. To what extent do the following influence the policies and strategies of the municipal administration and other service delivery organizations? [Rank 1-4. 1=a lot; 2=somewhat; 3=little / not at all / not relevant; 4=not sure] European Charter of Local Self-Government Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education European Social Charter Millennium Development Goals National and / or regional development plans / strategies EU Roadmap for Equality between Men and Women UN Convention on the Rights of Persons with Disabilities Other
68. Overall, how do you rate the capacity of the municipal administration and other service delivery organizations to align policy, strategy, and service development proposals with the following key documents? [Rank 1-4. 1=strong; 2=moderate; 3=weak / none at all; 4=not sure] European Charter of Local Self-Government Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education European Social Charter Millennium Development Goals National and / or regional development plans / strategies EU Roadmap for Equality between Men and Women Other
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69. To what extent does the municipal administration determine its own policy, strategy, and service development priorities and methods, and to what extent are they specified by other authorities (e.g. central and regional)? Has significant influence over these Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Has some influence over these Has little influence over these Not sure
70. To what extent are the municipal administration and other service delivery organizations able to negotiate with central and regional authorities regarding policy, strategy, and service development, specifically with respect to (1)determine roles and responsibilities, (2)define methods, (3)obtain resources, and (4) obtain data? Frequently able to get agreement to its proposals Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Sometimes able to get agreement to Rarely / never able to get agreement its proposals to its proposals Not sure
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71. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organisations, etc.) in carrying out policy, strategy, and service development with respect to these services? Often works closely with other municipalities and organizations Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 72. To what extent does central government consult local governments about the impacts of policy proposals? Always Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 73. To what extent does central government consult local governments about their capacities to implement policy proposals? Always Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Sometimes works with other municipalities and organizations
Rarely / never works with other municipalities and organizations
Not sure
Often
Sometimes
Seldom/never
Not sure
Often
Sometimes
Seldom/never
Not sure
74. How substantive are the consultations that the central government holds with the municipality regarding policy proposals? Very substantive Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Somewhat substantive Not substantive Not sure
75. How strong is the dialogue between central government and the municipality in the following areas? Very strong Protecting the environment Managing natural resources Neither strong nor weak Weak No dialogue at all Not sure
76. To what extent does slow public administration reform undermine strategic planning by the municipal administration in the area of human resource management? Makes human resource planning very difficult Makes human resource planning somewhat difficult Does not affect human resource planning Not sure
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77. To what extent does slow public administration reform undermine strategic planning by the municipal administration in the area of climate change mitigation and adaptation? Makes climate change planning very difficult Makes climate change planning somewhat difficult Does not affect climate change planning Not sure
78. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration and other service delivery organizations in the area of policy, strategy, and service development? Encouraged to innovate Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 79. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration and other service delivery organizations in the area of climate change mitigation and adaption policy and strategy development for the following services? Encouraged to innovate Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Neither encouraged to, nor discouraged from innovating
Discouraged from innovating
Not sure
Neither encouraged to, nor discouraged from innovating
Discouraged from innovating
Not sure
80. How do you rate the knowledge of the municipal administration with respect to policy, strategy, and service development methods? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 81. To what extent does the municipal administration consult the public and other stakeholders about its policy, strategy, and service development proposals? [Rank 1-4. 1=frequently; 2=sometimes; 3=rarely / never;4=not sure] Policy proposals Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 82. To what extent does the municipal administration consult the public and other stakeholders about its policy, strategy, and service development proposals regarding climate change mitigation and adaptation? [Rank 1-4. 1=frequently; 2=sometimes; 3=rarely / never;4=not sure] Policy proposals Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Moderate
Weak
Not sure
Strategy proposals
Service development proposals
Strategy proposals
Service development proposals
83. To what extent is the municipal administration required by legislation to consult stakeholders regarding policy, strategy, and service development relating to these services? Required Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Encouraged Neither required / encouraged, nor discouraged / not permitted Discouraged Not permitted Not sure
84. To what extent is the municipal administration incentivized to consult stakeholders? Incentives exist Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education There are neither incentives nor disincentives Disincentives exist Not sure
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85. To what extent does the municipal administration incorporate stakeholder feedback on policy, strategy, and service development relating to these services? Always Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 86. Do clear guidelines / procedures exist within the municipal administration for budgeting, accounting, service management / oversight, and service implementation for the following? [Rank 1-3. 1=yes; 2=no; 3=not sure.] Budgeting Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 87. To what extent are existing guidelines and procedures actually implemented? [Rank 1-4. 1=fully; 2=partly; 3=little / not at all; 4=not sure.] Budgeting Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Usually
Rarely / never
Not sure
Revenue raising
Accounting
Service management / oversight
Service implementation
Revenue raising
Accounting
Service management / oversight
Service implementation
88. To what extent are existing guidelines and procedures on gender and human rights actually implemented? Fully Integration of the needs and rights of women into all aspects of budgeting, revenue raising, service implementation etc. Integration of human rights issues into all aspects of budgeting, revenue raising, service implementation etc. (including the needs and rights of minorities and other typically socially excluded groups) Training of staff on gender and human rights issues related to their professional activities (such as budgeting, revenue raising, service implementation etc.) Employment equality (employment of men and women in equal numbers, equal pay, and equal representation of men and women in management posts) Partly Seldom/ never Not sure
89. How many staff, overall within the municipal administration are working on budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services? Insert number, including 0 where appropriate. If not sure, do not insert numbers, but insert checkmark in Not sure column. Full time Some of their time Budgeting Revenue raising Accounting Service management / oversight Service implementation All of their time Part time Some of their time All of their time Contracted Some of their time All of their time Not sure
88
90. What, if any constraints are placed by the central government on local governments regarding human resource management? Heavily constrained Overall staffing levels Organisation of staff Recruitment Qualifications Remuneration, benefits, incentives Dismissal Partly constrained No constraints Not sure
91. To what extent is recruitment subject to influences from outside the municipal administration? A lot Overall staffing levels Organisation of staff Recruitment Qualifications Remuneration, benefits, incentives Dismissal Somewhat Not at all Not sure
89
92. Overall, roughly what percentage of the staff working on budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services are from the following groups? Women 10 % or less 11% - 30 % 31%- 50 % 51%- 70 % 71 %-100 % Not sure 93. How many staff have a formal, nationally or internationally recognised qualification involving budgeting, accountancy, project management, or procurement? [Insert number, including 0 where appropriate. If not sure, do not insert numbers, but insert checkmark in Not sure column] Full time Part time Contracted Not sure Persons belonging to minority group Persons from other typically socially excluded groups
94. Are budgeting, revenue raising, accounting, service management / oversight, and service implementation responsibilities for these services clearly assigned within the municipal administration? [Insert 1-3. 1=yes; 2=no; 3=not sure. Insert NA only if municipal administration or other service delivery organizations do not have responsibility for the relevant aspect of service i.e. budgeting, revenue raising, accounting, service management / oversight, or service implementation] Budgeting Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Revenue raising Accounting Service management / oversight Service implementation
90
95. Are there sufficient, suitably qualified and experienced staff to carry out budgeting, revenue raising, accounting, service management / oversight, and service implementation? [Select 1-3. 1=yes; 2=no; 3=not sure. Insert NA only if municipal administration or other service delivery organizations do not have responsibility for the relevant aspect of service i.e. budgeting, revenue raising, accounting, service management / oversight, or service implementation] Budgeting Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Revenue raising Accounting Service management / oversight Service implementation
96. Are there sufficient financial resources for effective budgeting, revenue raising, accounting, service management / oversight, and service implementation for these services within the municipal administration? [Select 1-3. 1=yes; 2=no; 3=not sure.] Budgeting Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Revenue raising Accounting Service management / oversight Service implementation
91
97. Overall, how do you rate the capacity of the municipal administration and other service delivery organizations to carry out budgeting, revenue raising, accounting, service management / oversight, and service implementation in the areas of budgeting, revenue raising, accounting, service management / oversight, and service implementation? [Rank 1-4. 1=strong; 2=moderate; 3=weak; 4=not sure] Budgeting Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Revenue raising Accounting Service management / oversight Service implementation
98. How do you rate the procurement capacity of the municipal administration? [Rank 1-4. 1=strong; 2=moderate; 3=weak; 4=not sure] Developing technical specifications and terms of reference Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Tender evaluation Contract negotiation Contract monitoring Contract enforcement
92
