Sidas allmänna villkor för bidrag till myndighet
Sidas allmänna villkor för bidrag till myndighet
§ 1 – Definitioner
• Med ”Samarbetspart” avses den svenska myndighetens partner i samarbetslandet. (ministerium/myndighet/organisation)
• Med ”Personal” avses personer anställda av den svenska myndigheten, eller underkonsult till den svenska myndigheten
• Med ”Överenskommelsen” avses Överenskommelse om bidrag mellan svensk myndighet och Sida.
• Med ”Tredje part” avses någon till vilken Xxxxx bidrag vidareförmedlas genom MYNDIGHET, och som inte är part i denna Överenskommelse eller Samarbetspart.
§ 2 – Allmänna villkorens tillämplighet
Dessa allmänna villkor för bidrag till myndighet anger villkoren för Sidas finansiering och är giltiga om inte annat skriftligen avtalats i Överenskommelsen.
§ 3 – Projektet/Programmet
Projektets/programmets mål och förväntade resultat ska beskrivas i ett projekt-
/programdokument. Indikatorer som gör målen uppföljningsbara ska specificeras. Målen för projektet/programmet ska ange vad som ska utföras (output) och vilka effekter det ska bidra till på kort till medellång sikt (outcome). Målen på output- och outcome-nivå ska vara mätbara.
Projekt-/programdokumentet ska innehålla en analys av väsentliga risker, i förhållande till projektets/programmets förutsättningar att uppnå avsedda mål, Samarbetspartens kapacitet vad gäller intern styrning och kontroll, uthållighet och ägarskap, samt hur dessa risker ska hanteras.
§ 4 – Budget
Sidas godkännande erfordras inför förändringar i budgeten. Förändringar ska ske genom skriftligt tillägg.
Om budgeten innehåller budgetposten ”oförutsedda kostnader” eller motsvarande, erfordras Sidas godkännande för ianspråktagande därav.
§ 5 – Ersättningsgilla kostnader
Ersättningsgilla kostnader är kostnader som möter alla nedanstående villkor. Kostnader som täcks på annat sätt, till exempel genom bidrag från annan part eller genom anslag är inte ersättningsgilla.
Krav på alla ersättningsgilla kostnader
- de har uppkommit under genomförandet av projektet/programmet så som det beskrivits i § 3 i Överenskommelsens särskilda villkor, oavsett vid vilken tidpunkt utgiften uppkom
- de har tagits med i den övergripande budgeten för projektet/programmet och vidare specificerats i den godkända årliga arbetsplanen och budgeten,
- är nödvändiga för genomförandet av projektet/programmet,
- de kan identifieras och verifieras i den svenska myndighetens bokföring
- kostnader för löner som belastar projektet/programmet måste bokföras på ett systematiskt sätt under hela aktivitetsperioden och kunna verifieras mot underliggande dokumentation,
- ska vara rimliga, berättigade och följa principerna om ansvarsfull ekonomistyrning, framförallt vad avser hushållning med resurser och kostnadseffektivitet.
Ersättningsgilla personalkostnader
Den svenska myndighetens ersättningsgilla personalkostnader fastställs utifrån principen om full kostnadstäckning baserat på myndighetens årliga kalkyl till Ekonomistyrningsverket, ESV, utifrån kalkylmodellen ”sätt rätt pris”. Arvodet i kalkylmodellen omfattar i huvudsak lön, sociala avgifter, pension, semesterersättning och overhead. En eventuell justering av arvodet, utifrån kalkylmodellen, behandlas vid årliga överläggningar mellan den svenska myndigheten och Sida.
Övriga ersättningsgilla kostnader
Följande övriga kostnader är ersättningsgilla.
- Kostnader för inrikes och utrikes tjänsteresor (resa, hotell och dagtraktamente) i enlighet med statliga regler för tjänsteresor.
- För utrikesresor betalar Sida för biljett till lägsta tillgängliga pris enligt IATA. I samband med beställning av resa ska möjligheter till bästa pris, rabatter och statliga ramavtal alltid utnyttjas. Om synnerliga skäl finns, t ex dokumenterade medicinska skäl, kan Xxxx ersätta kostnader för flygresor i andra klasser under förutsättning att Sidas godkännande inhämtats i förväg.
- Kostnader för lokala resor inom ramen för projektet/programmet.
- Kostnader för internationell post, telekommunikation och IT.
- Andra personalrelaterade kostnader i enlighet med kollektivavtal Avtal om utlandskontrakt och riktlinjer för anställningsvillkor vid tjänstgöring utomlands (URA) eller de regelverk som kan komma att ersätta det nu nämnda;
- Övriga kostnader som Sida och den svenska myndigheten har överenskommit och som förekommer i budgeten, såsom kostnader för andra myndigheters medverkan, upphandling av varor eller tjänster, studieresor till Sverige eller tredje land etc.
Icke ersättningsgilla kostnader
Följande kostnadsslag är inte ersättningsgilla under denna Överenskommelse, oavsett om de uppkommer hos den svenska myndigheten, hos Samarbetsparten eller hos Tredje part:
- skulder och därtill hörande kostnader eller förluster;
- räntekostnader;
- inköp av fastigheter, mark eller byggnader;
- valutaväxlingsförluster;
- krediter;
- extra ersättning eller traktamente för Personal/inbjudna talare/deltagare vid en workshop, eller liknande betalning som enbart utgår för själva deltagandet.
§ 6 – Rekvisition och betalning
Xxxxx finansiering kommer att utbetalas vid ett flertal utbetalningstillfällen under förutsättning att Sida mottagit och godkänt inkommen skriftlig rekvisition, undertecknad av vederbörlig företrädare för den svenska myndigheten. Utbetalningarna är villkorade av att den svenska myndigheten uppfyller villkoren i denna Överenskommelse, det föreligger en positiv utveckling i förhållande till avtalade målsättningar och förväntade resultat samt att likviditetsbehov kan visas enligt inkomna årliga arbetsplaner, budget och finansiell rapport.
Överföringen kommer att genomföras i svenska kronor (SEK).
För att Sida ska kunna verkställa utbetalning under visst kalenderår ska rekvisitionen ha inkommit till Sida senast den 1 december samma år, så att Sida ska kunna handlägga utbetalningen före kalenderårets utgång.
Rekvisitionen måste innehålla samtliga kontouppgifter som anges nedan:
- bankens namn,
- kontohavare,
- kontonummer,
Den svenska myndigheten är ansvarig för att bidraget endast används för att täcka utgifter som motsvaras av aktiviteter enligt projekt- programdokumentet och som vidareutvecklats i den godkända årliga arbetsplanen och årlig budget.
Utbetalade medel ska hållas på räntebärande konto.
§ 7 – Upphandling
Upphandling genomförs i första hand av Samarbetsparten. Vid behov ska den svenska myndigheten i samråd med Sida utse en oberoende upphandlingskonsult som stödjer Samarbetsparten i upphandlingsprocessen. Kostnaden för stödet ska ingå i budgeten för Sidas insats. Om den svenska myndigheten bedömer att Samarbetsparten saknar erforderlig kompetens och kapacitet att genomföra upphandling ska upphandling genomföras av den svenska myndigheten.
Nationell upphandlingslagstiftning ska tillämpas om den uppfyller internationellt erkända principer (icke-diskriminering, likabehandling, transparens, proportionalitet och ömsesidigt erkännande). Om den svenska myndigheten bedömer att samarbetslandets upphandlingslagstiftning inte motsvarar internationellt erkända upphandlingsprinciper ska Sida Procurement Guidelines (december 2004) eller annat internationellt regelverk tillämpas (t ex Världsbankens, FNs eller EU-kommissionens). För det fall den svenska myndigheten ska genomföra upphandling enligt ovan ska lagen (2007:1091) om offentlig upphandling tillämpas.
Sida förbehåller sig rätten att göra upphandlingsrevision.
§ 8 – Rapportering
Den svenska myndigheten ska inkomma med resultatorienterad verksamhetsrapport och finansiell rapport till Sida. För projekt/program kortare än ett år sker rapportering efter avslutat projekt/program senast det datum som överenskommits i denna Överenskommelse.
Verksamhetsrapport
Den svenska myndigheten ska årligen inge rapport till Sida som beskriver programmets resultat. Rapporten ska analysera resultat i förhållande till projektets/programmets överenskomna resultatramverk och analysera eventuella förändringar. Rapporten ska också innehålla en uppdaterad riskbedömning, samt en redogörelse för genomförda och planerade åtgärder för att hantera risker.
När projektet/programmet är slutfört ska den svenska myndigheten presentera en slutrapport till Sida avseende hela verksamhetsperioden det datum som specificeras i denna Överenskommels. För projekt/program avseende en period på mindre än ett år, sammanfaller årsrapporten med slutrapporten.
Både den svenska myndigheten och Samarbetsparten har i tillägg till ovan angivna rapportereringskrav möjlighet att enskilt inlämna kommentarer av relevans för samarbetets resultat.
De årliga verksamhetsrapporterna ska innehålla information om alla Samarbetsparter och Tredje parter till vilka medel vidareförmedlas i projektet/programmet samt en beskrivning av uppnådda resultat i förhållande till Samarbetsparter och Tredje parter.
Finansiell rapport
Den finansiella rapporten ska redovisa respektive insats använding av budget i enlighet med Xxxxx instruktion för finansiell rapportering, bilaga 1 Mall för finansiell rapportering.
Då programmet slutförts i sin helhet ska den svenska myndigheten inkomma med en finansiell rapport av vilken ska framgå den totala kostnaden för hela programmet samt hur utbetalade medel använts. Rapporten ska relatera till överenskommen budget. Även eventuell egeninsats, kostnadsdelning med Samarbetsparter och andra givares bidrag ska specificeras.
Den finansiella rapporten ska innehålla information om alla Samarbetsparter och Tredje parter till vilka medel vidareförmedlas i projektet/programmet samt en beskrivning av uppnådda resultat i förhållande till sådana Samarbetsparter och Tredje parter.
§ 9 Godkännande av rapporter
Samtliga rapporter från den svenska myndigheten ska godkännas skriftligen av Sida. Ett godkännande innebär inte att Sida godkänner innehållets korrekthet, äkthet eller fullständighet eller om innehållet är med sanningen överensstämmande.
§ 10 – Innehållande av utbetalning
Sida kan komma att hålla inne med en utbetalning varvid den svenska myndigheten kommer att underrättas om vilka villkor som inte uppfyllts. Anledningen kan vara att begäran inkommit för
tidigt, d.v.s. att beloppet ännu inte är tillåtet att rekvirera på grund av att korrekta underlag saknas eller på grund av att Sida bedömer det nödvändigt att utföra ytterligare kontroller, det kan bland annat ske i form av ett besök på plats, i syfte att bedöma om utgifterna är ersättningsgilla.
Sida får innehålla en utbetalning i fall när det föreligger misstänkt eller konstaterad korruption inom ramen för en annan överenskommelse mellan Sida och den svenska myndigheten. Sida måste därvid underrätta den svenska myndigheten skriftligen.
§ 11 – Uppföljning
Sida och den svenska myndigheten ska hålla regelbundna uppföljningsmöten enligt vad som anges i Överenskommelsens särskilda villkor § 7. Parterna ska gemensamt besluta om dagordning för mötena. Vid mötena ska en dialog genomföras mellan den svenska myndigheten och representanter för målgruppen/andra organisationer som bedömts nödvändiga i det enskilda projektet/programmet. Uppföljningsmöten ska planeras så att budgetprocessen hos den svenska myndigheten underlättas. Kostnader för genomförandet av uppföljningsmöten ska vara inkluderade i budgeten. Deltagare från andra finansiärer/partners ska bära sina egna kostnader för deltagandet.
Följande frågor ska diskuteras vid mötena; genomförandet av projektet/programmet, bedömning av genomförandet i förhållande till målgruppen/erna/budgetutfall och finansieringsbehov, prioritering av utgifter baserat på indikatorer och resultat som beskrivits i resultatramverket; observationer från fältbesök, översyn av aktivitetsplaner/årliga arbetsplaner samt budget för nästföljande kalenderår/prioritering av intäkter och utgifter; uppföljning som föranleds av genomförd revision och utvärderingar.
§ 12 – Utvärdering
Om endera parten genomför eller uppdrar åt någon att genomföra en utvärdering under aktivitetsperioden, ska kopia av utvärderingsrapporten överlämnas till den andra parten. Om den svenska myndigheten avser att genomföra en utvärdering, ske den svenska myndigheten bereda Sida tillfälle att ge synpunkter på uppdragsbeskrivningen för utvärderingen i god tid innan uppdragsbeskrivningen fastställs.
§ 13 – Korruption
Xxxxxxxxxx definieras av Sida som missbruk av förtroende, makt eller position för otillbörlig vinning. Korruption kan bl.a innefatta tagande och givande av muta, bedrägeri, förskingring, trolöshet mot huvudman, utpressning, jäv och nepotism.
Den svenska myndigheten ska arbeta aktivt för att förebygga, motverka, upptäcka och identifiera alla former av korruption och oegentligheter. Den svenska myndigheten ska, i planering och genomförande av verksamheten, ta hänsyn till risken för korruption och oegentligheter samt identifiera risker och riskreducerande åtgärder. Om en betydande risk för korruption identifierats, ska den svenska myndigheten vidta riskreducerande åtgärder för att minska denna risk.
Den svenska myndigheten ska omedelbart informera Sida vid misstankar om korruption eller oegentligheter. Den svenska myndigheten ska omedelbart vidta åtgärder för att stoppa korrupt beteende när sådant konstaterats, och när så är relevant även vidta rättsliga åtgärder. Den svenska myndigheten ska löpande informera Sida om hur ärendet fortlöper.
Den svenska myndigheten ska uttryckligen förbjuda sin Personal, bidragsmottagande organisationer och deras Personal samt konsulter, leverantörer eller andra som deltar i eller projekt/program som finansieras av Sida, för sig själv eller annan, ta emot eller låta sig utlovas, begära eller lämna, utlova eller erbjuda muta eller annan otillbörlig belöning, ersättning, kompensation, otillbörlig vinning eller förmån av något slag som kan utgöra illegalt eller otillbörligt beteende. Den svenska myndigheten ska kräva att egen Personal, organisationer till vilka bidrag har vidareförmedlats och deras Personal samt konsulter på samma sätt arbetar aktivt för att förebygga och aktivt agerar på korruption och oegentligheter.
§ 14 – Immateriella rättigheter; överlåtelse av tillgångar; synliggörande och information
Samarbetsparten och Xxxx har fri nyttjanderätt till allt material och alla resultat som den svenska myndigheten producerat inom projektets/programmets utförande, nedan kallat Resultatet.
Nyttjanderätten är kostnadsfri och innefattar rätt att sprida och att mångfaldiga resultatet samt att nyttja det i andra sammanhang.
