methodology for the assessment of municipal capacities in turkey and the western balkans

User guide and questionnaire

Methodology for the assessment of municipal capacities inTurkey and the Western Balkansto deliver services

User guide Municipal service delivery capacity assessment - Turkey and the Western Balkans

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Contents

Glossary of acronyms 3

Introduction 4

Purpose of this capacity assessment methodology 4

Climate change and economic crises 8

Social inclusion and local service delivery 12

UNDP capacity assessment framework 15

Working with stakeholders 17

The questionnaire 19

Survey implementation 23

Sampling 23

Piloting the questionnaire 25

Verifying results 26

Survey data analysis 27

Gap assessment and prioritization 34

Following up the capacity assessment – programming and measuring capacity development 37

Resources 44

Annexes 45

Glossary of key terms 46

References 47

Optional supplementary questions 50

For Part 2 of the Questionnaire – Services that are the sole responsibility of the municipality 51

For Part 3 of the Questionnaire – Services where responsibility is shared by the municipality

with one or more other service delivery organizations 121

Questionnaire 136

Part 1 138

Part 2 144

Part 3 170

This document was produced by the Capacity Development Practice, UNDP Bratislava Regional Centre, RBECMay 2010For more information, please visit: http://europeandcis.undp.org/cd


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Glossary of acronyms

BRC UNDP Bratislava Regional Centre

CAF UNDP’s Capacity Assessment Framework

CD Capacity Development

CDLR Council of Europe Steering Committee on Local and Regional Democracy

EC European Commission

EU European Union

FYROM Former Yugoslav Republic of Macedonia

GHG Greenhouse Gas

IPA Instrument for Pre-Accession

LSE London School of Economics and Political Science

MDG Millennium Development Goal

NGO Non-Governmental Organization

PPP Public Private Partnership

UNCDF United Nations Capital Development Fund

UNDP United Nations Development Programme

UNICEF United Nations Children’s Fund

UNIFEM United Nations Development Fund for Women


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IntroductionAccess to basic services such as drinking wa-ter supply, liquid waste management, solid waste management, basic healthcare, and primary education, is vital for poverty reduc-tion and the achievement of the Millennium Development Goals (MDGs). Moreover, these services are covered by the European Union (EU) acquis communautaire, which countries in the region will need to incorporate into national legislation, and implement, as they approach membership of the EU.

Article 3 of the European Charter of Local Self-Government1 defines local self-govern-ment as the right and the ability of local au-thorities, within the limits of the law, to regu-late and manage a substantial share of public affairs under their own responsibility and in the interests of the local population.

In the Western Balkans and Turkey, fiscal plan-ning, and operational decentralization has transferred much responsibility to local struc-tures that often lack the capacity to deliver these services effectively. Population changes, migration, and urbanization, place additional demands on systems that already struggle to provide reliable, quality services on an equi-table basis to all groups in the community, in a responsible and sustainable manner.

This last point highlights the additional chal-lenge for local administrative structures across the region, of ensuring that reliable, quality services are available to, and meet the needs of, numerous socially excluded groups, including women, ethnic and reli-gious minorities, old people, people with disabilities, and other groups that are typi-cally vulnerable to social exclusion.

1 http://conventions.coe.int/Treaty/EN/Treaties/Html/122.htm

Typical challenges during this long decen-tralization process include, for example: 2

y Fragmentation of administrative struc-tures;

y Undefined roles of some actors;

y Lack of clarity in assignment of responsi-bilities between key actors;

y Incomplete reforms leading to conflicts between old and new systems;

y Conflicts between emerging sectoral strat-egies and the decentralization process;

y Lack of accountability and transparency at the local level;

y Insufficient local expenditure autonomy;

y Mismatches between local fiscal require-ments and resources; and

y Lack of local capacity to manage and de-liver services efficiently.

Purpose of this capacity assessment methodologyThis capacity assessment methodology (in-cluding the capacity assessment question-naire) has been developed in response to a need identified by EU member states, and EU candidate and potential candidate coun-tries3 to enhance the capacities of the latter two to achieve development goals.

2 See, for example, Albania: Decentralization in Transition. Volume I: Summary Report and Matrix of Issues and Options. February 2004. Poverty Reduction and Economic Management Unit, Europe and Central Asia Unit

3 http://ec.europa.eu/enlargement/countries/index_en.htm

http://conventions.coe.int/Treaty/EN/Treaties/Html/122.htm

http://ec.europa.eu/enlargement/countries/index_en.htm


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This capacity assessment it is intended to identify and address strategic issues within each country that will have the most impact overall on the delivery of five basic services in each country, taking into account the lim-ited resources available for capacity devel-opment responses.

Services covered

Drinking water supply

Liquid waste management

Solid waste management

Basic healthcare

Primary education

This methodology does not aim to identify and address all capacity gaps in all regions of all countries. It is also not intended as a tool to identify and address service delivery gaps on a municipality by municipality basis.

The methodology is limited to services that are delivered exclusively by municipalities, and to a lesser extent, services that are de-livered with the involvement of other service delivery organizations. It does not cover ser-vices for which municipalities have no re-sponsibility, or for which they have minimal responsibility. Thus, in some countries, the methodology may not cover all five of the above services, where municipalities have little or no involvement in the delivery of one or other of these services.

For the purposes of this capacity methodol-ogy, service delivery capacity is defined as:

The mandate, motivation, and means to pro-vide services required and needed by local citi-zens:

y in a manner that is responsive to changes in requirements and needs over time

y in a manner that is responsive to the dif-fering requirements and needs of different groups of citizens within the community

y equitably to all citizens y at a price they can afford y of the required quantity and quality y at the time required y in compliance with local, regional, national,

and international obligations, regulations, and recognized best practices

y in a responsible and sustainable manner

Capacity =

Mandate ResponsibilityAuthority

Motivation IncentivesAccountability

Means FundingStaffKnowledge & skills

The methodology also aims to support can-didate and potential candidate countries to meet the requirements of EU policies in the areas of social protection, social inclusion,4 and the environment (specifically water quality and waste management).

The methodology thus provides an oppor-tunity for the United Nations Development Programme (UNDP) to add value to the ac-cession process.

While these services are the primary focus of this methodology, it will also provide insight into the capacity to deliver other services and can be readily adapted to help assess capacity in other specific areas.

The target audience for this user guide is pri-marily staff of UNDP country offices in Turkey and the Western Balkans who are currently involved, or may become involved, in the as-sessment of municipal capacities. The guide is also intended for other parties 4 http://ec.europa.eu/social/main.jsp?langId=en&catId=750

http://ec.europa.eu/social/main.jsp?langId=en&catId=750


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that have a role or interest in any assessment of municipal capacities in EU candidate and potential candidate countries, and these will include, among others:

y Central, regional, and provincial authori-ties;

y Associations of municipalities; y Groupings of other public and private sec-

tor service delivery organizations; y Local and national non-governmental or-

ganizations (NGOs); y Citizens’ representatives; and y European Commission Delegations.

Country by country strategic assessment

This methodology is part of a country by country capacity assessment process. This means that while the results may be used to make comparisons between sub-national regions within countries, they should not be used to make comparisons between different countries.

The process is intended to be owned and steered by national stakeholders, includ-ing central, regional, and local authorities, NGOs, and local citizens. While it is expected that UNDP country offices will initially play a prominent facilitating role in implementing the methodology and translating the results into follow-up actions, the aim should be to develop and embed sustainable capacity in each country to carry out subsequent rounds of capacity assessment in other thematic ar-eas, relying increasingly on national exper-tise and resources, systems, processes, and procedures, and less on external support.

The results of capacity assessment are in-tended to be used jointly by central, regional, and local stakeholders in each country to:

y Identify and prioritize capacity gaps;

y Identify, design, implement, and review appropriate capacity development re-sponses; and

y Support capacity development funding requests by demonstrating a clear link between capacity development project proposals and real, evidence-based needs that are well defined and documented.

The methodology takes the municipality as the starting point, but recognizes that oth-er actors are involved to varying extents, at local, regional, and central levels, and in the public and private sectors. These are re-ferred to in this user guide as other service delivery organizations. In some cases these organizations may be delivering services in partnership with the municipal authorities, while in other cases, there may be little or no municipal involvement. Whatever the rela-tionship, stakeholders at the municipal level will nevertheless be in a position to provide valuable insight into the availability, reliabil-ity, and quality of services delivered by other service delivery organizations within their communities.

This exercise builds on the experience of a survey and assessment carried out in Bul-garia in 2004 to assess municipal and dis-trict capacities to absorb EU Structural and Cohesion Funds.5 That exercise, which was implemented by UNDP and the Ministry of Regional Development and Public Works, with the participation of the National Asso-ciation of Municipalities, covered 24 districts and 209 municipalities. In 2005, the findings

5 http://www.undp.bg/publications.php?id=1670. A follow-up survey and as-sessment were carried out in 2006.

http://www.undp.bg/publications.php?id=1670


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of that assessment were used extensively in the development of part of the Structural Funds operational programmes for Bulgaria. A complementary exercise was carried out in Bulgaria in 2006 to assess the capacity of NGOs and businesses to participate in the absorption of these Funds.6 This covered all 28 districts and 243 Bulgarian municipalities.

Capacity Assessment

Additional in-depth analysis(who,how,when,where)

Ensuring programme logicand quality of design

Facilitation of process

Support with analysis

Programming

This methodology also draws on a similiar

6 http://www.undp.bg/publications.php?id=1766. This assessment was car-ried in the framework of the UNDP Ministry of Regional Development and Public Works joint project Strengthening Partnership in the Planning and Absorption of the EU Structural and Cohesion Funds.

tool developed by UNDP in early 2008 to as-sess the capacitiesw of municipalities in the Western Balkans and Turkey to absorb EU In-strument for Pre-Accession (IPA)7 funding.

In 2008, the UNDP municipal capacity as-sessment methodology was piloted in the Western Balkans. Two pilot municipalities were selected in each of six countries and Kosovo. In close cooperation with key stake-holders, capacity assessment (CA) reports and capacity development (CD) action plans were developed for each of the 14 selected municipalities. Round table discussions were then held at the national level to discuss the findings and recommendations of the as-sessments with a view to identifying and im-plementing local (decentralized) CD actions in each country and Kosovo8.

The results of the pilot capacity assessment are summarised in the document “Capacity Development for Quality Public Service De-livery at the Local Level in the Western Bal-kans.”

In applying this methodology, it is important to take account of other, related, work that has already been carried out, is currently be-ing carried out, or is expected to be carried out. Implementation of this capacity assess-ment methodology should not duplicate other efforts, but should, where possible, incorporate the results of other similar exer-cises, and focus on issues that have not al-ready been covered, or are not expected to be covered in the near future.

7 http://ec.europa.eu/enlargement/how-does-it-work/financial-assistance/instrument-pre-accession_en.htm

8 Hereafter referred to in the context of the UN Security Council Resolution 1244 (1999)

http://www.undp.bg/publications.php?id=1766

http://ec.europa.eu/enlargement/how-does-it-work/financial-assistance/instrument-pre-accession_en.htm

http://ec.europa.eu/enlargement/how-does-it-work/financial-assistance/instrument-pre-accession_en.htm


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Identification of innovative solutions

As well as identifying gaps and needs, the capacity assessment is a useful mechanism for identifying innovative solutions and best practices already being implemented by municipalities. Such ex-amples may then act as an inspiration or catalyst for other mu-nicipalities.

In Serbia, one municipality has a development plan for education. In Kanjiza, an association of education professionals was created. The organization has overcome legal obstacles and ensures a co-ordinated and strategic development vision for education in the municipality. This demonstrates how strategy can be influenced locally, despite a legal framework that does not envisage signifi-cant local input in this area.

In Delnice, Croatia, a group of municipalities share the communal water supply enterprise. This is a good example of shared service delivery for municipalities that are too small, or that lack sufficient financial resources to organize their own.Capacity assessment recommendations and action plans should actively encourage exploration of flexible and innovative solu-tions. This is particularly important if municipalities are to respond to changing demands and shocks in the operating environment, including demographic changes, economic shocks, and climate change. This is likely to involve significantly more strategic and op-erational co-ordination and co-operation between municipalities, and an increasing use of public-private partnerships.

Climate change and economic crisesClimate change and the economic crisis share certain common characteristics. They both present the possibility of major shocks that may lead to social and political instabil-ity. The poor and socially excluded are most vulnerable, as they tend to be the least insu-lated from such shocks, and they lack access to resources and support networks to mini-mize their effects.

Climate change shocks are also likely to ex-acerbate economic crises in some situations. For example, in Moldova, a recent drought meant that the rural population was already in a vulnerable position as the economic cri-sis unfolded.9

The possible future combination of econom-ic and climate change crises and shocks has the potential to catalyze significant social and political unrest. Significantly enhanced municipal capacity is therefore vital, not only to address the major challenges presented by climate change, but also to identify and address other risks that could potentially compound an already serious situation.

The UNDP document, Charting A New Low-Carbon Route To Development,10 highlights the importance of local and regional au-thorities in adapting to, and mitigating the effects of, climate change. Greenhouse gas (GHG) emissions are largely the result of the activities of regional and local actors (includ-ing households and individuals).

While relevant policies are set at the national level, they are largely implemented at the re-gional and local levels. Effective decentraliza-tion and clarity in the division of responsibili-ties are made all the more important by this heavy responsibility. Greater decentraliza-tion is required to enable local and regional actors to implement climate change policies in a way that is fine-tuned to local character-istics, such as, geography, population densi-ty, a mix of economic activities, existing local legislation and policies and strategies.

9 Impact of the global financial crisis on local communities in Moldova, UNDP Moldova, August 2009

http://www.undp.md/presscentre/2009/ILDP_Report_Crisis/Report_im-pact_financial_crisis_eng.pdf

10 http://www.un.org/esa/dsd/dsd_aofw_cc/cc_pdfs/cc_sideevent1109/Charting_carbon_route_web_final_UNDP.pdf

http://www.undp.md/presscentre/2009/ILDP_Report_Crisis/Report_impact_financial_crisis_eng.pdf

http://www.undp.md/presscentre/2009/ILDP_Report_Crisis/Report_impact_financial_crisis_eng.pdf

http://www.un.org/esa/dsd/dsd_aofw_cc/cc_pdfs/cc_sideevent1109/Charting_carbon_route_web_final_UNDP.pdf

http://www.un.org/esa/dsd/dsd_aofw_cc/cc_pdfs/cc_sideevent1109/Charting_carbon_route_web_final_UNDP.pdf


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More decentralization is also needed to en-able local administrations to react quickly and appropriately to shocks and crises, in-cluding climate-related and economic prob-lems. The UNDP report Impact of the global financial crisis on local communities in Mol-dova notes that the lack of decentralization combined with slow decision making at the central level have undermined the ability of local authorities to react quickly to the cur-rent economic crisis, thereby making a diffi-cult situation worse for local communities.

Heavy reliance on budget transfers from the central government undermines the abil-ity of local authorities to allocate budgets to those issues that they consider to be the highest priorities, and utilize funds in the most efficient manner.

It also acts as a disincentive to municipalities to stimulate local business, as there is a lack of linkage between the performance of the local business sector, and the revenue that municipalities are able to collect from the sector.

Relevant and innovative solutions to climate change and economic challenges are likely to be developed at the local and regional levels, rather than the central level. Effective decentralization is needed to release this po-tential.

Enhanced decentralization means address-ing capacity gaps at all three capacity as-sessment entry levels, namely, the enabling environment, the organization, and the indi-vidual.

The effects of climate change are now un-avoidable. Average temperatures are cur-rently forecast to increase by approximately 2°C relative to 1990 levels by 2050.

Depending on how hot the world actually becomes, effects are expected to include widespread species extinction, and large scale displacement of people due to flooding and reduced food production. Adaptation to climate change is not only about limiting the risk of exposure to sudden catastrophic events, and planning for such events. It is also about introducing fundamental chang-es in socio-economic behaviour in order to adapt to more gradual, long-term climate-induced changes.