99. What corrective action has the municipality undertaken when contracts have not been satisfactorily performed by the contractor? This has been done on many occasions Resolve the problem through discussion with the contractor Impose financial penalties on the contractor Terminate the contract Other corrective actions 100. Are the financial resources of the municipal administration sufficient to meet its service delivery / implementation obligations? Fully Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 101. Are the financial resources of the municipal administration sufficient to meet its service delivery / implementation obligations with respect to the following groups? Fully Women Minorities Persons with disabilities Other typically socially excluded groups Partly Little / not at all Not sure Partly Little / not at all Not sure This has been done sometimes This has rarely/never been done Not sure
93
102. Does the municipal administration have sufficient revenue raising powers to meet its service delivery / implementation obligations? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 103. Is the local economy large enough (e.g. per capita income, size of population, number and revenue of businesses, etc.) to meet the local share of service delivery costs (i.e. total cost less grants / transfers from central or regional authorities)? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 104. Are grants / transfers from central and regional authorities sufficiently predictable (i.e. in terms of both size and timing) to enable reliable budgeting and service delivery / implementation? Always Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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No
Not sure
No
Not sure
Generally
Seldom / never
Not sure
105. Are there any restrictions placed on the use of grants / transfers from central and / or regional authorities that undermine the ability of the municipal administration to deliver / implement services effectively? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 106. What percentage of service charges (by value) is paid on time? 75% - 100% Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 107. Approximately what percentage of late service charge payments (by value) is paid following action by the municipality and/or relevant public utility company? 75% - 100% Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
95
No
Not sure
50% - 74%
25% - 49%
<25%
Not sure
Does not apply
50% - 74%
25% - 49%
<25%
Not sure
Does not apply
108. Which type of customer accounts for the largest value of service charges remaining unpaid more than 6 months after invoicing? Large enterprises Drinking water supply Liquid waste management Solid waste management Medium enterprises Small enterprises Households Not sure
109. How are users invoiced for drinking water supply, liquid waste management, and solid waste management? One invoice covers more than one service. The charge for each service is clearly identified One invoice covers more than one service. There is a single charge covering different services. It is not possible to identify the cost of each service
All services are invoiced separately
Other
Not sure
110. To what extent do the municipality and/or relevant public utility companies undertake regular scheduled equipment and infrastructure maintenance in the following areas? Regular scheduled maintenance is planned and carried out Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Regular scheduled maintenance is planned but not always carried out
There is no regular scheduled maintenance plan. All maintenance is ad hoc.
Not sure
Does not apply
111. Overall, how do you rate the capacity of the municipal administration to implement / deliver services in line with agreed policies and strategies? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Moderate Weak No capacity Not sure
112. To what extent do any of the following undermine the ability of the municipal administration to deliver services that address the needs and rights of the following groups? [Applies only to drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education] [Rank 1-4. 1=major constraint; 2=some constraint; 3=no constraint; 4=not sure] Women Lack of legal obligations concerning service delivery for this particular group Lack of revenue raising power to meet legal obligations that concern this group Insufficient local economy to meet the local share of service delivery costs for this group Insufficient grants / transfers targeting this group from central and regional authorities (i.e. in terms of both size and timing) Restrictions placed by central and / or regional authorities hinder use of grants / transfers for this group, Other Minorities Persons with disabilities Other typically socially excluded groups
97
113. Overall, how do you rate the capacity of the municipal administration to implement / deliver services in line with agreed gender and human rights policies and strategies concerning the following groups? [Applies only to drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education] Strong Women Minorities Persons living with disabilities Other typically socially excluded groups Moderate Weak No capacity Not sure
114. Overall, how do you rate the capacity of the municipal administration and other service delivery organizations to align service delivery / implementation with the following key documents? European Charter of Local Self-Government Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education European Social Charter Millennium Development Goals National and / or regional development plans / strategies EU Roadmap for Equality between Men and Women UN Convention on the Rights of Persons with Disabilities Other
98
115. How do you rate the IT capacity (computer workstations, servers, software, internal network, internet access, IT expertise) of the municipal administration with respect to budgeting, revenue raising, accounting, service management / oversight, and service implementation for these services? [Rank 1-5.1=meets current and future needs; 2=meets current needs; 3=partially meets current needs; 4=falls well short of current needs; 5=not sure] Budgeting Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Revenue raising Accounting Service management / oversight Service implementation
99
116. What types of development activities does the municipal administration provide for staff working budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services? Full Time Staff Current financial year Formal training events Seminars, conferences, workshops Courses leading to qualifications Courses not leading to qualifications Local study visits International study visits Twinning Coaching Mentoring Not sure Formal training events Seminars, conferences, workshops Courses leading to qualifications Previous financial year Courses not leading to qualifications Local study visits International study visits Twinning Coaching Mentoring Not sure
100
Part Time Staff
Contract Staff
117. To what extent does the municipal administration specify its own service delivery targets to what extent are these specified by other authorities (e.g. central and regional)? Has significant influence over these Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Has some influence over these Has little influence over these There are no service delivery targets for this service Not sure
118. To what extent does the municipal administration specify service delivery targets regarding the following groups, and to what extent are they specified by other authorities (e.g. central and regional)? Has significant influence over these Women Minorities Persons living with disabilities Persons with low income Other typically socially excluded groups Has some influence over these Has little influence over these There are no service delivery targets for this groups Not sure
101
119. To what extent does the municipal administration design services to meet the needs and rights of the following groups, and to what extent are they delivering services to these groups that are designed/specified by other authorities and organizations? [Applies only to drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education] Relies mainly on own service designs Women Minorities Persons with disabilities Persons with low income Other typically socially excluded groups Relies on both own service designs and those provided by others Relies mainly on service designs provided by others There are no services that have been designed or adapted specifically for this group Not sure
120. To what extent is the municipal administration able to negotiate with central and regional authorities regarding service delivery / implementation, specifically with respect to (1)determine roles and responsibilities, (2)defining methods, (3)setting targets, and(4)obtaining resources? Frequently able to get agreement to its proposals Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Sometimes able to get agreement to its proposals Rarely / never able to get agreement to its proposals Not sure
102
121. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration with respect to the delivery / implementation of these services? Encouraged to innovate Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Neither encouraged to, nor discouraged from innovating Discouraged from innovating Not sure
122. How often does the municipal administration consult the public about service delivery? [For the purposes of this questions, consult means to seek feedback from 2%, or more, of service users about the quality, reliability, and coverage of services] At least once every month Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education At least once every six At least once every months year At least once every two years Less frequently than every two years Not sure
103
123. To what extent does the municipal administration consult with the following stakeholders about service delivery? Frequently Organizations representing womens interests Organizations representing the interests of religious, cultural, or ethnic minorities Organizations representing the interests of refugees and/or displaced persons Organizations representing the interests of persons with disabilities Youth associations and organizations representing the interests of young people Other organizations representing the interests of other typically socially excluded persons 124. To what extent does the municipal administration consult specialist gender and human rights staff, departments, and other bodies (e.g. councils and committees) about the delivery / implementation of the five services? Frequently There are no such specialist staff, departments, or other bodies to consult on human rights and gender issues 125. Which of the following does the municipal administration invite to comment on delivery / implementation? General public Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Other service delivery organizations Local NGOs National and regional NGOs Other municipalities Central authorities Regional authorities International agencies Sometimes Rarely / never Not sure Sometimes Rarely / never Not sure
104
126. To what extent is the municipal administration required by legislation to consult the public and other stakeholders about the delivery of these services? Required Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Encouraged Neither required / encouraged, nor discouraged Discouraged Not permitted Not sure
127. Is the municipal administration required by legislation to consult the following stakeholders regarding the delivery of these services? [1=Yes; 2=No; 3=Not sure] Women Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Minorities Other typically socially excluded groups
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128. To what extent is the municipal administration incentivized by central and / or regional authorities to consult the public and other stakeholders about the delivery of these services? There are neither incentives nor Incentives exist Disincentives exist Not sure disincentives Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
129. Is the municipal administration incentivized by central and/or local authorities to consult the following stakeholders about the delivery of these services? [1=Yes;2=No;3=Not sure] Women Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Minorities Other typically socially excluded groups
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130. To what extent does the municipal administration incorporate stakeholder feedback on the delivery / implementation of these services? Always Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Usually Rarely / never Not sure