Om inget annat angivits i Överenskommelsens särskilda villkor, ska utrustning, fordon och varor som köpts in med finansiering från projektets/programmets budget överföras till Samarbetspartens lokala samarbetspartner och/eller slutlig målgrupp för projektet (enligt beskrivning i projektdokumentet). Detta ska ha skett senast vid aktivitetsperiodens slut. Kopior av överlåtelsehandlingar avseende utrustning och fordon, vilka anskaffats till ett värde överstigande 50 000 SEK per styck, ska vara bifogade med den slutliga rapporten. Mallen i bilaga 3 till Överenskommelsens särskilda villkor ska användas. Överlåtelsehandlingar för andra tillgångar än de nyss nämnda ska sparas för framtida kontroller.
Vid hänvisning till verksamhet, som helt eller delvis finansieras genom specifik överenskommelse, ska den svenska myndigheten alltid erkänna och offentliggöra att verksamheten finansierats via svenskt utvecklingssamarbete.
Sverigelogotypen ska användas vid produktion av informationsmaterial och vid informationsaktiviteter. Ansvaret för produktion av sådant material är helt och hållet den
svenska myndighetens och ansvaret för innehållet är utgivarens. ”Sida” eller ”Sverige” får inte användas på något sätt som kan uppfattas som att Sida eller Sverige medverkat i utformningen eller står bakom de åsikter som framförs.
§ 15 – Revision
Den svenska myndigheten är ansvarig för att den finansiella rapporten för programmet/projektet revideras årligen. För program/projekt som är 23 månader eller kortare kan det efter Sidas godkännande vara tillräckligt med en revision vid programmets/projektets slut. För program/projekt finansierade med belopp som understiger gränsen för lågt värde vid direktupphandling kan andra former än revision för kontroll av medelsanvändning används.
Sidas godkännande för alternativ till revision för kontroll av medel ska inhämtas i förväg.
Revisionen ska utföras av en extern, oberoende och kvalificerad revisor. Xxxxx uppdragsbeskrivningsmall för revision skall tillämpas, bilaga 2. Om avsteg från uppdragsbeskrivnings mallen sker ska Sidas godkännande inhämtas i förväg. Sida ska godkänna myndighetens val av revisor. Kostnaden för revisionen ska ingå i den föreslagna budgeten.
Revisor ska i sin rapportering uttala sig i enlighet med ISA 800/805 om huruvida den finansiella rapporteringen överensstämmer med underliggande redovisning och Xxxxx instruktion för rapportering enligt § 8. Granskning av revisor enligt särskild överenskommelse, SNT 4400, kan användas i vissa fall om Sida bedömer detta alternativ som lämpligt. Om granskningen sker i enlighet med SNT 4400 ska Sidas godkännande av uppdragsbeskrivningen inhämtas i förväg.
Revisorns rapportering ska innehålla de iakttagelser som revisorn har gjort under granskningsprocessen samt uppgifter om den svenska myndigheten har vidtagit lämpliga åtgärder med utgångspunkt i tidigare revisionsrekommendationer.
Den svenska myndigheten ska skicka finansiell rapport och revisorns rapportering till Sida senast 10 dagar före årsgenomgången för samtliga insatser. Ett svar på revisorns rapport, samt en tidsatt åtgärdsplan, ska tas fram av den svenska myndigheten och inkomma samtidigt.
Revisionskravet ovan gäller endast för genomförande av program/projekt, och ej vid köp av avgränsad tjänst eller produkt. I det sistnämnda fallet äger Xxxx rätt att begära att särskild revision genomförs.
I de fall den svenska myndigheten vidareförmedlar medel för genomförande av projekt/program ska den svenska myndigheten ansvara för att medlen följs upp och är föremål för revision enligt de krav som anges ovan.
Den svenska myndigheten ska samarbeta med och assistera Xxxx vid eventuella tilläggsgranskningar, uppföljningar och revisioner som Sida kan komma att begära.
Den svenska myndigheten ska i alla avtal de ingått med Samarbetsparter och Tredje parter inkludera rätt för den svenska myndigheten, Sida och Riksrevisionen att revidera vidareförmedlade medel.
Om den svenska myndighetens vidareförmedling till Samarbetspart och/eller Tredje part inte överskrider 505 800 SEK, kan andra former än revision för kontroll av medelsanvändning används. Sidas godkännande för alternativ till revision för kontroll av medel ska inhämtas i förväg.
§ 16 – Sekretess och säkerhet
Den svenska myndigheten ska säkerställa att Personal är införstådd med och följer de föreskrifter och regler om sekretess och säkerhetsfrågor som Sida/ utlandsmyndighet tillämpar.
§ 17 – UD:s etiska riktlinjer
Det är myndighetens ansvar att säkerställa att all Personal är medveten om skyldigheten att beakta de Etiska Riktlinjer vid utlandstjänstgöring som utfärdats av UD.
§ 18 – Informationsplikt
Den svenska myndigheten, Samarbetsparten och Xxxx ansvarar för att snarast informera varandra om viktigare förändringar i inriktning, innehåll, omfattning eller varaktighet av projekt/program samt andra avvikelser av betydelse eller om andra händelser som kan ha betydelse för Sidas relation till den svenska myndigheten.
Den svenska myndigheten och Sida är överens om att i avtal eller andra överenskommelser med samarbetslandet eller organisation i samarbetslandet ta med förbehåll av det slag som nämns ovan.
§ 19 – Förseningar
Den svenska myndigheten måste informera Sida utan dröjsmål när någon omständighet föreligger som kan komma att påverka genomförandet eller leda till förseningar.
Den svenska myndigheten får göra uppehåll i genomförandet av hela eller delar av projektet/programmet om omständigheter leder till väsentliga problem eller säkerhetsrisker att fortsätta genomförandet av projektet/programmet. Den svenska myndigheten måste informera Sida utan dröjsmål och lämna all nödvändig information. Den svenska myndigheten ska eftersträva att avbrottet blir så kort som möjligt och återuppta genomförandet så snart omständigheterna tillåter och informera Sida därom.
Sida får begära att den svenska myndigheten ska göra uppehåll i genomförandet av hela eller delar av projektet/programmet om omständigheter föreligger som påverkar genomförandet i så hög grad att det leder till väsentliga problem eller alltför höga säkerhetsrisker att fortsätta genomförandet av projektet/programmet. Den svenska myndigheten ska eftersträva att avbrottet blir så kort som möjligt och återuppta genomförandet när omständigheterna så tillåter, dock först efter Sidas skriftliga godkännande.
§ 20 - Fastställande av slutligt bidragsbelopp
Intäktsränta ska inte vara medräknad i projektets/programmets budget vid planeringen av denna Överenskommelse och är inte heller att anse som intäkter i projektet/programmet vid beräkning av slutligt belopp. Upplupen intäktsränta ska återbetalas till Sida.
Den svenska myndigheten är införstådd med och accepterar att bidraget inte under några omständigheter kan användas för att generera vinst och att bidraget endast får täcka mellanskillnaden mellan intäkter och kostnader för projektet/programmet. Vinst definieras här som det överskott av bidraget som återstår efter att ersättningsgilla kostnader, som godkänts av Sida, dragits av.
Utöver vad som anges i § 21 i dessa Allmänna villkor om bidrag till myndighet om rätten till uppsägning, har Xxxx rätt att åberopa grund för uppsägning om följande omständigheter föreligger: om projektet/programmet inte genomförs eller genomförs otillfredsställande eller för sent. Sida får vid sådant fall sätta ner det överenskomna bidragsbeloppet och endast betala ut den summa som motsvaras av kostnaden för det faktiska genomförandet av projektet/programmet på de villkor som i övrigt gäller enligt denna Överenskommelse.
Om det vid projektets/programmets slut visas att kostnaderna för projektet/programmet är lägre än det belopp som uppskattades i § 5 i Överenskommelsens särskilda villkor ska Sidas bidrag begränsas till motsvarande belopp.
§ 21 - Uppsägning
Om Part bedömer att Överenskommelsen inte längre kan genomföras effektivt och ändamålsenligt skall denne samråda med motparten. Om Parterna inte kan komma överens om en lösning har vardera Parten rätt att säga upp Överenskommelsen till upphörande med en uppsägningstid av tre månader. Uppsägningen ska vara skriftlig och utan ersättningsskyldighet gentemot den andra parten
Sida har dessutom rätt att säga upp Överenskommelsen till omedelbart upphörande utan föregående uppsägning om den svenska myndigheten har gjort sig skyldig till väsentligt brott av denna överenskommelse.
Vid en eventuell uppsägning ska den svenska myndigheten endast ha rätt att få utbetalning för bidrag motsvarande kostnader för den del av projektet/programmet som redan genomförts, exklusive kostnader för de förpliktelser som kommer att utföras efter att uppsägningstiden löpt ut. I sådant fall ska den svenska myndigheten inkomma med en rekvisition och en slutrapport i enlighet med § 8 i dessa Allmänna villkor samt § 3 i Överenskommelsens särskilda villkor.
I händelse av Xxxxx uppsägning av Överenskommelsen under åberopande av väsentligt brott av Överenskommelsen i enlighet med andra stycket i denna paragraf, får Xxxx rätt att kräva återbetalning helt eller delvis av redan utbetalda bidrag i proportion till hur allvarligt brottet av Överenskommelsen i fråga är, efter att den svenska myndigheten har lämnats tillfälle att inkomma med en förklaring.
Sida får, i förebyggande syfte och utan att i förväg meddela den svenska myndigheten, innehålla utbetalningar innan eller i stället för att enligt föreliggande § 21 säga upp Överenskommelsen.
Denna Överenskommelse ska upphöra att gälla utan föregående uppsägning om det inte har lett till någon utbetalning från Sida inom tolv månader från undertecknandet.
Bilagor:
1. Mall för finansiell rapportering
2. Mall för uppdragsbeskrivning årlig revision
INSTRUKTION FÖR FINANSIELL RAPPORTERING, MYNDIGHETER, BILAGA 1
• Ansvarig på MYND för den Sida-finansierade verksamheten är ansvarig och skriver på den finansiella rapporten.
• Den finansiella rapporten ska redovisa budget mot utfall för den godkända budgeten för den aktuella perioden. Om projektet/programmet sträcker sig över mer än ett år ska även det totala utfallet från projektets/programmets början redovisas mot den totala godkända budgeten.
• Bokföringsprincip (kontantprincipen eller bokföringsmässiga grunder) ska anges i not till den finansiella rapporten
• Princip för att beräkna den nedlagda tid/lönekostnad, inklusive overhead, som debiterats projektet/programmet ska anges i not till den finansiella rapporten. Den använda principen måste kunna verifieras och följas upp genom revision.
• Den princip som använts för beräkning av valutakursdifferenser ska anges i not till den finansiella rapporten. Valutakurs vinster eller förluster ska redovisas i den finansiella rapporten.
• De rapporterade kostnaderna ska kunna härröras från MYNDs bokföring.
• Ränta som ackumulerats från Sidabidraget ska årligen rapporteras i den finansiella rapporten.
genererad ränta särredovisas och återbetalas till Sida.
• De redovisade kostnaderna måste ha tillräckliga underlag.
Tilläggskrav när MYND vidareförmedlar medel till efterföljande led
• Medel som vidareförmedlats ska anges i belopp per avtalspartner i not till den finansiella rapporten.
• En lista over finansiell rapportering och revision som ännu inte mottagits från avtalspartner som medel vidareförmedlats till, ska anges i not till den finansiella rapporten.
• MYND ska ha underskrivna avtal med sina samarbetspartners i efterföljande led.
• MYND ansvarar för att revision av samarbetspartners i efterföljande led utförs i enlighet med de krav som stipuleras i avtalet mellan MYND och Sida.
• MYND ska göra dokumenterade ställningstaganden till den revisionsrapportering som inkommer från samarbetspartners i efterföljande led och tillse att rekommendationerna i revisionsrapportering följs upp.
UPPRAGSBESKRIVNING FÖR ÅRLIG REVISION MYND, BILAGA 2
I. Introduktion
Kortfattad bakgrundsinformation om projektet/programmet:
[MYND] önskar upphandla/beställa en revision av projektet/programmet i enlighet med de villkor som anges i avtalet mellan MYND och Sida/Sverige. Revisionen ska utföras i enlighet med internationell revisionsstandard utfärdad av IAASB1. Revisionen ska utföras av en oberoende och kvalificerad (godkänd eller auktoriserad) revisor.
II. Revisionens omfattning och syfte
Syftet är utföra en revision av den finansiella rapporten för perioden [år – månad- dag till och med år – månad - dag] och uttala sig i enlighet med ISA 800/805 om huruvida den finansiella rapporten avseende [namn på projektet/programmet] är i enlighet med Sidas instruktion för finansiell rapportering, bilaga 1 till Sidas Allmänna Villkor för Bidrag till Myndighet.
III. Tilläggsuppdrag; i enlighet med granskning enligt särskild överenskommelse SNT 4400, granska följande områden i enlighet med uppdragsbeskrivningen nedan
• Granska huruvida de lönekostnader som är debiterade till projektet är regelbundet bokförda under hela året på systematiserat sätt och huruvida lönekostnaderna kan verifieras genom tillräckliga underlag2;
• Granska att den finansiella rapporten inkluderar en jämförelse mellan faktiskt utfall och den budget som godkänts av Sida avseende kostnader för aktiviteter för den aktuella perioden;
• Revisorn ska baserat på väsentlighet och risk granska huruvida rapporterade kostnader har tillräckliga underlag;
• Uppföljning av huruvida MYND implementerat följande rekommendationer från granskningen av intern styrning och kontroll: xxx, xxx och xxx;
• I de fall MYND vidareförmedlar bidrag till andra organisationer ska revisorn granska att MYND har följt Sidas krav i efterföljande led och har tillfredställande rutiner för att agera på inkommen revisions rapportering från sina samarbetspartner.
1 International Auditing and Assurance Board
2 Om budgeten innehåller lönekostnader som ska debiteras projektet så ska revisorn alltid granska dessa kostnader så som stipuleras här.
IV. Revisorns rapportering
Revisionens omfattning och den använda metodologin ska redogöras för i rapporten.
Rapporten ska skrivas under av den ansvarige revisorn och inkludera titel.
Revisorns rapportering ska inkludera en revisionsrapport/management letter där iakttagelser och svagheter som framkommit under revisionsprocessen ska framgå. Revisorn ska oavsett väsentlighet, kvantifiera belopp för kostnader som saknar tillräckliga underlag. Revisorn ska också göra rekommendationer för hur de identifierade svagheterna ska åtgärdas. Rekommendationerna ska presenteras i prioritetsordning.
Åtgärder som MYND vidtagit för att komma till rätta med svagheter i tidigare revisioner skall presenteras i revisionsrapporten/managment letter.