Municipalities have a four-fold responsibility with respect to adaptation to, and mitigation of, climate change. These three key areas need to be brought together in a coherent and workable climate change adaptation and mitigation policy.

Firstly they need to limit their own GHG emissions. This includes, for example, reduc-ing energy consumption in municipal build-ings and by municipal vehicles, and reduc-ing reliance on fossil fuels. Municipalities can also limit and reduce GHG emissions in the longer term through careful infrastructure planning. For example, higher quality infra-structure with a longer working life may be more expensive in the short term, but it will not need to be replaced so frequently, and maintenance costs are likely to be lower.

Therefore, the cost of ownership is likely to be lower in the long run, and, in the long term, construction and maintenance opera-tions will emit lower levels of GHGs. Careful consideration of construction materials and techniques can also limit GHGs.


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Municipalities can also reduce GHG emis-sions, reduce costs, and enhance the envi-ronment by improving the efficiency of op-erations and co-ordination with other actors.

Secondly, municipalities need to implement policies that limit the emissions of other lo-cal actors, including businesses and house-holds.

This means changing the behaviour of these actors. In some cases, this can lead to a dou-ble benefit.

For example, if household waste is reduced, this will require less energy to transport and process, and it means that less energy will have been consumed in manufacturing and transporting materials, such as packaging, that will eventually be discarded. In addition to GHG benefits, waste reduction has other benefits:

y Enhanced environment (fewer waste vehi-cle kilometres per year and reduced need for new landfill sites);

y Reduced transport costs; and

y Reduced waste management costs, such as the creation and management of land-fills.

Municipalities can influence the behaviour of businesses, professionals, households, and school children. Behaviour changing strate-gies include, for example, charging house-holds and businesses for waste removal on the basis of weight.11

11 In England, for example, municipalities are considering the introduction of technology on bins and waste collection vehicles that would enable the waste collected from each household to be accurately recorded.

Manufacturers can be encouraged to reduce packing (even if they are located outside the region), by requiring retailers to dispose of packaging returned to them by consumers. Awareness can be raised amongst school children by including relevant topics and activities into the school curriculum. The be-haviour of professionals can be influenced by courses and information events initiated by the municipality.

Increased recycling, while not necessarily di-rectly reducing municipal energy consump-tion for transport and processing, does, how-ever, reduce the need for landfill sites and should reduce manufacturing-related GHG emissions.

Thirdly, municipalities need to develop long-term infrastructure and resource utilization plans that fully take into account the likely impact of future resource utilization on GHG emissions.

This includes, for example, zoning to limit urban sprawl and thus limit long daily com-mutes. This could be linked to improved public transport infrastructure. Zoning may be necessary to limit construction in areas at risk of flooding and on land that is important for the management of natural water flows. Long-term planning of forest utilization is necessary to balance the need for GHG-neu-tral construction materials and fuels against the need to maintain and increase the area of forests, which are a critical sink for CO2. Even where municipalities do not have direct responsibilities in these areas, they should nevertheless be able to contribute to the de-cision making process in a knowledgeable and assertive manner.


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Fourthly, municipalities have a role in at-tracting and promoting green industries and services locally. This can stimulate local eco-nomic development, as well as helping to adapt to, and mitigate the effects of, climate change.

Climate change adaptation and mitigation requires that municipalities enhance their capacities in the following areas:

y Identification and analysis of climate change risks for the municipality, and identifying response strategies and ac-tions;

y Short- and medium-term risk analysis and disaster/crisis planning;

y Incorporating adaptation into policy and investment decision-making;

y Co-ordination with other local and region-al actors to plan and implement regional mitigation strategies and actions;

y Estimating the impacts of long term infra-structure and resource utilization strate-gies;

y Incorporation of national, regional, and local climate change mitigation policies into existing sectoral policies, and solving conflicts between between different poli-cies;

y Clear and effective public communica-tion about difficult choices, and potential benefits of climate change mitigation ac-tions;

y Long term investment planning; y Planning and management of operations

to improve efficiency; y Institutional restructuring to:

� streamline human resource manage-ment and eliminate positions that do not add value (i.e. jobs that exist largely as a social service for the job holder)

� emphasize major issue and themes rather than sectors

� increase the flexibility of local author-ities to address constantly changing risks and challenges

y Full recovery of the cost of services, in-cluding provision for maintenance and depreciation. Recent research in the West-ern Balkans indicates that this is a signifi-cant problem.12

y Knowledge of sources of climate change adaptation and mitigation funding. Ac-cess to funding will require that munici-palities can demonstrate:

� capacity to utilize the funding effec-tively, including coherent investment plans that address the most impor-tant long term, as well as medium- and short-term priorities; and

� understanding of the requirements and expectations of different donors.

� Enhancement of these capacities are not only essential in order to adapt to mitigate the effects of climate change, but they are also highly de-sirable to improve the overall service delivery capacity of municipalities, especially during times of economic crisis, when municipal budgets are under significant pressure.

12 Capacity Development for Quality Public Service Delivery at the Local Level in the Western Balkans, UNDP Europe and the CIS & SNV Netherlands Develop-ment Organisation, May 2009.

http://europeandcis.undp.org/cd/show/A68ABF95-F203-1EE9-B8DCEF-B6D8151472

http://europeandcis.undp.org/cd/show/A68ABF95-F203-1EE9-B8DCEFB6D8151472

http://europeandcis.undp.org/cd/show/A68ABF95-F203-1EE9-B8DCEFB6D8151472


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The current economic crisis is characterised at the local level by:

y Increased cost of finance and raw materi-als for businesses;

y Increased unemployment. Recent re-search in Moldova13 suggests that this is likely to be larger than indicated by official statistics, as many people are discouraged from seeking work and do not register with employment offices, as they believe that there are unlikely to be any suitable opportunities;

y Return of migrant workers resulting in sig-nificantly reduced overseas remittances and increased pressure on local public ser-vices, together with reduced demand for local goods and private sector services;

y Downward pressure on wages, even in businesses that continue to perform rela-tively well;

y Increased risk of crime and corruption; y Increased poverty, and thus increased

of vulnerability to crimes such as human trafficking; and

y Increase in psychological problems, such as depression.

Social inclusion and local service deliveryPromoting social inclusion through service delivery

A key aspect of this methodology is that it focuses on the capacity of municipal admin-istrations to deliver services to all sectors of the community, in particular those members of the community facing increased risk of poverty and social exclusion.

13 Impact of the global financial crisis on local communities in Moldova, UNDP Moldova, August 2009

It is vital that reliable, high quality public services are readily accessible and afford-able for the poorest and most marginalised members of the community to guarantee their human rights, and to achieve poverty reduction targets, MDGs, and other national development goals.

A major aim of this capacity assessment is thus to promote the rights and participa-tion of poor and socially excluded individu-als through a process of social inclusion within service delivery (exclusion and pov-erty are related - poor people are often so-cially excluded but they are not the same in concept).14

The questionnaire therefore includes ques-tions that directly address the accessibility of public services to these groups (includ-ing quality and affordability) with respect to their needs, their participation in defining these services, and their participation in ser-vice delivery.

What is social exclusion?

Social exclusion is the official or unofficial, systematic disenfranchisement, alienation, and/or exclusion of specific groups within society on the basis of race, ethnicity, gender, age, income, health status, etc. Social exclu-sion prevents affected groups from access-ing opportunities, services, and rights that are freely available to the rest of society.

14 Social inclusion is “a process which ensures that those at risk of poverty and social exclusion gain the opportunities and resources necessary to participate fully in economic, social and cultural life and to enjoy a standard of living and well-being that is considered normal in the society in which they live. It en-sures that they have a greater participation in decision-making which affects their lives and access to their fundamental rights”. Source: Report on social inclusion 2005. An analysis of the National Action Plans on Social Inclusion (2004-2006) submitted by the 10 new Member States. EC Directorate-General for Employment, Social Affairs and Equal Opportunities, February 2005.


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The pilot capacity assessment in the Western Balkans noted that in Serbia, primary education is socially inclusive with respect to persons with disabilities, and that municipalities have taken steps to facilitate their movement around school facilities. There are civil society organiza-tions active in this area, and they are reported to have capacity for policy analysis and advocacy, as well as taking part in actual service provision. This is a good example of how civil society organizations can influence local government policy and participate in service delivery.

Although not covered by the Western Balkan pilot capacity assessment, a strong example of social inclusion is nevertheless provided by the mu-nicipality of Lom in North West Bulgaria.17 The municipality comprises the town of Lom and 10 villages, with a total population of 32, 602, of which 81 percent live in the town of Lom. Official figures indicate that Roma comprise 18 percent of the population, although unofficial esti-mates put the figure at 40percent. Roma have been subject to systematic social exclusion in Bulgaria over a number of years, leading to growing long term unemployment, deteriorating infrastructure and living con-ditions, and reduced access to quality social services, health care, and education.

Since 2003, the municipality of Lom has incorporated a strategy for the social inclusion of Roma as an integral part of its long term develop-ment plans (starting with the 2004-2007 plan and continuing with the 2007-2013 plan). The Roma community has been actively engaged as a key stakeholder, and this, together with the municipality’s growing functional and technical capacities, has led to visible social inclusion outcomes. Social inclusion is now recognised as integral element of the municipal mandate in Lom.

The gender aspect of social exclusion in the region

The post-socialist transition has affected women and men in different ways in the Western Balkans. Data gathered in the re-gion indicates that women’s access to assets, property, and political representation has declined relative to men.

17 See Capacity Development of Public institutions: The key link to achieving social inclusion outcomes in the Europe and CIS Region, Anna Bengtsson, 15 September 2009.

Social exclusion may appear in numerous areas, such as national and local politics, community planning and decision making, employment, healthcare, education, local infrastructure, justice, etc. Groups that are typically socially excluded are women, eth-nic and religious minorities, people with dis-abilities, and old people.

There are numerous groups who are socially excluded in the Western Balkans and Turkey. They include:

y Women; y Women and men with low incomes (the

unemployed, the elderly with no pen-sions, single-parent families, families with more than two children, single mothers, and older women);

y Internally displaced people and migrants (e.g. Kurds), refugees, and vulnerable eth-nic minorities (e.g. Roma);15

y People with special needs (people with disabilities, mental problems, and illness-es);

y Other groups that are not so numerous but those which face the challenges of extreme poverty, such as the homeless, former addicts, and Roma.16

15 Turkey is a majority Muslim country but constitutionally a secular state that guarantees substantial rights to religious minorities, Jews, Greeks and Arme-nians. According to the “Copenhagen Criteria” Kurds (who constitute over 20 percent of the population), Assyrians, Laz, Roma and many others are also considered minorities. In some regions, these groups are the majority and may not identify themselves as minorities. Users should be aware of this when planning and implementing a capacity assessment utilizing this methodol-ogy.

16 This summary builds on information given in MDG and Human Development Reports in the region where the EU indicators on poverty and social exclusion (the Laeken indicators) have been introduced progressively. However, not all data required by the Laeken indicators is currently available, especially not on a regional and municipal level.


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Poverty rates and unemployment levels among women are higher than for men, and women have seen a comparative reduction in their salaries, relative to men’s.18 One rea-son is that at the beginning of the 1990s, women were forced out of the labour mar-ket in far greater numbers than men, and pushed into lower paying jobs in the public sector or service industries.19 Another reason is that they have lost many of the rights they enjoyed under the previous system. This had provided them with basic security in the fields of employment, health and childcare, and even some ideologically limited, but still real, political participation. As women tend to spend more time on childcare and unpaid work than men, due to socio-cultural factors, mothers (especially single mothers) in the region now face real challenges in reconcil-ing work and family life (the so called “dou-ble burden”). Domestic violence and traffick-ing for sexual exploitation are major health threats, that affect women in particular.

Available data suggests that participation in local and national government in the re-gion is considerably lower for women than for men. For example, in three countries (Al-bania, Montenegro and Turkey) women hold fewer than 10 percent of seats in parliament. In all countries, female participation is be-low 30 percent. It is more difficult to draw conclusions about women’s participation in local government due to lack of data and institutional differences within the region. Nevertheless, the available data indicates that women are under-represented at the lo-cal level as well.

18 Development and Transition, 8th issue - “Gender in Transition”. UNDP and London School of Economics 2008, available at: http://europeandcis.undp.org/gender/show/D99F035D-F203-1EE9-B29C9BCC4D51CA75

19 “The Story Behind the Numbers: Women and Employment in Central and Eastern Europe and the Western Commonwealth of Independ-ent States.” UNIFEM 2006, available at: http://www.unifem.sk/index.cfm?Module=Static&page=w&s=IWP

The pilot capacity assessment in Albania mentions high, long-term unemployment amongst women. The report also provides a breakdown of interviewees by gender.

Promoting women’s involvement in Public Private Partnership (PPP) for local service delivery.20

Questions to assess the municipality’s capac-ity to promote the involvement of women as no The pilot capacity assessment in Albania mentions high, long-term unemployment amongst women. The report also provides a breakdown of interviewees by gender. n-state providers of basic services have been included in the questionnaire (see, for example, No. 42). To develop this capacity, municipalities should encourage women to assume greater respon-sibility in private decision-making bodies and local service delivery organization by support-ing preference policies and administrative measures facilitating women’s involvement, as well as supporting women’s shareholding in private businesses contracted to deliver lo-cal public services through PPP arrangements, and by providing investment financing and microfinance to women entrepreneurs.21 Lo-cal authorities should also undertake research in service sectors where women are less rep-resented (such as water supply, energy, and transportation), especially in rural areas, to identify opportunities for business that could be led by women through PPP arrangements.

20 PPP-SD is a UNDP grant facility set up to support developing countries to promote PPP as a mechanism for improving delivery of basic services such as water, sanitation and waste management: http://www.undp.org/capacity/local.shtml

21 The recommendations stem from the Report of Regional Meeting on Gen-der and Capacity Development for Public Private Partnership for local public services delivery in Dakar 3-6 September 2007 organised by the UNDP Gen-der Team, the Public Private Partnership for Service Delivery (PPP-SD) Pro-gramme, and Capacity 2015 Africa.

http://europeandcis.undp.org/gender/show/D99F035D-F203-1EE9-B29C9BCC4D51CA75

http://europeandcis.undp.org/gender/show/D99F035D-F203-1EE9-B29C9BCC4D51CA75

http://www.unifem.sk/index.cfm?Module=Static&page=w&s=IWP


http://www.undp.org/capacity/local.shtml

http://www.undp.org/capacity/local.shtml


15

Finally, assessments of both the individual and organizational capacity of the municipality to deal with gender related issues in service deliv-ery should be undertaken to analyze, for exam-ple, its capacity to formulate gender-sensitive and pro-poor PPP policies, its capacity to mo-bilize resources for gender and capacity devel-opment and its capacity to play a monitoring role.

UNDP Capacity Assessment FrameworkThis capacity assessment methodology is based on the UNDP Capacity Assessment Framework (CAF). The CAF can be visualised as a three dimensional matrix. The three di-mensions are functional capacities, core issues, and points of entry. This capacity assessment methodology focuses on the organizational point of entry, since the aim is to assess the ca-pacities of a particular type of organization, namely municipalities and other service de-livery organisations. However, it is not pos-sible to look at a single point of entry with-out touching on the other two, and there are therefore questions relating to either the

enabling environment or the individual. The en-abling environment is particularly important in the context of this capacity assessment methodology, since the delivery of services at the municipal level is complicated by fac-tors beyond the immediate control of mu-nicipal stakeholders, such as:22

y The clarity of roles and responsibilities of different actors;

y The ability of the municipality to raise funds with which provide services;

y Limitations on the use of grants or trans-fers from central government;

y Access to capital for investment in service infrastructure.

