Independent Directorate of Local Governance Islamic Republic of Afghanistan Subnational Governance Policy of the Government of Afghanistan Revised Implementation Framework Draft 1.3 July 2012 TABLE OF CONTENTS EXECUTIVE SUMMARY .................................................................................................................................................. 1 1. OVERALL APPROACH ................................................................................................................................................ 3 1.1 PURPOSE OF THIS DOCUMENT ............................................................................................................................................ 3 1.2 HIGH-LEVEL STRATEGY ...................................................................................................................................................... 3 1.3 MODEL OF CHANGE.......................................................................................................................................................... 4 1.4 POLICY IMPLEMENTATION ACTIVITIES ................................................................................................................................... 7 1.41 The five priority areas .......................................................................................................................................... 7 1.42 Activities under the five priority areas ................................................................................................................. 7 1.421 Basic functions and relationships of provincial and district entities ................................................................................. 7 1.422 Organizational effectiveness of the PGO ........................................................................................................................... 8 1.423 Institutions for planning and implementing service delivery ............................................................................................ 8 1.424 Accountability at the provincial level ................................................................................................................................ 9 1.425 Municipal service delivery ............................................................................................................................................... 10 1.43 Terminology ....................................................................................................................................................... 12 2. POLICY IMPLEMENTATION DELIVERABLES ...............................................................................................................13 3. MANAGEMENT OF IMPLEMENTATION.....................................................................................................................21 3.1 IMPLEMENTATION CYCLE ................................................................................................................................................. 21 3.2 REPORTING .................................................................................................................................................................. 23 3.3 COMMUNICATION PLAN .................................................................................................................................................. 26 ANNEX: SUPPORTING AND BACKGROUND MATERIAL .................................................................................................28 1. THE INTENDED MODEL OF SUBNATIONAL GOVERNANCE ......................................................................................................... 28 1.1 Fundamental principles ........................................................................................................................................ 28 1.2 Functions of provincial-level and district-level entities ........................................................................................ 29 1.3 Key subnational-level processes ........................................................................................................................... 30 1.31 Planning and implementation of service delivery at provincial and district level ............................................................. 30 1.32 Governor Coordination and Leadership ............................................................................................................................ 31 1.33 Provincial and District Level Accountability....................................................................................................................... 31 1.34 Planning and implementation of municipal service delivery............................................................................................. 33 2. BACKGROUND OF THE SNGP AND THE PRIORITIZATION PROCESS .............................................................................................. 34 2.1 Development of the SNGP .................................................................................................................................... 34 2.2 Implementation of the SNGP ................................................................................................................................ 34 2.3 Prioritization of the SNGP..................................................................................................................................... 36 LIST OF ABBREVIATIONS Abbreviation Admin & Fin AG ANP ASP Capacity CLPD CSC DAA DDP DG DGO DO E&W Finance FMIS GDMA HR IDLG JCMB LAL LCA M&E M. Economy MAIL ML MoF MoI MoJ MRRD NPP NPPLG P&P PAA PC PCL PDC PDP PG PGO PLD PSP RIL SC SNG SNGP TA TOR Meaning Finance & Administration Directorates of IDLG Attorney-General Afghanistan National Police Afghanistan Local Governance Facilities Development Programme IDLG Capacity and Institutional Development Directorate IDLG Directorate of Coordination and Local Programme Development Civil Service Commission District Administrative Assembly District Delivery Programme District Governor District Governors' Office District Office Ministry of Energy and Water IDLG Directorate of Finance Financial Management Information System IDLG General Directorate of Municipal Affairs IDLG General Directorate of Human Resources Independent Directorate of Local Governance Joint Coordination and Monitoring Board Local Administration Law IDLG General Directorate of Local Council Affairs Monitoring & Evaluation Ministry of Economy Ministry of Agriculture, Irrigation and Livestock Municipalities Law Ministry of Finance Ministry of Interior Ministry of Justice Ministry of Rural Rehabilitation and Development National Priority Programme National Priority Programme for Local Governance IDLG Directorate of Policy & Planning Provincial Administrative Assembly Provincial Council Provincial Councils Law Provincial Development Committee Provincial Development Plan Provincial Governor Provincial Governors' Office Provincial Line Department Provincial Strategic Plan Right to Information Law Supreme Court Subnational Governance Subnational Governance Policy Technical Assistance Terms of Reference LIST OF TABLES AND FIGURES Figure 1 Figure 2 Figure 3 Figure 4 Figure 5 Simplified model of subnational governance system “Develop, Disseminate and Support” change process Interventions to be delivered through change process SNGP implementation process Policy implementation report format p4 p5 p6 p22 p25 Table 1 Table 2 Table 3 Table 4 List of IDLG Focal Points List of external Focal Points List of implementation channels Communication plan p12 p12 p12 p26 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 EXECUTIVE SUMMARY This document is a prioritized implementation framework for the Subnational Governance Policy (SNGP) of Afghanistan, covering the period between now and the expiry of the five-year period for the implementation of the SNGP in April 2015. It has been formulated based on lessons learned from implementation of the Policy to date, and based on needs and changed circumstances that have emerged since the approval of the Policy, such as Transition, the “Kabul Process”. It is also one of the deliverables of the National Priority Programme for Local Governance (NPPLG), specifically deliverable 2.1- a streamlined and prioritized implementation framework for the SNGP, produced and approved by IDLG. This document was produced as a result of a comprehensive review of the implementation of the SNGP that was prepared in the second half of 2011 and was presented to donors in January 2012. For this review, IDLG’s Policy Directorate prepared a 64-point summary of the SNGP, and then worked with its directorates and partners to identify progress against each of the 64 points. Based on the implementation data thus generated, IDLG was able to identify clear lessons learned, and formulate recommendations for future implementation, covering the topics of how management of policy implementation can be improved, and how priorities can be identified: these proposals were endorsed with some additions and small modifications by donors and partners. Based on the review process, IDLG determined that a part of the Policy should be recognized as a priority if it (i) had been a subject of significant effort prior to the review, (ii) it fell under an NPPLG deliverable, (iii) the objective or substance of the policy point had been identified as a priority for Transition. Based on these priorities, 34 of the 64 points of the point-by-point summary were identified as priorities. These were then re-organized into 5 thematic areas, as follows: 1. Clarifying the basic functions and relationships of provincial and district entities; 2. Making Provincial Governors’ Offices more effective organizations; 3. Building the institutions for planning and implementing service delivery at provincial level; 4. Increasing provincial-level accountability; 5. Strengthening the municipal service delivery cycle. These are recognized as the overall priorities and the high-level headings for activities under the implementation framework. To facilitate implementation of the Policy, this document presents an output for each of the five priority areas. The five outputs are divided into 4-6 sub-outputs, and for each sub-output a clear, specific practical and time-bound deliverable is identified. These deliverables include both “central level” deliverables such as manuals, agreements and processes, and “field level” deliverables such as workshops, public events and implementation support, most of which need to be provided to all Provincial Governors Offices, Provincial Municipalities and Provincial Councils. The document also clearly identifies internal and external implementation responsibility for all deliverables, as well as identifying category of the deliverable, e.g. whether it is deliverable related to Public Administration Reform, Budget Reform, Policy & Procedure, and so on. The underlying “model of change” for all of the activities is what is called the “develop, disseminate and Page 1 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 support” model, under which IDLG and its partners define expected systems or behavior at the subnational level, clearly disseminate information and guidance on the systems, and then provide field support to ensure that it is adopted. This model applies across many types of interventions including clarifying relationships between local actors, implementing improved financial practices and supporting organizational development for Governors’ Offices and other SNG units. In addition to a high level of clarity about the specific deliverables needed to implement SNGP priorities, this document also proposes practical management arrangements for policy implementation. The premise of the approach is that IDLG, with some targeted technical assistance, can produce most ‘central level’ deliverables such as procedures and agreements. However, due to the sheer number of SNG units nationwide and the number of activities and events that are needed to ensure adoption of new systems and new behavior, IDLG cannot produce all ‘local level’ deliverables using its internal resources. Therefore, IDLG will rely on donorfunded projects and other external implementation mechanisms to produce these deliverables. The document puts forward a clear and simple management model based on this premise: in each planning period, the Policy Directorate communicates the planned deliverables for the upcoming period to the implementing Directorates of IDLG; the implementing Directorates either assign responsibility for deliverables to their own teams and sub-units, or negotiate with donor-funded projects to ensure that the deliverables will be produced in each SNG unit as planned; the Directorates then track the production of deliverables as planned and agreed, e.g. verifying that all the expected workshops and public events in each province are being delivered, and then report implementation to the Policy Directorate and the M&E Directorate; consolidated reporting is then generated and shared with appropriate stakeholders. This management arrangement makes it plausible that the outputs and deliverables identified in the framework actually can be implemented, provided donor-funded projects are able to align their activities with the content of the framework. It therefore depends on a very high level of collaboration with donors and implementing partners. The outputs and deliverables of the framework are based on the model of Subnational Governance that runs through most of the main Subnational Governance Policy Document: the system in which provinces and district are administrative units but not political units, government offices in the provinces and districts are “branch offices” of central agencies, and the subnational governance units (Governors’ Offices, Provincial Councils and Local Municipalities) serve the purpose of adding local decision-making and accountability to what would otherwise be a fully centralized system. The policy and the implementation framework are therefore conservative in the sense that no fundamental changes to the existing system are proposed: all outputs and deliverables have the underlying objective of making the existing system work, rather than fundamentally changing it. Page 2 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 1. Overall approach 1.1 Purpose of this document This document contains an Implementation Framework for subnational governance reform over a three year covering the remaining period for the implementation of the SNGP and also the period of the implementation of the local governance National Priority Programme (NPP). The outputs and targets are based on a prioritization of the SNGP that has been conducted over the last year, and reflect a prioritized and pragmatic approach to SNGP implementation. The document provides a clear plan and implementation mechanism for subnational governance reform in the medium term, and will help to align the efforts of IDLG’s implementing partners, international organizations and donor countries both in Kabul and in the provinces. The background and origins of the framework are described in Annex I of this document. This document is also a deliverable of the National Priority Programme for Local Governance1 (Governance Cluster NPP4) and will contribute to some other deliverables. Specifically, this document counts as the fulfillment of NPP deliverable 1.1, a streamlined prioritized implementation framework for the SNGP produced and approved by IDLG by the end of 2012. It also supports the deliverable that key stakeholders have a high degree of awareness of the NPP (deliverable 1.2) through the attached communication plan (section 3.3) and the deliverable that IDLG has a strengthened policy management function (deliverable 1.3) through the implementation approach and reporting approach contained in the document (sections 3.1 and 3.2). Many of the priorities for SNGP implementation defined in this document are the same as, or clearly related to, NPP outcomes, sub-component outcomes and deliverables. When this is the case, this is clearly indicated in the document. However, there are some deliverables in the document that are not explicitly listed as deliverables in the NPP. This is because the NPP is not solely concerned with SNGP implementation, while this document is. This document also outlines a clear programme of communication with the SNG units, and can be taken as a part of an IDLG communication strategy or policy for the SNG units. 