LOCAL SELF-GOVERNMENT AND THE RULE OF LAW IN
UKRAINE
PROJECT PROPOSAL 2014 – 2017
TABLE OF CONTENTS
3. Assessing Rule of Law in Local Government Service Delivery 9
4. Rationale and Needs Assessment 11
7. Project Organisational Framework 19
LIST OF ABBREVIATIONS
ASTU Association of Small Towns of Ukraine
AUC Association of Ukrainian Cities
CMU Cabinet of Ministers of Ukraine
CEDAW Convention on the Elimination of all forms of Discrimination Against Women
CoE Council of Europe
CPLR Centre for Political and Legal Reforms
CSO Civil Society Organization
EBED Canadian Ukraine Evidence-based economic development project EU European Union
GIZ German Society for International Co-Operation
GRECO CoE Anti-Corruption Group
FBA Xxxxx Xxxxxxxxxx Academy
NAPA National Academy of Public Administration
NGO Non-Governmental Organization
ROL Rule of Law
SC Steering Committee
SDC/DESPRO Swiss-Ukrainian decentralization support project
Sida Swedish International Development and Cooperation Agency
UNDP United Nations Development Programme
USAID United States Agency for International Development
1. INTRODUCTION
The goal of Swedish development aid is to contribute to creating conditions for people who live in poverty and to enhance their living conditions. The 2013 Regulation1 for the Xxxxx Xxxxxxxxxx Academy (FBA), a Swedish agency for peace, security and development, stipulates that the agency shall contribute to the achievement of the overall objectives of the government´s development aid policy, as part of the implementation of Sweden’s policy for global development,2 as well as contribute to international peace and security.3
The FBA functions as a platform for co-operation between Swedish agencies and organizations and their international partners. Its main areas of responsibility are recruitment of Swedish civilian personnel to international peace operations, multifunctional education, training and exercises, policy, research and development, national and international co-operation and coordination, and funding of civil society peace projects. The FBA’s thematic mandate includes Security Sector Reform, Conflict Prevention in Practice, Disarmament, Demobilisation and Reintegration, Resolution 1325 and Rule of Law.
The FBA strives to actively promote rule of law as a systemic concept with relevance for all state and individual interactions, specifically in relation to public administration and local governance. In 2008, the FBA published its research report Rule of Law in Public Administration4 which addressed the necessity of rule of law programmes targeting public administration in countries in transition.
According to Xxxx’x Results trategy for Sweden’s reform cooperation with Eastern Europe, Balkans and Turkey 2014-2020, Sweden should work for an open and inclusive society and transformation towards peace and justice in, among other countries, Ukraine. The proposal contains several target areas that are also pertinent to the mandate and competence of the FBA, including:
• strengthening of public institutions and the rule of law,
• effective service delivery of public services at the local level, and
• strengthening of civil society to hold public institutions and officials accountable in accordance with the rule of law and basic human rights.
In 2011-2012, two parallel pilot assessments were conducted in Lviv in Western Ukraine and in Feodosia in Crimea, with a focus on the housing sector. The pilots were implemented by the FBA and United Nations Development Programme (UNDP) Ukraine. Both studies were conducted by respective city councils and housing departments, supported by local experts and organizations, and generated interesting findings and identified reform needs on capacity, legal awareness, accessibility, etc. allowing for a concretization of necessary reform activities and ways to institutionalize assessment results. The results of the pilot studies as well as the consensus- oriented and participatory approach of the pilot assessments generated a high level of interest at city council, municipal, civil society level – and in the case of Crimea – at the level of the Ministry of the Regional Development, Construction, Housing and Communal Economy (Ministry of Regional Development).
1 Förordning 2013:727 med instruktion för Xxxxx Xxxxxxxxxxxxxxxxxx samt Regleringsbrev för budgetåret 2013 avseende Xxxxx Xxxxxxxxxxxxxxxxxx.
2 Politik för Global Utveckling, 2003.
3 Policyn för säkerhet och utveckling i svenskt utvecklingssamarbete 2010-2014.
4 “Rule of Law in Public Administration: Problems and Ways Ahead in Peace Building and Development”, Xxxxx Xxxxxxxxxx Academy Publications, 2008.
The FBA’s project proposal (hereinafter project proposal) builds on these two successful pilots, and requests from the city of Lviv for a continuation as a “mentor city”, and aims to support local government entities in Ukraine on improving respect for rule of law in local service delivery.
2. BACKGROUND
The recent action taken by the Russian Federation through its annexation of Crimea not only violated international law, but also ultimately removed a number of reform-minded cities and municipalities focused on increasing citizens’ participation in these decision-making processes and reinforcing their rights when claiming specific services. These recent events should not take focus away from the urgent need to reform local government, particularly on bolstering the qualitative and rights-based dimension of service delivery throughout Ukraine.
Linking rule of law and performance in public service delivery specifically serves several objectives essentially related to human rights and empowerment, development, recovery, reconciliation, and conflict prevention. As the main interface between the state and the people, the public administration has a key role and obligation as a duty bearer, to uphold international human rights principles and standards, and ensure equal access for all to quality services, including traditionally less empowered groups, such as young people and women.
There is growing consensus on the multidimensional links between adherence to rule of law and an enabling environment for important development goals, including but not limited to: (a) inclusive and sustainable economic growth (through the protection of property rights, fair and predictable contract enforcement, regulation of labor and access to markets, etc.); (b) equity, inclusion and social justice (through social security regulations, protection of the right to information etc.); (c) the prevention and mitigation of violence and conflict through legal enforcement institutions and various dispute mechanisms); (d) political and administrative accountability and democratic checks on power (allowing the protection of political and civil rights and the prevention of corruption) and (e) the protection of the environment and sustainable management of natural resources (protection of environmental rights and enforcement of laws that protect the environment).5
Local government covers a very wide range of issues that are crucial for the everyday lives of individuals. Administrative authorities, specifically at the local level, are the main interfaces between the state and state representatives and private persons (natural or legal), and as such they effectively determine rights and entitlements. From a point of view of anchoring and upholding democratic principles, local government allow for a decentralization of decision-making best suited for addressing people’s concerns/priorities, bringing governance and governance decisions closer to people.
Paying attention to questions of accessibility, legality and transparency in administrative processes, and providing people with a right to be heard and a right to redress are important means to foster accountability of the state and its public administration at a central, regional and local level. Similarly, the World Development Report 2011: Conflict, Security and Development emphasizes the need to support institutional transformation in the public sector, and draw attention specifically to the importance of public bodies in for ensuring justice, security and economic development.6
Local self-government in Ukraine
5 See, for example, Xx Xxxxxxxxx, Quality of Government: Corruption, Social Trust and Inequality in International Perspective, University of Chicago Press, 2012.
6 World Bank, World Development Report, Conflict, Security and Development, 2011.
With 11 500 councils – and 177 city councils at the regional level – local government plays a key role in delivering a number of basic public services in Ukraine e.g. in relation to education, health and social welfare, maintenance of the municipal technical infrastructure, children’s day care, the supervision of land use and construction, transport, water, heat and energy supply, sewage, waste management, street and road maintenance, and environmental protection.
For Ukraine, the way to reform has been ongoing since the early 1990s, moving from an administrative culture where bureaucratic needs came as a first priority rather than individuals’ needs as service/rights holders.7 A next step is ensuring that local self-government is supported in shifting from objects of change to “drivers of change”. In order to support local governments as drivers of change, it is necessary to embed reforms in broader organizational change processes, using civil society as partners, and allowing for local government agencies to share experiences in a peer-to-peer process on a national level across Ukraine.8 The European Charter of Local Self-Government (hereinafter the Charter)9, points to the need to strengthen local democracy and citizen participation at the local level by supporting public administration reform (local self-government), and using civil society as experts and facilitators in driving this agenda for change.
The first attempts to implement changes in this area were made in the late 1990s, followed by a comprehensive reform programme developed between 2007 and 2009 by Xxxxx Xxxxxxxxxx’x government. In 2012, the Constitutional Assembly under the President of Ukraine appointed a team of experts who drafted a detailed document on the reform of local government and the territorial organization of power. The document envisaged the implementation of what effectively are two major reforms:
1. An administrative territorial reform, which would help consolidate the fragmented administrative structure, creating larger and more economically self-sufficient administrative units; and
2. A local government reform, focusing on creating clearly defined powers for local authorities with a view to securing government funding for specific tasks delegated from central government.
The interim government, in place following Euromaidan, was quick to recognize the need to push through this reform and effectively passed the ‘Concept of the Reform of Local Self-Government and Territorial Organization of Power in Ukraine’. In mid-March 2014, the interim Government signed the political chapter of the Association Agreement with the EU and, in June, President Xxxxxxxxxx completed the signature process. The Agreement promotes gradual rapprochement between Ukraine and EU based on common values and close and privileged links. These recent developments have opened up opportunities built on the desire and political at the central level to pursue the reform agenda of local self-government in Ukraine.
The current Government, with the Minister for Regional Development and Vice Prime Minister Xxxxxxxx as the front figure, possesses both the willingness and readiness to implement the ongoing reforms on decentralization and local self-government. A few steps have already been taken in this direction, and issues as administrative services, e-governance and energy efficiency are key priorities. According to the Ministry, the main focus is to increase the capacity of local government to deliver qualitative services in order for the reforms to be successful.
7 See, Council of Europe (CoE), Policy Advice: On Services in the Local Self-Government Bodies of Ukraine, Directorate General of Democracy and Political Affairs, Directorate of Democratic Institutions, Strasbourg, 20 July 2011, DPA/PAD 4/2011.
8 See for example: EU-Ukraine Association Agenda to prepare and facilitate the implementation of the Association Agreement, Luxembourg, 24 June 2013; ENP Country Progress Report 2012 – Ukraine, European Commission - MEMO/13/257 20/03/2013.
9 CoE, Statute No. 122, 15.X.1985, Strasbourg.
One of the main challenges for the ongoing reforms is the widespread and systematic corruption that Ukraine has constantly been subject to for several years.10 Corruption is currently one of the main obstacles for Ukraine’s development towards a sound and democratic state as it undermines citizens’ confidence in state institutions at all levels and threatens the legitimacy of the state and its ability to uphold the rule of law It has become endemic across the board in an overwhelming number of branches and institutions of state governance and local self-government. Most public servants have a low rank and are often poorly paid, with bribery becoming an attractive means of augmenting an unrewarding salary. At the higher echelons of the system, corruption is also rife, and even with the recent change in government, improvements are not expected in the short term.11
Challenges are also apparent when it comes to gender equality. In the World Gender Gap Report from 2013 Ukraine is ranked on 64th place in the overall ranking. There is a low representation of women in the national parliament (10%) and among the ministerial posts, where female representatives are entirely absent (0%).12 During the transition period, large privatization schemes were undertaken without taking gender issues into account. Moreover, the consequences of the reduction of public expenditure are borne disproportionately by women.13 Gender blindness within the tax and pension system reforms are still apparent, as well as in other social initiatives, which has led to a worsening in the status of women. There is a lack of adequate data and information on gender balance in the public sector, specifically at the level of the local government, making effective oversight difficult. Women account for 76.7% of employees in the public sector and most of them perform duties at entry-level positions. The number of women in managerial and decision-making positions is 14.2%.14
Legal context
Ukraine signed and ratified the Charter, which has been in force since 1 January 1998, without any reservations or declarations.15 As outlined in the preamble of the Charter, it is vital to consider that the local authorities are one of the main foundations of any democratic regime. It is at the local level that the right of citizens to participate in the conduct of public affairs can be most directly exercised. The existence of local authorities with real responsibilities can provide an administration that is both effective and close to the citizen.
Although significant steps have been taken towards decentralization since Ukraine’s independence, challenges remain considering political, economic, financial and legal aspects. In practice, the system still remains highly centralized, affecting the local authorities’ autonomy of decision and management and their financial autonomy (80 % of revenues depend on the allocations from the state budget). To ensure quality, legal certainty, and accountability of services provided by the local governments, it is essential to work towards decentralization and compliance with the provisions of the Charter.16
10 According to Transparency International’s corruption perception index for 2013, Ukraine is ranked at 144/177 place.
11 See for example, Political Corruption in Ukraine: actors, manifestations, problems of countering, Razumkov Centre, 2009; and A diagnosis of corruption in Ukraine, European research centre for anti-corruption and state-building, 2010.
13 EU Gender Watch: A Gender Analysis of EU Development Instruments and Policies in Ukraine Representing EU Neighbouring Countries, Xxxxxx Xxxxxxxxxx, Liberal Society Institute, Kiev; Xxxxx Xxxxxxx, WUC “Women's Perspectives”, Lviv; The Network of East-West Women – Poland, Kiev, Lviv; 2007, xxxx://xxx.xxxxxxxxxxxxxxxxx.xx/xxx/xxxxxxxxxxx/xxxx-xxxxxxxxxxx/xxxxxx_XX_XxxxxxXxxxx_Xxxxxxx.xxx .
14State Statistics Service, 2012.
15 Ukraine has signed the Additional Protocol to the European Charter of Local Self-Government on the right to participate in the affairs of a local authority (STCE No. 207) on 20 October 2011, but has not yet ratified it.
16CoE, THE CONGRESS / CG(25)8FINAL / 21 October 2013, Local and regional democracy in Ukraine [Recommendation] Mr. Xxxx XXXXX, Belgium (L, ILDG), Mr. Xxxxxx XXXXXX, France (R, EPP/CCE).
The Ukrainian Constitution, article 7, states: “In Ukraine, local self-government is recognized and guaranteed”. Other constitutional provisions refer to different aspects of local self-government.17 Besides the Constitution, there are a range of other laws governing/regulating the powers and functioning of local authorities. Of particular importance for the local governance are the Law of Ukraine On Local Self-Government,18 the Law of Ukraine On Local Public/State Administration,19 the Budget Code of Ukraine,20 the Tax Code of Ukraine,21 and the Charter.22 Since the Constitution calls for the incorporation of international treaties, all organs of the country have an obligation to apply the Charter. 23
There is currently no general law applicable to all forms of service delivery by local government authorities. Since September 2012, the Law of Ukraine On Administrative Services stipulates the rights, freedoms and lawful interests of individuals and legal entities in the provision of administrative services. While the law defines principles of state policy in the sphere of administrative services, it does not encompass local self-government. A draft law is pending approval, developed by the Institute for Socio-Economic Policy, and with the support of a number of prominent civil society organizations (CSOs). Some areas of service delivery at the local government level are thus insufficiently regulated; others are regulated by specific laws for specific subject matters. Some of these subject matter laws are in need of updates and harmonization with the overall constitutional and legal framework. For example, the housing and utilities sectors alone, which has the most direct impact on the quality of life of citizens, is regulated by 17 laws and more than 35 normative acts of the Cabinet of Ministers of Ukraine (CMU) and the Ministry of Regional Development.