The capacity assessment methodology ap-proaches the CAF from the perspective of functional capacities.

It should be noted that, in the context of the CAF, functional and technical capacities are not the same.

22 See for example, Report No.: 27885-ALB, ALBANIA: DECENTRALIZATION IN TRANSITION Volume I: Summary Report and Matrix of Issues and Options, Feb-ruary 2004, Poverty Reduction and Economic Management Unit, Europe and Central Asia Unit, World Bank.

Two dimensions of the three dimensional Capacity Assessment Framework

Functional capacities

Engage and build consensus amongst all stakeholders

Assess situa-tion and define vision and mandate

Formulate policies, strategies, and actions

Budget manage and implement

Monitor and evaluate

Core issues

Institutional arrangementsLeadership

Knowledge

Mutual accountability


16

Technical capacities are sector-specific skills, knowledge, and institutional structures that are needed to fulfil a specific role in a given sector, such as agriculture, healthcare, edu-cation, law enforcement, and others.

Functional capacities, on the other hand, are not sector-specific. These are the general managerial skills, knowledge, leadership, and institutional arrangements that any in-stitution requires to perform its function ef-fectively, regardless of which sector it is in.

This methodology does not aim to assess technical capacities. This is not within UN-DP’s mandate or area of expertise. UNDP’s mandate is to build managerial capacity. Where obvious technical problems are iden-tified, other relevant United Nations agen-cies or other actors should be involved.

While taking the CAF as its starting point, this methodology does not include ques-tions specifically for each of the CAF’s five functional capacities and four core issues. The CAF is an excellent framework for con-ceptualizing a capacity assessment and ap-proaching the capacity assessment exercise, but it is not a blueprint for a capacity assess-ment questionnaire and must be adapted. From the practical point of a questionnaire, there would be an overlap between the dif-ferent functional capacities and core issues as some questions would be applicable for several different areas. Sticking rigidly to this framework when developing a question-naire tends to result in (1) an unmanageably large number of questions, and (2) repetition between different sections of the question-naire.

Steps in the capacity assessment exercise

The capacity assessment exercise consists of several steps, of which the capacity assess-ment survey is one. Other steps include anal-ysis and interpretation of the survey feed-back, verification of the survey results (e.g. by means of focus groups and/or follow-up interviews), benchmarking, gap identifica-tion, and gap prioritization.

Initial Survey

SurveyIdentify

gaps

Addressneeds

Addressneeds

These steps should then be followed up with a detailed analysis of the prioritized gaps in order to identify and design appropriate ca-pacity development responses. Implemen-tation of capacity response strategies should be monitored and the results evaluated. Further capacity assessment should be un-dertaken to identify if gaps remain or if new gaps have arisen due to changes in the oper-ating environment that may have an impact on municipalities.


17

Thus, capacity assessment and capacity devel-opment form part of a continuous cycle, and should be carried out at regular intervals to take account of the constantly changing oper-ating environment, and to assess the effective-ness of capacity development responses.23

Working with stakeholdersA capacity assessment needs to be under-taken in close co-operation with key stake-holders in order to ensure the relevance of the exercise, to gain their trust, ensure their ownership at the highest levels over the process and the results, and thus commit-ment to subsequent capacity development responses. It is important to present the ca-pacity assessment as a process involving a number of steps, not simply as a survey. And it is not an end in itself, but is a starting point for addressing key capacity gaps. The capac-ity assessment exercise serves little purpose if it is not promptly followed by actions to address identified gaps.

Ownership and consensus can be enhanced by:

y Ensuring that stakeholders understand the purpose of the capacity assessment and each of its steps, including the survey.

y Involving key stakeholders in planning each step of the capacity assessment at an early stage. This should include consensus building, consultation on fine tuning the questionnaire, piloting the survey, sam-pling methodology, implementation of the survey, analysis of the results, verifica-tion of results, gap identification, and gap prioritization.

23 Changes in the operating environment include legislative developments, changes in national administrative arrangements, institutional restructuring, economic developments, shifts in human resource availability, ethnic and de-mographic changes, technological developments, and changes in the physical environment, such as climate change.

y Encouraging stakeholders to think at an early stage about how capacity gaps will be addressed so that relevant actions can be planned and implemented in a timely manner. Leaving this until the capacity as-sessment has been finalized means that it may not be possible to start such actions until one or two years later, by which time the situation may have changed. This is particularly important for capacity devel-opment responses with a long lead time, such as infrastructure investments, which may require environmental impact assess-ments, public consultations, and special permits.

y Establishing a capacity assessment steer-ing group. This should be chaired by the representative of a relevant national body, such as a ministry of regional develop-ment. Ideally, this will be an organization that actively promotes equitable partici-pation of women, minorities, and other socially excluded groups. The steering group should involve key actors at cen-tral, regional, and local levels, for example (depending on administrative structures in each country):

� Central government ministries; � Regional authorities; � Regional development agencies; � Provincial authorities; � District authorities � Associations of municipalities; � Groupings of other relevant public

and private sector service delivery or-ganizations; and

� NGO sector - groups representing the interests of women, ethnic minori-ties, people with disabilities, people with a low income, and other socially excluded groups.

A steering group can provide the necessary consultative input, it can act as a channel of


18

communication with a wider range of stake-holders, and it can be the driving force to ensure that the capacity assessment is fol-lowed up with necessary actions in a timely manner, and that these are embedded in na-tional policy and budgeting processes.

European Union Commission (EC) Delega-tions will have an interest and should be involved, at least in a consultative or advi-sory role, as the services included in this as-sessment methodology are, to a greater or lesser extent, covered by EU legislation. If relevant national legislation has not already have been harmonized with EU legislation, it is likely that harmonization is envisaged at some point in the future.

Moreover, it may be possible for national, regional, and local authorities to utilize IPA funding to address capacity gaps that are identified through the capacity assessment process. IPA spending requires approval by the EC, and the procedure can be significant-ly facilitated if central national authorities submit well substantiated proposals. This highlights the need for the involvement of a key central body to ensure that the results of the capacity assessment are acted upon.24

For the same reasons, other national25 and in-ternational funding organizations may have an interest in this type of capacity assess-ment, and should be involved, if possible.

In addition to the steering group mentioned above, communication with stakeholders should be reinforced by means such as a ca-pacity assessment website, newsletters, and regional meetings. These should be used to provide all municipalities with:

24 UNDP has developed a tool to assess the absorption capacities of municipali-ties in the Western Balkans and Turkey to absorb IPA funding.

25 For example, Iller Bank in Turkey. http://www.ilbank.gov.tr/pyb/index.php?page=main&lang=eng

y Direct access to up to date information on the progress of the capacity assessment exercise;

y Guidance on the use of the question-naire;

y Information about key findings of the ca-pacity assessment; and

y Information about follow-up capacity de-velopment action.

Emphasis should be placed on clear and concise communication with all stakehold-ers. Care should be taken to ensure that the capacity assessment process is transparent to all stakeholders, and that there are no bar-riers to their participation in the process. This means communicating in languages that can be readily understood by all stakeholders in each country. It also means taking steps to ensure equitable participation of women and men throughout the process, as well as participation of typically socially excluded groups.

Level of stakeholder participation and ownership in the pilot com-munities

The pilot capacity assessment in the Western Balkans involved extensive consultation with key municipal stakeholders. And there are some good examples of citizen involvement in the process. In Serbia, there was a workshop with local stakeholders to provide more citizen-based perception of local service delivery and a quasi client satisfaction analysis. In Croatian, large client satisfaction sur-veys were carried out.

It is also important that municipalities are effectively involved in developing action plans, to ensure that these are relevant and real-istic, and that municipalities are committed to their implementa-tion. This does not mean that ambitious recommendations should be avoided. Rather, it is intended to avoid a situation where recom-mendations and action plans are simply ignored by the addressees as irrelevant or impractical.

http://www.ilbank.gov.tr/pyb/index.php?page=main&lang=eng

http://www.ilbank.gov.tr/pyb/index.php?page=main&lang=eng


19

The questionnaireOverview

The questionnaire is intended to be used as it stands. However, adaptation will be required to ensure that the questions accu-rately reflect the situation in a given country or locality.

If it is considered desirable and feasible, some supplementary questions may be add-ed. These may be formulated by the assess-ment team, or may be taken directly from the list of supplementary questions annexed to this user guide. The annexed supplemen-tary questions are organized as follows:

Questions 1 to 159 may be included in Part 2 of the questionnaire. Questions 160 to 184 may be included in Part 3 of the question-naire.1-23 Mobilizing, informing, and in-

volving stakeholders in service delivery

24-50 Analysing statistics and issues af-fecting service delivery

51-88 Policy and strategy formulation for effective service delivery

89-129 Financial resources, budgeting, and managing implementation of service delivery

130-159 Monitoring and evaluation of service delivery

160-184 Working with other service deliv-ery organizations

The questionnaire consists of three parts. Part 1 covers background information about the municipality. Part 2 covers services that are the sole responsibility of the municipal-ity. Part 3 covers services where responsibil-ity is shared by the municipality with one or more other service delivery organizations. Social inclusion is a major theme throughout the questionnaire, as are local capacities for

climate change adaptation and mitigation in the context of promoting economic recov-ery.

Parts 2 and 3 deal only with the following five services. Other services should not be considered when providing answers.

Services covered




Basic healthcare

Primary education In Part 2, respondents should only provide answers in respect of any of the five services for which the municipal administration has full and sole responsibility. For example, if the municipal administration does not have full and sole responsibility for solid waste management, respondents should ignore this service when providing answers.

In some questions, these services are listed and in others they are not. When they are listed, answers should be provided for each service, separately. Where they are not listed, answers should be provided that reflect the overall situation for those of the five services for which the municipal administration has full and sole responsibility.

Example of questions where the services are listed:

To what extent are specialist gender and hu-man rights staff, departments, and other bod-ies (e.g. councils and committees) involved in policy, strategy, and service development ac-tivities for the five services?


20

Example of questions where the services are not explicitly listed:Overall, how do you rate the capacity of the municipal administration to undertake the following activities related to the five ser-vices?

In Part 3, respondents should only provide answers in respect of any of the five services where the municipality shares responsibility

with other service delivery organizations. As in Part 2, some questions list the services and some do not.

Nearly all questions provide a range of op-tions to choose from. This facilitates subse-quent analysis and avoids the inclusion of the wrong type of information, and possible ambiguities caused by unclear answers.

Frequently Sometimes Rarely Never Not sure




Basic healthcare

Primary education

Strong Moderate WeakNo capacity

Not sure

Integrate gender and human rights concerns into proposals for policy, strategy, and service development (mainstreaming)

Formulate service proposals that are specifically tar-geted at enhancing gender equality

Formulate service proposals that are specifically targeted at enhancing the situation of groups that are typically socially excluded

Translate findings of research and analysis on women into coherent policy, strategy and service proposals

Translate findings of research and analysis on minorities into coherent policy, strategy and service proposals

Translate findings of research and analysis on people with disabilities into coherent policy, strategy and service proposals


21

A number of answers require respondents to insert a ranking in the form of a number.

A few questions require the respondent to insert answers, but these are restricted to numbers, such as budgets.

None of the questions require the respondent to insert text. This type of answer is difficult to analyze, since they have to be categorized first by an analyst, which is time consuming, and different analysts may categorize the same answers in different ways.

Where more detailed information on certain issues is required, or where explanations are needed, these should be obtained during the survey verification phase (focus groups and/or interviews).

Incorporating climate change and economic recovery

As noted above, the effects of climate change are now unavoidable and municipalities will need to play a leading role in adapting to, and mitigating the effects of, climate change. As well as limiting their own GHG emissions, municipalities need to implement policies that limit the emissions of other local actors. They need to develop long term infrastruc-ture and resource utilization plans that fully take into account the likely impact of future resource utilization on GHG emissions. And they need to attract and stimulate green in-dustries and services locally.

Climate change is therefore not simply an additional, stand-alone issue for the consid-eration of municipalities. Rather, it is an issue that has far reaching implications for the eq-uitable delivery of local services, and should be considered as a lens through which every aspect of local service delivery needs to be scrutinized. Questions relating to climate

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

As mentioned above, climate change shocks and economic crises, especially if they occur together, have the potential to catalyze sig-nificant social and political unrest. The poor and socially excluded are most vulnerable, as they tend to be the least insulated from such shocks, and they lack access to resources and support networks to minimize their effects. The capacity to identify in advance, and limit the effects of, major economic risks, is there-fore, like climate change, an issue that has to be considered as integral to all aspects of lo-cal service delivery, in particular, planning to limit risks and promote economic recovery.

Integrating a gender perspective into the assessment

Women are more affected by poverty and social exclusion than men, especially in com-bination with certain ages, ethnicities, and disabilities, and in the context of migration, and sexual violence. Women have fewer eco-nomic and political opportunities and less access to services than men. It is therefore important that the assessment and result-ing capacity development responses clearly reflect this gender aspect, and acknowledge the different experiences of women and men with respect to service delivery.

The questionnaire aims, at a minimum, to consider the situation of women in econom-ic and political participation, and how they relate to the functions and services of the municipality. Questions have been included in the questionnaire to assess the ability of the municipal administration to implement gender-mainstreaming measures efficiently. Questions also cover specific actions, such as encouraging women to apply for vacan-cies, and measures to increase the number


22

of women in public and private decision-making bodies, and the quality of their participation (for example through quotas, leadershiptraining for women, etc.).26 Capac-ity development responses should include constructive solutions to eliminate different identified differences between women and men.

Including minority concerns in the question-naire

The questionnaire aims to cover the situation of national minorities (who are often also displaced or refugees), as poverty and social exclusion amongst these groups is dispro-portionately high compared to the majority population.27 Limited statistics are available on social exclusion disaggregated by ethnic-ity, but Roma are clearly the group with the highest risk of poverty and social exclusion among minorities in the Western Balkans.28

While issues related to social inclusion of mi-norities (ethnic, linguistic, religious, cultural) are considered politically sensitive and of a complex nature in many countries, it is highly desirable that minority issues are addressed in the assessment and resulting capacity development responses. Municipalities and 26 Gender mainstreaming is the integration of the gender perspective into every

stage of the policy process – design, implementation, monitoring and evalu-ation – with a view to promoting equality between women and men. Gender mainstreaming is not a goal in itself but a means to achieving equality. Simi-larly, it is not concerned only with women, but with the relationship between women and men for the benefit of both. Specific actions may be required in addition to remove those inequalities between women and men which have been identified. “Manual for Gender Mainstreaming Social Inclusion and So-cial Protection Policies.” EC Directorate-General for Employment, Social Affairs and Equal Opportunities

27 Some of these minorities are for example, the Serb and Roma minorities in Croatia; Ethnic Albanians and Roma, religious Muslims and minority non-Or-thodox Christians in Serbia; Roma and Egyptian communities in Albania and Kosovo, as well as the Ashkali community; Roma in Bosnia and Herzegovina; Albanian, Turkish, Roma and Serb communities in FYROM; Croats, Bosnians, Serbians and minorities from Kosovo in Montenegro; and Assyrians, Kurds and Alevis in Turkey.

28 For country specific data see “Faces of Poverty, Faces of Hope.” UNDP BRC 2005, available at: http://europeandcis.undp.org/home/show/62BFE488-F203-1EE9-BA01C0FAE5A9E819

other service delivery organizations need to have adequate policies in place to ensure equitable access to reliable, quality services for these groups; to systematically address discrimination against these communities; and to promote social inclusion.

While international organizations and ob-servers may refer to particular groups as ethnic minorities, such groups may not be widely or officially recognized as such within their own country. In such circumstances, in-cluding questions on ethnic minorities may undermine the ownership of key national stakeholders over the capacity assessment process. Complications arise where the pre-dominating ethnic group within a region (and thus within municipalities within that region) is a minority within the country as a whole. Clear guidance needs to be provided about which minority is being referred to here - the minority ethnic group within the municipality, or the majority ethnic group within the municipality as it is a minority in the country as whole. The former would re-quire that the predominating ethnic group within the country to be classified as a mi-nority for the purposes of the survey, which may be politically unacceptable. The latter would not address the issue of how the mu-nicipal administration interacts within differ-ent ethnic groups within the municipality.