131. What, if any, explicit monitoring and evaluation obligations does legislation place on the municipality with respect to the provision of these services? Monitoring and evaluation obligations exist in legislation Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Monitoring and evaluation encouraged in legislation Legislation neither encourages nor discourages monitoring and evaluation Monitoring and evaluation discouraged in legislation Monitoring and evaluation reserved to other authorities (e.g. central and / or regional) Not sure
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132. Does legislation place any obligation on the municipality to cover specifically the following groups when monitoring and evaluating these services (for example obligations to disaggregate monitoring data by sex, ethnicity, and age groups)? Monitoring and evaluation of women Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education No Not sure Monitoring and evaluation of minorities Yes No Not sure Monitoring and evaluation of persons living with disabilities Yes No Not sure Monitoring and evaluation of other typically socially excluded groups Yes No Not sure
133. With respect to monitoring and evaluation, how good is co-ordination between the municipal administration and other service delivery organisations? Excellent Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Adequate Problematic Not sure
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134. Do guidelines / procedures exist for monitoring and evaluation for the following? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education No Not sure
135. To what extent are existing monitoring and evaluation implemented by the municipal administration with respect to the services for which it is solely responsible? Fully Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Partly Seldom/ never Not sure
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136. Do the guidelines / procedures for monitoring and evaluation give guidance on the following? Yes How to design systems that specifically monitor and assess access to and use of services by both male and female users How to design systems that specifically monitor and assess access to and use of services users amongst typically socially excluded groups (minorities, people with disabilities, etc.) How to design systems that measure satisfaction among both female and male users How to design systems that measure satisfaction among users from typically socially excluded groups How to design systems that measure the delivery performance of the municipal administration and other service delivery organizations in fulfilling gender equality and discrimination standards in processes and results (targets). No Not sure
137. To what extent are the following activities actually undertaken? Frequently Monitoring and assessing access to and use of services by both male and female users Monitoring and assessing access to and use of services by users amongst typically socially excluded groups (minorities, people with disabilities, etc.) Monitoring and assessing satisfaction among both female and male users Monitoring and assessing satisfaction among users from typically socially excluded groups Monitoring and assessing the delivery performance of the municipal administration and other service delivery organizations in fulfilling gender equality and discrimination standards in processes and results (targets). Sometimes Seldom/ never Not sure
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138. How many staff are working on monitoring and evaluation issues? Insert number, including 0 where appropriate. If not sure, do not insert numbers, but insert NS in relevant column. Full time Some of their time Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education All of their time Part time Some of their time All of their time Contracted Some of their time All of their time
139. Overall, roughly what percentage of the staff working on monitoring and evaluation issues in relation to these services are from the following groups? Women 10 % or less 11% - 30 % 31%- 50 % 51%- 70 % 71%-100 % Not sure Persons belonging to minority group Persons from other typically socially excluded groups
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140. Are monitoring and evaluation responsibilities for these services clearly assigned within the municipal administration? To specific departments Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education No Not sure To specific job holders Yes No Not sure
141. To what extent do specialist gender and human rights staff, departments, and other bodies (e.g. councils and committees) participate in monitoring and evaluation of these services? Frequently Focal point, advisor, or sub-department on gender Focal point, advisor or sub-department on human rights and minority concerns Council or committee on gender Council or committee on human rights and minority concerns Other Sometimes Rarely/ never Not sure
112
142. Are there sufficient, suitably qualified and experienced staff to carry out effective monitoring and evaluation for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 143. Are there sufficient financial resources to carry out effective monitoring and evaluation for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 144. Overall, how do you rate the capacity of the municipal administration to monitor and evaluate these services? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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No
Not sure
No
Not sure
Moderate
Weak
No capacity
Not sure
145. Do any of the following constrain the capacity of the municipal administration to integrate gender and human rights issues effectively into monitoring and evaluation of these services? Major constraint Legislation Lack of practical guidelines / procedures on how to design monitoring systems that address gender and human rights issues Lack of staff with expertise in analysing and evaluating service delivery data from gender and human rights perspectives Lack of finances Lack of support and encouragement from management / supervisors People belonging to typically socially excluded groups do not want to participate in service delivery monitoring and evaluation activities Other 146. Overall, how to you rate the capacity of the municipal administration to undertake monitoring and evaluation of the following issues? Strong Monitoring and assessing access to and use of services by both male and female users Monitoring and assessing access to and use of services by users amongst typically socially excluded groups (minorities, people with disabilities, etc.) Monitoring and assessing satisfaction among both female and male users Monitoring and assessing satisfaction among users from typically socially excluded groups Monitoring and assessing the delivery performance of the municipal administration and other service delivery organisations in fulfilling gender equality and discrimination standards in processes and results (targets). Collecting data disaggregated by ethnicity to compare differences in development indicators between minority and majority population Measuring the delivery performance of the municipal administration and its partners in fulfilling gender equality and discrimination standards in processes and results (targets).
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Some constraint
No constraint
Not sure
Moderate
Weak
No capacity
Not sure
147. Are there service delivery targets for these services? Yes Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education No Not sure
148. Do service delivery targets for these services include the following components? [Rank 1-3. 1=yes; 2=no; 3=not sure] Quantity Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Quality Timeliness / continuity / availability
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149. To what extent do monitoring and evaluation carried out by the municipal administration comply with guidelines and recommendations provided by the following? [Rank 1-4. 1=closely; 2=somewhat; 3=little / not at all; 4=not sure] National guidelines Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Council of Europe (e.g. Performance Management at Local Level) World Bank (e.g. Are You Being Served?)
150. When monitoring and evaluating service delivery, to what extent do the municipal administration focus on progress towards the achievement of Millennium Development Goals? No Millennium Development Goals exist in this area Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Extensively Somewhat Little / not at all Not sure
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151. How do you rate the monitoring and evaluation IT of the municipal administration (computer workstations, servers, software, internal network, internet access, IT expertise)? Meets current and future needs Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Meets current needs Partially meets current needs Falls well short of current needs Not sure
152. To what extent are the monitoring and evaluation activities carried out by the municipal administration determined by the municipality itself, and to what extent are they stipulated by other authorities and organizations? Monitoring and evaluation activities are mainly determined by the municipal administration Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Monitoring and evaluation activities are are partly determined the municipal administration and partly stipulated by other authorities Monitoring and evaluation activities are mainly stipulated by other authorities Not sure
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153. To what extent does the municipal administration work with other actors (e.g. central and regional authorities, international organizations, etc.) in monitoring and evaluating service delivery with respect to the following groups? [Rank 1-4. 1= often works closely with other municipalities and organizations; 2= Sometimes works with other municipalities and organizations; 3= Rarely / never works with other municipalities and organizations; 4=not sure] Women Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Minorities People with disabilities Other typically socially excluded groups
154. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration and other service delivery organizations in the area of monitoring and evaluation? Encouraged to innovate Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Neither encouraged to, nor discouraged from innovating Discouraged from innovating Not sure
118
155. Overall, how do you rate the capacity of the municipal administration to translate the findings of monitoring and evaluation into service improvements? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Moderate Weak No capacity Not sure
156. Overall, how do you rate the capacity of the municipal administration to translate the findings of monitoring and evaluation into service improvements for the following groups? Strong Women Minorities People with disabilities People with low income Other typically socially excluded groups Moderate Weak No capacity Not sure
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157. How often does the municipal administration monitor service delivery? Continuously Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 158. How do you rate the knowledge of the municipal administration with respect to monitoring and evaluation methods? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 159. To what extent does the municipal administration make the results of monitoring and evaluation available to the public? [Rank 1-4. 1=frequently; 2=sometimes; 3=rarely / never;4=not sure] Monitoring Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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At least once every month
At least once every 6 months
At least once per year
Less often than once per year
Not sure
Moderate
Weak
Not sure
Evaluation
Optional supplementary questions for part 3 of the questionnaire Services where responsibility is shared by the municipality with one or more other service delivery organizations