Generally, there is a lack of a hierarchy of normative acts, and the matter is further compounded by the distinction between service delivery by state civil service and local government service, making it difficult to organize the professional development of employees. The current legislation on local self- government in Ukraine also supports a close relationship between executives and political (elected) leaders, and the Law of Ukraine On the Municipal Service, for instance, include elected officials in the local government service.24
Strengthening local self-governments in providing services within a rule of law framework depart from the constitutional provisions of Ukraine, stipulating that only law can regulate public bodies, and only law can delegate the responsibility of certain issues. If these legal safeguards are not followed, a slew of general problems can prevail such as unjustified administrative services, unjustified payment, high payment, low level of access to information and postponed deadlines for decisions. There is also a need to better regulate, monitor and quality assure situations where local government intervenes, i.e.
17 Constitution of Ukraine, adopted at the Fifth Session of the Verkhovna Rada of Ukraine, 28 June 1996, with the most recent amendments in 2014 (No.742-VII), 21 February 2014.
18 Law on Local Self-Government in Ukraine (No. 280/97), 21 May 1997, entered into force 12 June 1997.
19 Law on Local Public/State Administration (No. 586-XIV), 9 April 1999.
20 Budget Code of Ukraine (No.2456-VI), 8 July 2010, with the most recent amendments in 2014 (No.1636-VII), 12 August 2014.
21Tax Code of Ukraine (No.2755-VI), 2 December 2010, relating to "local taxes and levies," with the most recent amendments in 2014 (No.1668-VII), 2 September 2014.
22 See also Law of Ukraine On the Capital of Ukraine – the Hero-City of Kyiv (No. 401-XIV), 15 January 1999, with the most recent amendments in 2010; Law of Ukraine On Elections of Members of the Verkhovna Rada of the Autonomous Republic of Crimea, Local Councils, and Village, Settlement and City Mayors (no.2487-17), July 10, 2010, with the most recent amendments in 2014; Law of Ukraine On Status of Local Council Deputies (No.93-IV), 11 July 2002, with the most recent amendments in 2013; Law of Ukraine On the Service in Local Self-Government Bodies (No.2493-III), 7 June 2001, with the most recent amendments in 2014; Law of Ukraine On the Residents’ Self-Organization Bodies (No.2625-III), 11 July 2001, with the most recent amendments in 2012; Law of Ukraine On Associations of Local Self-Government Bodies (No.1275-VI), 16 April 2009, with the most recent amendments in 2012; Decree of the Presidium of the Verkhovna Rada of the Ukrainian Soviet Socialist Republic “On Procedure of Resolving Issues of Administrative and Territorial Arrangement of the Ukrainian Soviet Socialist Republic” (No.1654-X), 12 March 1981, with the most recent amendments in 2012.
23 Article 9 of the Constitution of Ukraine.
24 See, CoE, Policy Advice: On Services in the Local Self-Government Bodies of Ukraine, Directorate General of Democracy and Political Affairs, Directorate of Democratic Institutions, Strasbourg, 20 July 2011, DPA/PAD 4/2011.
initiate and make decisions, carry out inspections and other such tasks. Control and audit divisions are primarily concerned with the legality of the use of funds, accuracy of accounts, etc. and not the legal/qualitative aspect of service delivery.
Moreover, enhancing transparency and legality, as well as improving accountability is significant in order to tackle existing levels of corruption in Ukraine. Ukraine has ratified several international conventions and has adopted national laws in the area of local self-governance and corruption.25 Yet, legal reform is incomplete and partly inconsistent in certain areas and several international provisions and recommendations remain unimplemented.26
Regarding equal rights of women and men, Ukraine has ratified the Convention on the Elimination of all forms of Discrimination Against Women (CEDAW) and there is a corresponding prohibition of gender discrimination in the Constitution.27 In 2006, as a means to focus more on the problems of gender inequalities, the Law of Ukraine On Ensuring Equal Rights and Opportunities of Women and Men was enacted. This law has a broad definition of discrimination and thus covers actions by representatives of public service. It also has an ombudsman tied to it.28 However, opinions are brought forward that the implementation of the law is weak and that, despite these legal instruments, women still face discrimination and that women’s status persists at a low level in Ukrainian society.29
3. ASSESSING RULE OF LAW IN LOCAL GOVERNMENT SERVICE DELIVERY
Since 2010, the FBA and the UNDP have been working together to develop a self-assessment toolkit for helping administrative agencies assess and analyze their performance in light of rule of law standards, Assessing Rule of Law in Public Administration: A Users’ Guide (hereinafter Users’ Guide). The Users’ Guide focuses on rule of law challenges in administrative agencies and processes, particularly at the level of local governance regarding the service provision interface between the agency and ‘users’ of the system. The self-assessment employs a set of rule of law principles as indicators, including legality, accessibility, right to be heard, transparency, right to appeal, and accountability.
An added focus of the self-assessment for measuring rule of law in local governance is its emphasis on being owned and led by participating agencies, thereby ensuring local ownership of the process. The tool can be used for providing support to municipalities, city councils and other local and regional authorities in rule of law- related issues.
What is the self-assessment tool?
The Users’ Guide has been developed by the FBA and UNDP’s Bureau for Development
25 Ukraine is a member of the CoE Anti-Corruption Group (GRECO) and has ratified a number of international conventions; CoE Criminal Law Convention on Corruption (entered into force on 1/7/2002) ETS 173; CoE Civil Law Convention on Corruption (entered into force on 1//11/2003) ETS 174; CoE Additional Protocol to The Criminal Law Convention on Corruption (entered into force on 1/2/2005) ETS 191; United Nations (UN) Convention against Corruption (entered into force on 14/12/2005).
26 See for example, Compliance Report on Ukraine, GRECO RC-III (2013) 14E, adopted 6 December 2013. 27 Article 24 of the Constitution of Ukraine.
28 The Law of Ukraine On Ensuring the Equal Rights and Opportunities of Women and Men (no. 2866-IV ), 8 September 2005, Article 22: “A person that believes that he/she suffered gender-based discrimination or sexual harassment shall have the right to appeal to the Ukrainian Parliament Commissioner for Human Rights, special authorized central executive body on equal rights and opportunities for women and men, officers (coordinators) for equal rights and opportunities for women and men within executive bodies and bodies of local self-government, national law-enforcement bodies and courts.”
29 A study by the Kyiv International Institute of Sociology found that over 60% of Ukrainians had never even heard of the law “On Ensuring the Equal Rights and Opportunities of Women and Men,” while only 5% had both heard of the law and understood its content: xxx.xxxxxxx.xxx/xxxxxxx.
Policy (UNDP/BDP) in New York and is a self-assessment tool which a local government agency can use with support from an external expert or implementing partner (for example a non-governmental organization (NGO), a think tank, a university, or a consultant.
The self-assessment is based on six rule of law principles for public administration: legality, accessibility, the right to be heard, the right to appeal, transparency, and accountability.
The main focus area is local government and public service delivery – that is, agencies with a high degree of interaction with citizens (issuing licenses, land registration, business permits, housing, etc.)
The toolkit includes three sample questionnaires to be utilized for the evaluation of the agency services: (1) a formal mapping to identify the applicable laws, regulations, and the institutional framework of the agency participating in the self-assessment; (2) an agency survey to ask civil servants about their perceptions of the six rule of law principles and; (3) an agency user survey to ask citizens interacting with the agency about how they perceive the agency services in view of the six rule of law principles.
The methodology includes the analysis of the results of the surveys and preparation of the report with concrete recommendations for improvements of the specific agency and its staff. An important component is the development of an action plan based on conclusions and recommendations made as a result of the survey that would be utilized by the agency to improve its services in the problematic areas.
The six rule of law principles
• The principle of legality requires that public administrative agencies abide by the law, and that all of their decisions and content have a basis in the law. This includes the equal treatment of all citizens, including women and men, and is thus contrary to all forms of discrimination based on sex, age, ethnicity, etc.
• Accessibility means that every person should have access to public administration and a duty on public authorities to accept and deal with citizens’ requests and questions properly. The principle also requires practical access for women and men, such as sufficient opening hours or easy means of communication, for example, that an agency uses a language that can be understood by the general public.
• Right to be heard means that the public authorities must hear an individual before taking a decision that affects his or hers rights and interest. The right to be heard must be granted all individuals, regardless of gender, age, ethnicity or any other social status. It includes a duty for public authorities to inform the persons concerned of their decision, as well as a duty to take a decision within a reasonable time.
• The right to appeal allows the individual to seek redress against administrative decisions, throughout internal review processes, or judicial review by the ordinary courts or specialized administrative courts. The right to appeal is also dependent on substantive aspects, such as a duty on administrative agencies to communicate their decisions as well as the reasons for their decisions to concerned parties, and provide an indication of where and how to appeal. The right to appeal must be granted all users of public administration, including men and women, elderly or disabled people and others, without discrimination.
• The principle of transparency ensures that the work of public authorities and civil servants is conducted openly. Public authorities have a duty to provide information about their work and to ensure access to laws, acts and administrative documents on request.
• The principle of accountability ensures that public officials and administrative agencies are held to account for wrongful actions and to improve the way in which an agency conducts its work. The principle further ensures that public officials are held liable as well as responsible for their actions. Improving accountability in public service delivery is also an essential part in
the work against corruption and discrimination.
Building reform strategies from the self-assessments
Following the pilot studies conducted in 2011-2012, the FBA was requested to facilitate and support the development of further assessments in other cities in Western and Eastern Ukraine as well as in Crimea. Acting on these requests from national partners, the FBA first consulted Sida about the possibility of expanding on this initial project to encompass a more countrywide strategy aimed specifically at addressing key components of bolstering the rule of law aspect of local self-governance, with an emphasis on service delivery at municipal and city council levels.
It is important to note again that the self-assessment methodology is a means to an end. Based on the conducted self-assessments, informed decisions can be taken on what areas of service delivery to further develop and what areas to strengthen in order to improve performance. Envisaged strategies for an institutionalization of rule of law standards in local self-government, based on the two conducted pilots, could be strengthening capacity-building needs as identified, supporting legal awareness through CSOs and other non-state actors, harmonization of practices and procedures to allow easier communication and handling of requests from individuals.
Given its recent experience and expressed commitment to continue to strengthen the rule of law in local-self-government, Lviv has the potential to play the role as “lead city” or “mentor city” sharing its experience and support through a peer-to-peer process with other cities undertaking self-assessment, capacity-building, and advocacy work.
4. RATIONALE AND NEEDS ASSESSMENT
Conducting the two successful pilots in Ukraine has generated interest from other city councils and municipalities on a countrywide level in Ukraine to support assessments and related activities on rule of law in public administration.
The project is based on local ownership and political will. This local/national demand-driven approach can enhance the role of local government in assessing its rule of law capacities, complement and reinforce the process of decentralization as well as potentially provide the impetus for greater regional bridge-building in improving public administration systems.
In Western and Eastern Ukraine, there is a willingness to promote the self-assessment approach with other neighboring municipalities in their respective regions. Considering the possible number of municipalities that may be utilizing the Users’ Guide, there is significant potential to support regional and possibly national policy reform and to garner interest for adopting a self-assessment approach in other regions not involved in the pilot assessments.
The FBA recognizes the need for a comprehensive approach to such an objective. Local authorities, in particular municipalities and city councils, require technical assistance to be able to deliver public services in accordance with the rule of law. The self-assessment can be a framework for identifying main entry points. Based on the findings of assessments, civil servants can then receive capacity development through training according to their specific needs.
Simultaneously, CSOs and actors need to be strengthened in order to be able to cater for citizen’s rights and hold institutions accountable. This also requires outreach to the general public regarding information on their rights how to avail themselves of these rights in relation to local authorities.
The FBA Local Self-Government and Rule of Law in Ukraine Project will be closely coordinated with other donor programmes and initiatives to avoid overlap and duplication of efforts, and to ensure that the rule of law focus on public administration at local government level in Ukraine effectively supplements ongoing activities and stated priorities.
Feasibility study
In October 2013, the FBA conducted a feasibility study to Lviv and Kyiv. The aim of the study was to explore options of viable and sustainable project set-up, to identify effective modalities for project implementation prior to submitting the project proposal, and to follow up on the two successful pilot assessments.
The feasibility study entailed meetings with different ministries, national stakeholders, CSOs and international donors. Meetings with international donors included the Council of Europe (CoE), the Swiss-Ukrainian decentralisation support project (SDC/DESPRO), the Canadian Ukraine Evidence- based economic development project (EBED), United Nations Development Program (UNDP), and the German Society for International Co-Operation (GIZ). Meetings with national stakeholders included the Ministry of Regional Development, Construction, Housing and Communal Economy, Association of Ukrainian Cities (AUC), the NGO Association of Small Towns of Ukraine (ASTU), the NGO Centre for Political and Legal Reform (CPLR), and the think tank Razumkov Centre.
In Lviv, meetings were held with officials at the City Council, representatives of the AUC in Lviv and with the CSO Samopomich in order to follow up on the previous successful pilot assessment leading to capacity building initiatives. The study also entailed consultations with the Embassy of Sweden on the project set-up and identification of possible areas and partners of attention that can be selected for capacity building within rule of law at the local level.
Donor projects and programmes in local self-government
There are a number of ongoing projects and programmes on local self-government in Ukraine. Currently, both SDC/DESPRO and CoE work on ISO 9001 adjustment and certification of municipalities and cities. ISO 9001 introduces standards and comprises specific requirements for a quality management system. It focuses on the organization’s ability to consistently provide services that meet applicable statutory and regulatory requirements and aims to enhance customer satisfaction through the effective application of the system.
The ongoing adjustment to ISO standards enable municipalities and cities to ensure that provided services are safe, reliable and of good quality. The proposed project on local governance and rule of law in Ukraine could complement these and similar initiatives through the introduction of legal qualitative standards, specifically focusing on local government interaction with citizens.
The CoE’s programme for strengthening the capacity of local authorities in Ukraine is currently working on the implementation of 12 principles of good democratic governance on the local level. These principles form one of the three pillars of CoE’s strategy for innovation and good governance at local level.30
30 1. Fair Conduct of Elections, Representation and Participation, 2. Responsiveness, 3. Efficiency and Effectiveness, 4. Openness and Transparency, 5. Rule of Law, 6. Ethical Conduct, 7. Competence and Capacity, 8. Innovation and Openness to Change, 9. Sustainability and Long-term Orientation, 10. Sound Financial Management, 11. Human rights, Cultural Diversity and Social Cohesion and 12. Accountability.
GIZ is running a project with the objective to improve conditions for the provision of municipal services (administrative and public utility). The implementing partners are eight pilot cities in Lugansk oblast in eastern part of Ukraine. Currently, the project is supporting the establishment of one-stop- shops for provision of administrative services and promoting inter-municipal cooperation at the local level in Lugansk.