A further complication arises when there are two or more ethnic groups with an equal share of the municipal population.

Definitions and guidelines for complet-ing questions on ethnic minorities may be complicated, and completing such ques-tions may take a disproportionate amount of time, at the expense of other parts of the questionnaire.

http://europeandcis.undp.org/home/show/62BFE488-F203-1EE9-BA01C0FAE5A9E819

http://europeandcis.undp.org/home/show/62BFE488-F203-1EE9-BA01C0FAE5A9E819


23

The predominant ethnicity within munici-palities is an important factor when consid-ering the survey sample, but this is not the same issue as asking questions about ethnic minorities within the questionnaire itself.

Survey implementationIn order to ensure commitment to the capac-ity assessment process, and to the resulting capacity development responses, it is impor-tant that the mayor of each participating mu-nicipality takes ownership of the responses provided by his/her municipality.

It is envisaged that implementation of this assessment will follow the experience of the survey and assessment carried out in Bul-garia in 2004 to assess municipal and dis-trict capacities to absorb EU Structural and Cohesion Funds. This means that question-naires should be circulated to municipalities through a national body, such as an asso-ciation of municipalities, or relevant govern-ment ministry.29 The questionnaires should be completed by mayors and/or their mu-nicipal administrations, and signed by the mayor after her/his review of the answers to ensure the correctness of the responses.

SamplingIn an ideal situation, all municipalities will be covered by the survey in each country. Where this is not possible, the following points should be kept in mind.

Sampling refers to both sample size, and sample diversity.

29 In Bulgaria, the survey was implemented through the Ministry of Regional De-velopment and Public Works with the participation of the National Association of Municipalities.

Sample size

The decision on the size of the sample is closely related to (a) the resource intensity of the approach used to carry out the survey, and (b) the resources available to carry out the survey and analyse the results.

While completion of the questionnaire is expected to be done by municipal admin-istrations, and will not therefore require in-put from consultants or facilitators, there are some aspects of the survey which require decisions to be made about resource re-quirements, which in turn have a bearing on sample size.

For example, it may be desirable to set aside resources to encourage municipal adminis-trations to complete and submit question-naires, especially when the response rate is low. Rather than risking a low rate of re-sponse across the country as a whole, it may be considered desirable to focus resources on ensuring a good rate of response from se-lected regions within each country.

In all cases, verification of the results will need to be undertaken with various stakeholders, including socially excluded groups, other service delivery organizations, and other lo-cal, regional, and central bodies. In a large country, such as Turkey, resource constraints may make it unfeasible to carry out the de-sired level of verification with all groups and stakeholders in all parts of the country. In view of this, it may be considered desirable to carry out the survey in a sample of munici-palities, which would allow full verification of the results to be carried out.


24

Sample diversity

In order to ensure the representativeness of the feedback from the capacity assessment survey, the sample needs to be diverse. It should include:

y Municipalities in all regions of the country (subject to the availability of sufficient fi-nancial resources to ensure the validity of the sample - otherwise the survey should focus on one or more selected regions). The sample should be representative of the ethnic and social diversity within each region;

y Municipalities of different sizes (km2); y Municipalities with differing topographi-

cal and climatic conditions; y Municipalities of different sizes (popula-

tion); y Municipalities with different population

groups; y Municipalities with different types of

economy (e.g. industrial and agricultural); y Municipalities with different levels of eco-

nomic activity; and y Municipalities with different levels of do-

nor support.

Of course, in countries where the survey cov-ers all municipalities, sample diversity is not an issue.

Selection of pilot municipalities

In Serbia, it is evident that careful consideration was given to the criteria for selecting the pilot municipalities. It was decided that, for piloting purposes, municipalities should be selected where there was already at least a minimum of institutional capacity. This included, for example:

Some data collection and analysis capacity amongst local government and service providers;Some experience with development concepts, ideally including some experience of institutional analysis;Existence of a local development strategy against which current and future capacity needs could be gauged. This proved important because the municipalities were being assessed on their capacity to develop key communal functions that required a certain degree of sophistica-tion.

In Croatia, the main criteria for selection were the responsiveness of local leadership to engage in the project, and the capacities of local leadership and local administration to implement the recommenda-tions and action plans for improved service delivery. This is necessary for long-term implementation and sustainability of initiatives.It could be argued that selecting municipalities that already have recognizable capacity hides the true picture. However, there are good arguments in favour of this approach:

• Thesearelikelytobemostreceptivetowardsthecapacityassessment exercise, and thus the most likely to contribute effectively, and to implement the recommendations;• Effective capacity assessment leading to demonstrablebenefits in the more receptive and prepared municipalities, may act as a catalyst for other municipalities to get involved; • Piloting inmore favourablesituationsenablesthemeth-odology to be fine-tuned and adapted before application in more challenging situations.

The demographic profiles of the municipalities in both Croatia and Ser-bia were different from each other and this enabled the methodology to be tested in different contexts.


25

Further resource considerations

Overall, it is expected that limited resources will be required to collect data, since mu-nicipal administrations will be requested to complete and return the questionnaire. Nevertheless, given that financial resources to implement the survey are likely to be con-strained, consideration should be given to achieving the right balance of funding be-tween data collection and analysis.

Collecting large volumes of data may be counterproductive if this consumes resourc-es that are required for data analysis. This will result in a lack of analytical resource, and consequently it may not be possible to fully exploit the collected data.

Piloting the questionnairePiloting the questionnaire in a small, diverse sample of municipalities provides an oppor-tunity to test its design, different methods of survey implementation, and the systems that will be used to analyze the feedback.

Among the questions it will help to answer, before implementing across the country are:

y Has the right balance been struck between sample size, complexity of questionnaire, and method of implementation?

y Are any of the questions unclear? y What is the overall reaction of respon-

dents to the questionnaire and the meth-od used to complete it (e.g. focus groups or interviews).

Analyticalcapacity

Data collection

Financialresourceenvelope

Analytical capacityrequirements increase as the quantity and complexityof data collected increase


26

y Are any of the questions too sensitive? e.g. culturally or politically?

y Did the respondents have sufficient infor-mation about the purpose and content of the survey before they were asked to complete the questionnaire?

y Were the logistical arrangements for com-pleting the questionnaire well planned and implemented?

y Were the appropriate people available to contribute to the completion of the ques-tionnaire?

y Could the respondents make sufficient time available to complete the question-naire? Is it too long?

y How well prepared are the national con-sultants to implement the survey? Do they need more training?

y Is there sufficient capacity to analyze, interpret, and communicate the survey feedback in a timely manner?

y Does the survey provide useful informa-tion about the capacity of the municipal administrations?

y Does the survey provide useful informa-tion about the ability of the municipal ad-ministration to target women and people that are typically socially excluded, for ex-ample minorities?

y Follow-up steps (verification, gap analysis, identification of capacity development re-sponses, etc.).

Verifying resultsVerification of results fulfils three objectives. Firstly, it enables specific issues to be exam-ined in more detail to gain better insight. Secondly, it is a means of establishing the validity of the survey feedback, and the anal-ysis of the feedback. Thirdly, it is a means of clarifying ambiguous or unclear results.

Verification can be undertaken through fo-cus groups and/or in-depth interviews. Re-source constraints will limit the extent of verification. Therefore, careful consideration should be given to ensuring that verification involves a representative range of stakehold-ers in a broad range of municipalities.

Verification should involve socially excluded groups and other stakeholders.

While this capacity assessment exercise fo-cuses on municipalities, it is important to verify the results with other stakeholders that interact with municipalities. This in-cludes other service delivery organizations, and stakeholders at central, regional, provin-cial, and local levels, and public and private sector stakeholders. It is especially impor-tant to verify results with population groups that are generally under-represented in pub-lic economic and political decision-making processes, in particular women, and typically socially excluded groups such as minorities and displaced persons.

Validation should be carried out using the same questions that are used in the main sur-vey. A subset of the questions may be used where a specific group is being consulted on a particular aspect of the survey results.


27

Survey data analysisIt may be possible to draw conclusions from raw survey data when the survey is simple and covers a very small number of respon-dents. However, this rapidly becomes impos-sible as the complexity and size of the survey increase. Moreover, to be useful to decision makers, survey results need to be presented in a clear and concise manner so that key is-sues can be readily identified. Thus survey feedback requires some kind of processing. The simplest type of processing involves data consolidation, and cross tabulation is conve-nient way of doing this. This in itself can pro-vide considerable insight into survey feed-back without any additional analysis, and in many cases may be all that is required.Numerous commercial tools are available for

They have the added benefit that they are al-ready installed on most computers and most users of this guide will have some familiarity with them. This section therefore focuses on the use of spreadsheets.

The first step is to transform the questions so that they can be conveniently displayed in a spreadsheet. For example, the following question:

To what extent does the municipal admin-istration collect disaggregated data for the five services, for example user data, assess-ments of impacts of services, number of staff, positions and payments, membership on public and private boards, etc.? Rank 1-4. 1=frequently; 2=sometimes; 3=rarely/never; 4=not sure.

Data disaggregated by gender

Data disaggregated by ethnicity

Data disaggregated by age

Data disaggregated by disability




Basic healthcare

Primary education

analysis of survey data.30 If they are already available, it is worth considering using them to analyze survey feedback in the context of municipal capacity assessment. However, standard spreadsheet applications may well be sufficient.

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

In this example, the five services have been abbreviated to DWS, LWM, SWM, BH, and PE. The four column headings from the question are represented as “a”, “b”, “c”, and “d”. In this example, it is assumed that there are 10 re-spondents, each of which is represented by a sequential number in the left most column. Each respondent is requested to provide 20 responses. Thus the table has 200 cells.

http://www.spss.com/

http://www.stata.com/

http://www.sas.com/


28

DWS LWM SWM BH PE

Respondent No.

a b c d a b c d a b c d a b c d a b c d

1

2

3

4

5

6

7

8

9

10

Is transformed into this:

DWS LWM SWM BH PE

Respondent No. a b c d a b c d a b c d a b c d a b c d

1 1 3 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

2 2 3 4 4 2 2 4 4 2 2 4 4 2 2 4 4 2 2 4 4

3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4

4 3 3 3 4 3 4 3 4 3 4 3 4 3 4 3 4 3 4 3 4

5 2 3 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 4

6 4 3 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4

7 1 3 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

8 2 3 4 4 2 2 4 4 2 2 4 4 2 2 4 4 2 2 4 4

9 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4

10 1 3 3 3 3 3 3 4 4 4 4 4 4 4 4 4 4 4 4 4

The following table is identical to the previ-ous table, except that in this case, it has been populated with responses.31

This information is then consolidated in two further stages.

31 These are not responses from any actual survey. They have been randomly generated for demonstration purposes.

The first of these consolidation stages shows the number of items that have been ranked 1, 2, 3, and 4 for each of the services and each type of data disaggregation indicated in the question. This is illustrated in the following table.


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DWS LWM SWM BH PE

Rank a b c d a b c d a b c d a b c d a b c d

1 3 0 0 0 2 0 0 0 2 0 0 0 2 0 0 0 2 0 0 0

2 3 0 1 1 3 5 1 1 3 5 1 1 3 5 1 1 3 5 1 0

3 3 10 6 3 4 3 6 2 3 2 5 2 3 2 5 2 3 2 5 0

4 1 0 3 6 1 2 3 7 2 3 4 7 2 3 4 7 2 3 4 10

For example, for liquid waste management, two rankings of “1” (data “frequently” disag-gregated) were provided for “a” (“Data disag-gregated by gender”). But no rankings of “1” were provided for the three other types of data disaggregation identified in the ques-tion (“Data disaggregated by ethnicity,” “Data disaggregated by age,” and “Data disaggre-gated by disability”).

In contrast, there are more rankings of “3” and “4” (“rarely/never,” and “Not sure”). This suggests that data is generally not disaggregated by gender, ethnicity, age, and disability. However, the information is still difficult to understand and further consolidation can help.

This consolidation makes use of the “COUN-TIF” function, as shown in the following screenshot.


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This table summarises the data for each service.

Rank DWS LWM SWM BH PE Total

1 3 2 2 2 2 11

2 5 10 10 10 9 44

3 22 15 12 12 10 71

4 10 13 16 16 19 74

While this table summarises the data by type of disaggregation.

a b c d Total

Rank 1 11 0 0 0 11

Rank 2 15 20 5 4 44

Rank 3 16 19 27 9 71

Rank 4 8 11 18 37 74

Understanding can be further improved by presenting the data graphically. In this chart, rankings are shown on the X axis, with higher rankings to the left. The Y axis shows the number of responses. From this it can be clearly seen that there is a high level of un-certainty amongst respondents as to wheth-

er or not data is disaggregated by disability. This may well indicate that, in practise, it is not. It may therefore be helpful to group the responses for rankings “3” and “4” (“rarely/never” and “not sure”) in order to simplify the picture further.


31

In this chart, rankings “3” and “4” have been grouped together, as described above. The chart now indicates that, overall, there is rel-atively little data disaggregation of any type,

The overview can be enhanced by introduc-ing other information, such as geographical location, or size of municipality. In the follow-ing table, a “Region” column has been added,

although it is somewhat more frequent for gender and ethnicity than for age and dis-ability.

Before developing a response it would be necessary to identify if this is because data systems don’t permit this type of disaggre-gation, or because management are not interested in this type of disaggregation, or possibly both of these (i.e. appropriate sys-tems have not been established because the management is not interested). If it is the lat-ter, it will be necessary to change manage-ment attitudes before adjusting systems.

The same approach can be used to assess whether or not there are differences be-tween services. If there are differences, fur-ther research might be necessary to under-stand why.

and the rankings provided by each respon-dent have been averaged to simplify the procedure. Fractions do not relate to specific rankings, but lower averages indicate munic-ipalities that tend to do more data disaggre-gation, while higher averages indicate the opposite. As in the examples above, a rank-ing of “4” (“not sure”) is treated as indicating a lack of data disaggregation.

From this, the following cross tabulation can be derived:

Range A B C

1.0 -1.99 0 0 0

2.0 - 2.49 1 0 0

2.5 - 2.99 1 1 0

3.0 - 4.0 2 2 3


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This indicates that there were no respondents in any of the three regions that provided responses with an average of less than 2. But there were two municipalities in each of Regions A and B, and 3 in Region C with average rankings between 3 and 4 inclusive.

Once again, graphical representation of this information may enhance understanding. This chart shows the predominance of mu-nicipalities in all three regions with average response rankings between 3 and 4. This is shown to be most pronounced in Region C, and least pronounced in Region A.