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160. How important are the following service delivery partners with respect to the provision of these services in the municipality? [Rank 1=very important; 2=moderately important; 3=not important/relevant]. This municipal administration Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Other municipalities Central authorities Regional / district authorities State owned enterprises Private enterprises NGO Organizations with climate change expertise Other Not sure
161. How important are the following partners with respect to the provision of these services? [Rank I=very important; 2=moderately important; 3=not important/relevant]. Civil society organizations and private enterprises representing in particular womens interests and demands Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Civil society organizations and private enterprises representing in particular minorities interests and demands Civil society organizations and private enterprises representing typically socially excluded groups interests and demands Civil society organizations and private enterprises representing the interests of groups promoting climate change mitigation and adaptation
122
162. What are the key impediments to establishing service delivery partnerships? Lack of Lack of experience in experience in the municiLack of other the municipal adminsuitable servpal administration ice delivery istration in in setting organizations working with up service service delivdelivery partery partners nerships
Discouraged or not permitted by legislation / regulations
Lack of clarity in legislation / regulations
Restrictions on the use of central government grants
Lack of partnership approach in the country
This service is not suited to a partnership approach
Other
Not sure
Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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163. How clear are the roles and responsibilities of municipal administration, its service delivery partners, and central and regional authorities with respect to research, statistics, and analysis for these services? Municipal administration Role and responsibilities are clear Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure Service delivery partner organization Role and responsibilities are clear Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure Other actors (e.g. central and regional authorities) Role and responsibilities are clear Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure
124
164. How clear are the roles and responsibilities of the municipal administration, its service delivery partners, and central and regional authorities with respect to climate change research, statistics, and analysis for these services? Municipal administration Role and responsibilities are clear Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure Service delivery partner organization Role and responsibilities are clear Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure Other actors (e.g. central and regional authorities) Role and responsibilities are clear Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure
165. To what extent does legislation assign policy, strategy, and service development responsibilities between relevant service providers? Not applicable. Service delivery not shared or municipality has no responsibility for this service Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Responsibilities are clearly assigned Responsibilities are assigned, but not specifically Responsibilities are not assigned Not sure
125
166. How clearly are policy, strategy, and service development responsibilities divided between the relevant service providers in practice? Municipality has no responsibility for this service or service delivery not shared Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Division of responsibilities is clear in practise Division of responsibilities is not clear in practise Not sure
167. How are policy, strategy, and service development actually undertaken? Municipality has no responsibility for this service or service delivery not shared Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Jointly by the municipal administration and service delivery organizations By the municipal administration only By other service delivery organizations only Not sure
126
168. With respect to policy, strategy, and service development, how good is co-ordination between the municipal administration and other service delivery organizations? Municipality has no responsibility for this service or service delivery not shared Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Excellent Adequate Problematic Not sure
169. How clear are the roles and responsibilities of municipal administration, other service delivery organizations, and central and regional authorities with respect to policy, strategy, and service development for these services? Municipal administration Other service delivery organizations Other actors (e.g. central and regional authorities) Role and reRole and Role and Role and Role and reRole and reRole and Role and reRole and responsibilities Not Not Not responsibilities responsibilities responsibilities sponsibilities are sponsibilities are responsibilities sponsibilities are sponsibilities are are somewhat sure sure sure are clear are unclear are clear somewhat clear unclear are clear somewhat clear unclear clear Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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170. How clear are the roles of the municipal administration and other service delivery partners in incorporating climate change mitigation and adaptation into policies and strategies for these services? Municipal administration Other service delivery organizations Other actors (e.g. central and regional authorities) Role and Role and Role and Role and Role and reRole and Role and Role and reRole and reresponsibilities Not Not Not responsibilities responsibilities responsibilities sponsibilities are responsibilities responsibilities sponsibilities are sponsibilities are are somewhat sure sure sure are clear are unclear are clear somewhat clear are unclear are clear somewhat clear unclear clear Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
171. How does legislation assign budgeting, revenue raising, accounting, service management / oversight, and service implementation responsibilities between relevant service providers? [Select 1-5. 1=to municipal administration only; 2=to other service delivery organizations only; 3=to both municipal administration and other service delivery organizations; 4=to neither municipal administration nor other service delivery organizations;5=not sure] Budgeting Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Revenue raising Accounting Service management / oversight Service implementation
128
172. To what extent does legislation place obligations on the municipal administration and/or other service delivery organizations to address gender and human rights issues during the processes of budgeting, revenue raising, accounting, service management / oversight, and service implementation? [Rank 1-4. 1=A lot; 2=somewhat; 3=not at all; 4=not sure] Budgeting Design and implement programmes and systems that specifically target the needs and demands of women Design and implement programmes and systems that specifically target the needs and demands of minorities Design and implement programmes and systems that specifically target the needs and demands of other typically socially excluded groups Revenue raising Accounting Service management / oversight Service implementation
173. How clearly are budgeting, accounting, revenue raising, service management / oversight, and service implementation responsibilities divided between the relevant service providers in practice? [Insert 1-3. 1=division of responsibilities is clear in practise; 2= division of responsibilities is not clear in practise; 3=not sure] Municipality has no responsibility for this service Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Budgeting Revenue raising Accounting Service management / oversight Service implementation
129
174. With respect to budgeting, revenue raising, accounting, service management / oversight, and service delivery / implementation, how good is coordination between the municipal administration and other service delivery organizations? [Rank 1-4. 1=excellent; 2=adequate; 3=problematic; 4=not sure] Budgeting Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Revenue raising Accounting Service management / oversight Service delivery / implementation
175. To what extent does legislation assign monitoring and evaluation responsibilities between relevant service providers? Responsibilities are clearly assigned Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Responsibilities are assigned, but not specifically Responsibilities are not assigned Not sure
130
176. How clearly are monitoring and evaluation responsibilities divided between the relevant service providers in practice? Division of responsibilities is clear in practise Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Division of responsibilities is not clear in practise Not sure
177. How are monitoring and evaluation actually undertaken? Jointly by the municipal administration and other service delivery organizations Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education By the municipal administration only By other service delivery organizations only Not sure
131
178. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organizations, etc.) in carrying out monitoring and evaluation with respect to these services? Often works closely with other municipalities and organizations Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Sometimes works with other municipalities and organizations Rarely / never works with other municipalities and organizations Not sure
179. How satisfied is the municipality with the cost to end users for services provided by public utility companies in the following areas? Very satisfied Drinking water supply Solid waste management Liquid waste management Somewhat satisfied Not satisfied Not sure Does not apply
132
180. Has the municipality been involved in any of the following types of service delivery partnership? With another municipality Service delivery operations Equipment / infrastructure sharing Investment planning Financial management Service charge administration and collection Other With several municipalities With a regional authority With a private sector operator With an NGO Not sure
181. Is the municipality planning to be involved in any of the following types of partnership? With another municipality Service delivery operations Investment planning Financial management Service charge administration and collection Other With several municipalities With a regional authority With a private sector operator With an NGO Not sure
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182. What are the main reasons for undertaking actual or envisaged partnerships in the following areas? Improved quality and/ or reliability of service Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Increased coverage of service provision Access to expensive and/ or scarce equipment and infrastructure Access to specific high-cost expertise Improved compliance with national and EU regulations Improved protection of the environment No current or envisaged partnership in this area
Lower service charges
Reduced overheads
Other
Not sure
183. How would the municipality describe its experience of partnerships that it has been, or is currently involved in? Very positive Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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Positive
Neither positive nor negative
Negative
Very negative
No experience of partnership in this area
184. To what extent, if at all, do the following issues undermine partnerships? This is/has been a significant problem Partners have different objectives and expectations Partners do not make agreed contributions as planned (money, staff, equipment, infrastructure, etc.) The municipality does not get the expected access to equipment, infrastructure, expertise, etc. Some partners generally fail to perform as envisaged Financial and/or institutional instability of partners Change in political leadership of participating municipalities Lack of clear political leadership in participating municipalities This is/has been a moderate problem This has rarely/never been a problem Not sure
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Questionnaire
Questionnaire Capacity Assessment Municipal Service Delivery