UNDP is currently active in all regions of Ukraine (excluding Crimea and the main conflict areas of the Donbass) running a local development programme called democratization, human rights and civil society development. This programme aims to support the emergence of an open and democratic society based on the rule of law and governed by the values of human rights supremacy, openness and accountability at all levels of government. UNDP recently published a manual “Public participation in monitoring service delivery by public authorities: the regulation and practices” that was distributed among the city council partners. The manual also builds on the lessons learned and best practices from self-assessment initiatives in Lviv and Feodosia during the FBA/UNDP pilot project in 2011-2012.
AUC, with support from USAID, has recently conducted a citizen satisfaction survey aimed at building effective communities and strengthening emerging roles for local government and citizens. An important element in strengthening the impact of this project is the Decree of the President of Ukraine On the Strategy of the State Policy of Supporting the Civil Society Development in Ukraine and the First Implementation Measures,31 and the Resolution of the Cabinet of Ministers of Ukraine On the Procedure of Examination of Public Servants.32 The proposed project will take these into account, both in the selection process of cities and in the components on capacity building and advocacy work.
Several donors employ a cluster approach, among them SDC and EBED, in their implementation of activities in different oblasts. This approach has the advantage of combining cities with different preconditions and resources, and to engage cities in a peer-to-peer partnership, where sharing of experiences and support constitute an important part of the process.
5. CROSS-CUTTING ISSUES
Relevance
This project addresses a key issue facing the Government of Ukraine and its status as a European Neighbourhood Policy (ENP) country. Space for rule of law initiatives has been curtailed in recent years, with international criticism directed mainly at the country’s lack of independence of the judiciary as well as a shortfall at national level in enhancing the legal dimensions of its public administration systems. At the same time there is a demand at the municipality and city council levels for working towards a more transparent, accessible and accountable public administration.
Gender Equality
Within the project methodology, a rights-based approach is already ensured, but the FBA will also proactively work to ensure that a pro-poor perspective will permeate project implementation. This includes ensuring the mainstreaming of gender in project activities and results. Items that the FBA will be touching upon in this respect encompass:
31 Decree of the President of Ukraine On the Strategy of the State Policy of Supporting the Civil Society Development in Ukraine and the First Implementation Measures (No.212/2012), 24 March 2012.
32 Resolution of the Cabinet of Ministers of Ukraine On the Procedure of Examination of Public Servants (No. 1922), 29 December 2000.
• Including considerations in the findings of the self-assessments on what reforms within the sector would appear as particularly desirable from the point of view of poor women and men.
• Including considerations on how greater legal awareness concerning service delivery can facilitate an improvement of poor people’s ability to demand accountability from decision-makers.
To ensure gender equality and reduce gender discrimination in local self-government, a gender perspective will be mainstreamed throughout the three project components. The FBA will undertake a process of assessing the implications for women and men of the planned actions, and make the concerns and experiences of women as well as of men an integral part of the planning, implementation, and evaluation of policies, programmes and projects. A gender perspective will be applied to:
Identify and make visible the different conditions and requirements for women and men in the project by: (a) develop a gender analysis during the inception phase; (b) develop gender sensitive indicators during the inception phase and use them to monitor project progress; (c) develop a
communication strategy in the inception phase that takes into account the different needs and situations of men and women (as providers, audiences, and subjects of communication); and (d) ensure that partners integrate a gender perspective in the self-assessments including an analysis of the consequences of reform for women and men respectively.
Aid Effectiveness and Cost-efficiency
The project is predominantly implemented together with national partners, which will not only promote cost-effectiveness, but will also facilitate its integration into the regular local government machinery and into the wider civil society sector.
Project proceedings will predominantly be conducted in Ukrainian, with working documents prepared both in English and in Ukrainian by the Kyiv coordination office, with translations of other documents into English only where so is required. The stakeholders will be in a position to address this aspect of project reporting during the inception phase.
The project’s effectiveness hinges on the level of commitment to the project by the beneficiaries and the degree of coordination between donors that will be achieved. In order to facilitate this, the FBA will:
• Emphasize a participatory and inclusive process of different groups of people during the inception phase that will ensure that the proposed strategy for the project will lead to the realization of its objectives.
• Promote the involvement of CSOs in project implementation and invite representatives from other donors and other like-minded projects as observers to the national annual conference to strengthen alignment and harmonization and to promote synergies.
• Keep monitoring other donors’ activities in the rule of law and good governance area to identify potential areas for cooperation and avoid duplication of efforts, participate in donors’ meetings and maintain good working relations with them.
• Make reasonable efforts to maintain the visibility of the project by participating in relevant events, place articles in professional papers where it is applicable, share updates on the project activities with other donors and stakeholders.
• The FBA will follow-up on project implementation and track progress vis-à-vis implementation.
Sustainability
A central element for the sustainability of the project will be strengthening the internal capacity of the national counterparts, in order to maintain the effects at a reasonable level in the event of a cessation of external support. One important aspect is the partnership with AUC and ASTU, and the peer-to-peer elements allowing for the long-term sharing of experiences and support. The project will maximize its efforts to increase the capacity of the CSO partners through relevant training and other expert assistance (e.g. training on self-assessment tool for the ASTU itself; training on media relations; support in developing its organizational culture and strategic vision, etc.).
Another important aspect in ensuring the sustainability of the project is the involvement the Ministry of Regional Development, Construction, Housing and Communal Economy. The Ministry will be part of the Steering Committee and involved at an early stage and throughout the project process.
The planned collaboration with the National University of Kyiv-Mohyla Academy (Kyiv-Mohyla Academy) Law School Program on Public Administration would be another opportunity to ensure the sustainability of the project results through joint development of portion of their Master’s program focused on the rule of law principles in public administration.
During the inception phase of the project, the FBA will elaborate a strategy together with Xxxx and other stakeholders to assess whether a continuation of the project is relevant or if there is potential amongst the implementing partners to effectively take over ownership of the project after 2017.
The sustainability concerns will also include a conscious and continuous effort to ensure that indirect benefits of rule of law in public administration, such as poverty reduction, gender mainstreaming and human rights enhancement will be in the foreground of the project.
In a broader regional perspective, opportunities for expanding the rule of law and local government to neighboring countries in the Eastern Partnership could be explored, acting on the peer-to-peer dimension both locally and nationally.
Coordination
This project is a demand driven initiative, and occupies an important role in the overall effort to improve the rule of law aspects of service delivery in the public sector at the local level. It also represents the next step in the process following the pilot project 2011-2012, where important findings and results have been achieved and stakeholders have been involved. A focus must therefore be placed on the interaction - including its strengths and weaknesses - between the cooperation partners, national stakeholders and development partners, including Sida.
The FBA will give particular attention to issues of ownership and control, meaning for example that consultations and trainings will be arranged without hampering the Ukrainian counterparts’ internal management structures or operations.
Facilitating coordination, avoiding overlaps and identifying possible synergies with programmes implemented by other Ukrainian development partners will be crucial for the successful implementation of the project and an important element in the FBA’s facilitation.
Project coordination will also benefit from the communication strategy elaborated in the inception phase which will facilitate complementary consultative arrangements between donors and projects of relevance with the aim of harmonizing these efforts.
Anti-corruption
The project will address the issue of corruption both directly and indirectly throughout the three components of the project by several measures and initiatives. The project will also adhere to international principles for donor action on anti-corruption.33
The self-assessment tool, which focuses on assessing the respect for rule of law principles in a public agency, enables the identification of institutional and structural challenges and bottlenecks in
agencies’ decision-making processes in relation to ethical codes guiding performance and addressing cases of embezzlement and misappropriation of funds. The recommendations from these self- assessments will propose – amongst others – specific measures (built on responses from both agency staff and users of the services in respective surveys) needed to increase transparency and accountability.
Further, and building on these recommendations, the project will allow municipalities and local government actors to design and implement capacity building measures and training initiatives that will specifically reduce opportunities for corruption. Improving the knowledge and skills of public officials and civil servants to react in the case of a conflict of interest or bribery in their respective agencies is a central aspect of the rule of law principles of transparency and accountability and is essential for improving the qualitative side of service delivery.
Preventing corruption in local self-government also requires an effort from the society at large. Active involvement of CSOs as ‘watchdogs’ in the third project component and their role in increasing public awareness is crucial for increasing visibility vis-à-vis local government decision-making processes in local as well as for the credibility and effectiveness of the project. The selected CSOs will draw public attention to the challenges related to corruption in service delivery and advocate for policy reform within this area following each self-assessment in the participating cities/municipalities.
6. STRATEGY
Project Objectives
The Local Self-Government and Rule of Law in Ukraine Project aims at strengthening the rule of law principles in the delivery of public services on the municipal level through application and promotion of the self-assessment tool, increasing the capacity both of governmental institutions and civil society organizations, and raising public demand for transparency, efficiency, and accountability of public services.
Wider Context
Following the Euromaidan protests in late 2013 and early 2014, Ukraine signed the Association Agreement with the European Union that entails closer economic and trade ties, effectively binding the country to a more Western leaning political ethos in the future. The political part of the Agreement was signed by the interim Government in March 2014, and the more substantial parts concerning trade co-operation were signed a few months later by President Xxxxxxxxxx. In the aftermath of the
33 See, OECD DAC Principles for Donor Action on Anti-Corruption.
Euromaidan, the rise of a “common voice” amongst the heads of local-government authorities can create synergies and momentum for strengthening the rule of law from the local to the national level. In that respect, the importance of reinforcing the rule of law dimension of administrative services already at the local level is a sine qua non in allowing for processes for greater transparency and accountability to take root at an early stage.
Overall objective
Support to the strengthening and integration of rule of law principles in local governments’ public service delivery in Ukraine.
Specific objectives
1. The capacity of local authorities to deliver public services in accordance with rule of law principles and their influence on decision-making at the central political level has been strengthened.
2. Citizens’ understanding, including women and men, of how to exercise their rights when claiming services has been increased.
3. Civil society has been strengthened in holding public institutions legally accountable at the local level.
Outcomes
• Core rule of law principles are adhered to in public service delivery.
• The ability of local governance authorities to conduct advocacy for policy reform vis-à- vis the central government has improved based on the results of the self-assessments undertaken.
• Knowledge and expertise on the rights of women and men exist in collaborating local authorities. This includes an understanding of different groups’ different needs.
• The implementation of the User’s Guide improves service users’ voice, accountability and participation in democratic processes through implementation of follow-up action plans according to the results of the self-assessments.
• CSOs are in a stronger position to advocate for policy reform concerning the legal rights of their constituencies through enhanced collaboration with local governance authorities.
Methodology
The project will build upon the methodology piloted from 2011-12 where the self-assessment tool for identifying gaps and weaknesses in municipal services delivery from the standpoint of the rule of law principles was applied and tested. This current project will now support the implementation of the self-assessment in 12 cities, along with partner CSOs and other stakeholders, to assist them in development of the action plans based on the findings and recommendations each self-assessment.
In order to increase efficiency of the project activities and to disseminate the results, successes, and lessons learned from the self-assessment and further implementation of action plans, the project will support inter-municipal exchange between selected cities. Moreover, the results will take into consideration updating the Users' Guide and developing a training curriculum on rule of law in public administration. An offshoot of this possibly in the manual for newly elected mayors that can become a useful tool on how to ensure application of the rule of law principles in the day-to-day municipal functions and to deal with challenges in this area.
The project methodology will be based on the following principles: inclusiveness, openness, impartiality, feasibility, efficiency, and sustainability.
Project Approach
Based on the feasibility study (27 October to 1 November 2013) and the additional field visit (18 to 25 May 2014), and in close discussions with Xxxx, the following project management approach has been agreed upon:
National Partners
The project structure entails working directly through national partners, under the supervision of the FBA helpdesk in Stockholm and the Kyiv coordination office.
During the pilot studies, the feasibility study and the additional field visit to Ukraine, both ASTU expressed their interest for expanding self-assessments at the local government level across Ukraine. The ASTU will be an important partner both by providing access to their member cities/municipalities, including dissemination of project objectives and self-assessment reports, and by securing sustainable ownership of capacity-building and quality assurance.
Such an approach will bolster the emphasis on local ownership from an early stage in the project implementation process, underscore the visibility of national partners as agents of change vis-à-vis the political level and create a conducive arena for cross-sectoral national stakeholder dialogue on critical rule of law aspects of local self-governance. This exclusively nationally-owned approach will do much to enhance the credibility of the ASTU vis-à-vis larger more influential cities.
The Razumkov Centre will have an instrumental role as a project partner through provision of policy analysis, recruitment of external experts to conduct the self-assessments, development of targeted communication strategies and for their position as a link between the levels of local governance, policy and civil society. As a non-governmental think tank focusing on, amongst other issues, state administration, public policy, domestic and foreign policy, and a trusted partner of Sida, the Razumkov Centre will provide the wider dimension to the project activities and potentially enhance its impact.
In addition, the involvement of the Ministry of Regional Development, Construction, Housing and Communal Economy will also be an essential part in order to ensure national ownership of the project. The Ministry will be informed and updated on results of the assessments and policy recommendations throughout the project.
The project also aims at cooperating with the Kyiv-Mohyla Academy Law School, in particular, in promoting the training on rule of law principles for the participants of its Public Administration program.
Finally, the project will cooperate with selected CSOs on design and implementation of the public awareness campaign in the municipalities undergoing self-assessment to increase both public support and pressure on the municipalities though raising societal expectations from municipal service delivery and promoting citizen engagement tools.
The FBA sees the participation of the former pilot assessment experts as an important element in the implementation of the project. This will guarantee that the lessons learned and knowledge of how to apply the toolkit in practice is embedded in the project, and will also facilitate a greater emphasis on local ownership of the methodology and results when the project finishes.
FBA Stockholm Office
The FBA Stockholm office will support the project with technical assistance and strategic advice to the national partners. This entails coaching and mentoring for conduct of self-assessment at city and/or municipal levels throughout Ukraine, and ensures a high level of quality control and project coordination in the implementation of the methodology. The office will also support the development of capacity building and advocacy components based on the self-assessments.
Kyiv Coordination Office
Under the Stockholm office, the FBA will set up a project coordination office in Kyiv to ensure more FBA visibility in the work of the project and close day-to-day cooperation with project partners. This will ensure a ‘failsafe’ approach, whereby partners can avail of advice and mentoring in project methodology with a project coordinator placed in Kyiv. Moreover, the FBA will have a strong internal project management structure allowing for smoother administration and implementation, so that potential obstacles in project implementation can be quickly resolved and relations with national partners be strengthened.
7. PROJECT ORGANISATIONAL FRAMEWORK
Project Management
The project will be managed by the Project Manager based at the Rule of Programme at the FBA Head Office in Stockholm. The day-to-day coordination and supervision of the project will then be with the FBA project coordinator supported by a project officer in Kyiv.