1.2 High-level strategy The reform strategy underlying the outputs and targets outlined in this document is as follows. 1 Deliver practical and incremental reforms. Over a period of three years it is not possible to change how systems and institutions work comprehensively or fundamentally, especially not in a country like Afghanistan where positive change comes slowly. The strategy is therefore to deliver small but tangible improvements to the current system that have a chance of being successfully delivered in the current environment. Make the current “intended system” work. The current, Constitutional basis for SNG is fairly centralized but includes provision for local level planning and implementation of service delivery and local level accountability. However, these provisions have only been partially implemented, and therefore the current system does not perfectly match the intended system. The SNGP clearly intends to realize the intended system, in which the provisions for local governance that exist within the current system are fully implemented. This is therefore the approach of this document. Focus on the core SNG units and the core processes that the SNG units are part of. The Government structures at subnational level include provincial and district branch offices of central NPP4 was recommended for endorsement at a JCMB Standing Committee meeting on 23 June 2012. Page 3 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Ministries as well as the units under IDLG: Governors Offices, Provincial Councils and local municipalities. The focus of the reforms in this document is the units under IDLG and key processes and institutions at local level, such as provincial planning and provincial accountability. The SNG units play critical roles in these key processes but they also tend to draw in the branch offices of central ministries, ensuring that the entire structure of Government at subnational level can be addressed in some coherent way. Provide clear communication and guidance. The basic premise of the strategy is officials of SNG units want and need practical guidance and clear communications from central agencies. Further, if the guidance is useful enough, communicated well and clearly, if there is buy-in from all national stakeholders and support in implementing the guidance, it will lead to development of systems and institutions and changes in behavior. Emphasize the provincial level. Experience has shown that it is quite challenging to deliver capacity development and institutional development in 34 provinces, let alone 371 districts. The deliverables and targets therefore relate only to the provincial level, since it is not clear that any more than this can be achieved. Limitations created by a provincial focus should be offset by the fact that Provincial entities have functions for supporting district entities, and therefore capacity development for provincial offices will benefit district offices. 1.3 Model of change The diagram below gives a very schematic explanation of the intended structure of the subnational governance agencies: Subnational Planning Provincial Municipalities Development and service delivery Coordination Provincial Governors’ Office Coordination Provincial Line Department Development and service delivery Accountability Accountability Provincial Council FIGURE 1: SIMPLIFIED MODEL OF SUBNATIONAL GOVERNANCE SYSTEM In essence, the provincial government entities together produce plans and budgets, with budgets going up to national level to incorporate into the national budgeting cycle. Once resources come to the provincial level, line departments undertake development activities and service delivery within the scope of the functions that have been delegated to them. Throughout this process, Governors play a coordinating role, coordinating both planning and implementation of service delivery, while Provincial Councils play an accountability and oversight function. Municipalities raise their own revenues and implement their own Page 4 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 service delivery programmes, and are thus semi-independent from the rest of the administrative system, although the Governor usually has some type of coordinating role with respect to Municipal affairs. (The diagram omits the fact that Governors Office are administrative sub-units of IDLG and provincial line departments are administrative sub-units of central ministries, as this is not relevant for understanding this basic system). As things currently stand, the system of subnational governance does not exactly function in this way. This is due to a number of reasons, including: the parts of the system of subnational planning have not been fully linked and connected to the national budget; the coordination relationship between the Governors’ office and other provincial agencies has not been fully defined in practice, leading to variability in actual relationships; development and service delivery outside of the security and justice sector is monopolized by central ministries and the parallel structures that have been set up for them; the local agencies have limited access to and control over resources; Provincial Councils have neither the information nor perceived authority to call the provincial executive offices to account; Provincial Municipalities are generally weak throughout the entire cycle of raising revenue, planning how to use it and executing their plans. The model of change used for this document is that IDLG and its partners (i) develop new systems, or clarify in detail how existing systems are expected to work (through formal policies, procedures and other forms of guidance), (ii) disseminate those systems so that all relevant stakeholders accept and understand them, (iii) support their implementation by providing workshops, training and technical support while the relevant agencies implement the new systems2. This approach can be called the “Develop, disseminate and support” approach to change. This approach can lead to reform in processes and institutions such as local planning and accountability, but also lead to changes in how resources are allocated when it is applied to systems for budgeting, appointments and managing service delivery. The diagram below summarizes how this approach can be used to address the systemic weaknesses in the SNG system. SNG Unit (pre-change) • Weak organizations • Unclear relationships between provincial structures • Low level of control over own resources • Weak institutions of SNG (planning, service delivery, accountability) CHANGE PROCESS • Development of policies, procedures and other kinds of guidance for internal management, key relationships, critical institutions (e.g. planning), budget planning and execution; clear, agreed and with delegated responsibilities • Dissemination and communication of expected systems to SNG stakeholders • Support for implementation of expected systems through communication, TA, training SNG Unit (post-change) • Stronger organizations • Clear relationships between other local structures • Higher level of control over own resources • Stronger institutions of SNG (planning, service delivery, accountability) FIGURE 2: “DEVELOP, DISSEMINATE AND SUPPORT” CHANGE PROCESS 2 The need for more guidance has emerged repeatedly in the last year: for example a perception survey of PGOs administered by IDG in 2011 showed that the majority of PGOs wanted more clarity from IDLG on their duties and responsibilities; a regional conference in the East in 2012 identified guidance on interactions with the security and justice sector as one of the most urgent needs of PGOs and DGOs; most recently, nationwide survey of PGOs identified clear guidance on execution of the core functions of the PGO from IDLG and other relevant agencies as one of the two main priorities for future IDLG support. Page 5 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Interventions are needed at a number of points in the SNG system, some concerning internal structures and functions of SNG units and some concerning relationships and SNG institutions. The diagram below shows where interventions are needed and the type of intervention. One of the key points, of this diagram, however, is that all of these interventions can be delivered with the “develop, disseminate and support” approach. •Organizational development •Strengthening of PDC and PAA •Improvement of resource flows • Making key relationships work •Reform to budget planning • Alignment of local planning processes Develop, disseminate & support Develop, disseminate & support Subnational Planning Provincial Municipalities Development and service delivery Coordination Provincial Governors’ Office Provincial Line Department Coordination Development and service delivery Accountability Accountability Provincial Council Develop, disseminate & support Develop, disseminate & support • Organizational development • Improved municipal service delivery cycle • Improvement of information flow to PC • Making PC relationships work • Improving resource flow Develop, disseminate & support • Delegation of responsibility • Reform to procurement and budget execution FIGURE 3: INTERVENTIONS TO BE DELIVERED THROUGH CHANGE PROCESS Page 6 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 1.4 Policy implementation activities 1.41 The five priority areas As a result of the review of the implementation of the Policy and subsequent work on prioritization, IDLG has identified five priority areas for policy implementation. These areas are: 1. 2. 3. 4. 5. Clarifying the basic functions and relationships of provincial and district entities; Making PGOs more effective organizations; Building the institutions for planning and implementing service delivery at provincial level; Increasing provincial-level accountability; Strengthening the municipal service delivery cycle. This implementation framework outlines a set of outputs, targets and deliverables falling within these priority areas, using the “Develop, disseminate and support” framework outlined in the previous section. The work needed in each of the five priority areas is described in the next section, and specific outputs, deliverables and targets are given in section 2. 1.42 Activities under the five priority areas 1.421 Basic functions and relationships of provincial and district entities The first priority area is basic functions and relationships of provincial and district entities. Activities in this area are aimed at ensuring that the roles and responsibilities of the SNG entities and their inter-relationships with other agencies at the local level are clear, understood and effective, consistent with the TORs and the descriptions of key relationships provided in the SNGP. Specific areas of intervention under this priority area include: Creation and dissemination of legal framework for basic structures and functions of provincial and district entities. IDLG will ensure that the Local Administration Law is enacted and fully communicated to relevant SNG stakeholders including Governors, line departments, elected councils, central ministries and donor agencies. As part of the communication programme, there will be presentations of the law to all relevant provincial officials and public discussions in each province. This will ensure that the basis for local governance is established and understood. Establishment of clear, detailed and agreed norms for the relationship between Provincial Governor and key external provincial offices. Under this area of work, IDLG will partner with relevant central Ministries to provide specific guidance to subnational agencies on how Governors should interact with other provincial agencies such as courts, the police, prosecutors, Mustufi and the regular line departments with regard to service delivery. IDLG will work with the relevant central agencies to develop practical operational guidelines based on current successful practices being used in the field, for example working with the Ministry of the Interior to develop guidelines for Governor interaction with Provincial Police. Once this guidance is developed and jointly approved, IDLG will ensure that each agency disseminates the guidance to its provincial offices and that there communication and training events in each province to ensure that there is full awareness and understanding of the guidance amongst all stakeholders. While the guidance will help Governors to engage with line departments in respect of ongoing operations of the Government, it will also provide a basis for them to engage in respect of special responsibilities that emerge from time to time, for example nationally important initiatives such as Transition and Peace & Reintegration. Page 7 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Management effectiveness of provincial coordination and decision-making structures. Under this area of work, IDLG will ensure that both the Provincial Administrative Assembly and the Provincial Development Committee are effective bodies for joint planning, decision-making, mutual accountability and follow-up. IDLG will ensure that the procedures for these bodies such as agenda management, internal meeting procedures and for dissemination and follow-up of decisions are well-defined and implemented, and that there are human resources in place to ensure that these committees are properly supported. IDLG will work with the Ministry of the Economy to ensure that this work is done in the case of the PDC. This activity will include provision of improved IT to allow management of agendas and tracking of decisions, and events in each province to disseminate improved PDC and PAA procedures. 1.422 Organizational effectiveness of the PGO The second priority area is organizational effectives of the Provincial Governors’ Office. Activities under this priority are aimed at ensuring that Provincial Governors’ Offices have the systems, staff and structures needed to discharge their mandates, as outlined in the SNGP. Specific areas of intervention under this priority area include: Implementation of fiscally sustainable upgrades to infrastructure and equipment in PGOs and DGOs. IDLG will work to narrow the gap between the current levels of infrastructure and equipment in PGOs and DGOs and the standards specified in the SNGP and by the Afghanistan Local Governance Facilities Development Programme (ALGFDP). IDLG will pool contributions from the Ministry of Finance and from donors and will assist Governors’ Offices in planning and implementing upgrades, using ALGFDP to provide assistance on planning, procurement and implementation. IDLG will also ensure that all upgrades are fiscally sustainable, and do not generate Operations & Maintenance liabilities which cannot be met in the future. Establishment of professional management of internal systems and procedures in PGOs. IDLG will improve internal systems such as HR, financial management, reporting and delivery of administrative services through the PGO such as civil registration. IDLG will work with relevant partners in the Government to develop clear procedures and guidelines, and will disseminate them to the PGOs. There will be workshops in each province to ensure that each new set of procedures is understood. Implementation of appropriate organizational designs for PGOs. IDLG will launch a participatory organizational design process to develop new designs for PGOs, which include a level of flexibility and responsiveness to provincial circumstances. Once designed, IDLG will work with all 34 PGOs to help them select a new design and implement the design. This will include extensive field work in all provinces. Improved staffing and recruitment of PGOs. IDLG will assist all PGOs to improve the quality and quantity of staff. In addition to ensuring that all PGOs can complete hiring of positions from grades 3-8 on their authority, IDLG will support a rolling recruitment programme in each province in order to reduce provincial vacancy rates. 