136
Questionnaire
Contents
Part 1 Part 2 Part 3 General Overview Services that are the sole responsibility of the municipality Services where responsibility is shared by the municipality with one or more other service delivery organizations
137
Questionnaire
Part 1 General Overview
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Questionnaire
185. Of the following services, which are the sole responsibility of the municipal administration, and for which does it share responsibility with some other body or organization? Sole responsibility Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Shared responsibility No responsibility Not sure
186. How many staff does the municipal administration employ? Operational Women Full time Part time Contract staff Men Administrative and managerial Women Men
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Questionnaire
187. How many of the senior staff and managers in the municipal administration are women, belonging to a minority group, or are from a typically socially excluded group? Within the municipal administration Women among senior staff 10 % or less 11% - 30 % 31%- 50 % 51%- 70 % 70 %-100 % Not sure Women among managers Minority persons among senior staff Minority persons among managers Senior staff from socially excluded group Managers from socially excluded group
188. What is the population in the municipality, and what is the estimated percentage of women? 5,000 or less Total population Estimated % of women 5,001 - 10,000 10,001 -20,000 20,001 - 50,000 50,001 - 100,000 100,001 - 500,000 500,001 1,000,000 More than 1,000,000
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Questionnaire
189. Have there been any changes in the profile of the population in the municipality over the past five years? Significant change Increase in population Decrease in population Age profile Gender profile Increase in % of population living in urban areas Decrease in % of population living in urban areas Number of refugees and/or displaced persons Some change Little change Not sure
190. What is the area of the municipality [km2]? Less than 10 km2 10 km2 - 14.9 km2 15 km2 - 19.9 km2 20 km2 -29.9 km2 30 km2 - 49.9 km2 50 km2 - 99.9 km2 100 km2 or more
191. What is the budget of the municipality (excluding international donor funding)? Current financial year Local currency Euro Previous financial year Next financial year
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Questionnaire
192. How is the municipalitys budget made up (excluding international donor funding)? Central government grant % Current financial year Previous financial year Next financial year Local revenue % Borrowing % Other sources %
193. Is the municipality subordinated to any of the following structures? Exists District authority Provincial authority Regional authority Subordinated to
194. Has the municipal administration been subject to any restructuring in the past three years? Significant restructuring Some restructuring Little restructuring No restructuring Not sure
195. Is any restructuring of the municipal administration envisaged? Significant restructuring Current financial year Next financial year Some restructuring Little restructuring No restructuring Not sure
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Questionnaire
196. Is there a regional development agency in the municipalitys region? Yes. Was established three or more years ago Yes, was established less than three years ago No, but there are plans to establish one No Not sure
197. How many NGOs are there operating in the municipality? 0-9 Local NGOs Regional NGOs National NGOs International NGOs 10-19 20-49 50-99 100 or more Not sure
198. How many languages and/or dialects are used by the citizens of the municipality on a daily basis? 1 2 3 More than 3
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Questionnaire
Part 2 Services that are the sole responsibility of the municipality