Policy dialogue between different stakeholders on each assessment and implementation of action plans and potential policy recommendations will be essential to the success of the project. Once the results of the self-assessment are known, the FBA can assist the national and sub-national counterparts in devising a strategy for disseminating the findings, facilitate discussion within the concerned public administrations on the way forward, promote a dialogue with policy makers at the national level and sub-national levels on legislative reform and also facilitate further involvement of the clients (the people, the private sector) in suggesting ways forward that can solve any bottlenecks identified.
The FBA Stockholm office will adopt a helicopter perspective and will be able to compare the progress and challenges of the Ukrainian project with lessons learned from FBA projects in other countries. Experience, knowledge and best practices from Ukraine as well as from other counties will be codified.
A project manager on half-time and a full-time project officer in Stockholm will be needed for the project. At the proposed FBA office in Kyiv, an experienced project coordinator and a project officer will be recruited.
Project Manager: Xxxxx Xxxxx, placed at the FBA in Stockholm, performs the following tasks:
• Project management;
• Technical advice and support;
• Link to policy level in Sweden; and
• Overall reporting to Sida – narrative and financial.
Project Coordinator, Xxxxx X. Xxxxx, placed in Kyiv, performs the following tasks:
• Project coordination and monitoring;
• Technical advice and support to partners;
• Facilitate policy dialogue with – and between – stakeholders;
• Networking and coordination with Xxxx and other donors; and
• Financial and administration reporting to Stockholm office.
Implementing Partners
The implementing partners – in this case Razumkov Centre and the ASTU - will be responsible for the operationalization of the project in Ukraine, under the overall coordination of the FBA project office in Kyiv, but will receive funds directly from the FBA Stockholm Office.
During the inception phase, the implementing partners, together with an expert team from the FBA, will hold meetings with relevant ministries, international organizations, donors and non-governmental organizations in order to establish the needs on the ground and ensure that the FBA project links in with other ongoing reforms, strategies, programmes and projects.
The target municipalities and city councils will thereafter be identified. The municipalities’ demand for – and interest in – participating in the project will be essential to the decision. In turn, the implementing partner (potentially Razumkov Centre, depending on the quality of its expert networks) will recruit public administration experts to the target municipalities to conduct each self-assessment.
The implementing partner will compile relevant information and lessons learned from each assessment and report to the FBA project coordination office in Kyiv. The reports will be used for comparative analyses of best practices in public administration reform in Ukraine.
CSOs, with which the implementing partners can cooperate at the local level, will also have to be identified. The implementing partners will assist in capacity building activities for CSOs in organizational development, help in the design of training for trainers (ToT) programme, provide municipalities with trainers where necessary and design, with the support of the FBA, a public information campaign on legal awareness.
Although the project will be managed by the FBA, the partners – the Razumkov Centre and the ASTU
- will have the main responsibility for the implementation. A clear separation of roles and responsibilities will be developed in a ToR for both Xxxxxxxx Centre and the ASTU. More specifically, these will entail:
ASTU
1. Coordinate peer-to-peer exchange meetings;
2. Liaise with Razumkov Centre on potential self-assessment experts;
3. Organize capacity building workshops in town of Ukrainka (headquarters of ASTU) and in the regional clusters, and identify and formulate, where needed, more long-term and institutionalized forms of training and education of civil servants;
4. Identify capacity building experts (together with Kyiv-Mohyla Academy in Kyiv);
5. Plan and organize the annual conference;
6. Liaise with Razumkov Centre on selecting oblasts / cities for the self-assessments; and
7. Report to the FBA project coordination office in Kyiv on a monthly basis.
Razumkov Centre
1. Conduct the baseline study during the inception phase;
2. Identify potential self-assessment experts;
3. Manage each self-assessment and follow up on results together with the ASTU;
4. Participate in peer-to-peer exchange meetings;
5. Conduct policy analysis on the self-assessment results i.e. policy briefs;
6. Support in the identification and formulation, where needed, for more long-term and institutionalized forms of training and education of civil servants;
7. Conduct workshops on policy and advocacy strategies for CSOs;
8. In collaboration with the ASTU, participate in the planning and organization of the annual conference; and
9. Report to the FBA project office in Kyiv on a monthly basis.
Establishment of a Steering Committee
As part of the project implementation on a national level, a project Steering Committee (SC) will be set up to ensure a smooth implementation process for the duration of the project through strategically managing partnerships and cooperation between the external expert and relevant agencies, as well as providing substantive advice and support to the project partners in addressing potential obstacles and challenges.
The SC will be chaired by the FBA and composed of the partners, representatives of key ministries and bodies including, i. a., Razumkov Centre, ASTU, The Ministry of Regional Development, Construction and Communal Economy, Sida and a representative from Lviv City Council.
Similarly, the SC will invite representatives of other Government bodies and representatives of other donors and projects involved in the implementation of the local governance and decentralization concept reform to participate as observers, when items of particular interest are included on the agenda of SC.
This non-decision-making body is essential for participation and accountability. The SC will play a key role in approving progress reports, work plans, reporting etc. and function as a support and facilitating body to the project. More specifically, the SC will perform the following tasks:
1. Oversee the administrative, programmatic and logistical aspects of the project from inception to consolidation phase;
2. Be responsible for ensuring a smooth implementation process for the duration of the project through allowing for speedy and thorough decision-making processes;
3. Ensure the project's scope aligns with the requirements of the stakeholder groups;
4. Assist – when possible – in publishing and disseminating the decision to initiate the diagnostic process through relevant media and communication channels;
5. Through their representation on the SC, strategically manage partnerships and
cooperation between the project implementation team and their respective agencies;
6. Address any issue / challenge that has major implications for the project; and
7. Keep the project scope under control as emergent issues force changes to be considered.
The SC should meet regularly every quarter, unless otherwise called for. Its meetings will be recorded and agreed actions clearly indicated. A Terms of Reference (ToR) will be developed during the inception phase, after agreement is reached between the different project stakeholders.
Training/academic centres
The already mentioned National University of Kyiv-Mohyla Academy has confirmed their interest in developing expertise in public administration training. The University has already developed a Master’s Programme in Public Administration with a syllabus for core courses including principles of public administration, decision-making, assessment methods in public administration, public communication, regulatory functions and application of law, strategic management and public finances. Moreover, the National Academy of Public Administration (NAPA) could be involved in the implementation of capacity building measures and training initiatives. A mix of innovative expertise from Kyiv-Mohyla Academy coupled with the regional presence of NAPA could allow for increased knowledge to be institutionalized at the level of local government.
Identifying target cities/municipalities
The identification process will be carried out together with national partners, the ASTU, Razumkov Centre, Sida Kyiv and other partners (e.g. Ministry of Regional Development, Construction, Housing and Communal Economy).
The project will adopt a cluster approach. Together with ASTU, four regions (oblasts) maximum – covering a broad geo-political scope of the country – will be identified as well as a selected group of cities (maximum 3) within these oblasts. During the first year it is envisioned that 2-3 cities/city
councils will undertake a self-assessment. Thereafter, the project will increase by approximately 4-5
municipalities per year, totaling 12 cities.
Following discussions and strategic meetings with international and national counterparts, the following regions (oblasts) have been suggested:
Central: Dnipropetrovsk Oblast West Ivano-Frankivsk Oblast
East: Kharkiv Oblast South: Odessa Oblast
Seven cities in Crimea and two cities in Donetsk and Luhansk region had originally been listed to participate in the project, but the Russian annexation of Crimea as well as the current security situation in the Eastern regions of Ukraine has radically altered the FBA´s selection process.
A final list of 12 cities, divided into four different cluster with three cities in each cluster, will be selected. In each cluster, one of the cities shall have a regional administrative centre; this city shall be accompanied by one middle large city and one small city. These three cities shall be connected to each other and represent different levels of development.
Given Lviv City Council’s recent experience and participation in the pilot project, the council has the potential to play the role as “lead city” or “mentor” sharing its experience and support through participation in the Steering Committee (SC) and in the peer-to-peer process with other cities undertaking self-assessments, capacity-building and advocacy work. The peer-to-peer mechanisms of project implementation should also influence the selection process and inform the decision on what cities to start with in order to allow for peer-learning/cluster.
The suggested procedure for the selection of cities would be to conduct field visits to the proposed regions in order to present the project and ensure the political will and engagement. After the field visits, and expression of interest will be sent to potential partner cities/city council through the ASTU for a first selection grouping. The application should probe political will / expressions of interest from different cities and potential alignment with ongoing or planned local development strategies. The expression of interest will correspond to the selection criteria developed during the inception phase of the project to assess the capacity of each city accordingly.
During the selection process, the selection criteria will be applied. The selection process shall take into consideration the following parameters: geographical representation, combination of sizes (above/below 50,000 inhabitants), large provision of public services/high degree of civil servant/individual interaction, presence of regional administrative centers, security situation, existing networks, capacity and type of services provided. The focus areas of services should be within the mandate of local governments and / or ongoing reform areas. Suggested services could include (a) land management, (b) energy efficiency, (c) housing sector, and (d) one stop shops.
Target groups
The FBA foresees three groups of target beneficiaries for its Local Self-Government and Rule of Law in Ukraine Project. Some of these beneficiaries will also be regarded as partners as they will carry out some of the fundamental activities of the project.
The project target groups are as follows:
a) Partner cities in Ukraine;
b) Partner CSOs, mainly at the local level; and
c) The local population.
Monitoring and reporting
One of the core functions of the FBA Stockholm office will be to measure the effectiveness and impact of the Local Self-Government and Rule of Law in Ukraine project and report on progress made in accordance with the project’s results framework.
The FBA proposes to send annual activity reports as well as annual financial reports to ensure adequate monitoring throughout the project. The Stockholm office ensures quality control and is ultimately responsible for the finances of the project. Moreover, external financial audits will be conducted annually. The FBA will conduct a final activity report, a final financial report, and a final evaluation to ensure that the project has achieved its outcomes and to assess the potential for a second phase or to execute an exit strategy.
8. PROJECT COMPONENTS
The Local Self-Government and Rule of Law in Ukraine Project consists of three components:
1. Component 1 – Self-Assessment of Rule of Law in Public Administration
2. Component 2 – Capacity Building and Development
3. Component 3 – Public Monitoring and Advocacy
Component 1 – Self-assessment of the Rule of Law in Public Administration
The self-assessment will be carried out by the municipality or city council (or by a specifically designated local government body/agency, i.e. housing department) with the support of a public administration expert (or a team of experts) assigned by the implementing partner and according to a ToR for the task to be performed. The public administration expert will be trained by the FBA and the implementing partner in applying the User’s Guide, and will have the requisite competencies and knowledge of how public administration functions in the region.
The purpose of conducting evidence-based research in assessing the application of rule of law principles in public administration is to get a better understanding of the governance, institutional and capacity bottlenecks that hamper a responsive delivery of a particular public service.
These bottlenecks can deprive women and men from enjoying their rights and benefiting from development which can lead to a decreased level of confidence and trust amongst the users of these services in the ability or willingness of governments to deliver on their promises. By conducting self- assessment studies, the project can assist city councils and municipalities in promoting the application of rule of law principles in the delivery of their services. The tool and methodology used can also feed into the municipalities’ existing monitoring or evaluation system of public administration.
The self-assessment takes a point of departure in the rule of law definition suggested in the 2012 strategic report of the UN Secretary-General, Delivering Justice: A programme of action to strengthen the rule of law at the national and international levels. Rule of law is understood as a principle of governance, interrelated to human rights and democracy, and as an indispensable component for economic development, poverty reduction and peace and security.
This methodology particularly seizes on the many references in international law and standard-setting practice (treaties, practice, recommendations and doctrine) to a common or similar set of rule of law principles for good administration or good governance, including standard-setting practices at national levels. These six rule of law principles – legality, accessibility, right to be heard, right to appeal, transparency and accountability – thus reflect good practices from national jurisdictions around the world, both civil and common law, as expressed in constitutional provisions, case law, or in specific administrative law and administrative procedure law regulations.
The FBA has chosen 12 self-assessments as a rough indication prior to selecting the specific target oblasts / cities to participate in the project. The self-assessment is conducted by following a step-by- step methodology consisting of the following:
1. A formal mapping is done, establishing the applicable laws, regulations and institutional framework of the participating municipality/city council/authority/department (agency);
2. An agency survey is conducted, asking for the civil servants’ perceptions based on the six rule of law principles; and
3. An agency user survey is carried out, asking citizens interacting with the agency how they perceive the agency based on the six rule of law principles.
The results of the surveys are analyzed and compiled into a report with recommendations for improvements to the specific agency and its staff. Consequently, the municipal authorities will be in a position to take concrete steps to improve the provision of administrative and other services to the public. Specific courses of action – based on the results of the self-assessment – would entail: a) drafting an action plan for the local authority on how to address a potential rule of law deficit in its administration, b) designing and conducting specific tailor-made trainings for civil servants, and c) designing outreach campaigns to inform the public on their rights when legally claiming services.
The self-assessment tool also indicates different background variables such as age, gender and ethnicity and enables the identification of peoples’ expectations, needs and rule of law problems in relation to public service delivery. This is built on responses from both agency staff and users of the services in respective surveys. Considering these variables in the surveys will allow for an incorporation of a gender-perspective in the analysis of the self-assessment. By following one variable, or comparing two variables, the assessment might disclose concerns such as different possibilities for women, men, girls and boys to access basic service delivery. Thus, the recommendations from the self-assessment will propose specific initiatives needed to increase gender equality and ensure equal legal rights as well as access for all to quality services.
The self-assessments will also serve to identify strategic points of engagement by local governments and central authority on broader issues of decentralization, autonomy and regulation. As a first step, the self-assessments include the mapping of formal laws and regulations on specific public service delivery areas, covering national, regional and local laws and regulations. The formal mapping, together with agency surveys, might disclose areas of inconsistencies, absence, or uncertainties in the central laws regulating local self-government. The self-assessments might also show specific areas falling in between central and local government responsibilities with adverse effects for individuals. Documenting and systematizing such challenges allow for the formulation of strategic policy recommendations directed at central government and issues of decentralization.
During the inception phase, FBA and partners will assess the value added of setting up a working group in each selected municipality to accompany self-assessment process, to increase participation and inclusiveness amongst actors working actively on rule of law-related issues in local governance in each local setting. The working group could include representatives from a limited number of relevant CSOs, the external expert, and a representative from the agency being assessed as well as from the project partners. Depending on the local context, and after conducting a context analysis an agreement should be reached between the agency under review and the external expert on the make-up of the working group.
As a means of increasing the visibility and knowledge on the project, the Razumkov Centre will also hold two policy seminars per year to present principle recommendations from the self-assessments for multi-level stakeholders. The intention is to hold these seminars at critical junctures in the political process i.e. prior to presidential elections and / or in preparation for further EU negotiations.