1.423 Institutions for planning and implementing service delivery The third priority area is Institutions for planning and implementing service delivery at local level. Activities in this area are aimed at ensuring that services are being planned and implemented at the local level, Page 8 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 consistent with the approach to Subnational Planning and Finance outlined in the SNGP. Specific areas of intervention under this priority area include: Completion of policy framework for strengthening planning and implementation of service delivery. IDLG will partner with other central-level stakeholders in local planning (e.g. MRRD, Ministry of Finance, Ministry of Economy) to finalize the policy framework for local planning. This will ensure that existing planning processes such as the District Delivery Programme (DDP), Districtlevel planning by the Ministry of Rural Rehabilitation and Development’s (MRRD) District Development Assemblies, Provincial Development Planning by the Provincial Development Committees (PDCs) and Provincial Budgeting by the Ministry of Finance are linked to one another and are made to properly reflect the objectives set in the Province’s Provincial Strategic Plan (PSP). It will also provide guidance on how these planning processes can be mainstream initiatives such as Transition and Peace & Reintegration. IDLG will also help Ministries to develop policies for delegation of responsibility, which will provide frameworks for increasing the scope of provincial planning and provincial budgeting. Implementation of improved planning practices. IDLG will complete the roll-out of PSP, and then assist each province to conduct Provincial Annual Planning based on the PSP and reflecting priorities such as Transition and Peace & Reintegration. Once the first set of provincial budgets is approved, IDLG will provide technical support to each PDC and PC in supervising the implementation of the annual plan. Again, this will require a series of workshops in each province, throughout the planning cycle. Implementation of agreed reforms to provincial budget planning. IDLG will work with the Ministry of Finance to ensure that the scope of the Provincial Budgeting Pilot is progressively widened, as previously agreed between IDLG and the Ministry of Finance (MoF). IDLG will play the role of providing consultation, supporting MoF in dealing with donors, mobilizing Governors to support reform and encouraging/persuading MoF to maintain momentum. Implementation of agreed reforms to provincial budget allocation. IDLG will work with the Ministry of Finance to ensure that formula-based/norms-based budget allocation is rolled out from sector-tosector, as previously agreed. As with the provincial budget planning, this is primarily an MoF output, which IDLG will support and encourage. Implementation of agreed reforms to provincial budget execution. IDLG will work with the Ministry of Finance to ensure that the procurement and expenditure authorities of line departments are expanded to match the planning authority, as previously agreed between the two agencies. This is another area where IDLG will play a supporting role. 1.424 Accountability at the provincial level The fourth priority area is accountability at the Provincial level. Provincial Councils (PCs) need to have the information, capacity and relationships required to make other provincial agencies accountable, as outlined in the TOR for the provincial council and the description of mechanisms for accountability and M&E contained in the SNGP. Specific areas of intervention under this priority area include: Creation and dissemination of legal framework for accountability at provincial level. IDLG will play its role in ensuring that the Provincial Council Law and the Access to Information Law are enacted Page 9 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 and disseminated. This will include workshops and public discussions in each province to ensure awareness and full understanding. Improved access to and usage of performance information by Provincial Councils. IDLG will work with key central ministries and other relevant stakeholders to ensure that more and better quality information about service delivery activities, expenditure and outcomes is collected and disseminated to provincial level and to PCs specifically, so that they are able to exercise their Monitoring & Evaluation duties more effectively. This will include policy and technical work at the central level to agreed systems for collecting and disseminating data, and support to each of the 34 PCs to ensure that they can interpret the information and take action based on it. There will be an emphasis on ensuring that performance information is easily communicated and understood, for example using mechanisms such as performance league tables, Citizens’ Scorecards, and so on. Establishment of clear, detailed and agreed norms for the relationship between Provincial Councils and other provincial agencies. IDLG will work with key central agencies to develop clear guidelines on how provincial agencies should interact with PCs, for example what kinds of requests the agencies should respond to, and how they should respond. They will then ensure that the guidance is jointly disseminated and that there are follow-up events in each province to ensure that the guidance is understood not only by the PCs but by the major line departments and the PGO. This will result in a higher level of cooperation between PCs and other provincial actors, and more clarity about how the oversight and M&E role of the PC should be operationalized. Creation of an effective Public Grievances system under the supervision of the Provincial Council. IDLG will ensure that each PC office has a system for receiving formal complaints and grievances, following up with the relevant authorities, reporting outcome back to the complainant and reporting on the overall process and effectiveness of grievance resolution. The system will be designed based on evaluation of current practices, and then staff and budget will be obtained through the budget and Tashkeel revision process. Once budget and staff are deployed, the system will be launched and there will be public presentation and discussion of the system in all 34 provinces to ensure that it is widely used. Improvement of Provincial Council access to resources and operational support. Under this activity, IDLG will combine core contributions and donors’ funds for PCs and then allow Provincial Councils to conduct their own budget planning within pre-defined budget ceilings. 1.425 Municipal service delivery The fifth priority area is municipal service delivery cycle. Provincial municipalities need to continue to increase revenue collection, get better and using it to deliver the services that people want, and so in a way that is transparent and consistent with good governance, as described in the section on Municipalities in the SNGP. Specific areas of intervention under this priority area include: Creation and dissemination of legislative framework for municipal governance. IDLG will play its role in ensuring that the municipal governance law is enacted and disseminated to all relevant stakeholders. This will include workshops to communicate the law to each provincial municipal administration and public discussion of the law in each provincial municipality. Page 10 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Establishment of improved systems for municipal revenue collection. IDLG will develop improved, standardized guidelines on Revenue Improvement Action planning, disseminate them to the provincial municipalities and then provide technical support to each of the 33 provincial municipalities during the planning of the next year’s revenue collection. IDLG will also ensure that the Information Technology used for Revenue Administration is upgraded in all of the provincial municipalities. Establishment of improved systems for municipal financial management, execution and reporting. IDLG will develop improved, standardized procedures, regulations and guidelines for all aspects of financial management for the municipalities, including budgeting, accounting, procurement, payments and reporting. The guidelines will be disseminated to all municipalities, and there will be one workshop and additional implementation support for the new procedures in all provincial municipalities. This will be done in partnership with MoF. Establishment of improved systems for planning, implementation and evaluation of municipal service delivery. IDLG will provide assistance to each of the 33 provincial municipalities to go through the entire cycle of public service delivery. Each municipality will be assisted in conducting public consultations to identify what service should be provided, and then will be assisted to plan and budget the service using its own funds. Finally, each municipality will be provided with technical and management expertise in order to implement the service once planned. Implementation of improved organizational designs for Provincial Municipalities. IDLG will conduct a participatory process to develop new organizational designs for Provincial Municipalities, and then will assist each of the municipalities in selecting and implementing one of the designs. Provision of selected equipment and furnishings for Provincial Municipalities. IDLG will assist each of the 33 provincial municipalities to plan and implement an upgrade of their facilities, equipment and furnishings from a resource enveloped provided by development partners. IDLG will assist the municipalities to procure the upgrade services using their own systems in a completely transparent fashion and in compliance with regulations, and then reimburse them from the resource envelope. Page 11 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 1.43 Terminology To facilitate management, for each deliverable in the implementation framework, the lead unit within IDLG (‘IDLG focal point’ or ‘IDLG FP’) and the lead external agency (‘external focal point’ or ‘external FP’) are given. The following table lists the Internal Focal Points for the various deliverables in the framework: Abbreviation P&P CLPD Finance Admin & Fin ASP HR LCA Capacity GDMA Full name of IDLG focal point Directorate of Policy & Planning Directorate of Coordination and Local Programme Development Directorate of Finance Finance & Administration Directorates of IDLG Afghanistan Local Governance Facilities Development Programme General Directorate of Human Resources General Directorate of Local Council Affairs Capacity and Institutional Development Directorate General Directorate of Municipal Affairs TABLE 1: LIST OF IDLG FOCAL POINTS The following table lists the External Focal Points for each deliverable: Abbreviation Parliament MoJ M. Economy MoF CSC MRRD Full name of external focal point Parliament Ministry of Justice Ministry of Economy Ministry of Finance Civil Service Commission Ministry of Rural Rehabilitation and Development TABLE 2: LIST OF EXTERNAL FOCAL POINTS To provide additional information, each deliverable is also classified according to the overall implementation channel. The channels are Abbreviation Legislation Procedure Budget PAR Support Investment Full name of channel Legislation Policy, procedure, regulations and guidance Budget reform Civil service and Public Administration Reform Field support, capacity development and Technical Assistance Investment and capital formation TABLE 3: LIST OF IMPLEMENTATION CHANNELS Page 12 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 2. Policy implementation deliverables Output 1: Basic functions and relationships of provincial and district entities Roles and responsibilities of the SNG entities and their inter-relationships with other agencies at the local level are clear and effective Sub-output 1.1 Creation and dissemination of legal framework for basic structures and functions of provincial and district entities (NPP sub-component 2) Sub-output 1.2 Establishment of clear, detailed and agreed norms for relationship between Provincial Governor and key external provincial offices Sub-output 1.3 Management effectiveness of provincial coordination and decision-making structures Deliverable 1 1H 2013 Local Administration Law enacted (NPP deliverable 2.1) Deliverable 2 1H 2013 LAL disseminated Deliverable 3 2H 2013 Presentation for senior officials for all provincial administrations Deliverable 4 2H 2013 Presentation and public discussion for PC, media and civil society IDLG FP P&P External FP Parliament Channel Legislation Deliverable 1 2H 2012 Agreements to develop guidance for 3 coordination relationships with relevant agencies (1. Police relationship- MoI; 2. JusticeAG and SC; 3. General line department relationshipMAIL, MRRD, Education, Health, Public Works, E&W) IDLG FP P&P External FP See above Channel Procedure IDLG FP P&P External FP MoJ Channel Procedure Deliverable 2 1H 2013 Guidance developed & disseminated, and presented in workshop in all 34 provinces for first coordination relationship IDLG FP CLPD External FP N/A Channel Support Deliverable 3 2H 2013 Guidance developed & disseminated, and presented in workshop in each Province for second coordination relationship IDLG FP CLPD External FP N/A Channel Support Deliverable 4 1H 2014 Guidance developed & disseminated, and presented in workshop in each Province for third coordination relationship IDLG FP External FP Channel IDLG FP External FP Channel IDLG FP External FP Channel Deliverable 1 2H 2012 Consultation and baselining exercises completed in PDC and PAA effectiveness in all 34 provinces Deliverable 2 1H 2013 Agreement with Ministry of Economy to revise PDC processes ; development and approval of PDC and PAA procedure manuals IDLG FP External FP Channel IDLG FP External FP Channel CLPD M. Economy Procedure CLPD See left Procedure P&P M. Economy Procedure CLPD See left Procedure Deliverable 3 2H 2013 Formal dissemination and launch workshop for PDC and PAA procedure manuals in all 34 provinces, installation of PDC/PAA information management system in all 34 PGOs/PDEs IDLG FP CLPD External FP M. Economy Channel Procedure CLPD See left Procedure Deliverable 4 2H 2013 1 workshop and 1 week of implementation support on new PDC and PAA procedures in all 34 provinces IDLG FP External FP Channel Target 1H 2014 Legal basis for roles and responsibilities of SNG units exists, and all leadership, senior staff & technical staff of SNG units are aware of it and understand it Target 2H 2014 Operational practices for coordination between PGOs and key external agencies (Police, Courts ,general line departments) have been disseminated to PGOs and relevant provincial agencies in all 34 provinces and coordination activities are taking place with an adequate degree of compliance with the defined practices Target 1H 2014 Systems and procedures for improved agenda management, meeting management and follow-up of decisions are in place for PDCs and