DWS LWM SWM BH PE Average Region


1 1 3 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 2.55 A

2 2 3 4 4 2 2 4 4 2 2 4 4 2 2 4 4 2 2 4 4 3.05 B

3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 3.05 C

4 3 3 3 4 3 4 3 4 3 4 3 4 3 4 3 4 3 4 3 4 3.45 C

5 2 3 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 4 2.15 A

6 4 3 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 3.95 B

7 1 3 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 2.55 B

8 2 3 4 4 2 2 4 4 2 2 4 4 2 2 4 4 2 2 4 4 3.05 A

9 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 3.05 A

10 1 3 3 3 3 3 3 4 4 4 4 4 4 4 4 4 4 4 4 4 3.55 C

A B C

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

Num

ber

of r

esp

onde

nts

3

2

1

0


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A B C D

1 Range A B C

2 1.0 -1.99 0 0 0

3 2.0 - 2.49 1 0 0

4 2.5 - 2.99 1 1 0

5 3.0 - 4.0 2 2 3

DWS LWM SWM BH PE Average Region


1 1 3 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 2.55 A

2 2 3 4 4 2 2 4 4 2 2 4 4 2 2 4 4 2 2 4 4 3.05 B

3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 3.05 C

4 3 3 3 4 3 4 3 4 3 4 3 4 3 4 3 4 3 4 3 4 3.45 C

5 2 3 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 2 4 2.15 A

6 4 3 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 4 3.95 B

7 1 3 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 2.55 B

8 2 3 4 4 2 2 4 4 2 2 4 4 2 2 4 4 2 2 4 4 3.05 A

9 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 3 4 3.05 A

10 1 3 3 3 3 3 3 4 4 4 4 4 4 4 4 4 4 4 4 4 3.55 C

=COUNTIFS( Raw data :: B$3 : $W$12 , B$1 , Raw data : : $V$3:$V$12 ,”>=1” , Raw data :: $V$3 : $V$12 , “< = 1.99”)

This cross-tabulation has two criteria: range, and region. This uses the “COUNTIFS” func-tion. This is similar to “COUNTIF,” except that

it enables the use of multiple criteria. The following screenshot shows how this is em-ployed here.


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Gap assessment and prioritizationFinancial resources for capacity develop-ment responses are likely to be limited, and these may be complicated, especially those requiring investment in infrastructure, and the capacity of municipalities and other ser-vice delivery organizations may be limited. The aim of the capacity assessment process should therefore be to identify and address issues that, given these constraints, will have the most impact overall on the delivery of the five key services across the country.

Prioritization of capacity gaps will therefore be necessary. This should be done at the national level, since capacity development responses will most likely be funded and im-plemented at the national level. UNDP is well placed to support key national stakeholders through the gap assessment process.

Identification of strategic problems and relevance of recommendations and action plans

A capacity assessment should identify and prioritize key strategic is-sues, and these should be reflected in prioritized recommendations and action plans. The latter should reflect the implementation capacities of the target municipalities. Too many and/or recommendations that are not prioritized could dilute municipal efforts to enhance service deliv-ery.

In Serbia, clear needs are identified, and the recommendations are highly relevant. A need is identified for stronger representation of local government interests to the national government. This will require a significant amount of coordinated lobbying on the behalf of munici-palities.

The capacity assessment and action plan for Montenegro describes both municipalities and then highlights common recommendations. This is important, because it avoids potential duplication of capacity development responses that could be more efficiently and effectively delivered on a national, rather than a local basis. It also facilitates the identification of joint actions. Joint action is likely to be more effective than individual action, for example in lobbying the central government on specific issues.

Joint actions could extend, for example, to joint service delivery, joint procurement, joint research and strategy development (for example for natural resources that extend over several municipal territories), and sharing of various costs. These types of potential benefits are much harder to identify when capacity assessments, recommendations, and action plans are presented entirely separately for each municipality.

The recommendations for Montenegro are also clearly prioritized, thus guiding stakeholders to address the most important issues first.

Several reports identify the continuing high degree of centralization as a problem. In general, this is an issue requirin g more co-ordinated and concerted action by local governments.

Most municipalities were found to have some type of strategic plan in place, which were generally either not being implemented, or only partially implemented. It is important to understand why these strate-gic plans were not being implemented, and how they could have been made more useful. This is particularly important in view of the fact that one of the products of the capacity assessment itself is an action plan that could follow the same path, if the causes of non-implementation of existing strategies are not fully understood.

In some municipalities, it is evident that considerable international support has been provided to develop a series of strategic and policy documents. This suggests that there may be a lack of capacity in this area.

Other commonly identified problems include:• Procurement;• Weak judicial framework for enforcing contracts and difficulty

managing contractors;• Managementofsemi-autonomouslocalutilitycompanies;• Significantlevelsofuncollecteddebts,inpartduetotheabsence

of alternative dispute resolution mechanisms combined with overloaded and/or inefficient court systems;

• Datacollectionandanalysis;• Costbenefitanalysis;• Budgetingandoperationalplanning;• Service cost recovery (besides the issue of uncollected debts);

and• Monitoringandevaluationofservicedelivery.

Some action plans envisage extensive training in different thematic areas. Training is, of course, important, but it must be justified by identified issues. It is important to understand how training relates to organizational needs, and how it is expected to improve organiza-tional efficiency and effectiveness. Various types of training have been provided to municipalities in the past. It is important to understand in which areas, and how this benefited the relevant municipalities. If organizational restructuring is required, the provision of training before this has taken place is likely to be ineffective and may need to be re-peated relatively soon.


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As with other aspects of the capacity assess-ment exercise, it is important that a gap as-sessment is done through dialogue with key stakeholders, including typically socially ex-cluded groups, such as women, minorities, and people with disabilities. The services covered by this capacity assessment meth-odology are, to a greater or lesser extent, covered by EU legislation. If relevant na-tional legislation has not already been har-monized with EU legislation, it is likely that harmonization is envisaged at some point in the future. Either way, it will be highly desir-able to involve EC Delegations at this stage, especially if they have not already been con-sulted about the capacity assessment.

Moreover, it may be possible for national, regional, and local authorities to utilize IPA funding to address capacity gaps that are identified through the capacity assessment process. IPA spending requires approval by the EC, and the procedure can be significant-ly facilitated if central national authorities submit well substantiated proposals. This highlights the need for the involvement of a key central body to ensure that the results of the capacity assessment are acted upon.

For the same reasons, other national and in-ternational funding organizations may have an interest in this type of capacity assess-ment, and should be involved, if possible.

Presentation of the municipal capacity assessment

Ideally, the capacity assessment report will present not only the assessment itself, and the action plan, but also relevant background information that puts the capacity assessment into context. For example:• Regulatoryandinstitutionalframeworkofthelocalself-government system and the decentralized services;• Overviewofthemunicipality,includingterritorialcharac-teristics, demographics, and economy;• Organizationandmanagementofthemunicipaladminis-tration;• Overviewoftheselectedpublicservicesinthemunicipal-ity, including level of municipal responsibility, overview of service providers and implementation arrangements, share of local public funding, current state of affairs, etc.The capacity assessment report should also provide a clear descrip-tion of the methodology applied, including:• Selectioncriteria,wherethecapacityassessmentcoversasample of municipalities;• Involvementofthemunicipalityinsteeringthecapacityassessment;• Descriptionofthetoolsusedtogatherdata,suchasstructured interviews, focus groups, questionnaires, etc.; and• Detailsofwhowasconsulted,andatwhichstages.

Prioritization involves assessing the extent and severity of any identified problems re-garding key issues with respect to service delivery capacity amongst the sample. This information can then be combined with in-formation about the importance of this is-sue for service delivery. The resulting overall priority score provides a guide as to where to focus limited resources to develop service delivery capacity.

Key issues are general issues that corre-spond in some way to groups of questions in the questionnaire. These may be the CAF core issues or functional capacities. Or they could be developed by grouping questions in some other way. For example, one such al-ternative set of key issues might look some-thing like this:


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The following table is an example of one possible tool to facilitate prioritization.

A B C D E

Key issueRank (impor-

tance for service delivery)

Extent of gaps (if any) regarding this issue amongst the sample. (i.e. what

% of the sample gave neutral or

negative responses)

Severity of identified gaps (i.e. what % of

the sample pro-vided very negative

responses, as op-posed to moderately negative, and neutral

responses)

Overall priority score(=CXD/B)

Partnerships 2 70% 40% 0.14

Consensus building

Stakeholder participation

Medium and longer term plan-ning

1 60% 30% 0.18

Project development

Project management

Project follow-up

Human resource management

In some areas, capacities may fall below benchmarks, and the gaps may be wide-spread and relatively severe. However, these may not necessarily be the most important gaps to be addressed in the short term for the enhancement of service delivery capaci-ties.

In the above example, “Medium and longer term planning” is ranked 1 (most important), while “Partnerships” is ranked 2. Although “Part-nerships” appears to be the more problematic of the two issues, “Medium and longer term” planning has been given a higher ranking for importance for service delivery and thus has a higher “overall priority score” of 0.18 (which is derived, in this example, by multiplying the scores in columns C and D, and then dividing by the ranking in column B.

In this example, the results given in col-umns C and D might be used as benchmarks against which to assess the responses from different regions within the same country, and this may be helpful in geographically targeting subsequent capacity development responses.

This example is for illustrative purposes only, and it is not suggested that this is how priori-tization must be done.

The issues that are considered to be key is-sues may change from one round of capac-ity assessment to the next, and the ranking of the same issue may change. If, however, the same key issues are retained (regardless of ranking), the results from one capacity as-sessment may be used as benchmarks for subsequent capacity assessments.


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Following up the capacity assessment – programming and measuring capacity developmentIdentifying capacity development needs

Gap assessment and prioritization help to identify which issues are of most immediate concern for developing capacity. However, this alone may not be sufficient to identify precisely how, and at what level, to address these issues. Detailed programming requires additional, in-depth analysis.

Additional in-depth analysis helps to ensure that capacity development responses ad-dress the underlying causes, rather than the just the obvious symptoms of any identified gaps. For example, the capacity assessment survey may identify unreliable, or low qual-ity service delivery, but not necessarily the causes of this. There may be several under-lying causes, and thus several possible so-lutions ranging from staff training to local public administration reform. Where lack of

capacity is due to high staff turnover result-ing from poor human resource management and uncertainty in local public administra-tion, staff training can, at best, provide only a short term improvement and will need to be repeated frequently. Management train-ing can help to address the problem of poor human resource management, but this will not address the issue of uncertainty in the lo-cal public administration, which may require the acceleration of pending government de-cisions, acceleration of ongoing restructur-ing, or possibly the drafting and enactment of new legislation.

In the event that underlying problems are likely to take some time to resolve (e.g. through new legislation), it may be necessary to implement another, intermediate, strat-egy while the underlying issue is resolved. For example, if new legislation is necessary, it may be impossible to limit staff turnover in the short term. In this case, an intermediate strategy might be to accept this as a fact for the short term and address it by establish-ing centralized capacity to deliver intensive training on specific issues, on a continuous basis, until the new legislation has been im-plemented.

Issue: lack of project management capacity in municipalities due to high staff turnover

Underlying causeShort term capac-ity development response

Focus of short term capacity develop-ment response

Medium/long term capac-ity development response

Focus of medium/long term capacity development response


Management train-ing

Human resource managers in mu-nicipalities

Establish/re-structure human resource manage-ment structures

Municipalities

Uncertainty in local public administration

Establish centralized training capacity until new legislation is passed

Municipalities

Development and introduction of new local public administration legislation

Central government


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Active stakeholder participation in this pro-cess is important to ensure consensus on capacity development responses, and real stakeholder ownership. The involvement of key stakeholders at central and regional lev-els in steering the capacity assessment pro-cess will be a great advantage when plan-ning capacity development responses that require decisions to be made at either of these levels.

A needs assessment may involve further surveys on specific issues, focus groups, and individual interviews. To some extent, the in-formation required for a needs assessment may be available from the survey verification activities. However, care should be taken not to compromise the verification process by combing it with the needs assessment, as these two activities have different objec-tives.

Capacity development response design

Capacity development responses should eq-uitably address the needs of all sections of the community, including, women, the poor and socially excluded. These groups are un-der-represented in policy and planning pro-cesses. It is therefore important that these groups are effectively involved in the devel-opment of relevant capacity development responses to ensure that they have equitable access to these services, and that they have a future role in guiding and delivering them.

A capacity development response should have clearly defined objectives, and these need to be agreed amongst the key actors. As noted in the UNDP Practice Note “Measur-ing Capacity Development,” outcomes and outputs must be clear and cannot be stated in vague language such as “improve, enhance, strengthen, or increase capacity.”

The stated objective should reflect the fact that capacity development actions are un-dertaken to bring about desired, sustained change in the performance, stability, and adaptability of a system. In turn, such changes are made up of positive changes in capacity across the four core issues:

y Institutional arrangements; y Leadership; y Knowledge; and y Accountability.

Large, strategic capacity development re-sponses may be expected to lead to positive changes in regional and national systems. Capacity development responses targeting individual municipalities will contribute to capacity development in regional and na-tional systems, but cannot, on their own, bring about significant change at these wider levels. Therefore, as mentioned in the “Measuring Capacity Development,”Practice Note, desired outcomes will likely be dif-ferent for capacity development responses at the national level, and capacity develop-ment responses targeting an individual insti-tution or department. The implication of this is that outcomes may relate to an entire na-tional, regional, or local system, or to one or more of the four core issues at one or other of these levels.

In designing capacity development respons-es, it is therefore vital to identify the scope clearly so that relevant objectives can be set, and appropriate indicators can be deter-mined.

It is also important to understand the differ-ence between outputs and outcomes. The Practice Note states that outputs are prod-ucts and services that facilitate achievement of outcomes. Outputs are the products and services produced by implementation of a pro-gramme’s activities, and are the key compo-


39

nents that make achievement of programme outcomes possible. It also notes that while outputs are required to bring about out-comes, a collection of outputs does not make up an outcome. Outcomes depend on how, and to what extent outputs are utilized. In-deed, it is possible that the desired outcomes may not be achieved even when all the out-puts have been delivered on time and to a high standard, and are being fully utilized.

This may indicate any or all of the following:

y An insufficient capacity development re-sponse;

y A lack of relevance of the chosen capacity development response; and

y A change in one or more critical factors since the capacity assessment was carried out.

Outcomes

Outputs

Activities

Outcomes are the changes in systems and core issues that are brought about by ca-pacity development responses. “Legislation drafted,” “new department established,” etc., are outputs, and while they may be essen-tial prerequisites for desired changes in mu-nicipal service delivery capacity, they do not, on their own, demonstrate that the desired changes are taking place, since legislation must also be enacted and effectively imple-mented, and new departments must be em-powered, staffed, equipped, and trained.

This highlights an important design issue, namely that capacity development respons-

es should not focus only the outputs, but should include activities that help to ensure that outputs are effectively and promptly uti-lized (e.g. training on the roles and responsi-bilities of new structures, training for staff to take on new responsibilities and utilize new techniques and tools, etc.).

Measuring capacity development

Indicators for measuring capacity devel-opment need to be identified at the same time that activities, outputs, and desired outcomes are developed. Leaving this until later may make it difficult to collect the nec-essary information, for example because the information is simply no longer available, or because insufficient funds have been bud-geted. Although this is a simple concept, it continues to be widely misunderstood and misapplied. An indicator is simply a variable that is used to identify, respectively, the ex-tent to which activities are implemented, outputs delivered, and desired outcomes are achieved. Different types of indicators are re-quired in each case. Indicators should be ob-jectively verifiable, either by means of direct statistics, or by means of indirect statistics based on systematic, representative qualita-tive feedback from relevant stakeholders.

In order to measure change, it is necessary to identify baselines against which change can be measured. This is generally done in the context of a preliminary study shortly before or after implementation commences. In some cases, statistics may already be avail-able within the municipality (for example, levels of arrears), while in other cases, it may be necessary to carry out additional work to gather the relevant information (for example, a survey to establish levels of customer sat-isfaction for various aspects of specific ser-vices). The emphasis is usually on identifying baselines for desired outcomes. Baselines


40

for capacity development response activi-ties and outputs may have little meaning.