All questions in Part 2 relate only to the following services, including where the services are not specifically mentioned: yy Drinking water supply yy Liquid waste management yy Solid waste management yy Basic healthcare yy Primary education
These are referred to collectively as the five services. When answering the remaining questions, do not consider any other services. Where these services are listed in the question, provide answers only for those of the above five services for which the municipal administration is fully and solely responsible. Where the services are not listed in the question, provide answers that generally reflect the situation only for those of the five above services for which the municipal administration is fully and solely responsible.
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Questionnaire
199. Does the municipal administration use any of the following special methods to ensure that socially excluded, and other groups are participating effectively in public consultations regarding drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education? Women Yes Interviews with individuals Specially targeted surveys Focus group discussions Advisory panels Working groups or committees Separate public meetings Other No Not sure Yes Minorities No Not sure Other groups that are typically socially excluded Yes No Not sure Environmental / climate change groups Yes No Not sure Yes The general public No Not sure
200. To what extent are equal participation of women and men, and effective participation of minorities and typically socially excluded groups achieved in public consultation? Fully Equal participation of women and men Effective participation of minorities Effective participation of typically socially excluded groups Partly Seldom / never Not sure
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Questionnaire
201. To what extent is climate change covered by municipal consultations with the public? A lot Risk of climate change to future service delivery, and potential impact Long term, climate change-related policy choices Somewhat Little / not at all Not sure
202. Do any of the following constrain the ability of the municipal administration to effectively consult the following groups? Women Yes Legislation Lack of guidelines / procedures Lack of staff with necessary language skills Lack of knowledge about interests and needs of this group Lack of finances Lack of encouragement from management/ supervisor People belonging to this group are not willing to participate in consultations No Not sure Yes Minorities No Not sure Other groups that are typically socially excluded Yes No Not sure Yes The general public No Not sure
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Questionnaire
203. Is there a function (for example a focal point, advisor, sub-department, council or committee) within the municipal administration that is responsible for consulting with relevant local civil society and private stakeholders regarding the states gender, human rights and minority policies and institutions? Yes Focal point, advisor, or sub-department on gender Focal point / advisor or sub-department on human rights and minority concerns Council or committee on gender Council or committee on human rights and minority concerns No Not sure
204. Is there a function (for example a focal point, advisor, sub-department, council or committee) within the municipal administration that is responsible for climate change risk analysis and planning? Yes Focal point Advisor Department Council or committee No Not sure
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Questionnaire
205. To what extent does information made available to the public cover the following issues? [Rank 1-4. 1=always; 2=sometimes; 3=seldom / never; 4=not sure]. What share of the budget is planned to be used to target specifically women (projects, subsidies, etc.) Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 206. Does the municipal administration use any of the following methods to target the following specific groups through research and analysis? [Rank 1-4. 1= always; 2= often; 3= seldom/never; 4=not sure] Sociological surveys (concerning service-seeking behaviour, barriers to service access, opinions, etc.) Women Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
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How much money is actually spent on female employees compared to male employees
How many women compared to men that are actually receiving financial or technical support in the community
How many women compared to men that are actually using the services
If there is any difference between women and men in the level of satisfaction with service delivery
Risks and potential impact of climate change, and major policy choices
Anonymous client surveys (for example interviews and questionnaires) Women Minorities Other groups that are typically socially excluded
Disaggregated research and data related to use and impact of services Women Minorities Other groups that are typically socially excluded
Minorities
Other groups that are typically socially excluded
Questionnaire
207. Do research and analysis guidelines / procedures for the five services give guidance on the following? Yes How to collect data that is disaggregated by gender How to collect data that is disaggregated by other groups that are typically socially excluded (for certain age groups, minority groups, disabilities, etc.) How to analyze statistical information with a gender equality perspective How to analyze statistical information with a perspective of other groups that are typically socially excluded (such as certain age groups, minority groups, disabilities, etc.) How to assess the impact of service policy and service delivery on women especially How to assess the impact of service policy and service delivery on other groups that are typically socially excluded (such as certain age groups, minority groups, disabilities, etc.) How to assess the risks presented by climate change to the community in general, and in particular to groups that are typically socially excluded (such as certain age groups, minority groups, disabilities, etc.) Partly No Not sure
208. To what extent does the municipal administration collect disaggregated data for the five services, for example user data, assessments of impacts of services, number of staff, positions and payments, membership on public and private boards, etc.? Rank 1-4. 1=frequently; 2=sometimes; 3=rarely/ never; 4=not sure. Data disaggregated by gender Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
149
Data disaggregated by ethnicity
Data disaggregated by age
Data disaggregated by disability
Questionnaire
209. To what extent does the municipal administration assess the risk of climate change, and its likely impact on different groups living within the municipality? Rank 1-4. 1=frequently; 2=sometimes; 3=rarely/never; 4=not sure. Women / men Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 210. To what extent does the municipal administration invite the following stakeholders to comment on its research, statistics, and analysis relating to the five services? [Rank 1-4. 1=frequently; 2=sometimes; 3=rarely/never; 4=not sure] Organization representing womens interests Organization representing interests of religious, cultural, or ethnic minorities Organization representing interests of refugees and/ or displaced persons Organizations representing interests of the disabled Youth associations, and organizations representing the interests of young people Other groups that represent the interests of typically socially excluded persons Ethnic groups Different age groups People with disabilities Other socially excluded groups The general public
The general public
Academic institutions
Environmental / climate change groups
150
Questionnaire
211. To what extent have staff involved in policy, strategy, and service development for the five services received training in the following areas? A lot Rights and needs of people with disabilities Human-rights based approach to programming Gender mainstreaming Gender analysis and gender impact assessments Gender budgeting Other training on human rights and/or gender Climate change risk and impact analysis and policy planning Consensus building and negotiation skills Strategy development Budgeting Research methods and data analysis Some A little None Not sure
151
Questionnaire
212. What types of development activities does the municipal administration provide for staff involved in policy, strategy, and service development? Full Time Staff Formal training events Seminars, conferences, workshops Courses leading to qualifications Courses not leading to qualifications Local study visits International study visits Current financial year Twinning Coaching Mentoring Not sure Formal training events Seminars, conferences, workshops Courses leading to qualifications Courses not leading to qualifications Previous financial year Local study visits International study visits Twinning Coaching Mentoring Not sure Part Time Staff Contract Staff
152
Questionnaire
213. To what extent are specialist gender and human rights staff, departments, and other bodies (e.g. councils and committees) involved in policy, strategy, and service development activities for the five services? Frequently Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Sometimes Rarely Never Not sure
214. To what extent are specialist gender and human rights staff, departments, and other bodies (e.g. councils and committees) involved in budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services? Frequently Budgeting Revenue raising Accounting Service management / oversight Service implementation Sometimes Rarely/never Not sure
153
Questionnaire
215. To what extent are staff, departments, and other bodies with climate change expertise involved in involved in policy, strategy, and service development activities for the five services? Frequently Budgeting Revenue raising Accounting Service management / oversight Service implementation Sometimes Rarely/never Not sure
216. To what extent are staff departments and other bodies with climate change expertise involved in budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services? Frequently Budgeting Revenue raising Accounting Service management / oversight Service implementation Sometimes Rarely/never Not sure
154
Questionnaire
217. Overall, how to you rate the capacity of the municipal administration to undertake the following activities related to the five services? Strong Carry out research on climate change Assess climate change risk and impact Integrate climate change into medium and long-term policy development Integrate gender and human rights concerns into proposals for policy, strategy, and service development (mainstreaming) Formulate service proposals that are specifically targeted at enhancing gender equality Formulate service proposals that are specifically targeted at enhancing the situation of groups that are typically socially excluded Translate findings of research and analysis on women into coherent policy, strategy and service proposals Translate findings of research and analysis on minorities into coherent policy, strategy and service proposals Translate findings of research and analysis on people with disabilities into coherent policy, strategy and service proposals Moderate Weak No capacity Not sure
155
Questionnaire
218. To what extent is the municipal administration able to incorporate relevant aspects of EU policy and legislation into policy, strategy, service development, and service delivery / implementation? Policy, strategy, service development Gender equality and anti-discrimination legislation Council Directive 2002/73/EC of the European Parliament and of the Council of 23 September 2002 on the implementation of the principle of equal treatment for men and women as regards access to employment, vocational training and promotion, and working conditions Council Directive 79/7/EEC of 19 December 1978 on the progressive implementation of the principle of equal treatment for men and women in matters of social security Council Directive 86/378/EEC of 24 July 1986 on the implementation of the principle of equal treatment for men and women in occupational social security schemes Council Directive 86/613/EEC of 11 December 1986 on the application of the principle of equal treatment between men and women engaged in an activity, including agriculture, in a self-employed capacity, and on the protection of self-employed women during pregnancy and motherhood Council Directive 97/80/EC of 15 December 1997 on the burden of proof in cases of discrimination based on sex Council Directive 96/34/EC of 3 June 1996 on the framework agreement on parental leave concluded by UNICE, CEEP and the ETUC Council Directive 2000/78/EC of 27 November 2000 establishing a general framework for equal treatment in employment and occupation Council Directive 2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin Fully Partially Little / not at all Not sure Service delivery / implementation Fully Partially Little / not at all Not sure
156
Questionnaire
Policy, strategy, service development Environmental legislation Directive 2006/12/EC of The European Parliament and of The Council of 5 April 2006 on Waste Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on batteries and accumulators and waste batteries and accumulators Council Directive 86/278/EEC of 12 June 1986 on the protection of the environment, and in particular of the soil, when sewage sludge is used in agriculture Council Directive 91/271/EEC of 21 May 1991 concerning urban waste-water treatment Council Directive 91/689/EEC of 12 December 1991 on hazardous waste European Parliament and Council Directive 94/62/EC of 20 December 1994 on packaging and packaging waste Council Directive 96/61/EC of 24 September 1996 concerning integrated pollution prevention and control Council Directive 98/83/EC of 3 November 1998 on the quality of water intended for human consumption Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste Council Directive 80/68/EEC of 17 December 1979 on the protection of groundwater against pollution caused by certain dangerous substances Council Directive 75/439/EEC of 16 June 1975 on the disposal of waste oils Fully Partially Little / not at all Not sure
Service delivery / implementation Fully Partially Little / not at all Not sure
157
Questionnaire
Policy, strategy, service development Climate change policy Monitoring and reducing greenhouse gas emissions Improving energy efficiency and reducing energy consumption Increased utilization of renewable energy from different sources Combating deforestation Flood management and evaluation Civil protection in the event of climate-change related emergencies Fully Partially Little / not at all Not sure
Service delivery / implementation Fully Partially Little / not at all Not sure
158
Questionnaire
219. To what extent have staff involved in service delivery and management received training in the following areas? A lot Climate change risk and impact analysis and policy planning Rights and needs of persons with disabilities Human-rights based approach to programming Gender mainstreaming Gender budgeting Employment equality (employment of men and women in equal numbers, equal pay, and equal representation of men and women in management posts) Budgeting Accountancy Project management Procurement Negotiation skills Communication skills Human resource management Monitoring and evaluation Some A little None Not sure