PAAs of all 34 provinces CLPD M. Economy Support Page 13 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Output 2: Organizational effectives of the Provincial Governors’ Office Provincial Governors’ Offices have the systems, staff and structures needed to discharge their mandates Sub-output 2.1 Implementation of fiscally sustainable upgrades to infrastructure and equipment in PGOs and DGOs (NPP-subcomponent 9) Sub-output 2.2 Establishment of professional management of internal systems and procedures in PGOs Sub-output 2.3 Implementation of appropriate organizational designs for PGOs Sub-output 2.4 Improved staffing and recruitment of PGOs ((NPP sub-component 10) Deliverable 1 1H 2013 System for announcement of annual development budget allocation to PGOs developed and approved Deliverable 2 1H 2013 ALGFDP project restructured to assist PGOs in design and implementation of PGO and DGO infrastructure projects IDLG FP Finance External FP MoF Channel Budget Deliverable 1 2H 2012 New manuals for PGO HR, financial management, office management and ‘local government operations’ developed and approved IDLG FP HR External FP MoF, CSC Channel Procedure Deliverable 1 2H 2012 Set of PGO organizational structures developed based on consultation workshop conducted in all 34 PGOs IDLG FP ASP External FP Channel PAR Deliverable 2 1H 2013 New manuals for PGO HR, financial management, office management and ‘local government operations’ disseminated IDLG FP HR External FP MoF, CSC Channel Procedure Deliverable 2 1H 2013 Workshop conducted in all 34 provinces to adopt/select new PGO structures IDLG FP HR External FP CSC Channel PAR Deliverable 1 2H 2012 Recruitment authority for PGO and DGO positions grades 3-8 delegated to PGO IDLG FP HR External FP CSC Channel Support Deliverable 2 1H 2013 All 34 PGOs supported to organize 2 jobs fairs each IDLG FP External FP Channel IDLG FP External FP Channel HR CSC PAR HR CSC Support Deliverable 3 2H 2013 IDLG budget submission includes infrastructure projects planned by 34 PGOs and financed with mixture of core and donor contribution IDLG FP Finance External FP Channel Budget Deliverable 3 1H 2013 1 workshop and 1 week of implementation support in each PGO for each new manual Deliverable 4 1H 2014 All 34 PGOs have launched procurement of approved PGO and DGO infrastructure projects IDLG FP CLPD External FP N/A Channel Support Deliverable 3 2H 2013 Approval of new structures and incorporation into IDLG administrative arrangements for all 34 PGOs IDLG FP HR External FP MoF, CSC Channel Procedure Deliverable 4 2H 2013 Workshop and two weeks of implementation support to implement new TORs, budget structures reporting lines for all 34 PGOs IDLG FP HR External FP CSC Channel Support Deliverable 4 IDLG FP HR External FP CSC Channel PAR Deliverable 3 1H 2013 Workshop and 1 week of implementation support on recruitment strategy for all 34 PGOs IDLG FP HR External FP CSC Channel Support IDLG FP ASP External FP MoF Channel Investment Deliverable 4 2H 2013 One evaluation visit to each PGO to assess uptake of manuals IDLG FP External FP Channel Target 1H 2014 All 34 PGOs are planning and implementing infrastructure upgrades using a sustainable and efficiently allocated resource envelope Target 1H 2014 All 34 PGOs are following official procedures for basic office management (e.g. HR, finance) with a good degree of compliance Target 1H 2014 All 34 PGOs have implemented new organizational designs incorporating a degree of flexibility in respect of staffing levels and sub-structures, using a participatory design process Target 2H 2013 All 34 PGOs have implemented their own recruitment programmes in order to achieve targeted fill rates in critical units and positions Page 14 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Output 3: Institutions for planning and implementing service delivery at local level Services are being planned and implemented at the local level Sub-output 3.1 Completion of policy framework for strengthening planning and implementation of service delivery (NPP sub-component 14, deliverable 14.1) Sub-output 3.2 Implementation of improved planning practices (NPP sub-component 14, deliverable 14.2) Sub-output 3.3 Implementation of agreed reforms to provincial budget planning (NPP sub-component 3, deliverable 3.1) Sub-output 3.4 Implementation of agreed reforms to provincial budget allocation (NPP sub-component 3, deliverable 3.2) Deliverable 1 2H 2012 Guidance on formulation of PDPs and Provincial Budgets modified to ensure internal linkages and links to Provincial Strategic Plan IDLG FP CLPD External FP MoF, M. Ec Channel Procedure Deliverable 1 1H 2013 2 workshops in each province that has not yet completed Provincial Strategic Plan to support completion of PSP IDLG FP CLPD External FP N/A Channel Support Deliverable 1 1H 2013 Expanded set of provincial line departments and expanded set of national programmes included in provincial budget pilot in all 34 provinces IDLG FP P&P External FP MoF Channel Budget Deliverable 1 2H 2012 1392 provincial budget ceilings in Education and Local Governance set on formula basis IDLG FP P&P External FP MoF Channel Budget Deliverable 2 1H 2013 Guidance on provincial level planning and district level planning modified to ensure district-level planning inputs into provincial planning IDLG FP CLPD External FP MRRD Channel Procedure Deliverable 2 2H 2013 1 workshop and 1 week of implementation before start of new budget planning calendar to ensure formulation of Provincial Annual Plan (based on PSP, DDP inputs, etc) IDLG FP CLPD External FP M. Economy Channel Support Deliverable 2 1H 2013 Further expanded set if provincial line departments and programmes under provincial budgeting, some O&M budgeted for at least one programme IDLG FP P&P External FP MoF Channel Budget Deliverable 2 2H 2013 1393 provincial budget ceilings in Health sector set on formula basis Deliverable 3 1H 2013 1 workshop for each of the 34 provincial administrations on the revised planning system Deliverable 4 1H 2013 Key service delivery Ministries develop and approve policies on delegation of responsibility IDLG FP CLPD External FP All relevant Channel Capacity Deliverable 3 1H 2014 1 workshop and 1 week of implementation support for each PDC/PAA on coordinating implementation of provincial plan & budget IDLG FP CLPD External FP All relevant Channel Procedure Deliverable 4 1H 2014 1 workshop and 1 week of implementation support for each PC on oversight of provincial plan & budget IDLG FP CLPD External FP M. Economy Channel Support Deliverable 3 1H 2014 All major sectors including at least 1 programme in provincial budgeting, some O&M budgeted in all programmes IDLG FP External FP Channel Deliverable 4 IDLG FP P&P External FP MoF Channel Budget Deliverable 3 2H 2014 1392 provincial budget ceilings in Roads sector set on formula basis IDLG FP External FP Channel Deliverable 4 IDLG FP External FP Channel IDLG FP External FP Channel IDLG FP External FP Channel P&P MoF Budget P&P MoF Budget Target 2H 2013 All provincial planning processes have been clearly linked with each other and with PSP, and the overall process is linked to the national budgeting process Target 2H 2014 All 34 provinces have implemented the strengthened planning cycle GDLC N/A Support Target 1H 2014 All 34 provinces are conducting budget planning for activities in their provinces in the major service delivery sectors Target 2H 2014 Provincial budget ceilings in education, health, roads and local governance are set using efficient, transparent and fair criteria Page 15 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Sub-output 3.5 Implementation of agreed reforms to provincial budget execution (NPP sub-component 3, deliverable 3.3) Deliverable 1 2H 2012 Ministries participating in provincial budgeting delegate increased procurement authority required for execution of expenditures planned for provincial budgeting Deliverable 2 1H 2013 Ministries participating in provincial budgeting disseminate guidance to their line departments on procurement practices for spending planned under provincial budgeting, based on guidance provided by MoF Deliverable 3 1H 2013 Procurement planning and management tools prepared and distributed to line departments of all ministries participating in provincial budgeting in all 34 provinces Deliverable 4 1H 2013 1 workshop and 1 week of implementation support for participating line departments in all 34 provinces during procurement for 1392 IDLG FP External FP Channel IDLG FP External FP Channel IDLG FP External FP Channel IDLG FP External FP Channel P&P MoF Budget P&P MoF Budget P&P MoF Procedure Target 2H 2013 All 34 provinces are implementing payments and procurements for the activities that they planned and which were subsequently approved in the budget cycle P&P MoF Support Page 16 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Output 4: Accountability at the Provincial level Provincial Councils have the information, capacity and relationships needed to make other provincial agencies accountable Sub-output 4.1 Creation and dissemination of legal framework for accountability at provincial level (NPP sub-component 2) Sub-output 4.2 Improved access to and usage of performance information by Provincial Councils Sub-output 4.3 Establishment of clear, detailed and agreed norms for relationship between Provincial Councils and other provincial agencies Sub-output 4.4 Creation of an effective Public Grievances system under the supervision of the Provincial Council (NPP sub-component 21) Deliverable 1 2H 2012 Provincial Councils Law (PCL) and Right to Information Law (RIL) submitted to Parliament Deliverable 2 2H 2013 PCL and RIL enacted (NPP deliverable 2.3) Deliverable 3 1H 2014 PCL and RIL disseminated to SNG stakeholders IDLG FP P&P External FP MoJ Channel Legislation Deliverable 1 1H 2013 Government formulates policy on generation and distribution of performance relevant information IDLG FP P&P External FP Parliament Channel Legislation Deliverable 2 2H 2013 Main service delivery ministries develop, approve and implement procedures on generation and distribution of performance information IDLG FP P&P External FP All relevant Channel Procedure Deliverable 1 1H 2013 Agreement between IDLG and relevant Ministries on PC-Line Department Head interactions IDLG FP P&P External FP All relevant Channel Procedure Deliverable 2 2H 2013 Development of guidance on PG-PC interactions by IDLG; joint development of guidance on PLD-PC interactions by IDLG and relevant Ministries IDLG FP P&P External FP All relevant Channel Procedure Deliverable 2 2H2013 Staff and budget required to add Public Grievances management to PC office requested IDLG FP P&P External FP MoJ Channel Legislation Deliverable 3 1H 2014 1 workshop & 1 week of implementation support for each PC, and 1 workshop & 1 week of implementation support for PGO & selected LMs, on interpretation of performance information IDLG FP GDLC External FP N/A Channel Support Deliverable 3 1H 2014 In all 34 provinces: dissemination of PGO-PC guidance to PGOs and PCs by IDLG: dissemination of PGOPLD guidance by relevant parent agencies. IDLG FP CLPD External FP N/A Channel Support Deliverable 3 2H 2013 Recruitment, deployment of equipment and workshop on Public Grievances system in all 34 provinces IDLG FP External FP Channel IDLG FP External FP Channel IDLG FP P&P External FP All relevant Channel Procedure Deliverable 1 1H 2013 Design of Public Grievances system based on review and baseline exercise in all 34 provinces (NPP deliverable 21.1) IDLG FP GDLC External FP Channel Budget GDLC Budget GDLC Budget Deliverable 4 1 H 2014 1 workshop for provincial officials and 1 workshop for PC, media & civil society on PCL and RIL in each province IDLG FP LCA External FP N/A Channel Support Deliverable 4 1H 2014 1 public event in each province to present and discuss new system of information generation and distribution IDLG FP GDLC External FP N/A Channel Support Deliverable 4 1H 2014 1 workshop for Governor and Line Department Heads in each province; 1 workshop for Provincial Council in each province IDLG FP CLPD External FP All relevant Channel Support Deliverable 4 1H 2014 Public announcement and public discussion of Grievances system in all 34 provinces (NPP deliverable 21.3) IDLG FP GDLC External FP Channel Budget Target 2H 2014 Legal basis for generation of accountability at provincial level exists, and all leadership, senior staff & technical staff of SNG units are aware of it and understand it Target 2H 2014 Provincial Councils and other provincial stakeholders in all 34 provinces have access to information on provincial development, service delivery and administrative decisionmaking, and are able to interpret and use it Target 2H 2014 Detailed norms for PC interaction with line departments and PGOs defined and communicated; good degree of compliance in all 34 provinces Target 2H 2014 All 34 Provincial Councils have access to a system for receiving, acting on and reporting back on the complaints of the provincial electorate Page 17 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Sub-output 4.5 Improvement of Provincial Council access to resources and operational support Deliverable 1 1H 2013 Procedure for planning of PC budget revised to allow PC planning of own budget Deliverable 2 2H2013 Activities planned by 34 PCs within ceiling, funded by mix of core & donor funds Deliverable 3 2H 2013 IDLG budget with PC inputs approved Deliverable 4 1H 2014 Execution of approved, PC planned budgets initiated (NPP deliverable 19.2) (NPP sub-component 19) IDLG FP External FP Channel IDLG FP External FP Channel IDLG FP External FP Channel IDLG FP External FP Channel GDLC , Fin. MoF Budget GDLC, Fin. MoF Budget GDLC, Fin. MoF Budget GDLC, Fin. MoF Budget Target 2H 2014 Flows to all 34 Provincial Council offices are increased in size and planned with much greater input from PCs Page 18 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Output 5: Municipal service delivery cycle Provincial municipalities are raising revenue and using it to deliver the services that people want in a way that is transparent and consistent with good governance Sub-output 5.1 Creation and dissemination of legislative framework for municipal governance (NPP sub-component 2) Sub-output 5.2 Establishment of improved systems or municipal revenue collection (NPP sub-component 17, deliverables 17.117.2) Sub-output 5.3 Establishment of improved systems or municipal financial management, execution and reporting (NPP deliverable 17.3) Sub-output 5.4 Establishment of improved systems or planning, implementation and evaluation of municipal service delivery Deliverable 1 2H 2012 Municipalities Law (ML) submitted to Parliament Deliverable 2 2H 2013 ML enacted (NPP deliverable 2.2) Deliverable 3 1H 2014 ML disseminated to SNG stakeholders IDLG FP GDMA External FP MoJ Channel Legislation Deliverable 1 2H 2012 Revenue Improvement Action Planning (RIAP) manual developed and approved IDLG FP GDMA External FP Parliament Channel Legislation Deliverable 2 1H 2013 Revenue Improvement Action Planning (RIAP) manual disseminated to all Provincial Municipalities, and workshop conducted in each municipality to review material IDLG FP GDMA External FP N/A Channel Procedure Deliverable 2 1H 2013 Financial Management manual disseminated to all Provincial Municipalities, and workshop conducted in each municipality to review material IDLG FP GDMA External FP N/A Channel Procedure Deliverable 2 2H 2013 2 planning workshops and 2 weeks of implementation support to design and cost selected service delivery programme in all 33 provincial municipalities IDLG FP GDMA External FP N/A IDLG FP GDMA External FP MoJ Channel Legislation Deliverable 3 1H 2013 Revenue Administration information systems rolled out to all Provincial Municipalities IDLG FP GDMA External FP N/A Channel