A simplified example may help to illustrate these relationships. The UNDP/SNV Western Balkan pilot capacity assessment highlight-ed, among other issues, significant problems in some countries with arrears for municipal services. To some extent this is due to is-sues in the enabling environment (issues beyond the immediate control of the mu-nicipality). However, it is also likely that this could, at least to some extent, be addressed by strengthening capacity in the core is-

sues institutional arrangements, leader-ship, and accountability. A hypothetical capacity development response to address this problem in a single municipality might, for example, be to establish a debt collec-tion department, complete with a new debt tracking system. The desired outcome is a reduction in arrears. The establishment of a debt collection department is an output and is simply a means to achieving the desired outcome. There may well be other approach-es to achieving the same outcome. A simple logical framework for this capacity develop-ment response might look as follows:

Description Indicators

OutcomesReduction in overdue pay-ments for the provision of municipal services

[X%] (of number) of monthly service charges paid on time within 3 months of start of debt collection department operations[Y%] (of number) of monthly service charges paid on time within 6 months of start of debt collection department operations[Z%] (of number) of monthly service charges paid on time within 12 months of start of debt collection department operations[L%] (of value) of monthly service charges paid on time within 3 months of start of debt collection department operations[M%] (of value) of monthly service charges paid on time within 6 months of start of debt collection department operations[N%] (of value) of monthly service charges paid on time within 12 months of start of debt collection department operations

OutputsFunctioning debt collection department

[Number of] debt analysis reports issued each quarter[Number of] reminder notices issued per month[Number of] enforcement notices issued per month[Number of] enforcement proceedings concluded each month[Number of] action plans agreed with marginalized, poor, and socially excluded households to avoid service interruptionHalf yearly research among different users to identify reasons for late payments, including, for example dissatisfaction with service quality, inconvenience of payment arrangements, etc.[Number of] recommendations developed to change systems and ap-proaches to facilitate timely payments and reduce arrears


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Description Indicators

Activities and inputs

Establish new department in municipality structure.

Define objectives and responsibilities of new departmentDraft establishment and operational regulations and discuss with key stakeholdersEnact new regulations

Recruit new staff

Determine staffing requirementsDraft job descriptionsAdvertise vacanciesShortlist and interview candidatesContract selected candidatesAssess and address training needs of new staff

Establish departmental in-frastructure and systems.

Allocate and furnish office spaceDevelop debt tracking module for municipal accounting systemEstablish network connection between debt collection department and accounting department

However, it is not enough simply to identify whether or not levels of late payments have been reduced as a result of the capacity development response. It is also necessary to assess issues, such as the overall utility, flexibility, and sustainability of the benefits. If the amortized cost of establish-ing the new department, and the annual run-ning costs are relatively high compared with the reduction in arrears, it may be questionable as to whether or not the capacity development re-sponse is useful. If the reduction in arrears cannot be sustained, the investment represented by the capacity development response may be lost. And if the capacity development response has not also developed the capacity to refocus, adapt, re-structure, or redeploy the debt collection depart-ment to address future challenges and priorities as they arise, then the department may become redundant, and/or further capacity development responses may be necessary.

To address these types of questions, UNDP iden-tifies three key capacity development factors for the evaluation of outcomes:32 performance, sta-bility, and adaptability. These are further bro-ken down into components, as indicated in the following table. The last column provides exam-ples of possible indicators for the debt collection department example.

32 For further details and examples, see UNDP’s Practice Note “Measuring Capac-ity Development”.


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Evaluation Factors

Components Component DescriptionDebt Collection Department Example

Performance

EfficiencyCost-benefit ratio, or ratio of results to the inputs used to create them

Amortized cost of establishing the department, and annual running costs compared to reduction in arrears

Effectiveness

Extent to which the CD response is bringing about the desired change in the performance and/or behaviour of systems, institutions, target groups, etc. Importantly, improvements in perfor-mance must be assessed over a period of time, not at a single point, which may not reflect the longer term picture.

Extent of reduction in number and value of arrears

Stability

Risk mitigation

Identification, analysis, and management of risks to the benefits of CD responses. These will contribute to the sustainability of performance improvements.

Low levels of staff turnover in the debt collection departmentIncorporation of adequate provi-sion for the department in annual budgets

Institutionalization

Effective incorporation of new systems, structures, procedures, cultures, knowl-edge, skills, etc. Again, this will contrib-ute to the sustainability of performance improvements.

Extent to which debt collection guidelines and procedures are formalised and implementedKnowledge and responsibilities are distributed, and responsibilities are formally assigned and recognizedExtent to which senior manage-ment supports the new department

Adaptability

Investment for growth and change

Proactive planning to anticipate and address changes in needs, operating environment, and risks, etc.

Identification of risks that might lead to increased arrears in future (e.g. economic crisis, climate change events, etc.), and develop-ment of plans to address those risks.

Continuous improvement

Incorporation of “search for improve-ment” as a standard aspect of all work at all times, to improve the quality, extent, timeliness, and relevance of services, while improving efficiency and (where possible) reducing service delivery costs to citizens

Continuous efforts to further reduce arrears, and reduce the cost of eliminating and collecting arrears. This might, for example, include rewards for timely payments, and modifications to the system to facilitate payments.


43

Qua

lity

and

utili

ty o

f eva

luat

ion

Quality of monitoring and baselines

Indicators should be developed for each of the above components. Different evaluation indicators will be used depending on the stage of implementation of a capacity de-velopment response. For example, it is often unrealistic to expect to identify evidence of impact during the early stages of implemen-tation, or indeed at any time during imple-mentation, as it may take several years for the overarching benefits to become evident. In these circumstances, it is necessary to fo-cus on indicators that measure shorter-term changes that are a pre-requisite for achiev-ing the ultimate objective.

It is important to evaluate capacity develop-ment responses (i.e. measure the CD brought about by specific CD responses) at regular intervals to assess the extent to which they are leading to the desired outcomes, and whether or not the approach of current and planned capacity development responses need to be modified, or if entirely new capac-ity development responses are necessary or desirable.

For larger, longer capacity development responses, it may be desirable to carry out annual evaluations during implementation, with a final or ex-post evaluation towards the end of, or after, implementation. For smaller and shorter capacity development respons-es, it may be sufficient to limit evaluation to a mid-term evaluation and a final or ex-post evaluation. Where capacity development re-sponses are implemented in under one year, a final, or ex-post, evaluation alone will be the only feasible option.

Evaluation involves several costs that need to be considered when the capacity devel-opment response is designed.

y The direct cost of the evaluations them-selves;

y The cost of establishing effective moni-toring systems, and the regular and sys-tematic collection of relevant monitoring data; and

y The cost of baseline studies that provide the basis against which future changes in performance can be measured.

The quality and extent of monitoring and baseline data has a direct impact on the quality and utility of subsequent evaluation for any given budget.


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ResourcesA wide range of resources will be required to manage, implement, and follow-up the capac-ity assessment exercise. The table below gives an indication of the necessary resources, their role, and the institutions that might provide them.

Type of resource Role Who

Management

Mobilize stakeholders Achieve consensus between stakeholders Steer the ca-pacity assessment process Steer the design of capacity development responses.

Steering body involving: UNDP country offices National central, regional, and local admin-istrations Associations of municipalities National, regional, and local NGOs Citizen representatives National public adminis-tration academies EC Delegations

Capacity devel-opment experts

Assess, verify, and interpret survey results Design and oversee additional, detailed analysis Input into the design and implementation of resulting capacity development responses

UNDP country offices National central administration National public administration academies. Independent experts

Statistical/ana-lytical experts

Carry out analysis of survey and summarize results UNDP country offices Independent experts

Administration

Act as secretariat to the capacity assessment steering body Carry out communication with stakeholders as re-quested by the steering body Circulate questionnaires to municipalities

Key central stakeholder (e.g. relevant min-istry or association of municipalities) sup-ported by UNDP country offices


45

Annexes


46

Glossary of key terms used in the user guide and questionnaire

CapacityThe ability of individuals, organizations, and societies to perform functions, solve problems, and set and achieve objectives in a sustainable manner

Other service delivery organization

Any other organization that is involved in the delivery of the five services. Such organizations may have sole responsibility for the delivery of the services, or may share responsibility with the municipality and/or other bodies.

Service delivery capacity

The mandate, motivation, and means to provide services required and needed by local citi-zens:• in a manner that is responsive to changes in requirements and needs over time• in a manner that is responsive to the differing requirements and needs of different

groups of citizens within the community• equitably to all citizens• at a price they can afford• of the required quantity and quality

Social exclusion

Official or unofficial, systematic disenfranchisement, alienation, and/or exclusion of specific groups within society on the basis of race, ethnicity, gender, age, income, health status, etc. Social exclusion prevents affected groups from accessing opportunities, services, and rights that are freely available to the rest of society. Social exclusion may appear in numerous areas, such as national and local politics, community planning and decision making, employment, healthcare, education, local infrastructure, justice, etc. Groups that are typically socially ex-cluded are women, ethnic and religious minorities, people with disabilities, and old people.

Social inclusionA strategy to combat social exclusion. This may include a wide range of actions from policy and institutional reform, to influencing the behaviour and perceptions of specific groups.


47

References

UNDP Practice Notes & Other DocumentsConcept Note for E-discussion on "Capacity to Effectively and Sustainably Deliver Local Basic Services to the Poor," 08-26 October, 2007http://sdnhq.undp.org/w/images/5/5f/Consolidated_Summary-capacity_to_effectively_and_sustainably_deliver_local_basic_services_to_the_poor_LATEST.pdfImproving Local Service Delivery For The MDGs In Asia: Pilot Of Methodology For Support To National Policy And MDG Strategies - Technical Workshop - 15-17 October 2007 – Workshop Report. UNICEF, UNCDF, UNDPSummary e-discussions on capacity to local basic services to the poorImproving the accessibility and quality of public services. PowerPoint presentation. Bratislava Regional Centre. Strengthening Public Service Delivery in the Western Balkans - CoP Meeting Zagreb 16 October 2007Report of Regional Meeting on Gender and Capacity De-velopment for Public Private Partnership for local public services delivery. Dakar, 3 – 6 September 2007Decentralized Governance for Development: A Combined Practice Note on Decentralization, Local Governance and Urban/Rural Development http://www.pogar.org/publications/other/undp/decen-tralization/decentralization-04e.pdfFiscal Decentralization and Poverty Reduction

http://content.undp.org/go/cms-service/download/publication/?version=live&id=2219894A Global Analysis of UNDP Support to Decentralization and Local Governance Programmes 2001http://content.undp.org/go/cms-service/download/publication/?version=live&id=2220180PRO-POOR URBAN GOVERNANCE Lessons from LIFE 1992-2005. Democratic Governance Group, Bureau for Develop-ment Policy, United Nations Development Programmehttp://content.undp.org/go/cms-service/download/publication/?version=live&id=2220175Public Administration Reform Practice Note

http://content.undp.org/go/cms-service/download/publication/?version=live&id=2216427Development and Transition, 8th issue - Gender in Transi-tion. UNDP & London School of Economics 2008http://europeandcis.undp.org/gender/show/D99F035D-F203-1EE9-B29C9BCC4D51CA75Gender Mainstreaming in Practice: A Toolkit. UNDP BRC 2007http://europeandcis.undp.org/home/show/6D8DE77F-F203-1EE9-B2E5652990E8B4B9Faces of Poverty, Faces of Hope. Vulnerability Profiles for Decade of Roma Inclusion Countries. UNDP BRC 2005http://europeandcis.undp.org/home/show/62BFE488-F203-1EE9-BA01C0FAE5A9E819At Risk: Roma and the Displaced in Southeast Europe. UNDP RBEC 2006http://europeandcis.undp.org/home/show/1F158B1F-F203-1EE9-B8384A4FF5BF9916

UNDP Practice Notes & Other Documents

Guidebook On Promoting Good Governance In Public-Private Partnerships. United Nations Economic Commis-sion for Europehttp://www.unece.org/ceci/publications/ppp.pdf

Are You Being Served? New Tools for Measuring Service Delivery. World Bankhttp://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTPOVERTY/EXTISPMA/0,,contentMDK:21656803~menuPK:384336~pagePK:148956~piPK:216618~theSitePK:384329,00.htmlAlbania: Decentralization In Transition (in Two Volumes) Volume I: Summary Report and Matrix of Issues and Op-tions. February 2004. World Bank Poverty Reduction and Economic Management Unit Europe and Central Asia Unithttp://siteresources.worldbank.org/INTALBANIA/Resourc-es/DecentralizationInTransition1.pdfEuropean Charter of Local Self Government. Council of Europe. 15 October1985http://conventions.coe.int/Treaty/EN/Treaties/Html/122.htm

http://sdnhq.undp.org/w/images/5/5f/Consolidated_Summary-capacity_to_effectively_and_sustainably_deliver_local_basic_services_to_the_poor_LATEST.pdf



http://www.pogar.org/publications/other/undp/decentralization/decentralization-04e.pdf

http://www.pogar.org/publications/other/undp/decentralization/decentralization-04e.pdf

http://content.undp.org/go/cms-service/download/publication/?version=live&id=2219894








http://europeandcis.undp.org/home/show/1F158B1F-F203-1EE9-B8384A4FF5BF9916

http://europeandcis.undp.org/home/show/1F158B1F-F203-1EE9-B8384A4FF5BF9916

http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTPOVERTY/EXTISPMA/0,,contentMDK:21656803~menuPK:384336~pagePK:148956~piPK:216618~theSitePK:384329,00.html




http://siteresources.worldbank.org/INTALBANIA/Resources/DecentralizationInTransition1.pdf

http://siteresources.worldbank.org/INTALBANIA/Resources/DecentralizationInTransition1.pdf




48

LOCAL GOVERNMENT STRUCTURE. United Nations Public Administration Networkhttp://unpan1.un.org/intradoc/groups/public/docu-ments/UNTC/UNPAN017646.pdfDivision of Responsibility Between Levels of Power. Ken-neth Daveyhttp://unpan1.un.org/intradoc/groups/public/docu-ments/UNTC/UNPAN017645.pdfValencia Declaration. Council of Europe

http://www.issirfa.cnr.it/download/File/MCL-Valen-cia%20Declaration%2015%282007%295E-final.pdfPerformance Management at Local Level. Survey of CDLR members: findings and conclusions. Council of Europehttps://wcd.coe.int/ViewDoc.jsp?id=1384221&Site=COE&BackColorInternet=DBDCF2&BackColorIntranet=FDC864&BackColorLogged=FDC864Survey Tools for Assessing Performance in Service Deliv-ery. Jan Dehn, Ritva Reinikka, and Jakob Svenssonhttp://www1.worldbank.org/publicsector/pe/PETS1.pdf

Institutional Dialogue Between the State, Regions, Local Authorities and their Associations. Council of Europe Steering Committee on Local and Regional Democracy. May 2002https://wcd.coe.int/ViewDoc.jsp?id=1383771&Site=COE&BackColorInternet=DBDCF2&BackColorIntranet=FDC864&BackColorLogged=FDC864The relationship between central and local authorities. Council of Europe European Committee on Local and Regional Democracy. September 2007https://wcd.coe.int/ViewDoc.jsp?id=1364497&Site=COE&BackColorInternet=DBDCF2&BackColorIntranet=FDC864&BackColorLogged=FDC864Good practices in inter municipal co-operation in Europe. Council of Europe European Committee on Local and Regional Democracy. 2007https://wcd.coe.int/ViewDoc.jsp?id=1376549&Site=COE&BackColorInternet=DBDCF2&BackColorIntranet=FDC864&BackColorLogged=FDC864A Handbook on Finance at Local and Regional Level. Council of Europe

https://wcd.coe.int/ViewDoc.jsp?id=1378257&Site=COE&BackColorInternet=DBDCF2&BackColorIntranet=FDC864&BackColorLogged=FDC864Administrative and Territorial Reforms Creating Territorial Communities or Authorities at Different Levels. Council of Europe Steering Committee on Local and Regional Democracy (CDLR)https://wcd.coe.int/ViewDoc.jsp?id=27729&Site=COE&BackColorInternet=DBDCF2&BackColorIntranet=FDC864&BackColorLogged=FDC864The Story Behind the Numbers: Women and Employment in Central and Eastern Europe and the Western Common-wealth of Independent States. UNIFEM 2006http://www.unifem.sk/index.cfm?Module=Static&page=w&s=IWPManual for Gender Mainstreaming Social Inclusion and Social Protection Policies. EC Directorate-General for Employment, Social Affairs and Equal Opportunities 2008http://ec.europa.eu/employment_social/spsi/strategy_reports_en.htmReport on social inclusion 2005. An analysis of the Nation-al Action Plans on Social Inclusion (2004-2006) submitted by the 10 new Member States. EC Directorate-General for Employment, Social Affairs and Equal Opportunities, 2005http://ec.europa.eu/employment_social/spsi/joint_re-ports_en.htm#2005_2