Activities under this component will entail the following:
1. Establish a working group;
2. Conduct 12 self-assessments in selected cities/agencies;
3. Draft action plan for the city / city council based on the results of the self-assessment;
4. Organize of peer-to-peer exchange meetings; and
5. Conduct twice-yearly policy seminars hosted by Xxxxxxxx Centre on recommendations coming from the project work
Component 2 – Capacity Building and Development
One of the main findings that consistently came out from the self-assessment the pilot project in Ukraine was related to capacity development of the rule of law dimension of public service delivery in local governance authorities. With the support of the FBA, the implementing partner will liaise with universities, think-tanks, NGOs and others to devise a training curriculum for civil servants. (If the central government would like a role in developing training curricula, this should be supported). The curriculum might later be adapted to the specific needs of a certain municipality or public authority.
Allowing local government actors and municipalities to design and implement capacity building measures based on the recommendations of the self-assessment will also reduce the risk of discrimination due to age, gender or ethnicity in future service delivery. These measures and initiatives will be tailor-made for each local government, taking into account the perceived needs and concerns of women and men.
The NAPA is the largest “producer” of public administration graduates with branches throughout the country, yet it is generally considered to be out of touch with the challenges, needs and demands of local government managers/leaders and staff, and provides what is generally criticized as a “classic” form of training, very much rooted in the Soviet ethos. The legal requirement for civil servants/public officials to enroll in training courses is once every fifth year. NAPA training seems to be primarily oriented towards management, technical and financial topics and skills, and not substantively on requisite skills, understanding of rights and legal qualitative standards for service delivery. Instead, the National University of Kyiv-Mohyla Academy has confirmed their interest in developing expertise in public administration training. The University has already developed a Master’s Programme in Public Administration with a syllabus for core courses including principles of public administration, decision- making, assessment methods in public administration, public communication, regulatory functions and application of law, strategic management and public finances. Despite the shortcomings of NAPA, the Academy could be involved in the implementation of capacity building measures and training initiatives.
More specifically, the following capacity-building activities will be carried out:
1. Facilitation of workshops and/or seminars on project methodology with local/national research partners and cities and municipalities;
2. Training of civil servants in rule of l aw in public administration – based on recommendations from self-assessments. Lessons learned seminars and workshops at the national level aiming at, inter alia legislative reform;
3. Inter-municipal exchange between cities participating in self-assessment to increase efficiency of project implementation, enhance project impact, and disseminate the results and lessons learned;
4. Design, publication, and presentation of the Rule of Law Manual for a Newly Elected Mayor at the seminars on municipal and national levels; and
5. Annual national conferences on lessons learned and on developing best practice in
implementing the User’s Guide.
Component 3 – Legal Awareness and Advocacy
Throughout the project the role of civil society, both as a ‘watchdog’ for improving the delivery of administrative services by local authorities as well as an actor in advocating for policy reform, is a crucial element to ensure that the assessment results are acted upon and implemented in the long term. In order to achieve this, CSOs will require capacity strengthening in rule of law in public administration concepts, institutional and context analysis and designing advocacy and public awareness strategies with a specific rule of law focus.
The involvement of selected CSOs will also be essential in order to raise awareness on gender inequalities and discrimination as well as advocating for legal reforms in relation to gender issues in local self-government and service delivery. Thus, ensuring gender-responsiveness of rule of law assistance initiatives in local self-government and achieving equal access to services for women and men require awareness raising and advocacy efforts from the entire community.
Together with the FBA, the implementing partner CSOs will also devise a legal awareness campaign to complement the draft action plans devised by the external experts and the local authority partner following each assessment. This communicative ‘bridging’ effect of translating result-oriented action plans into easily understood and practical everyday issues engages citizens in the monitoring and the oversight of the provision of administrative services in Ukrainian oblasts and creates awareness on their rights when using these services.
The FBA will select (through the selection process based on identified selection criteria) local CSOs (1-2 per region) that can be reinforced in their role as ‘watchdogs’, as well as participating on the advisory board for the self-assessment. (It can be the case, particularly in smaller cities, that professional and well established CSOs are in short supply, hence allowing for a less cumbersome selection process).
For example, the Users’ Guide proposes the engagement of CSOs into the self-assessment exercise, as members of the working group. The idea is that participation of CSOs in the work of the working group will provide follow-up on public monitoring of the implementation of the recommendations that will be developed on the basis of the research results, which could be improving quality of administrative services, increasing transparency and accountability of authorities, ensuring gender equality etc.
Much obviously depends on the capacity of local CSOs. For example, in Ukraine, civil society organizations are still relatively weak outside the main urban centers and many of these do not yet have sufficient experience and skills to advocate for democratic governance and rule of law and gender equality principles in the work of public authorities. Participation of actors in the working group thus needs to be meaningful, although the fact of being associated with a rule of law in public administration self-assessment exercise, in itself, would have a galvanizing effect on – and be a good learning exercise for – CSOs in a still emerging civil society sector, particularly in smaller cities.
Therefore, a sufficient training in rule of law and public administration should be organized for selected CSO staff to reinforce knowledge on rule of law in public administration, developing best practice and designing advocacy strategies together with local governance authorities on results that emerge from the self-assessments.
For the purpose of creating greater visibility and awareness amongst citizens as well as documenting good examples and lessons learned, an innovation lab will be set up. The innovation lab will house
outreach materials, legislation, final assessment reports, recommendations, roadmaps, the user’s guide and accompanying methodology
The implementing partner CSOs, with the support of the FBA, will be responsible for documenting knowledge and information on public administration in Ukraine as well as other relevant material concerning rule of law, local governance and decentralization processes, and will also be responsible for making this available to the public.
The FBA will fund those activities carried out by CSOs directly. The FBA will contribute with the printing of pamphlets, information materials, and other documents as necessary. Even TV slots can be considered if this is recognized as the best means of outreach. The campaign will be operationalized together with local CSOs.
More specifically, the activities to be conducted in this component are the following:
1. Development of selection criteria for CSOs to participate in the self-assessment process, and in turn to receive rule of law-specific technical assistance;
2. Workshops with selected CSOs with a focus on human rights, governance and rule of law and public administration and how to support the local population in holding the government accountable for omissions or violations;
3. Workshops on designing rule of law-specific advocacy strategies as well as developing legal awareness campaigns for the public;
4. Legal awareness campaigns organized and implemented by CSOs that participated in the self- assessment (as members of the working group);
5. Roundtable meetings together with the local governance authority following each self- assessment and to develop a common advocacy roadmap;
6. Establishment of an innovation lab; and
7. Quarterly policy briefs documenting the findings of the self-assessments and their relevance for rule of law and governance-related issues in Ukraine.
9. PROJECT PHASES
The FBA’s proposed timeline for the project is 2014-2017. The project will be carried out in three phases:
1. An inception phase of five months, beginning in October 2014 to the end of February 2015.
2. An implementation phase of twenty eight months, beginning in March 2015.
3. A consolidation phase of six months, beginning in June 2017 to the end of December 2017.
Inception phase
At the beginning of the inception phase, an expert team from the FBA will travel to Ukraine to participate in the annual conference of ASTU organized by SDC and CoE in the town of Ukrainka in order to present the project on the level of municipalities, national level of the Ministry of Regional Development, and donors active in this area. The FBA team will also organize start-up/inception meetings with all relevant stakeholders to discuss project objectives, components, and implementation strategy (including the selection of participating cities) as well as consult with Xxxx Xxxx to discuss the approach for a viable in-country structure for the project.
During the inception phase, the FBA team will also revisit donor agencies that the FBA team met during the feasibility study and the additional field visit, to further identify synergies and possible areas of cooperation, and how the FBA project can complement ongoing initiatives.
The FBA will also meet again with national and local authorities consulted during the feasibility study, in particular with the Ministry of Regional Development, Construction, Housing and Communal Economy and with the ASTU and the Razumkov Centre to coordinate its efforts with any ongoing or planned national and regional reform initiatives. NGOs, universities, think- tanks and others who can contribute to a comprehensive analysis of the situation will also be consulted.
At the end of the inception phase, the project document will be revised and updated. The results framework matrix, a communication strategy, as well as other complementary project documents will be drafted and presented to Xxxx. In addition, a baseline study will be conducted in collaboration with the implementing partners, primarily by the Razumkov Centre. The baseline should include an analysis of current trends, legal framework, up to date picture of local government capacity, and a mapping of other donor projects. The deliverables from the inception would be (a) inception report,
(b) draft workplan, (c) communication strategy, (d) baseline study, and (e) selection of cities and identification of services.
Before inception start, the FBA will, in consultation with Sida in Kyiv, sign a memorandum of understanding (MoU) and agreements with the implementing partners.
Implementation phase
During the implementation phase, the self-assessments will be carried out in the identified municipalities, at the city councils and with their public agencies. The implementing partner(s) will provide expertise and support to the local authorities in carrying out the assessment according to the methodology and the principles enshrined in the tool (transparency, accessibility, accountability and non-discrimination). The FBA will ensure that the implementing partners incorporate a gender- perspective in the analysis of the self-assessment.
A report with recommendations will follow the assessment. These recommendations will form the basis for a draft action plan for each beneficiary local authority and its immediate municipality on improving adherence to rule of law principles in public administration as well as setting out a realistic strategy for future implementation.
The implementing partners will be responsible for disseminating the report in the local languages and for ensuring, as far as it is possible, that the recommendations are being implemented.
In order to enhance the municipal authorities’ compliance with rule of law principles and basic human rights, tailor-made trainings for civil servants will be conducted, as a capacity-building measure. It is foreseen that the FBA, together with the implementing partner, will organize the ToT.
Simultaneously, the FBA in cooperation with implementing partners will identify CSOs in the target municipality (and nationally). These will be strengthened through capacity building and training so that they can guide individuals in the exercise of their fundamental rights, and hold public institutions accountable where necessary.
Through the rule of law self-assessment tool, the public’s knowledge and perceptions of the functioning of an administrative agency will be mapped. Based on this knowledge, a practical public awareness campaign will be designed by the implementing partner CSOs and executed in conjunction with civil society. The campaign will aim at raising people’s awareness of their fundamental rights and of how to make use of them before public institutions.
The FBA – together with the national implementing partner – will organize an annual conference for information exchange between the different beneficiaries, partners and CSOs on lessons learned from the first year’s completed self-assessments and challenges for future project implementation. In addition, the FBA will guide and support the implementing partner with printed and electronic material, dissemination of reports and the holding of seminars and campaign strategies.
During the implementation of the project, the FBA together with national partners and in cooperation with international stakeholders will host annual conferences, alternatively support existing meeting structures of cities, as an output/dissemination of information, seeking advice, on how to further institutionalize rule of law quality assurance in local governance.
Consolidation phase
In the consolidation phase, the municipal projects will be handed over to a development agency or a local partner, or they will be closed down, depending on their achievements. Information pertinent to the project will be compiled and handed over to local authorities.
A lessons learned study and seminar will be conducted by the FBA and an end-of- project evaluation will be submitted to Sida. The FBA will also conduct a mid-term review of its project as well as an external final evaluation at the end of the end of the consolidation phase. The findings from this evaluation will not only determine how effective it has been, but also give recommendations on a potential phase or project handover to local partners.
10. RISKS AND ASSUMPTIONS
The FBA uses Sida’s Conflict Analysis framework34 as a reference point for assessing the external risks with the project.
For the implementation of the project, the FBA has identified:
1. Assumptions / external conditions that should exist in the context in order to reach project results at different levels, and
2. Internal risks (related to project implementation) that the project should address and respond to.
It is important to note that a further in-depth risk analysis will be undertaken during the inception phase.
When this project proposal was initially submitted to Sida in December 2013, the Euromaidan protests had not suffered any casualties, and the situation had become similar to the peaceful Orange Revolution in 2004. Yet, the upsurge in violence and subsequent targeted killing of protesters by state security forces plunged the country into a grave political crisis. The Russian annexation of Crimea has already had an impact on the project proposal, and the worrying levels of instability in eastern Ukraine have yet to subside.
A number of the external risks and assumptions depend on the constantly developing context. Of the assumptions or external risks identified, only those determining factors or risks that the project can - and aims to - influence will be included in the risk management of this project.
34 Sida, Division for Peace and Security through development Cooperation, Manual for Conflict Analysis, January 2006.
An important point of departure for the risk assessment is a) the pilot project conducted 2011-2012, b) the feasibility study in October 2013, and c) up-to-date information from national partners / stakeholders on the fluid political and security context in Ukraine.
Assumptions:
1. The tumultuous events of recent months have speeded up the desire and will for the transitional government to pursue local government reforms that the former government was disinclined to address.
2. Despite recent events, there is still strong leadership and political will to undertake change at the local governance level. This may be pronounced and well documented in the west, but a number of cities in the east and south are also reform-minded and predisposed to participate in the project.
3. Results from presidential and local elections in May 2014 point to support for decentralization and regional development, including pending laws on decentralization/local self- government and “administrative law” (general provisions on service delivery).
4. Results from presidential and local elections in May 2014 do not affect negatively on the human resources of local self-government.
5. Readiness of involved local authorities to implement the self-assessments, not only in the west, but also in the east and south of the country.
6. Trained civil servants remain within the public administration.
7. Continued government support for the rule of law in public administration project.
8. Positive developments in the area of institutionalization of the User’s Guide in local authorities evaluation and assessment systems (out of scope of this project).
9. Selected CSOs have an interest in engaging in strategic partnerships with the FBA and the donor.
10. Crimea is now closed to collaboration within the short and long term of the project cycle.
11. Xxxxxx will and positive attitudes among civil servants and local partners to improve gender- related issues in local governments.
External risks:
1. The sudden elevation of the situation in Ukraine from the European arena to the level of global crisis has ensured that the country is in a precarious situation vis-à-vis ensuring a stable and workable environment for project implementation. The Russian annexation of Crimea has led to augmented levels of uncertainty and a breakdown in the rule of law, and tensions and violence have spread to the east of the country. These developments could potentially result in reticence from local stakeholders to participate in – and even to promote – the project within their respective municipalities.
Project action: None (potentially the ASTU could inform partners in their organization on the value added and relevance of the project, particularly at this crucial time in the political process. During the inception phase, as well as conducting meetings and roundtables in Kyiv, the FBA and the ASTU can travel to the east and south of the country for confidence-building measures).
2. In the midst of crisis, Ukraine is at the epicenter of calls for assistance on a range of levels. According to information received by the FBA, several international organizations without previous experience of Ukraine are lining up to develop projects in the area of rule of law as well as that of public administration reform. The FBA sees this as a worrying development, as a number of these organizations may come with preconceived notions and models that work
in other settings, and will be readily applied in Ukraine without sufficient political and contextual analysis being conducted.
Project action: Start inception phase in October 2014, and ensure stakeholders buy-in from an early stage. Prepare a communication plan.