Procedure Deliverable 1 2H 2012 Financial Management manual develop and approved IDLG FP GDMA External FP N/A Channel Procedure Deliverable 1 1H 2013 2 planning workshops and 2 weeks of implementation support to organize public assessment of service delivery programme in all 33 provincial municipalities IDLG FP GDMA External FP N/A Deliverable 4 1H 2014 1 workshop for municipal and provincial officials and 1 workshop for PC, media and civil society on ML IDLG FP GDMA External FP N/A Channel Support Deliverable 4 2H 2013 1 week of implementation on revenue improvement for revenue officials in all Provincial Municipalities IDLG FP GDMA External FP N/A Channel Investment Deliverable 3 1H 2013 Upgraded FMIS rolled out to all Provincial Municipalities IDLG FP GDMA External FP N/A Channel Support Deliverable 4 2H 2013 2 weeks of implementation of improved Financial Management for finance departments of all Provincial Municipalities IDLG FP GDMA External FP N/A Channel Investment Deliverable 3 1H 2014 4 weeks of implementation support to assist in launch and operation of new service delivery programme all 33 provincial municipalities IDLG FP GDMA External FP N/A Channel Support Deliverable 4 2H 2014 1 planning workshop and 1 week of implementation support to organize public assessment of service delivery programme all 33 provincial municipalities IDLG FP GDMA External FP N/A IDLG FP External FP GDMA N/A Target 2H 2014 Legal basis for municipal governance exists, and all leadership, senior staff & technical staff of SNG units are aware of it and understand it Target 2H2013 All 33 provincial municipalities have developed and are implementing Revenue Improvement Action Plans, and are collecting more revenue from a wider base as a result Target 1H 2014 All 33 provincial municipalities pass financial audit without major issues, while increasing budget execution to over 75% Target 1H 2015 All 33 provincial municipalities are implementing at least one new municipal service which covers the majority of municipal districts and which is planned and evaluated in partnership with the municipal populace Page 19 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Channel Sub-output 5.5 Implementation of improved organizational designs for Provincial municipalities Sub-output 5.6 Provision of selected equipment and furnishings for Provincial Municipalities (NPP sub-component 15, deliverables 15.1 and 15.2) Support Channel Support Channel Support Channel Support Deliverable 1 2H 2012 Development and approval of new Municipality structures and TORs of major units and positions based on consultative/participatory process IDLG FP GDMA External FP CSC Channel PAR Deliverable 1 2H 2012 Assignment of resource envelope for upgrades Deliverable 2 1H 2013 Workshop in all 34 provinces to adopt/select new Municipality structures Deliverable 3 2H 2013 Approval of new structures and incorporation into IDLG administrative arrangements for all 33 Provincial Municipalities Deliverable 4 1H 2014 Workshop and two weeks of implementation support to implement new TORs, budget structures reporting lines for all 33 Provincial Municipalities IDLG FP GDMA External FP N/A Channel Support Deliverable 2 2H 2012 Workshop in each Provincial Municipality to plan spending IDLG FP GDMA External FP CSC Channel PAR Deliverable 3 1H 2013 Implementation of upgrade by all 33 Provincial Municipalities IDLG FP External FP Channel IDLG FP External FP Channel IDLG FP External FP Channel IDLG FP GDMA External FP N/A Channel Support Deliverable 4 1H 2013 Reimbursement of Municipalities according to agreed spending plan and resource envelope IDLG FP GDMA External FP N/A Channel Investment GDMA N/A Investment GDMA N/A Support GDMA N/A Investment Target 1H 2014 All 33 provincial municipalities have implemented new organizational designs incorporating a degree of flexibility in respect of staffing levels and sub-structures, using a participatory design process Target 1H 2013 All 33 provincial municipalities have planned, financed and implemented a programme of selected upgrades to their internal offices and facilities Page 20 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 3. Management of implementation 3.1 Implementation cycle The deliverables in the implementation framework are of two types: Central-level deliverables. These are typically deliverables such as agreements, development of procedures and other technical outputs. They are generally created centrally in order to direct and enable later work in provinces and districts. Local-level deliverables. These are specific activities in PGOs, provincial municipalities and Provincial Councils such as training, workshops and the provision of technical support during critical processes such as planning and budget preparation. They are generally based on central-level deliverables already produced such as policies, agreements, procedures, directives and so on. Implementation of the framework will be based on the recognition that IDLG can produce the central level deliverables itself, with a limited amount of quality TA, but that IDLG cannot produce all the local-level deliverables itself given its current resources and configuration. This is because IDLG does not have the Human Resources or financial resources to conduct numerous workshops and provide extensive technical support in all 34 PGOs and PCs and all Provincial Municipalities as described in the implementation framework- the number of events required and the amount of support required is far beyond the level of internal resources in IDLG. Therefore, IDLG will rely on donor-funded projects carried out via implementing partners in order to produce all of the specified local-level deliverables. It should be noted that this will require some of the existing donor funded projects to become better aligned with IDLG priorities (especially the NPP). It may also be necessary for some new donor-funded projects to be created. A very high level of cooperation and coordination with development partners will therefore be required3. The planning and implementation of the SNGP will be fully mainstreamed into the normal annual IDLG planning and implementation process. In outline, the process will be use the following process: 1. IDLG obtains the agreement of external agencies to support production of deliverables planned for the coming year. The first step is for the Policy Directorate to engage with relevant external agencies to ensure that they are committed to producing the deliverables specified in the implementation framework for the time period. For example, the Ministry of Economy is listed as External Focal Point for deliverable 3 of sub-output 3.2 (workshops to disseminate new PDC procedures in the provinces), which is scheduled for the first half of 2014; therefore, during 2014 work planning, the Policy Directorate would contact the Ministry of Economy to get their agreement to work on this deliverable together. The Policy Directorate would seek the support of the IDLG leadership and other directorates as appropriate. 2. Policy Directorate communicates to the Implementing Directorates what deliverables they need to produce for the coming year. At roughly the same time, the Policy Directorate would inform the other directorates (the “Implementing Directorates”) what deliverables they were committed to producing during the coming planning period, as specified in the framework. Because the policy framework will have been fully discussed in IDLG and previously approved, implementing directorates should be ready and willing to produce these deliverables and there should be “no surprises”. This step is purely procedural, and mainly functions as a reminder to the Director and his/her key staff. The HR Directorate, for example, is listed as the Internal Focal Point for a number 3 The alignment and coordination required is entirely consistent with the agreements of the Kabul Conference, the overall approach to the NPPs and also the draft Aid Management Policy of the Ministry of Finance. Page 21 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 of deliverables in outputs 1 and 2, and so at the beginning of each planning period would be informed exactly which deliverables were due in the coming year. The Policy Directorate would provide additional clarification and explanation as and when needed. 3. Implementing directorates negotiate with donor-funded programmes to assign responsibility for local-level deliverables. As mentioned above, local-level outputs generally involve activities in all 34 provinces or all 33 provincial municipalities, and IDLG will not have the capacity to implement all of these directly. A brief analysis of section 2 of this document shows that separate workshops and then follow-up support are needed for most of the sub-outputs in every provincial-level subnational entity. Therefore, at this stage the Directorate has to negotiate with the donor-funded projects in its sector to reach agreement to produce the deliverables, thereby ensuring that the required events and technical support are delivered as needed. For example, deliverable 4 of output 4.3 is the delivery of a workshop for each PC and for the PGO and line department heads in each province, to present and discuss guidance on PGO-line department interactions, scheduled to take place in the first half of 2014. To ensure this was delivered, IDLG’s General Directorate of Local Councils would conduct joint planning with the donor-funded projects that support it and agree which agency would conduct the workshops in each province, ensuring that all provinces were covered and there was no duplication. Likewise, the Directorate of Coordination and Local Programme Development would go through a similar process, assigning responsibility to implement various field-level activities related to PGOs to the different donor-funded projects supporting this sector. 11. Regular M&E reporting, including reporting of SNG implementation activities DG & DM Policy 9. Report of progress of delivery of outputs and deliverables by external agencies, donor-funded projects and internal teams Policy & Planning Directorate 8. Tracks to verify that agency is producing deliverables as agreed. Tracking M&E Directorate 10. Regular M&E reporting, including reporting of SNG implementation activities 2. Informs directorate of its deliverables for the coming year 7. Report on production of deliverables by internal teams and donor-funded projects 1. Negotiates/agrees deliverables and outputs for coming year Planning Reporting 5. Tracks to verify that agreed deliverables are produced for each SN unit Donorfunded projects 3. Assigns/negotiates responsibility to implement activities and produce deliverables for each SN unit Implementing Directorates 4. Assigns responsibility to implement activities and produce deliverables at central level 6. Tracks to verify that agreed deliverables are produced in the centre Internal teams External Government Agencies FIGURE 4- SNGP IMPLEMENTATION PROCESS 4. Implementing directorates assign responsibility for central-level deliverables to their own sub-units and teams. At this stage, the directorate will assign responsibility for delivering central-level deliverables such as policies, procedures and guidance. As mentioned above, the expectation is that IDLG will be able to produce these internally with some targeted assistance from international Page 22 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 5. 6. 7. 8. 9. 10. 11. TA. Therefore, responsibility will be assigned by the Directorate to its sub-units and/or specific teams. Implementing directorates track the delivery of agreed outputs by the donor-funded projects. Once deliverables, following donor discussion and agreement, have been assigned to donor-funded projects by the relevant directorate, the directorates will verify that the planned outputs are delivered. In general, it should be possible for the Directorates to rely mainly rely on the reporting of the projects, but this can be supplemented with some independent monitoring and verification. If implementation is not taking place as planned, the Directorate will ask for corrective action, involving the leadership of IDLG if needed. Implementing directorates track the delivery of assigned outputs by sub-units and teams. At the same time, the Directorates will ensure that internally-assigned activities take place as planned. Implementing directorates report production of deliverables to Policy Directorate. The implementing directorate report, for each semi-annual period, the status of the production of agreed deliverables by their donor-funded projects and by the sub-units and internal teams, clearly indicating which deliverables were produced as planned, which were produced late and which were not produced at all, and why. Policy Directorate tracks the delivery of agreed outputs by external agencies. In this step, the Policy Directorate will liaise with the “External Focal Points” who are committed to producing policy deliverables, in order to verify whether they are being produced according to the agreed schedule. If the external agencies are not producing deliverables as agreed, the Policy Directorate will encourage them to take whatever actions are necessary to get back on track, and will involve the IDLG leadership if needed. Policy Directorate reports to the leadership of IDLG on policy implementation. Once the Policy Directorate has complete information on the production of deliverables for each period, it will be able to share this with the IDLG leadership and other relevant stakeholders. This information will be shared in a simple report format, listing deliverables by Directorate/Focal Point that were planned for the period, showing whether they were done or not, and whether they were on time or not. Reporting on field-level outputs will contain information on whether the output was produced in each SNG unit. Directorates conduct regular reporting to M&E directorate. Implementing directorates will report on their activities, inputs and outputs according to their agreed M&E frameworks. However, whether any activities, input or output relates to a SNGP deliverable will be clearly indicated, allowing the M&E unit to evaluate the directorates’ performance in SNGP implementation separately. M&E directorate conducts regular reporting to IDLG leadership. The M&E directorate will submits its periodic reports to the IDLG leadership. These will be according to the agreed M&E frameworks for IDLG, its programmes and directorates, but will also include information and evaluation of SNGP implementation. 