Links

United Nations Development Programme

http://www.undp.org/

United Nations Development Programme Europe & CIS

http://europeandcis.undp.org/

United Nations Development Programme capacity devel-opment websitehttp://www.undp.org/capacity/

United Nations Development Programme – Capacity Development in Europe and CIShttp://europeandcis.undp.org/cd

United Nations Public Administration Network

http://unpan1.un.org/intradoc/groups/public/documents/UNTC/UNPAN017646.pdf




http://www.issirfa.cnr.it/download/File/MCL-Valencia%20Declaration%2015%282007%295E-final.pdf

http://www.issirfa.cnr.it/download/File/MCL-Valencia%20Declaration%2015%282007%295E-final.pdf

https://wcd.coe.int/ViewDoc.jsp?id=1384221&Site=COE&BackColorInternet=DBDCF2&BackColorIntranet=FDC864&BackColorLogged=FDC864




















http://www.undp.org/capacity/


49

http://www.unpan.org/

European Commission Directorate General for Regional Policyhttp://ec.europa.eu/dgs/regional_policy/index_en.htm

European Commission social inclusion policy

http://ec.europa.eu/employment_social/spsi/poverty_social_exclusion_en.htmCouncil of Europe

http://www.coe.int/

LSE The Centre for the Analysis of Social Exclusion

http://sticerd.lse.ac.uk/case/_new/

EC Directorate-General for Employment, Social Affairs and Equal Opportunitieshttp://ec.europa.eu/employment_social/index_en.html

United Nations Statistics Division

http://unstats.un.org/unsd/default.htm

Women in National Parliaments. The Inter-Parliamentary Union http://www.ipu.org/wmn-e/classif.htm

User guide – Supplementary questions for part 2 of the questionnaire Municipal service delivery capacity assessment - Turkey and the Western Balkans

50

Optional supplementary questions

This annex contains optional supplementary questions for the municipal capacity assessment questionnaire. Questions 1 to 125 may be included in Part 2 of the questionnaire. Questions 126 to 142 may be included in Part 3 of the questionnaire.

1-23 Mobilizing, informing, and involving stakeholders in service delivery

24-50 Analysing statistics and issues affecting service delivery

51-88 Policy and strategy formulation for effective service delivery

89-129 Financial resources, budgeting, and managing implementation of service delivery

130-159 Monitoring and evaluation of service delivery

160-184 Working with other service delivery organizations


51

Optional Supplementary Questions for Part 2 of the QuestionnaireServices that are the sole responsibility of the municipality


52

1. What, if any, explicit stakeholder consultation obligations does legislation place on relevant service providers with respect to these services?

Stakeholder consulta-tion required

Stakeholder consulta-tion encouraged

No obligationStakeholder consulta-

tion discouragedStakeholder consulta-

tion not permittedNot sure




Basic healthcare

Primary education

2. Does legislation contain any special obligations concerning participation of the following stakeholders in consultations (for example quotas or rules to ensure equal participation of women and men, and effective participation of minority groups; special methods to involve typically socially excluded groups, etc.)?

Yes, there are obligations No obligation Not sure

Women

Minorities

Groups that are typically socially excluded

3. How clearly are stakeholder consultation responsibilities divided between the relevant service providers in practice?

Not applicable. Service delivery not shared or municipality has no respon-

sibility for this service

Division of responsibilities is clear in practice

Division of responsibilities is not clear in practice

Not sure




Basic healthcare

Primary education


53

4. How are stakeholder consultations actually undertaken?

Not applicable. Service delivery not shared or municipality has no responsibility for this service

Jointly by the municipal administration and other serv-

ice delivery organizations

By the municipal administration only

By other service delivery organizations only

Not sure




Basic healthcare

Primary education

5. With respect to stakeholder consultation, how good is co-ordination between the municipal administration and other service delivery organizations?

NA Excellent Adequate Problematic Not sure




Basic healthcare

Primary education

6. Do public consultation guidelines / procedures exist for these services within the municipal administration?

Yes No Not sure




Basic healthcare

Primary education


54

7. Do municipal public consultation guidelines / procedures give guidance on how to achieve equal participation of women and men, and effective participation of minority groups and typically socially excluded groups in public consultations?

Yes No Not sure

Women

Minorities

Other groups that are typically socially excluded

8. If there are public consultation guidelines / procedures within the municipal administration, to what extent are they implemented?

Fully PartlySeldom/

neverNot sure




Basic healthcare

Primary education

9. Are stakeholder consultation responsibilities for these services clearly assigned within the municipal administration?

To specific departments To specific job holders

Yes NoNot sure

Yes NoNot sure




Basic healthcare

Primary education


55

10. Are there sufficient, suitably qualified and experienced staff to carry out effective stakeholder consultation for these services?

Yes No Not sure




Basic healthcare

Primary education

11. Are there sufficient financial resources to carry out effective stakeholder consultation for these services?

Yes No Not sure




Basic healthcare

Primary education

12. How are stakeholder consultations undertaken for these services?

Interviews Surveys Focus groupsAdvisory

panelsWorking groups

Public meetings

Other Not sure




Basic healthcare

Primary education


56

13. How important are the following stakeholders with respect to the provision of these services in the municipality? [Rank 1=very important; 2=moderately important; 3=not important/relevant].

Municipality has no responsibility

for this service

This municipal administration

Other municipalities

Central authorities

Regional / district

authorities

State owned enterprises

Private enter-prises

NGOLocal

residentsOther

Not sure




Basic healthcare

Primary education

14. How important are the following stakeholders in particular, with respect to the provision of these services? [Rank I=very important; 2=moderately important; 3=not important/relevant]

Gender and/or human rights resource persons within the mu-nicipal administration (advisor, sub-department, councils etc.)

Civil society organizations and private enterprises representing in particular women’s interests and

demands

Civil society organisations and private enterprises representing in particular minority interests and

demands

Other civil society organizations and private enterprises represent-

ing typically socially excluded groups’ interests and demands




Basic healthcare

Primary education

Not sure


57

15. Which of the following best applies to the municipal administration regarding interaction with stakeholders regarding these services?

It is up to stakeholders to come forward with their suggestions

and feedback

Stakeholder suggestions and feedback are actively sought

Not sure




Basic healthcare

Primary education

16. How are stakeholders encouraged to provide feedback on these services?

Publishing/advertising details of the consultation process

Publishing stakeholder feed-back from public consultations

Publishing/advertising changes resulting from public consulta-

tions

Prizes / gifts

Other Not sure



Solid waste manage-ment

Basic healthcare

Primary education


58

17. Overall, how useful is feedback provided by the following stakeholders on these services: drinking water supply; liquid waste management; solid waste management; basic healthcare; primary education?

Very useful Somewhat useful Not usefulFeedback not

providedNot sure


Central authorities

Regional / district authorities

State owned enterprises

Private enterprises

Economic NGO

Social NGO

Women’s interest groups / organizations

Minority interest groups / organizations

Local residents

Other

18. Which of the following best describes decision making with respect to these services?

Most matters are referred to a small number of senior staff for a decision

Many staff can make decisions without first having to seek the

approval of their managersNot sure




Basic healthcare

Primary education


59

19. How do you rate the municipal administration’s capacity to negotiate with regional and central authorities, and service delivery partners with respect to these services? [Rank 1-5. 1=strong; 2=moderate; 3=weak; 4=no capacity in this area; 5=not sure]

Capacity to negotiate with regional authorities

Capacity to negotiate with central authorities

Capacity to negotiate with service delivery partners [only applies if

responsibility is shared]




Basic healthcare

Primary education

20. In general, how easily can members of the public access information on the following. [Rank 1-4. 1=information is readily available at any time; 2=information is available upon request; 3=information is generally not available to the public; 4=not sure]

Budgets Actual expenditure Performance targets Performance monitoringService delivery partnership

arrangementsDrinking water supply



Basic healthcare

Primary education


60

21. How often are the views of clients sought on the following services?

ContinuouslyAt least once each

monthAt least once

every six monthsAt least once each

year

Occasionally but not no fixed

intervalNever Not sure




Basic healthcare

Primary education

22. To what extent are concerns of the following clients in relation to these services included in feed back? [Rank 1-4. 1=always; 2=sometimes; 3=seldom / never; 4=not sure].

Service quality and timeliness

Service availabilitySuggestions for service

enhancementOther Not sure

Women

Persons belonging to religious, cultural and/or ethnic minori-ties

Refugees and displaced persons

Persons living with disabilities

Young persons

Persons with a low income



61

23. To what extent are the results of client surveys made available to the public?

This is standard practice Sometimes Rarely / never Not sure




Basic healthcare

Primary education

24. How many staff are working on research, statistics, and analysis? Insert number, including ‘0’ where appropriate. If not sure, do not insert numbers, but insert checkmark in “Not sure” column.

Full time Part time ContractedNot sureSome of their

timeAll of their time

Some of their time

All of their timeSome of their

timeAll of their time




Basic healthcare

Primary education


62

25. In the areas of drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education, how many staff have a formal, nationally or internationally recognized qualification involving statistics? Insert number, including ‘0’ where appropriate. If not sure, do not insert numbers, but insert checkmark in “Not sure” column.

Full time Part time Contracted Not sure

26. Is there sufficient, suitably qualified and experienced staff to carry out effective research and analysis for these services?

Yes No Not sure




Basic healthcare

Primary education

27. Are there sufficient financial resources to carry out effective research and analysis for these services?

Yes No Not sure




Basic healthcare

Primary education


63

28. Are there sufficient financial resources to carry out research regarding the risks posed by climate change to the delivery these services?

Yes No Not sure




Basic healthcare

Primary education

29. Overall, how do you rate the capacity of the municipal administration to collect/generate statistical information relating to the delivery of these services?

Strong Moderate Weak No capacity Not sure




Basic healthcare

Primary education

30. Overall, how do you rate the capacity of the municipal administration to collect/generate statistical information regarding the risks posed by climate change to the delivery of these services?





Basic healthcare

Primary education


64

31. Has any research or assessment been carried out regarding the risks posed by climate change to the delivery of these services? Select one option in each row.

Yes. Assessment covers next 30

years


years


years


yearsNo Not sure




Basic healthcare

Primary education

32. To what extent is the delivery of these services likely to be impacted by climate change?

Significantly Somewhat Little/not at all Not sure.




Basic healthcare

Primary education


65

33. Has any research or assessment been carried out regarding the risks posed by climate change to the delivery of the 5 basic services to the following groups? Select one option in each row.

Yes No Not sure.

Women

Persons belonging to religious, cultural and/or ethnic minorities



Young persons



34. To what extent is the delivery of the 5 basic services to the following groups likely to be impacted by climate change over the next 30 years?

Significantly Somewhat Little/not at all Not sure

Women

Persons belonging to religious, cultural and/or ethnic minorities



Young persons




66

35. Has any research or assessment been carried out to identify the carbon footprint of these services?

Yes No Not sure




Basic healthcare

Primary education

36. Does the municipal administration know the carbon footprint of these services?

Yes No Not sure




Basic healthcare

Primary education

37. Does the municipality have any policies, strategies, or action plans covering the following for any of the following?

Reducing energy consumption Increasing use of renewable energyPromotion of local “green” businesses (e.g.

suppliers and service businesses)

Yes No Not sure Yes No Not sure Yes No Not sure




Basic healthcare

Primary education


67

38. Overall, how do you rate the capacity of the municipal administration to analyze statistical information relating to the delivery these services?





Basic healthcare

Primary education

39. How do you rate the research, statistics, and analysis IT of the municipal administration (computer workstations, servers, software, internal network, internet access, IT expertise)?

Meets current and future needs

Meets current needsPartially meets current

needsFalls well short of

current needsNot sure




Basic healthcare

Primary education


68

40. How does the municipal administration identify development needs of staff involved in research, statistics, and analysis in the areas of drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education?

Regular Ad hoc Never Not sure

Formal staff appraisal

Training needs assessment

Staff performance monitoring

Department performance monitoring

Requests from individual staff

Feedback from other staff within the organization

Feedback from external stakeholders

When problems occur

41. Has any training been provided, or is any training planned for staff in relation to assessing climate change risks? Select one option in each row.

Adequate training has been provided

Training is planned

Training is intended at some point in the

future but has not yet been planned

There are no plans for this type of training

Not sure




Basic healthcare

Primary education


69

42. To what extent does the municipal administration determine its own research, statistics, and analysis priorities and methods, and to what extent are they specified by other authorities (e.g. central and regional)?

Has significant influence over these Has some influence over these Has little influence over these Not sure




Basic healthcare

Primary education

43. To what extent does the municipal administration rely on its own research, statistics, and analysis, and to what extent on research, statistics, and analysis provided by other authorities and organizations?

Relies mainly on own research, statis-tics and analysis

Relies on both own research, statistics and analysis, and research, statistics,

and analysis provided by others

Relies mainly on research, statistics, and analysis provided by others

Not sure




Basic healthcare

Primary education


70

44. To what extent is the municipal administration able to negotiate with central and regional authorities regarding research, statistics, and analysis, specifically with respect to (1) determine roles and responsibilities, (2) define methods, (3) obtain resources, and (4) obtain data?

Frequently able to get agreement to its

proposals

Sometimes able to get agreement to its

proposals

Rarely / never able to get agreement to

its proposalsNot sure




Basic healthcare

Primary education

45. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organizations, etc.) in carrying out research and analysis with respect to these services?

Often works closely with other munici-palities and organizations

Sometimes works with other municipali-ties and organizations

Rarely / never works with other munici-palities and organizations

Not sure




Basic healthcare

Primary education


71

46. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organizations, etc.) in carrying out climate change risk analysis with respect to these services?

Often works closely with other municipalities and organizations

Sometimes works with other municipalities and organizations

Rarely / never works with other municipalities and organizations

Not sure




Basic healthcare

Primary education

47. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration and its service delivery partners in the area of research, statistics, and analysis?

Encouraged to innovateNeither encouraged to, nor

discouraged from innovatingDiscouraged from innovating Not sure




Basic healthcare

Primary education


72

48. Is there any legal requirement for the municipality to assess the risks posed by climate change to the delivery of these services? Select one option in each row.

Yes. Assessment should cover next 30

years or more


years


years


yearsNo Not sure




Basic healthcare

Primary education

49. How do you rate the knowledge of the municipal administration with respect to research, statistics, and analysis methods, regarding these services?

Strong Moderate Weak Not sure




Basic healthcare

Primary education


73

50. To what extent does the municipal administration make research, statistics, and analysis related to these services available to the public?

All research, statistics, and analysis is available to the public

Some research, statistics, and analysis is available to the public

Little / no research, statistics, and analysis is available to the public

Not sure




Basic healthcare

Primary education

51. What, if any, explicit policy, strategy, and service development obligations does legislation place on relevant service providers with respect to these services?

Policy, strategy, and service development obligations exist in

legislation

Policy, strategy, and service development

encouraged in legislation

Legislation neither encourages nor discourages policy, strategy, and service

development responsibilities

Policy, strategy, and service development discouraged

in legislation

Policy, strategy, and service development reserved

to other authorities (e.g. central and / or regional)

Not sure




Basic healthcare

Primary education


74

52. Is there any obligation on the municipal administration to develop climate change mitigation and adaptation policies and/or strategies?

Obligations exist in legislation

Encouraged by legislation

Neither encouraged nor discouraged by

legislation

Discouraged in legislation

Is the responsibility of other authorities (e.g. central and / or

regional)

Not sure




Basic healthcare

Primary education

53. Does the municipal administration have formal policies, strategies, and plans for climate change mitigation and adaption for these services?