159
Questionnaire
220. What types of development activities does the municipal administration provide for staff involved in service delivery and management? Full Time Staff Formal training events Seminars, conferences, workshops Courses leading to qualifications Courses not leading to qualifications Local study visits International study visits Current financial year Twinning Coaching Mentoring Not sure Formal training events Seminars, conferences, workshops Courses leading to qualifications Courses not leading to qualifications Local study visits Previous financial year International study visits Twinning Coaching Mentoring Not sure Part Time Staff Contract Staff
160
Questionnaire
221. What is the current condition and capacity of infrastructure and equipment in the following areas? Meets current and future requirements Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Meets current requirements but will need to be expanded, replaced, upgraded, or refurbished in the next 3 years Falls somewhat short of current requirements. Some investment is required now Falls significantly short of current requirements. Significant investment is urgently required. Not sure
222. To what extent are investment decisions regarding equipment and infrastructure guided by formal cost-benefit analyses / investment appraisals? Always Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Sometimes Rarely/never Not sure
161
Questionnaire
223. How much capacity (number of staff, expertise, facilities, finance, etc.) does the municipal administration have in the following areas? The municipal administration is strong in this area. Operations costing Investment appraisal Budgeting Equipment and infrastructure lifecycle management Equipment and infrastructure monitoring Planning and management of major maintenance Planning and management of other major equipment and infrastructure investments The municipal administration is neither strong nor weak in this area. The municipal administration is weak in this area. Not sure
224. How much capacity does the municipal administration have regarding EU and national procurement rules? Full understanding and capacity to implement National procurement rules EU procurement rules Some understanding and capacity to implement Limited understanding and capacity to implement Not sure
162
Questionnaire
225. To what extent do the following constrain effective procurement? This is frequently a problem Contracts are too small Contracts are too short Lack of suitable contractors Lack of competition Other issues This is sometimes a problem This is rarely/never a problem Not sure
226. To what extent is the municipal administration able to ensure that contracts are satisfactorily carried out? Contracts are always satisfactorily performed Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education There are problems in the performance of contracts but the municipal administration is usually able to ensure that the contractor takes the necessary corrective actions There are problems in the performance of contracts. The municipal administration is generally unable able to ensure that the contractor takes the necessary corrective actions Does not apply
Not sure
163
Questionnaire
227. Which of the following are the basis for setting service delivery charges? If relevant, select more than one option in each row. Political considerations Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Formal research into what users are willing to pay Direct service delivery costs Maintenance and depreciation costs Other Not sure Does not apply
228. Approximately what percentage of service charges (by value) are paid in each of the periods indicated below? Within 1 month of invoicing Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Between 2 and 3 months after invoicing Between 4 and 6 months after invoicing Between 7 and 12 months after invoicing Remaining unpaid more than 12 months after invoicing
164
Questionnaire
229. What actions do the municipality and/or relevant public utility companies undertake to collect unpaid services charges? Send reminder letters Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Involve a collection agency Take legal action Withdraw service Other No action Not sure Does not apply
230. Overall, how do you rate the capacity of the municipal administration to undertake monitoring and evaluation of the five services? Strong Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Moderate Weak No capacity Not sure
165
Questionnaire
231. Overall, how do you rate the capacity of the municipal administration to undertake monitoring and evaluation of the following issues related to the five services? Strong Carbon footprint Energy efficiency Energy security Use of renewable energy Risks and potential impacts of climate change on future service delivery Access to and use of services by both male and female users Access to and use of services by users amongst typically socially excluded groups (minorities, people with disabilities, etc.) Satisfaction among both female and male users Satisfaction among users from typically socially excluded groups Fulfilment of gender equality and discrimination standards in processes and results Collecting data disaggregated by ethnicity to compare differences in development indicators between minority and majority population Moderate Weak No capacity Not sure
166
Questionnaire
232. Overall, how do you rate the capacity of the municipal administration to translate the findings of monitoring and evaluation into service improvements for the following groups? Strong The general public Women Minorities People with disabilities People with low income Other typically socially excluded groups People living in areas under threat from climate change Moderate Weak No capacity Not sure
233. To what extent do local stakeholders (citizens, local NGOs, local enterprises, etc.) take advantage of opportunities to contribute to local decisionmaking? Local stakeholders take full advantage of all opportunities that the municipality provides for contributing to local decision making Local stakeholders partially take advantage of opportunities that the municipality provides for contributing to local decision making Local stakeholders rarely/never take advantage of opportunities that the municipality provides for contributing to local decision making
167
Questionnaire
234. To what extent does the municipal administration make available the following monitoring and evaluation information to the public? This specific monitoring and evaluation information does not exist within the municipality Overall service delivery performance / results compared to targets Satisfaction levels amongst the general public Number of male and female service users Number of users within minority and majority populations The level of satisfaction with service delivery among both women and men The level of satisfaction with service delivery among both minority and majority populations Results of service impact assessments for particular groups (for example women, persons living with disabilities, etc.) Actual money spent on female employees compared to male employees (salaries, training, etc.) Carbon footprint Energy efficiency Energy security Use of renewable energy
Frequently
Sometimes
Rarely / never
Not sure
168
Questionnaire
235. Overall, how important is feedback from the following stakeholders regarding the delivery of these services? [Rank I=very important; 2=moderately important; 3=not important/relevant]. The general public Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Not sure Groups and organizations Womens interest groups Minority interest groups representing the interests Environmental / climate People living in areas at and organization and organizations of other typically socially change interest groups risk from climate change excluded groups
169
Questionnaire
Part 3 Services where responsibility is shared by the municipality with one or more other service delivery organizations
Again, the questions in this section relate only to the same five services: yy Drinking water supply yy Liquid waste management yy Solid waste management yy Basic healthcare yy Primary education In this part, respondents should provide answers only in regarding those services where the municipality shares responsibility with one or more other service delivery organizations. For example, if solid waste management is the only one of these five services where responsibility is shared by the municipality with other service delivery organizations, then the questions in this part should be answered only in respect of solid waste management.
170
Questionnaire
236. Is the municipal administration involved in any of the following types of service delivery partnership? Two or more municipalities working together to deliver all or part of service Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education 237. Which of the following issues are important when selecting service delivery partners? Partner has a good Partners services understanding of special Partner has a good meet pro-poor demands and needs of understanding of requirements minorities (for example womens and mens (affordability), language and cultural different demands regarding differences) and of and needs (for setting of socially excluded groups example timing and tariffs, users in the community (need appropriateness of fees, payment of youth - and disability services) methods etc. friendly services, etc.) Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education
171
Service delivered entirely or in part by state owned enterprise
Service delivered entirely or in part by municipal owned enterprise
Service delivered entirely or in part by private sector enterprise
Service delivered entirely or in part by NGO
Other type of service delivery partnership
Not sure
Partner has expertise / experience in climate change risk and impact analysis, planning and mitigation
Partner is accepted and respected by the community
Ability of partner to deliver services in low income areas
Ability of partner to deliver services in areas where minorities live (including refugees and displaced persons)
Other issue
Questionnaire
238. How good are co-ordination and co-operation between the municipal administration and other service delivery organizations with respect to the planning and delivery of these services? Excellent Drinking water supply Liquid waste management Solid waste management Basic healthcare Primary education Adequate Problematic Not sure
239. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organizations, etc.) in carrying out policy, strategy, and service development with respect to the following subjects? Often works closely with other municipalities and organizations Climate change risk and impact analysis Climate change policy development Climate change mitigation actions Women Minorities People with disabilities Persons with low income Other typically socially excluded groups Sometimes works with other municipalities and organizations Rarely / never works with other municipalities and organizations Not sure
172
Questionnaire
240. How clear are the roles and responsibilities of the municipal administration, other service delivery organizations, and central and regional authorities with respect to integration of gender and human rights concerns of the following groups into delivery and implementation of the above services? Municipal administration Role and responsibilities are clear Women Minorities Persons with disabilities Other typically socially excluded groups Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure Other service delivery organizations Role and responsibilities are clear Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure Other actors (e.g. central and regional authorities) Role and responsibilities are clear Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure
173
Questionnaire
241. How clear are the roles and responsibilities of the municipal administration, other service delivery organizations, and central and regional authorities with respect to integration of climate change concerns into delivery and implementation of the above services? Municipal administration Role and responsibilities are clear Carbon footprint monitoring Reducing greenhouse gas emissions Energy efficiency Use of energy from renewable sources Energy security Planning to ensure continuation of services in the event of a climate-related emergency Role and responsibilities are somewhat clear Role and responsibilities are unclear Role and responsibilities are clear Other service delivery organisations Role and responsibilities are somewhat clear Role and responsibilities are unclear Other actors (e.g. central and regional authorities) Role and responsibilities are clear Role and responsibilities are somewhat clear Role and responsibilities are unclear Not sure
Not sure
Not sure
174
Questionnaire
242. Has the municipality undertaken (or is it currently undertaking) any of the following activities to promote more effective involvement of women in partnerships for service delivery? Yes Authorizing policies and administrative measures to increase participation of women in public decision-making bodies (for example quotas, special leadership trainings for women etc.) Authorizing policies and administrative measures to increase participation of women in private decision-making bodies (for example business courses especially for women, quotas for private boards) Encouraging women entrepreneurs to apply for public service delivery tenders and service delivery partnerships in areas of water supply and waste management Supporting reforms that transform informal service delivery (unpaid and unvalued work such as care of elders at home and gathering of water), into formal income generating service delivery Authorizing small loans and credits targeting women entrepreneurs especially Supporting network for womens business associations and NGOs supporting womens entrepreneurship No Not sure
243. Has the municipality undertaken (or is it currently undertaking) any type of partnership activity in any of the following areas? Yes Climate change risk and impact analysis Climate change medium/long-term policy planning Energy efficiency actions Actions to reduce overall energy consumption Promotion of renewable energy Converting municipal services to renewable energy Climate change disaster planning Other climate change mitigation actions
175
No
Not sure
Questionnaire
244. To what extent is the municipality involved in the following activities regarding public utility companies dealing with drinking water supply, solid waste management, and liquid waste management? A lot Strategic planning Financial planning (including price setting) Financial monitoring Monitoring of service delivery Somewhat Little/not at all Not sure
245. To what extent is the municipality able to influence public utility companies in the following areas? A lot Drinking water supply Solid waste management Liquid waste management Somewhat Little/not at all Not sure Does not apply
246. How satisfied is the municipality with the quality, extent, and reliability of services provided by public utility companies in the following areas? Very satisfied Drinking water supply Solid waste management Liquid waste management Somewhat satisfied Not satisfied Not sure Does not apply
176