3.2 Reporting As mentioned in section 3.1, some reporting of implementation will be provided through regular M&E reporting, according to the agreed M&E frameworks of the IDLG directorates. This will be done in a way which is consistent with the section on M&E in the National Priority Programme for Local Governance. In addition, Policy Directorate will also conduct semi-annual reporting, focused on the production of the Page 23 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 deliverables outlined in section 2 of this document, and assigned to Directorates and external agencies on an annual basis. This report will comprise two main sections: the first will show the status of all central-level deliverables due in the period, or carried over from the previous period; the second will show the status of the local level deliverables in each PGO, PC or municipality, relative to the assignment of implementation responsibility. An example format for giving this information is shown in the chart overleaf. Note that the data in the chart is illustrative, and the presentation is truncated for the sake of brevity- in the local-level deliverables section, only one directorate is given, and only a few of the 34 provinces listed- real reports would be longer due to the need to cover all directorates and all provinces for the field-level section: Page 24 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Central level deliverables: July-December 2013 Directorate Policy Local Council Affairs Municipal Affairs HR Deliverable 1393 Budget ceilings for heath sector set on formula basis Provincial Councils Law and Right to Information Law enacted Main service delivery ministries develop, approve and implement information policies Guidance on Provincial Council interaction with other provincial agencies developed and approved Activities for 1393 budget planned by all 34 PCs Municipalities law enacted Approval of new structures for 33 provincial municipalities in IDLG New manuals on HR management in PGOs prepared External partner MoF Parliament & MoJ MRRD, MAIL, Education MRRD, MAIL, MoI MoF Parliament & MoJ None CSC Status Done Done Done Done Done Delayed Done Done (from 1H2013) Local level deliverables: July-December 2013 1. Directorate of Coordination and Local Programme Development (DCLPD) Planned Deliverables Presentation of Local Administration Law to senior officials of all PGOs 1-day workshop in each province to present improved PDC and PAA procedures 1 week of implementation support to each province for implementation of PDC and PAA procedures 1 workshop at the start of the budget planning calendar in each province to support formulation of Annual Plan Assigned Status Assigned Status Assigned Status Assigned Status Badakhshan DFID project Delayed DFID project Done DFID project Done DFID Project Done Badghis UNDP Done USAID Project Done USAID Project Done DCLPD Done Baghlan Internal Done Internal Done UNDP Done UNDP Done Balkh UNDP Done USAID Project Done USAID Project Delayed UNDP Done Bamyan DFID Project Delayed USAID Project Done UNDP Done USAID Project Done Daykundi UNDP Done USAID Project Done USAID Project Done USAID Project Done Farah DFID project Done USAID Project Done USAID Project Done DCLPD Done Faryab UNDP Done USAID Project Done UNDP Delayed UNDP Done Ghazni Internal Done USAID Project Done UNDP Done USAID Project Done Ghor DFID Project Done Internal Delayed UNDP Done UNDP Done Province FIGURE 5: POLICY IMPLEMENTATION REPORT FORMAT Page 25 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 3.3 Communication plan To ensure full understanding and awareness of the new framework, the communication plan shown below will be implemented. (Timings given refer to the number of weeks after official launch of the implementation framework.) Category High level information (background, objectives, approach) Type Letters Fact sheet Detailed information about management approach +1 FAQ Press release Speech 1-page press release in local language Speech for DG Farahi at suitable high-level event +6 +10 Newsletter Core doc Article about new implementation framework This document distributed in soft copy and hard copy to relevant focal points +4 +1 Workshop Workshop to discuss overall set of outputs and deliverables (rationale, feasibility, practicalities) Document downloadable from IDLG website and partner websites Article about some of the key deliverables Document distributed as described above +10 Workshop for key technical staff of implementing partners, donors and government agencies on management approach Article about how production of deliverables will be coordinated and managed Document distributed as described above +10 Web content Newsletter Core doc Workshop Newsletter First year deliverables under framework Target audience/participant/recipient Timing +1 2-page summary of framework distributed to all technical officers of relevant Government agencies, implementing partners, donors Overview presentation Presentation for Governance Cluster HTML version of fact sheet on IDLG website with key documents downloadable 5-page Frequently Asked Questions document Presentation Presentation Web content Detailed information about outputs and deliverables in the framework Content Description Letter announcing new framework Core doc +4 +6 +6 +6 +6 +8 +1 +12 +1 Ministers, Governors, Agency Heads, INSF leadership Senior managers of ministries, donor agencies, implementing agencies and projects SNG Coordination Mechanism Meeting Governance Cluster Meeting All IDLG stakeholders Senior managers and key technical staff of ministries, donor agencies, implementing agencies and projects Afghan public Ministers, Governors, Agency Heads, INSF leadership All IDLG stakeholders Senior managers and key technical staff of ministries, donor agencies, implementing agencies and projects Senior managers of ministries, donor agencies, implementing agencies and projects All IDLG stakeholders All IDLG stakeholders Senior managers and key technical staff of ministries, donor agencies, implementing agencies and projects Key technical staff of ministries, donor agencies, implementing agencies and projects All IDLG stakeholders Senior managers and key technical staff of ministries, donor agencies, implementing agencies Page 26 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Category Content Target audience/participant/recipient Type Description Timing Letters Letters to listing activities planned for period, inviting requests for further information and requesting support Workshop to review practical arrangements for delivery of first year deliverables Presentation for PGO, PC and municipality technical staff explaining planned outputs in more detail Article emphasizing key deliverables for first year, with some progress information +10 Workshop Presentation Newsletter +14 +14 +20 and projects Provincial Governors, Mayors and PCs Chairs Key technical staff of ministries, donor agencies, implementing agencies and projects Key technical staff of PGO and municipalities, PC members and PC office staff All IDLG stakeholders TABLE 4: COMMUNICATION PLAN Page 27 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Annex: Supporting and Background Material 1. The Intended Model of Subnational Governance 1.1 Fundamental principles The model of Subnational Governance intended by the SNGP, and therefore by the SNGP implementation framework, is the existing Constitutional system, with the scope for strengthening of local governance that exists within the system fully realized. The fundamental principles of this model are: Provinces and districts are administrative units, not political units. In the Afghan system, provinces and districts are administrative divisions created for the purpose of improving the management of the country’s affairs. They are not political units, and therefore do not have any independent legislative or revenue-raising power. The country has only one political unit- the nation itself- hence it is described as “unitary”. This fact has as its fiscal counterpart that the provinces and districts are not primary budget units- the primary budget units are the central agencies of the state. Provinces and districts have budgets only in so far as primary budget units have portions of their budget allocated to the provinces and districts. Government offices in provinces and districts are sub-offices of central agencies. Because of the fact that provinces are administrative units and not political units, government offices in provinces and districts are branch offices or sub-offices of central agencies. Their primary line of accountability and control is upward, to their head office in Kabul. Governors’ Offices are a special case of this as they are, from an administrative and financial perspective, sub-offices of IDLG: they have a special status, however, because the head of the office is a political appointee who is the head of the local administration, rather than a civil servant (as is the case with other local offices). Basic financial and administrative processes are singular in character. In the Afghan system there is a single system for budgeting and a single Treasury. All budget submissions are made by the central agencies of the state to the Ministry of Finance, and expenditures for provinces and districts must be included in those budget submissions. All cash is managed by the single Treasury, and so all agencies, whether central or provincial and district sub-offices, make payments by requesting the Treasury to process the payment on their behalf. Recruitment is also a singular, in that there is a single Civil Service Commission with a single appointments committee and a single appeals committee. While appointments do take place in the provinces and districts, this is under the delegated authority of central agencies, not under independent authority. Governors, municipalities and elected councils have the primary function “localizing” the central or “Unitary” system. The basic principles of SNG determine a centralized system, which has some undesirable characteristics such as keeping decision-making far from the people and decreasing accountability. Governors, local municipalities and elected councils (Provincial Councils) offset these negative characteristics. The existence of Governors allows coordinated decision-making and planning and implementation of service delivery below the national level; the existence of Provincial Councils allows extraction of accountability below the national level; the existence of Municipalities allows the entire service delivery and accountability cycle to take place within an urban setting. The basic approach for reform is the delegation of authority. Because of the structure described above, “direct” approaches to reform such as giving provinces their own political authority, budgets or ministries is not possible. Instead, reform can only be achieved by central agencies delegating their decision-making power (e.g. the power to request budget, execute budget, make appointment and make operational decisions) to their sub-offices. This kind of reform is within the scope of the Constitution. It should be emphasized that these principles were not determined by IDLG- they are based on the Constitution and the administrative structure of the country. In fact, they pre-date the current Constitution and go back at least as far as the 1964 Constitution and the accompanying Basic Organizational Law. Page 28 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 The intended system, which based on these principles, is spelled out in sections II and III of this Annex 4. 1.2 Functions of provincial-level and district-level entities i. ii. iii. iv. v. vi. vii. viii. ix. x. Functions of the Provincial Governor (PG). The PG is the executive head of the Provincial Administration. The PG is mandated to use his/her authorities to achieve socio-economic development, justice and security in a way which is inclusive and participatory, and which meets specific needs of the country such as conserving the environment, addressing gender issues and reducing poppy cultivation. The means for achieving this mandate are primarily through the Governors’ role of leading inter-agency planning amongst provinces, coordinating implementation of activities by provincial line departments and holding line departments accountable for their work and the results of their work. Functions of the District Governor (DG). The DG is the executive head of the District Administration. The DG is mandated to use his/her authorities to achieve socio-economic development, justice and security in a way which is inclusive and participatory, and which meets specific needs of the country such as conserving the environment, addressing gender issues and reducing poppy cultivation. The means for achieving this mandate are primarily through the Governors’ role of leading inter-agency planning amongst provinces, coordinating implementation of activities by District Offices departments and holding District Offices accountable for their work and the results of their work. Function of Provincial Line Departments (PLD) of Ministries. The role of the PLDs is to plan and deliver services within the scope of the authorities delegated to them by their parent ministries in Kabul. Activities delegated to Provincial Line Departments are planned in cooperation with other provincial agencies, under the leadership of the PG, and implementation is overseen by both the Provincial Governor and the Provincial Council. Function of District Offices (DOs) of Ministries. The role of the DOs is to plan and deliver services within the scope of the authorities delegated to them by their parent ministries in Kabul. Activities delegated to District Offices are planned in cooperation with other district agencies, under the leadership of the district Governor, and implementation is overseen by both the District Governor and the District Council. Function of Provincial Councils (PC). The role of the PC is to represent the people and hold the Provincial Governor and the Provincial Line Departments to account. They are responsible for monitoring and evaluating service delivery, for giving local people voice, for bringing attention to issues raised in consultation with their constituents, and for promoting gender equality. The Provincial Council also provides preliminary approval of provincially-formulated plans prior to submission to Provincial Governors for final approval. Function of District Councils (PC). The role of the DC is to represent the people and hold the District Governor and the District Offices to account. They are responsible for monitoring and evaluating service delivery, for giving local people voice, for bringing attention to issues raised in consultation with their constituents, and for promoting gender equality. The District Council also approves the project ideas collected by the District Governor prior to their submission to the Provincial Development Committee, as part of the development of the “People’s Plan” during annual provincial planning. Function of the Provincial Development Committee (PDC). The PDC is the technical forum by which provincial plans are produced, reviewing the proposals of specific line departments, ensuring the incorporation of project ideas generated through the bottom-up planning process, and finally combining all elements into a single plan for the province. The PDC is also the forum for resolving coordination and implementation issues after the plan has been approved. Function of the Provincial Administrative Assembly (PAA). The PAA provides a forum for coordinating administrative activities of provincial level government units, such as recruitment, Public Administration Reform, procurement and financial management. Function of the District Administrative Assembly (DAA). The DAA provides a forum for coordinating administrative activities of district level government units. Function of the Municipality. Municipalities will have legally defined mandatory and optional functions. Mandatory functions may include municipal socio-economic development planning; revenue-raising; 4 The material that follows is based on the summary of the SNGP that was developed during the review of the Implementation of the SNGP Policy; its basis and origin is therefore the main SNGP document. Page 29 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 xi. xii. xiii. implementation of basic municipal infrastructure and social services. Optional functions may include encouraging private sector investment and corporate partnership for service delivery. Function of the Mayor. The functions of the Mayor will be defined under the law. These may include: being the executive head of the Municipal Administration; ensuring that basic services are delivered and that service delivery plans are implemented; ensuring that all municipal officials and organizational units discharge their duties; provide policy, guidelines and Executive Orders to ensure that the Municipality executes its functions; appointing employees of the municipal administration; coordinating with the Central government; ensuring participation of and consultation with the municipal population. Function of the Municipal Council. The functions of the Municipal Councils will be defined the Law. They may include: participating in planning and budgeting, approving municipal plans, monitoring service delivery, holding municipal officials accountable Function of the Municipal Administrative Council. The Municipal Administrative Council includes the Mayor, his/her deputy mayor and department heads. Its responsibilities include coordinating municipal activities, preparing plans and budgets, proposing by-laws and regulations, confirming administrative decisions, addressing issues in the implementation of service delivery plans and budgets and generally ensuring efficient management of the municipality. 