3. The fallout – progressively becoming worse and more violent – from the government failing to sign the Association Agreement with the EU, underscored the relatively fragile political landscape for a project start. Parts of the Agreement have now been signed by the interim government, but the more essential parts will be signed only after the presidential elections in May. With the uncertainty surrounding the current political situation and particularly having in mind the upcoming snap elections in May, project implementation could be delayed and negatively affected in terms of achieving results according to the altered time plan to start the inception in May.
Project action: None
4. Presidential and local elections disrupt/stall further planned decentralization processes (including legal framework).
Project action: Enhance political participation in the project’s initial activities to build awareness at the national level and to mutually reinforce ownership and sustainability with the local governance level.
5. Presidential and local elections impact negatively on the human resource and “institutional memory” of local government institutions.
Project action: None
6. The high turnover of staff is a continuous problem in the public administration for various reasons, but mainly because of the public sector offering lower salaries than the private sector. Drainage of qualified staff will, in the short run, threaten to delay the on-going reform process.
Project action: Capacity building measures within the project will, insofar as possible, prioritize permanent frontline staff as well as management.
7. Local authority employees may misinterpret the agency survey to be an assessment of their own work, leading to a lack of useful information to base findings on after the self-assessment is completed.
Project action: a) Early and full involvement of selected municipalities/cities in the inception phase to jointly go over the benefits from conducting rule of law in public administration assessments, b) confidence-building presentations for staff participating in surveys on specific aims of the project.
8. Insufficient cooperation, coordination and communication between project partners.
Project action: Clear description and division of functional roles between the FBA, project partners and participating municipalities/cities. In practice, this aspect of the project will be reinforced and quality assured both by an FBA project coordination office in Kyiv and by the FBA office in Stockholm.
9. Since the parliamentary elections in 2012, there has been a further enforcement of the central government, and a gradual decline in local self-administration. Despite the recent turn of events with a more reform-minded government in place, there is a propensity for the situation to remain static. This reduced capacity and constrained environment may lead to a lack of interest from some beneficiaries on the added value of participating in the project, particularly if this political trend continues.
Project action: Emphasize a participatory approach, particularly on the peer to peer approach of bringing municipalities together on a common platform. Prepare for such a scenario in the communication plan. Monitor the legislative activities in this area after the upcoming parliamentary elections on October 26, 2014 that may bring in new political alignments that are more supportive of decentralization reform.
10. The CSO sector in Ukraine is weak outside the major urban centers, and organizations often lack the requisite expertise and capacity to effectively influence decision-making processes.
Project action: Develop CSO selection criteria during the inception phase and carefully assess capacities of 1-2 CSOs per region according to these criteria.
11. The report of the self-assessment and its recommendations can only be implemented as long as there is a willingness from the local authorities to do so. The FBA will try to mitigate conflicting opinions and prevent antagonism by advocating for a wholly inclusive process, where the local authorities are involved in each step. Yet, there is a risk that the recommendations might not be implemented. The current shaky security situation in the east could also jeopardize the long term potential for project results and/or recommendations to be implemented.
Project action: a) Together with project partners during the inception and implementation phases, decide on a viable and inclusive approach for confidence building with agency / municipal partners in the east and south of the country; b) avail of partners’ formal and informal networks to achieve this; and c) support leadership to undertake changes.
12. The capacity building and training of civil servants as well as the local public awareness campaign cannot start before the public service assessment has been completed in a specific municipality. The work with strengthening civil society will also benefit from first having the results from the assessment. Hence, in terms of sequencing, the assessments would have to be undertaken and analyzed before much of the other work can start. This means that if the assessment is delayed, it will have consequences for the other components of the project.
Project action: Elaborating a communication plan for the project which will establish efficient channels for communication, coordination and cooperation between the different project partners and participating municipalities.
13. Weak capacity of smaller cities (below pop. 50,000) to act on reform recommendations or to
participate in capacity building and advocacy activities.
Project action: Promote/develop readiness of interested stakeholders/collaboration partners to invest sufficient efforts and resources to develop meaningful assessments and implement recommendations.
14. CSO participation in what is essentially an internal learning tool, i.e. the self-assessment, has benefits in terms of transparency and accountability, but could potentially have costs in terms of candor and ownership of the assessment’s results.
Project action: Address awareness rising in the project’s communication plan and ensure active participation in the working groups during each self-assessment process.
15. Raising questions about gender issues may be sensitive and there might be lack of understanding and capacity, unwillingness or negative attitudes among civil servants/management staff as well as among the project’s local partners towards improving gender equality and reduce gender discrimination in local governments.
Project action: The FBA will have a clear strategy as to how a gender perspective will be integrated throughout the different stages of the project. At an early stage of the process, develop a common understanding of the project objectives and the concept of gender equality among local partners. The project will anchor its gender-perspective in already existing regional development- and action plans for local self-governance. The FBA will also include relevant gender aspects in the development of a training curriculum for civil servants and support the inclusion of agencies and NGOs/CSOs working with gender issues during this process.
16. Unintentionally strengthen stereotypes among women and men when identifying specific problems they are facing in relation to public service delivery, by making presumptions about women’s and men’s specific needs based on prejudices.
Project action: The self-assessment, based on the agency staff - and users’ surveys, assures a platform of questions equal for women and men. The project’s main objective is to strengthen local government public service delivery – focusing on local authorities, citizens and civil society rather than on gender issues specifically. Throughout the three project components the FBA will work actively to ensure an equal participation of women and men and cooperate with local NGOs/CSOs to comprehend the specific Ukrainian angle. Furthermore, gender issues will be taken into account when developing the communication plan.
11. DRAFT TIME PLAN
October 2014 – February 2015: Inception phase of the project
1. Conduct initial meetings with the ASTU and the Razumkov Centre to draft an outline work plan for the project;
2. Organize a workshop with all stakeholders to present and discuss project organization;
3. Establish an FBA coordination office in Kyiv;
4. Develop a communication plan;
5. Decide on gender mainstreaming of project design;
6. Conduct Baseline Study;
7. Establish the Steering Committee (SC);
8. Inception Report and preparation of a detailed draft work plan as part of the Report
9. Conduct SC meeting to discuss and adopt the Inception Report; and
10. Select cities and identify services.
March – June 2015: Implementation phase of the project: Part I
1. Establish an innovation lab;
2. Recruit external experts to conduct self-assessments; and
3. Plan for self-assessments, organize the SC and stakeholder information meetings in partner city councils.
June - December 2015: Implementation phase of the project: Part II
1. Plan and implement four self-assessments, organize the SC and stakeholder information meetings in partner city councils;
2. Reach an agreement on recommendations and actions developed;
3. Conduct first of twice yearly policy seminars hosted by Xxxxxxxx Centre;
4. Develop and publish a policy brief;
5. Plan and conduct capacity building trainings for local authorities and CSOs; and
6. In cooperation with implementing partners, design and start CSO public awareness campaigns.
January – April 2016: Implementation phase of the project: Part III
1. Plan and implement four self-assessments, organize the SC and stakeholder information meetings in partner city councils;
2. Reach an agreement on recommendations and actions developed; and
3. Design and conduct capacity building trainings for local authorities and CSOs.
May – June 2016: Implementation phase of the project: Part IV
1. Design and conduct capacity building trainings for local authorities and CSOs;
2. Conduct the second of twice yearly policy seminars hosted by Xxxxxxxx Centre;
3. Develop and publish a policy brief;
4. Hold an Annual Conference in ASTU headquarters in Ukrainka.
July 2016 – January 2017: Implementation phase of the project: Part V
1. Plan and implement four self-assessments, organize the SC and stakeholder information meetings in partner city councils;
2. Reach an agreement reached on recommendations and actions;
3. Design and conduct capacity building trainings for local authorities and CSOs;
4. Continue CSO public awareness campaigns; and
5. Conduct the first of twice yearly policy seminars hosted by Razumkov Centre.
January – May 2017: Implementation phase of the project: Part VI
1. Plan and implement four self-assessments, organize the SC and stakeholder information meetings in partner city councils;
2. Reach an agreement reached on recommendations and actions developed;
3. Continue CSO legal awareness campaigns;
4. Develop and publish policy brief; and
5. Conduct the second of twice yearly policy seminars hosted by Xxxxxxxx Centre.
June 2017 – December 2017: Consolidation phase of the project
1. Hold an Annual Conference held in ASTU headquarters in Ukrainka;
2. Draft a Final Report for SC;
3. Conduct a SC meeting to review final report and to endorse handover or prepare for a second phase of the project;
4. Conduct a final project evaluation; and
5. Complete a lessons learned study, organize seminar for stakeholders by the FBA together with Xxxx.
Indicators | Source and means of verification | Assumptions | |
Support to the strengthening and integrating rule of law principles in local government public service delivery in Ukraine | N/A | N/A | N/A |
Specific objectives | Indicators | Source and means of verification | Assumptions |
1. The capacity of local authorities to deliver public services in accordance with rule of law principles and to influence decision-making at the central political level has been strengthened. 2. Citizens’ understanding of how to exercise their rights when claiming services has been increased. 3. Civil society has been strengthened to hold public institutions legally accountable at the local level. | • Self-assessment recommendations implemented and integrated in local authorities’ administrative processes • Processes for the drafting of legislative reforms have started • Number of user surveys conducted • Quality of CSO legal awareness campaigns • Number of CSOs trained in rule of law in public administration concepts • Rule of law monitoring tools developed by CSOs | • Twice yearly seminar reports • Annual Conference reports • Media coverage • User surveys • Media coverage • CSO activity reports • CSO websites | • Strong leadership and political will to undertake change at the local governance level. • There is demand and expectations at the local, regional and national governance levels for rule of law emphasis in service delivery • Implementing partners are credible and results-oriented • Citizens prioritise the importance of their rights and liberties when claiming services • CSOs have institutional knowledge of basic rule of law and human rights concepts related to public administration • CSOs have s institutional capacity and qualified staff |
Outcomes | Indicators | Source and means of verification | Assumptions |
1.1. Core rule of law principles are adhered to in public service delivery at the level of local self-governance | • Number of successful self- assessments conducted in the oblasts / city councils | • Formal mapping of laws • Agency surveys • User surveys | • External experts have the necessary quality and competencies to conduct successful and useful self- assessments • Partners have broad and multi- disciplinary networks to recruit experts from |
1.2. The ability of local governance authorities to conduct advocacy for policy reform vis-à-vis the central government has improved based on the results of the self-assessments undertaken | • Project stakeholders’ inputs into policy processes on rule of law in local self-governance | • Media coverage • Partner meetings with parliamentarians | • Readiness of involved local authorities to implement the self-assessments • Results from presidential and local elections 2015 do not affect negatively on the human resources of local self- government |
1.3. Knowledge and expertise on the rights of service users exists in collaborating local authorities | • Quality of training • Number and position of staff from local authorities | • Training reports • Self-assessment surveys | • Trained civil servants remain within the public administration • Frontline staff participate in the trainings |
1.4. The implementation of the User’s Guide improves service users’ voice accountability and participation in | • Number of users participating in self-assessment surveys • Users’ Guide updated and | • Self-assessment surveys and reports • Local authority rule of law in | • Continued government support for the project is not affected by Euromaidan or similar political |
democratic processes through implementation of follow-up action plans according to the results of the self-assessments. | context-specific | public administration action plans | protests • Institutionalisation of the User’s Guide in local authorities evaluation and assessment systems (out of scope of this project) |
1.5. CSOs are in a stronger position to advocate for policy reform concerning the legal rights of their constituencies through improved collaboration with local governance authorities | • Quality of training • Advocacy strategies developed | • Short roundtable follow-up reports • Policy briefs | • Selected CSOs have an interest in engaging in strategic partnerships with the local authorities and vice-versa |
Outputs | Indicators | Means of verification | Assumptions |
1.1.1 Plan and implement rule of law in public administration self-assessments | • 12 self-assessments conducted according to the project time plan • 12 Advisory Committees set up and active | • Self-assessment reports • Policy briefs | • Stakeholder buy-in to the project • Local authority staff respond with candour in survey interviews |
1.2.1 Organise and conduct peer-to-peer exchange meetings 1.2.2 Annual conference on developing | • 12 peer-to-peer exchange meetings implemented | • Short follow-up activity reports • Policy briefs | • Willingness of all oblasts / city councils to learn from other participating cities (incl. the pilot cities of Lviv and Feodoisya • Relevant decision-making staff attend meetings • Willingness of all oblasts / city |
targeted advocacy strategies for legislative and policy reform at the national level | • Conference recommendations • Quality of advocacy strategies | • 2 annual conference reports | councils to prioritise the Annual Conference • Relevant decision-making staff attend the Annual Conference |
1.3.1 Training of civil servants on rule of law in public administration 1.3.2 Implementation of self- assessments at the oblast / city level | • Quality of trainings held /responses from trainees through interviews conducted by partners • Number and position of participants • Quality control of assessment reports | • Training course evaluations • Self-assessment reports • Draft action plans | • Relevant staff participate in the trainings i.e. front office • External experts possess the requisite multi-disciplinary competencies • External experts have a good understanding of the institutional and political context |
1.4.1 Develop action plans for the city / city council based on the recommendations of the self-assessment 1.4.2 CSOs conduct outreach and legal awareness campaigns amongst the | • 12 action plans developed • 12 outreach and legal | • Action plans • Terms of Reference for awareness campaigns | • External experts do not deviate from the results of the self- assessments • Partner oblasts / city councils complete the self-assessment process • CSOs already have basic |
service users of the selected self- assessment focus area i.e. whether housing, land rights, one stop shops etc. | awareness campaigns developed and implemented • Public presentation of self- assessment results | communications knowledge • CSOs are credible and respected in their immediate constituencies | |
1.5.1 Establish an working group for increased participation of selected CSOs in the self-assessment process 1.5.2 Roundtable meetings with local authorities after each self-assessment to identify policy advocacy strategies | • 12 working groups set up and active • Local authority / CSO advocacy roadmap agreed upon | • Terms of Reference outlining mandate and functions • Advocacy roadmap | • Broad and representative make- up of relevant participating stakeholders • There are adequate levels of mutual between CSOs and local authorities to underscore collaboration |
Bilaga 3
Mall för överlåtelse av äganderätten till tillgångar
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Tillgångar | Beskrivning av individuella tillgångar (inköpspris > 5 000 SEK) | Datum för inköpet | Inköpspris i SEK | Datum för överlåtelse / Kommentarer |
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Ovanstående förteckning har upprättats i syfte att efterkomma § 14 i Sidas Allmänna villkor för bidrag till myndighet (Bilaga 1 till Överenskommelse om bidrag). Äganderätten till samtliga tillgångar som anges i ovanstående förteckning har överförts. Samarbetsparten är införstådd med ovanstående villkor.
Upprättat i | datum |
(Organisationen) (Samarbetspart)
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Namn & titel Namn & titel