Methodology For The Assessment of Municipal Capacities in Turkey and The Western Balkans

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Methodology For The Assessment of Municipal Capacities in Turkey and The Western Balkans

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Methodology for the assessment of municipal capacities in Turkey and theWesternBalkans to deliver services

User guide and questionnaire

Questionnaire Part 1 Part 2 Part 3

Purpose of this capacity assessment methodology

Country by country strategic assessment

Support with analysis

This methodology also draws on a similiar

Climate change and economic crises

http://www.undp.md/presscentre/2009/ILDP_Report_Crisis/Report_impact_financial_crisis_eng.pdf http://www.un.org/esa/dsd/dsd_aofw_cc/cc_pdfs/cc_sideevent1109/ Charting_carbon_route_web_final_UNDP.pdf

Social inclusion and local service delivery

The gender aspect of social exclusion in the region

UNDP Capacity Assessment Framework

Working with stakeholders

change capacity are included, in particular, with regard to planning capacity.

Incorporating climate change and economic recovery

Including minority concerns in the questionnaire

Further resource considerations

Piloting the questionnaire

Survey data analysis

Examples include SPSS http://www.spss.com/, Stata http://www.stata.com/, and SAS http://www.sas.com/.

DWS Respondent No. 1 2 3 4 5 6 7 8 9 10 a 1 2 3 3 2 4 1 2 3 1 b 3 3 3 3 3 3 3 3 3 3 c 3 4 3 3 2 4 3 4 3 3 d 4 4 3 4 2 4 4 4 3 3 a 1 2 3 3 2 4 1 2 3 3

3 Number of respondents 2 1 0 1.0-1.99 2.0 - 2.49 2.5 - 2.99 3.0 - 4.0

Range 1.0 -1.99 2.0 - 2.49 2.5 - 2.99 3.0 - 4.0

Gap assessment and prioritization

The following table is an example of one possible tool to facilitate prioritization. A B C D E

Rank (importance for service delivery)

Following up the capacity assessment programming and measuring capacity development

Human resource management

Uncertainty in local public administration

Measuring capacity development

Activities and Recruit new staff inputs

Extent of reduction in number and value of arrears

Investment for growth and change

Adaptability Continuous improvement

Quality and utility of evaluation

Quality of monitoring and baselines

Glossary of key terms used in the user guide and questionnaire

Service delivery capacity

UNDP Practice Notes & Other Documents

User guide Supplementary questions for part 2 of the questionnaire

Optional supplementary questions

User guide Supplementary questions for part 2 of the questionnaire

User guide Supplementary questions for part 2 of the questionnaire

Stakeholder consultation encouraged

Stakeholder consultation discouraged

Stakeholder consultation not permitted

Division of responsibilities is clear in practice

Division of responsibilities is not clear in practice

User guide Supplementary questions for part 2 of the questionnaire

Jointly by the municipal administration and other service delivery organizations

By the municipal administration only

By other service delivery organizations only

User guide Supplementary questions for part 2 of the questionnaire

User guide Supplementary questions for part 2 of the questionnaire

User guide Supplementary questions for part 2 of the questionnaire

User guide Supplementary questions for part 2 of the questionnaire

User guide Supplementary questions for part 2 of the questionnaire

Feedback not provided

User guide Supplementary questions for part 2 of the questionnaire

User guide Supplementary questions for part 2 of the questionnaire

Suggestions for service enhancement

User guide Supplementary questions for part 2 of the questionnaire

User guide Supplementary questions for part 2 of the questionnaire