1.3 Key subnational-level processes 1.31 Planning and implementation of service delivery at provincial and district level i. ii. iii. iv. v. Identification of functions and budget for delegation. Central ministries identify which of their functions can and should be implemented by their provincial line departments, according to a policy for delegation of responsibilities. Those that can be implemented at a lower level are formally delegated to that lower level. The budget for the functions that are delegated to the provincial level become the total provincial budget for the country, and the budget for the functions that are delegated to the district level become the total district budget for the country. Application of provincial allocation formula. Each central Ministry divides the total budget for its provincial line departments according to its own formula. The formula can be constructed so that the total funds available can be divided according to up to four types of criteria: according to population size, according to the cost of delivering services in the province for that Ministry, according to the performance of the province in some dimension, and according to whether or not the province is designated as being amongst the most poor. The formula can also be constructed to allow some of the funds to be divided equally amongst the line departments. Announcement of provincial budget ceilings. Ministries announce the portion of their budgets that are available for planning and implementation of activities at provincial level during the annual budget cycle, so that the information can be used during provincial planning. Financing of provincial plan. The budget for functions delegated to provincial departments is transferred to the province so that financial implementation can take place in the province. This means in practice that the provincial departments will be authorized to spend funds for delegated functions via the Mustufiats. Annual provincial planning process. Each province conducts an annual planning and budgeting process. The process produces a plan for each sector, within the functional areas and using the budget that has been allocated for each sector/line department (as described above). The process is as follows: a. Development of “People’s Plan”. Starting early in the fiscal year (Hoot), a bottom-up planning process takes place. In this process, villages produce project ideas in each sector. These ideas are submitted by the Village Council (or CDC in the case that there is no Village Council) to the District Governor, who carries out basic screening of the projects, for example removing illegible projects or combining duplicate projects. These are submitted to the PDC, after the approval of the District Council if it exists. The PDC then conducts a more detailed screening, and designs and costs the projects remaining in the “people’s plan”. b. Development of “Department-Driven Plans”. Starting in Hamal each line department initiates its own planning and budgeting process in consultation with the PDC. Annual planning and budgeting should be in line with the Province’s Strategic Plan. Page 30 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 c. vi. Integration of plans. Once the budget ceilings for each sector in each province have been announced (between Asad and Sunbula), the PDC selects projects in the people’s plan with a value of no less than 25% of the budget for each sector, and ensure that each line department’s plan is completed using the remaining portion of the budget. This produces the completed draft provincial plan. d. Approval of plan. The provincial plan is then sent first to the Provincial Council for preliminary approval, and then to the Provincial Governor for final approval. e. Integration of provincial proposals into Central Ministry budget submissions. After approval by the Provincial Council and Governor, the plan is broken up by sector, and the provincial line department responsible for each sector submits its part of the provincial plan to its parent Ministry in Kabul, so that the parent Ministry may include the plan in its annual budget submission. Service delivery implementation responsibilities. Provincial line departments and district offices execute their sections of the provincial plan, i.e. those activities planned and budgeted in their sectors, and delegated to them by their parent Ministries, according to the Ministries’ policy for delegation of responsibilities. They will operate existing programmes and assets, and will implement new development projects, if they fall under functions delegated to them and the activities are planned and budgeted. In order to allow the provincial line departments (and district offices) to execute this role, necessary financial authorities, e.g. procurement authorities, will be granted. 1.32 Governor Coordination and Leadership i. ii. iii. Role of Governor in General Service Delivery. Governors have two roles in service delivery a. Supervision and leadership of line departments/district offices. Provincial Governors (District Governors) coordinate and supervise implementation of activities delegated to provincial line department level (district office level). They are also required to ensure that Provincial Line Departments (district offices) are meeting Service Delivery standards (as described in another part of the policy). Governors do not play an operational or day-to-day management role in the implementation of service delivery plans- this responsibility rests with the line department heads. b. Special implementation responsibilities. Provincial Governors to be given authority to implement programmes, via their Offices, in the case that there is no implementing agency with a mandate to implement programmes of that type at provincial level. The budget for these programmes is provided via IDLG’s budget. This must be approved by the Cabinet Sub-Committee on Subnational Planning and Finance. Role of Governor in security sector. The Provincial Governor and District Governor exercise coordination and oversight functions in the security sector, such as ensuring that ANP members follow the Police Law, ensuring rapid deployment of security forces and coordinating response to security issues; ANP functions under the guidance and leadership of the Governor, and follows priorities set by Governor, while local police chiefs retain organizational and operational independence. Role of Governor in justice sector. The Provincial Governor (District Governor) has a coordinating and supervisory relationship with Provincial Office of the Attorney General (District Office of the Attorney General). This relationship must not undermine its functional independence. 1.33 Provincial and District Level Accountability i. ii. Provincial council elections. Provincial Council elections are to be held in 2009. The Constitutional term limits for Provincial Councils of 4 years is applied and so subsequent elections will be held every 4 years, i.e. in 2013,2017 and so on. A single non-transferrable vote system is used, with the province treated as a single electoral constituency. There is a schedule for the size of the council based on province size, and a minimum number of seats reserved for women. District council elections. District Council elections are to be held in 2010. The Constitutional term limits for Provincial Councils of 4 years is applied and so subsequent elections will be held every 4 years, i.e. in 2014,2018 and so on. A single non-transferrable vote system is used, with the district treated as a single Page 31 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 iii. iv. electoral constituency. There is a schedule for the size of the council based on province size, and a minimum number of seats reserved for women. Role of the Provincial and District Councils. The key duties of the Provincial and District Council are a. Accountability generation. Provincial (District) Councils assess the performance of the executive agencies. This is achieved through Monitoring and Evaluation process, and through the practice of the Provincial (District) Governor appearing before the Provincial (District) Council once per month to ask questions. The Provincial (District) Council can report cases of non-performance of duties by the Provincial (District) Governor to IDLG so that it can take corrective action. The Provincial (District) Council can report poor performance by provincial line departments (district offices) to IDLG, so that it may inform the relevant central agency so that it can take corrective action. b. Participation in provincial planning. The Provincial Council provides preliminary approval of the provincial plan (as described above). In addition, the chair of the Provincial Council is also a member of the Provincial Development Committee, allowing the Council to further engage in the planning process. The District Council approves the selection of project collected from villages by the District Governor, prior to submission to the Provincial Development Committee, ideas during the development of the “People’s Plan” (as described above) c. Monitoring and evaluating service delivery. The Provincial Council is responsible for ensuring that the provincial plan is implemented. The Provincial and District Council monitor and evaluate development and service delivery, ensure that planned expenditures produce outputs, and that expenditures have the desired outcomes. The Provincial and District Council also monitors and evaluates gender equality and the extent/effectiveness of activities of line departments and district offices in pursuing it. The Monitoring and Evaluation function of the Provincial and District Council is supported by a system that generates, analyzes and distributes information on service delivery and government performance, relative to nationally-defined service delivery standards. d. Public grievances. The Provincial (District) Council supervises and ensures the effectiveness of a system by which the provincial populace can express complaints or grievances related to provincial and district government entities (district government entities), and under which these complaints and grievances will receive a timely and appropriate response. e. Outreach and participation. Provincial and District Council members are expected to consult with their constituents regularly. The Councils are also expected to create opportunities for broad participation in Governance, for example by ensuring that civil society, women and youth can participate in planning and M&E processes, and by supporting women’s empowerment. f. Other duties. Provincial and District Councils have other appropriate duties such as such as overseeing response to disaster management and eliminating practices contrary to law, human rights or Sharia, and resolving disputes when all concerned parties agree to it. Public information at provincial and district level. Finally, the Policy requires the central and subnational structures to support access to information of public and through wide variety of channels. This includes a. Right to information. The Right to Information Law will be enacted, so as to implements the Constitutional Right to Information. This will ensure that people have the right to information possessed by Government Offices. b. Communications capacity. Communications capacity will be built in the Office of the Provincial (District) Governor and other subnational agencies, including both technical capacity and necessary communications systems and infrastructure. c. Public information strategy and systems. Provincial Public Information Systems will be established. These will enable Provincial Governors to communicate with the public more easily and effectively and to provide people with information on policies, strategies and progress of the government. Public communications will use a wide variety of channels. d. Provincial Public Communications Committees. Advisory committees will be established to assist the Provincial Governor on the implementation of the Right to Information and the formulation and implementation of Provincial Public Communications Strategy. Page 32 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 1.34 Planning and implementation of municipal service delivery i. ii. iii. iv. v. Scope of annual planning of service delivery by municipalities. An annual planning or budgeting process will take place in the municipalities. The scope of the planning will be the mandatory and optional functions of the municipalities, as defined under the law, as well as any public service responsibilities delegated to the municipalities by central ministries. Process for annual planning of service delivery by municipalities. Annual municipal planning process should be participatory and should allow involvement of people and civil society. Detailed technical planning will be conducted by the Municipal Administrative Council and depending on the final determination of the powers Municipal bodies under the law, the final plan will be approved by the Municipal Council. The process for approval of municipality budgets at higher levels, for example by IDLG, will be streamlined. Capital projects will have improved justifications and there will be flexibility in budget lines to allow for emergencies and urgent needs. Participation of private sector in municipal service delivery. Municipalities will be free to cooperate with the private sector to plan and implement service delivery, to finance service delivery through charges levied by commercial service delivery enterprises, and to use private capital for investment in municipal service delivery mechanisms. Coordination between central ministries and municipalities. Municipalities are free to cooperate with other government entities in order to plan and implement service delivery. Municipalities are required to coordinate the planning and implementation with the central ministries to ensure that no gaps or duplications occur in service delivery. Sources of finance for municipal operations, investment and service delivery. Municipalities may use the following forms of finance: The safayi (‘cleaning charge’); a real property tax ; new rates, fees, taxes and charges, provided that they are progressive and there is consultation prior to being levied; borrowing from local sources within a national regulatory framework; budget deficits, within a national regulatory framework and when there is urgent need; service fees charged by economic enterprises, provided that the level of the fees is set through a consultative involving management, the municipality and the public; budget support from the Ministry of Finance, using a formula that allocates funds according to the relative size of the population and which gives incentives for revenue raising; budget of Central Ministries transferred to municipalities to fund functions delegated to the municipalities. Page 33 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 2. Background of the SNGP and the Prioritization Process 2.1 Development of the SNGP On 11 May 2008, H.E. the President Hamid Karzai issued a decree ordering the development of a new Subnational Governance Policy. The decree ordered IDLG to lead the development process, in cooperation with the key ministries, directorates and commissions of the government, including the Ministries of: Agriculture, Irrigation and Livestock; Communications and Information Technology; Counternarcotics; Economy; Finance; Interior; Justice; Labour, Social Affairs, Martyrs and Disabled; Mines and Industries; Public Health; Public Works; Rural Rehabilitation and Development; Urban Development; Women’s Affairs. It was also to include the Independent Election Commission, the General Independent Administration for Anti-Corruption, the Office of the Mayor of Kabul Municipality, the Office of Geodesy and Cartography, the Central Statistical Office, the Office of Administrative Affairs, the Secretariat of the Council of Ministers and the Independent Administrative Reforms and Civil Service Commission. To initiate the process, a Deputy-Ministerial Level Policy Drafting Committee established a set of working groups to define the main content of the policy, each chaired by IDLG with a co-chair from another government agency. The working groups addressed four different thematic areas: roles and responsibilities of Provinces, Districts and Villages; Municipalities; Women, Youth, Civil Society and the Private Sector; Subnational Finance and Planning. The members of these working groups were Director General-level staff of the Ministries mentioned in the Presidential Decree. In total, these groups met 16 times for a total of 26 full working days, between 15 th June and 27th August of 2008. After the completion of the Working Group process, IDLG worked intensively with its partners to produce the first draft of the policy. The first draft was, finally, presented to the Policy Drafting Committee. The Policy Drafting Committee then authorized a series of consultations with members of the international community in order to further improve the policy. Working with its partners from the international community, IDLG also conducted a consultation with 802 members of provincial councils, subnational administrations and civil society. As a result of the international consultation, subnational consultation and ongoing discussion, the policy was progressively improved over five 5 meetings of the Policy Drafting Committee, until it could be submitted to a Cabinet-level Policy Review Committee. After just two meetings of the Review Committee, a comprehensive draft of Afghanistan’s first ever subnational governance policy was submitted to the Cabinet of the Government of Afghanistan. It was reviewed twice by Cabinet, before being finally approved in May 2010. 2.2 Implementation of the SNGP IDLG began implementation of the Subnational Governance Policy almost immediately, with notable progress in some areas, such as senior subnational appointments and reforms of subnational finance. However, as 2010 progressed, it became clear that two major recent developments would have very significant consequences for the implementation of the Subnational Governance Policy: the Kabul Process and Transition. The Kabul Process was based around an attempt to reinvigorate development efforts in Afghanistan and involved Ministries identifying priorities through a new set of National Priority Programmes, and as the process unfolded it became clear that the many activities and reforms laid out in the Policy ought to be subject to this prioritization process. Likewise, it became clear that Transition, the handover of security in the provinces from international security forces to national security forces, also required prioritization of the Policy, since several urgent subnational governance reforms were clearly needed to support security reforms. Thus, one of the first deliverables that IDLG has promised in the Local Governance NPP is a new implementation framework for the Subnational Governance Policy, one which identifies key priorities for the Government and the Transition process. In order to prioritize the SNGP, IDLG conducted a detailed review of the implementation of the SNGP. The review provided a summary of the SNGP document, and then for each part of the policy (as stated in the summary), it showed: i) what has been done, (iii) what remains to be done, (iii) what implementation issues have been encountered, and (iv) what the overall progress level. Based on this detailed description and analysis, it presented some of the key conclusions that have emerged from implementation to date these being: Page 34 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 1. 2. 3. 4. 5. 6. 7. Much of the Policy implementation is being delivered programmatically. There is a large amount of technical field work under way, such as training of Provincial Councils in roles and responsibilities and development of Municipal Financial Management Capacity, which falls under the heading of SNGP implementation. This is generally being delivered programmatically, through donor-funded programmes. Many major results are pending completion of the legislative reform process. In many cases, work is being deferred until new laws, such as a new Local Administration Law, can be enacted. This may generate delays of a year or more, which is a concern. A prioritization of the Policy has emerged from action and experience. The Policy is long and covers many topics, and IDLG has limited resources. In implementing the Policy, IDLG has focused on a few key areas such as subnational finance, subnational appointments, Public Administration Reform, PGO & DGO infrastructure and district-level councils. More recently, IDLG has formulated priorities for Local Governance Reform in the National Priority Programme for Local Governance, many of which are aligned with the Policy: the NPPLG is therefore itself a prioritization of the SNGP. Although it has not been completely formal, IDLG has in fact already prioritized the policy in more than one way. IDLG has backed off areas outside strict subnational governance. IDLG has not engaged in a number of aspects of the policy, for example with Local Economic Development, Anti-Corruption and Youth. These are areas which, typically, although important at the subnational level are not core subnational governance issues. Financial Reform has been the most successful area for inter-agency cooperation. Most of the areas of the SNGP require cooperation of other agencies to implement, and IDLG has worked very successfully with the Ministry of Finance (MoF) to date. IDLG and MoF have jointly developed a detailed set of activities to achieve the objectives of the SNGP, compromising as necessary and treating the SNGP as a set of objectives, not as a blueprint. A number of the objectives in the SNGP do not now seem realistic. There are some sections of the Policy, or stipulations in it, that do not seem achievable by early 2015- developing a comprehensive system of villagelevel administration being one. Security, justice and interim representative arrangements remain a challenge. The issue of district councils and village councils, and the issue of how Governors interact with security and justice institutions, does not seem closer to being solved, despite being covered in the Policy and despite the efforts of all parties to date. Based on the analysis provided, the report than developed a set of recommendations for improving implementation in the future, which were: 1. 2. 3. 4. Clarify the model of subnational governance underlying the reforms that will be implemented. Through most of the SNGP, the underlying model of subnational governance is the current model, with improvements, for example clearer roles and stronger institutions for planning and accountability. In prioritizing the policy and designed detailed activities, the fact that this is the intended model should be made explicit. Formalize the emerging prioritization. The priorities for SNGP implementation do not need to be created from nothing: three very strong sources of guidance exist. The first is the priorities that have already emerged from work done so far. The second is the prioritization that has emerged from the NPPLG. The third is the policy priorities identified during the Transition process, which are in fact quite similar to the priorities already implicitly identified by IDLG. The formal prioritization of the SNGP should be based closely on these sources of guidance. Clarify roles and responsibilities without waiting for completion of the legislative process. The subnational governance institutions need more clarity about their roles and authorities now- waiting for a year or more is not feasible, especially in the context of Transition. IDLG should get agreement on the existing legal basis for subnational governance, and being work on clarifying roles and responsibilities, both through formal/administrative channels and other channels, as soon as possible. Get more clarity about the implementation channels for different parts of the Policy. There are a number of different channels by which parts of the Policy can be implemented- for example the legal channel and the programmatic channel. In future implementation, clarity about which channels are used is essential. Page 35 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 5. 6. 7. Use the model of subnational financial reform for engaging with other agencies. The model for engagement with the Ministry of Finance can be generalized and applied to the engagement with other agencies. Improve Monitoring & Evaluation of Policy Implementation. IDLG should have more oversight of activities that count as SNGP implementation, at least those that fall under a newly-identified set of priorities. Consider new approaches for the toughest problems. IDLG and other stakeholders have been trying to solve the issues of district-level and village-level representation and the issue of Governor interaction with security and justice agencies for several years now. The easy and obvious approaches have been tried and have not been successful. New approaches are needed- for example, the issue of local councils could be addressed from a legal or Constitutional angle. The recommendations were presented to the SNG donor group in January 2012 in a meeting co-chaired by IDLG and UNAMA, where they were endorsed. The revised implementation framework was based on these recommendations. 2.3 Prioritization of the SNGP As recommended in the Policy Implementation Report, the approach to prioritization was to recommend an area of the Policy as a priority if it has already been prioritized either through previous action, in the NPP or as a result of the Transition process. An outline of the priorities identified through each of these areas is as follows: NPP Sub-Components with major SNGP linkages. By definition, all of the outcomes and deliverables of the NPP are priorities. In addition, most of the parts of the NPP relate to the SNGP in some way. In particular, a number of the sub-components specifically link to the content and objectives of the NPP, and it is particularly clear in this case that these parts of the NPP should be treated as priorities for SNGP implementation. These sub-components include: legislative reform; sub-national finance and planning; provincial and district infrastructure & equipment provision; Public Administration Reform; Provincial Strategic Planning; provincial municipal administrations refurbishment and equipment; municipal capacity development and administrative reforms; Provincial Council capacity development Prioritization from Action. Areas in which IDLG has been very actively engaged since the approval of the policy are equally obviously to be treated as priorities. Some of the major areas of effort on the part of IDLG that therefore emerge as priorities are: roles and responsibilities of local governance entities; subnational planning and finance; senior subnational appointments; Public Administration Reform in PGOs and DGOs; infrastructure for PGOs and DGOs; district-level and village-level representation. Transition Priorities. Some additional policy priorities emerged as a result of the first Transition workshop. This workshop identified a number of policy reforms that will be needed to ensure Transition. Given the importance of Transition, these should obviously be treated as priorities. The reforms mentioned related to: Public Financial Management at provincial level (for example increased provincial role in budget planning and execution); Public Administration at provincial level; strengthen the role of the Provincial Administration in the security and justice sectors; responsibilities for municipal governance; district level representation; coordination with parallel structures at provincial level. Using these already-identified priorities as the basis for prioritization for this implementation framework ensures that the prioritization is based on experience and real needs. To develop a single list of priorities based on the three sources above, IDLG reviewed each of the 64 points in the SNGP summary that had previously been developed. For each part, it was determined whether or not that part could be considered a priority based on the NPP, the prioritization from action or the Transition workshop. If any part was a priority according to one or more of those sources, it was recognized as a priority overall. Based on this process, 34 points of the 64 point summary were recognized as priorities for implementation. However, these could be reorganized easily into 6 overall areas, as follows: Priority 1- Basic functions and relationships of local entities. Functions of the Provincial Governor (PG), Functions of the District Governor (DG), Function of Provincial Line Departments (PLD) of Ministries, Function of District Offices (DOs) of Ministries (§1-7), Service delivery implementation responsibilities (§16), Role of Page 36 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Governor in general service delivery (§17), Role of Governor in security sector (§18), Role of Governor in justice sector (§19), Function of the Provincial Development Committee (PDC), Function of the Provincial Administrative Assembly (PAA), Priority 2- Institutions for planning and implementing service delivery at the local level. Identification of functions and budget for delegation (§10), Application of provincial allocation formula (§11), Announcement of provincial budget ceilings (§12), Financing of provincial plan (§14), Annual provincial planning process (§15), Priority 3- Increasing the organizational effectiveness of the Governors’ Office. Appointment of subnational officials (§25), Public Administration Reform at subnational level (§26), Public Financial Management at provincial and district level (§29), Infrastructure and equipment for provincial and district administrations (§30) Priority 4- Making provincial and district governance more accountable. , Function of Provincial Councils (§8)), Function of District Councils (§9), Role of the Provincial and District Councils (§22), Interim arrangements for district-level representation (§22) Priority 5- Municipal service delivery cycle. Function of the Municipality, Function of the Mayor, Function of the Municipal Council, Function of the Municipal Administrative Council, Municipality relations with other government structures (§40-§44), Scope of annual planning of service delivery by municipalities (§46), Process for annual planning of service delivery by municipalities (§47), Municipal capacity development. Municipal revenue administration, Municipal Financial management (§55-57) (Reference numbers refer to the section of the Policy, according to the Summary developed during the review of implementation.) Page 37 Subnational Governance Policy of Afghanistan Implementation Framework Draft 1.3 Page 38