Yes. Covering the next 30 years or

more

Yes. Covering the next 20 -30 years

Yes. Covering the next 10-20 years

Yes. Covering the next 5-10 years

Yes. Covering the next 5 years

No Not sure




Basic healthcare

Primary education


75

54. Has the municipal administration identified the municipality’s investment needs to mitigate and adapt to climate change?

Yes. Covering the next 30

years or more

Yes. Covering the next 20 -30

years

Yes. Covering the next 10-20

years

Yes. Covering the next 5-10

years

Yes. Covering the next 5 years

No Not sure




Basic healthcare

Primary education

55. Do guidelines / procedures exist for the development of policies, strategies, and services for the following?

Yes No Not sure




Basic healthcare

Primary education

56. If there are policy, strategy, and service development guidelines / procedures, to what extent are they implemented?

Fully PartlySeldom/

neverNot sure




Basic healthcare

Primary education


76

57. If there are policy, strategy, and service development guidelines / procedures, to what extent do they cover climate change risk mitigation and adaptation?

Comprehensively Somewhat Little/not at all Not sure




Basic healthcare

Primary education

58. If there are specific guidelines / procedures covering the integration gender and human rights issues into policies, strategies, and services, to what extent are they actually implemented with respect to drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education?

Fully PartlyRarely/never

Not sure

Integration women’s needs and interests

Integration of minority needs and interests

Integration of needs and interests of people with disabilities


77

59. How many staff are working on policy, strategy, and service development issues? Insert number, including ‘0’ where appropriate. If not sure, do not insert numbers, but insert checkmark in “Not sure” column.

Full time Part time ContractedNot sure

Some of their time All of their time Some of their time All of their time Some of their time All of their time




Basic healthcare

Primary education

60. To what extent is climate change mitigation and adaptation incorporated into the work of staff working on policy, strategy, and service development issues?

A lot Somewhat Little/not at all Not sure




Basic healthcare

Primary education

61. In the areas of drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education, how many staff have a formal, nationally or internationally recognized qualification involving policy, strategy, and service / project development? Insert number, including ‘0’ where appropriate. If not sure, do not insert numbers, but insert checkmark in “Not sure” column.



78

62. Are policy, strategy, and service development responsibilities for these services clearly assigned within the municipal administration?


Yes NoNot sure

Yes NoNot sure




Basic healthcare

Primary education

63. Are there sufficient, suitably qualified and experienced staff to carry out effective policy, strategy, and service development for these services?

Yes No Not sure




Basic healthcare

Primary education

64. Are there sufficient financial resources to carry out effective policy, strategy, and service development for these services?

Yes No Not sure




Basic healthcare

Primary education


79

65. Are there sufficient financial resources to carry out effective policy, strategy for these services in the area of climate change mitigation and adaptation for these services?

Yes No Not sure




Basic healthcare

Primary education

66. Overall, how do you rate the capacity of the municipal administration and other service delivery organizations to formulate policy, strategy, and service development proposals for these services?





Basic healthcare

Primary education


80

67. To what extent do the following influence the policies and strategies of the municipal administration and other service delivery organizations? [Rank 1-4. 1=a lot; 2=somewhat; 3=little / not at all / not relevant; 4=not sure]

European Charter of Local Self-Govern-

ment

European Social Charter

Millennium Develop-ment Goals

National and / or re-gional development

plans / strategies

EU Roadmap for Equality between Men and Women

UN Convention on the Rights of Persons

with DisabilitiesOther




Basic healthcare

Primary education

68. Overall, how do you rate the capacity of the municipal administration and other service delivery organizations to align policy, strategy, and service development proposals with the following key documents? [Rank 1-4. 1=strong; 2=moderate; 3=weak / none at all; 4=not sure]

European Charter of Local Self-Government

European Social CharterMillennium Develop-

ment Goals

National and / or regional development

plans / strategies

EU Roadmap for Equal-ity between Men and

WomenOther




Basic healthcare

Primary education


81

69. To what extent does the municipal administration determine its own policy, strategy, and service development priorities and methods, and to what extent are they specified by other authorities (e.g. central and regional)?

Has significant influence over

these

Has some influ-ence over these

Has little influ-ence over these

Not sure




Basic healthcare

Primary education

70. To what extent are the municipal administration and other service delivery organizations able to negotiate with central and regional authorities regarding policy, strategy, and service development, specifically with respect to (1) determine roles and responsibilities, (2) define methods, (3) obtain resources, and (4) obtain data?

Frequently able to get agreement to its proposals

Sometimes able to get agreement to its proposals

Rarely / never able to get agreement to its proposals

Not sure




Basic healthcare

Primary education


82

71. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organisations, etc.) in carrying out policy, strategy, and service development with respect to these services?

Often works closely with other munici-palities and organizations

Sometimes works with other munici-palities and organizations

Rarely / never works with other mu-nicipalities and organizations

Not sure




Basic healthcare

Primary education

72. To what extent does central government consult local governments about the impacts of policy proposals?

Always Often Sometimes Seldom/never Not sure




Basic healthcare

Primary education

73. To what extent does central government consult local governments about their capacities to implement policy proposals?

Always Often Sometimes Seldom/never Not sure




Basic healthcare

Primary education


83

74. How substantive are the consultations that the central government holds with the municipality regarding policy proposals?

Very substantive Somewhat substantive Not substantive Not sure




Basic healthcare

Primary education

75. How strong is the dialogue between central government and the municipality in the following areas?

Very strongNeither strong nor

weakWeak No dialogue at all Not sure

Protecting the environment

Managing natural resources

76. To what extent does slow public administration reform undermine strategic planning by the municipal administration in the area of human resource management?

Makes human resource planning very difficult

Makes human resource planning somewhat

difficult

Does not affect human resource planning

Not sure


84

77. To what extent does slow public administration reform undermine strategic planning by the municipal administration in the area of climate change mitigation and adaptation?

Makes climate change planning very difficult

Makes climate change planning somewhat

difficult

Does not affect climate change planning

Not sure

78. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration and other service delivery organizations in the area of policy, strategy, and service development?

Encouraged to innovateNeither encouraged to, nor discour-aged from innovating

Discouraged from innovating Not sure




Basic healthcare

Primary education

79. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration and other service delivery organizations in the area of climate change mitigation and adaption policy and strategy development for the following services?






Basic healthcare

Primary education


85

80. How do you rate the knowledge of the municipal administration with respect to policy, strategy, and service development methods?





Basic healthcare

Primary education

81. To what extent does the municipal administration consult the public and other stakeholders about its policy, strategy, and service development proposals? [Rank 1-4. 1=frequently; 2=sometimes; 3=rarely / never;4=not sure]

Policy proposals Strategy proposals Service development proposals




Basic healthcare

Primary education

82. To what extent does the municipal administration consult the public and other stakeholders about its policy, strategy, and service development proposals regarding climate change mitigation and adaptation? [Rank 1-4. 1=frequently; 2=sometimes; 3=rarely / never;4=not sure]

Policy proposals Strategy proposals Service development proposals




Basic healthcare

Primary education


86

83. To what extent is the municipal administration required by legislation to consult stakeholders regarding policy, strategy, and service development relating to these services?

Required EncouragedNeither required /

encouraged, nor discour-aged / not permitted

Discouraged Not permitted Not sure




Basic healthcare

Primary education

84. To what extent is the municipal administration incentivized to consult stakeholders?

Incentives existThere are neither incentives nor

disincentivesDisincentives exist Not sure




Basic healthcare

Primary education


87

85. To what extent does the municipal administration incorporate stakeholder feedback on policy, strategy, and service development relating to these services?

Always Usually Rarely / never Not sure




Basic healthcare

Primary education

86. Do clear guidelines / procedures exist within the municipal administration for budgeting, accounting, service management / oversight, and service implementation for the following? [Rank 1-3. 1=yes; 2=no; 3=not sure.]

Budgeting Revenue raising Accounting Service management / oversight Service implementation




Basic healthcare

Primary education

87. To what extent are existing guidelines and procedures actually implemented? [Rank 1-4. 1=fully; 2=partly; 3=little / not at all; 4=not sure.]





Basic healthcare

Primary education


88

88. To what extent are existing guidelines and procedures on gender and human rights actually implemented?

Fully PartlySeldom/

neverNot sure

Integration of the needs and rights of women into all aspects of budgeting, revenue raising, service implementation etc.

Integration of human rights issues into all aspects of budgeting, revenue raising, service implementation etc. (including the needs and rights of minorities and other typically socially excluded groups)

Training of staff on gender and human rights issues related to their professional activities (such as budgeting, revenue rais-ing, service implementation etc.)

Employment equality (employment of men and women in equal numbers, equal pay, and equal representation of men and women in management posts)

89. How many staff, overall within the municipal administration are working on budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services? Insert number, including ‘0’ where appropriate. If not sure, do not insert numbers, but insert checkmark in “Not sure” column.

Full time Part time ContractedNot sure


Budgeting

Revenue raising

Accounting

Service management / oversight

Service implementation


89

90. What, if any constraints are placed by the central government on local governments regarding human resource management?

Heavily constrained Partly constrained No constraints Not sure

Overall staffing levels

Organisation of staff

Recruitment

Qualifications

Remuneration, benefits, incentives

Dismissal

91. To what extent is recruitment subject to influences from outside the municipal administration?

A lot Somewhat Not at all Not sure

Overall staffing levels

Organisation of staff

Recruitment

Qualifications

Remuneration, benefits, incentives

Dismissal


90

92. Overall, roughly what percentage of the staff working on budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services are from the following groups?

Women Persons belonging to minority group Persons from other typically socially excluded groups

10 % or less

11% - 30 %

31%- 50 %

51%- 70 %

71 %-100 %

Not sure

93. How many staff have a formal, nationally or internationally recognised qualification involving budgeting, accountancy, project management, or procurement? [Insert number, including ‘0’ where appropriate. If not sure, do not insert numbers, but insert checkmark in “Not sure” column]


94. Are budgeting, revenue raising, accounting, service management / oversight, and service implementation responsibilities for these services clearly assigned within the municipal administration? [Insert 1-3. 1=yes; 2=no; 3=not sure. Insert ‘NA’ only if municipal administration or other service delivery organizations do not have responsibility for the relevant aspect of service i.e. budgeting, revenue raising, accounting, service management / oversight, or service implementation]





Basic healthcare

Primary education


91

95. Are there sufficient, suitably qualified and experienced staff to carry out budgeting, revenue raising, accounting, service management / oversight, and service implementation? [Select 1-3. 1=yes; 2=no; 3=not sure. Insert ‘NA’ only if municipal administration or other service delivery organizations do not have responsibility for the relevant aspect of service i.e. budgeting, revenue raising, accounting, service management / oversight, or service implementation]





Basic healthcare

Primary education

96. Are there sufficient financial resources for effective budgeting, revenue raising, accounting, service management / oversight, and service implementation for these services within the municipal administration? [Select 1-3. 1=yes; 2=no; 3=not sure.]





Basic healthcare

Primary education


92

97. Overall, how do you rate the capacity of the municipal administration and other service delivery organizations to carry out budgeting, revenue raising, accounting, service management / oversight, and service implementation in the areas of budgeting, revenue raising, accounting, service management / oversight, and service implementation? [Rank 1-4. 1=strong; 2=moderate; 3=weak; 4=not sure]





Basic healthcare

Primary education

98. How do you rate the procurement capacity of the municipal administration? [Rank 1-4. 1=strong; 2=moderate; 3=weak; 4=not sure]

Developing technical specifications and terms of

referenceTender evaluation Contract negotiation Contract monitoring Contract enforcement




Basic healthcare

Primary education


93

99. What corrective action has the municipality undertaken when contracts have not been satisfactorily performed by the contractor?

This has been done on many occasions

This has been done sometimes

This has rarely/never been done

Not sure

Resolve the problem through discussion with the contractor

Impose financial penalties on the contractor

Terminate the contract

Other corrective actions

100. Are the financial resources of the municipal administration sufficient to meet its service delivery / implementation obligations?

Fully PartlyLittle / not

at allNot sure




Basic healthcare

Primary education

101. Are the financial resources of the municipal administration sufficient to meet its service delivery / implementation obligations with respect to the following groups?

Fully Partly Little / not at all Not sure

Women

Minorities

Persons with disabilities

Other typically socially excluded groups


94

102. Does the municipal administration have sufficient revenue raising powers to meet its service delivery / implementation obligations?

Yes No Not sure




Basic healthcare

Primary education

103. Is the local economy large enough (e.g. per capita income, size of population, number and revenue of businesses, etc.) to meet the local share of service delivery costs (i.e. total cost less grants / transfers from central or regional authorities)?

Yes No Not sure




Basic healthcare

Primary education

104. Are grants / transfers from central and regional authorities sufficiently predictable (i.e. in terms of both size and timing) to enable reliable budgeting and service delivery / implementation?

Always Generally Seldom / never Not sure




Basic healthcare

Primary education


95

105. Are there any restrictions placed on the use of grants / transfers from central and / or regional authorities that undermine the ability of the municipal administration to deliver / implement services effectively?

Yes No Not sure




Basic healthcare

Primary education

106. What percentage of service charges (by value) is paid on time?

75% - 100% 50% - 74% 25% - 49% <25% Not sure Does not apply




Basic healthcare

Primary education

107. Approximately what percentage of late service charge payments (by value) is paid following action by the municipality and/or relevant public utility company?

75% - 100% 50% - 74% 25% - 49% <25% Not sure Does not apply




Basic healthcare

Primary education


96

108. Which type of customer accounts for the largest value of service charges remaining unpaid more than 6 months after invoicing?

Large enterprises Medium enterprises Small enterprises Households Not sure




109. How are users invoiced for drinking water supply, liquid waste management, and solid waste management?

All services are invoiced separately

One invoice covers more than one service. The charge

for each service is clearly identified

One invoice covers more than one service. There is a single charge covering

different services. It is not possible to identify the cost

of each service

Other Not sure

110. To what extent do the municipality and/or relevant public utility companies undertake regular scheduled equipment and infrastructure maintenance in the following areas?

Regular scheduled maintenance is planned and carried out

Regular scheduled maintenance is planned but not always carried out

There is no regular scheduled maintenance plan. All maintenance is ad hoc.

Not sureDoes not

apply




Basic healthcare

Primary education


97

111. Overall, how do you rate the capacity of the municipal administration to implement / deliver services in line with agreed policies and strategies?





Basic healthcare

Primary education

112. To what extent do any of the following undermine the ability of the municipal administration to deliver services that address the needs and rights of the following groups? [Applies only to drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education] [Rank 1-4. 1=major constraint; 2=some constraint; 3=no constraint; 4=not sure]

Women MinoritiesPersons with

disabilitiesOther typically socially

excluded groups

Lack of legal obligations concerning service delivery for this particular group

Lack of revenue raising power to meet legal obligations that concern this group

Insufficient local economy to meet the local share of service delivery costs for this group

Insufficient grants / transfers targeting this group from central and regional authorities (i.e. in terms of both size and timing)

Restrictions placed by central and / or regional authorities hinder use of grants / transfers for this group,

Other


98

113. Overall, how do you rate the capacity of the municipal administration to implement / deliver services in line with agreed gender and human rights policies and strategies concerning the following groups? [Applies only to drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education]


Women

Minorities



114. Overall, how do you rate the capacity of the municipal administration and other service delivery organizations to align service delivery / implementation with the following key documents?

European Charter of Local Self-Govern-

ment

European Social Charter

Millennium Develop-ment Goals

National and / or re-gional development

plans / strategies

EU Roadmap for Equality between Men and Women

UN Convention on the Rights of Persons

with DisabilitiesOther




Basic healthcare

Primary education


99

115. How do you rate the IT capacity (computer workstations, servers, software, internal network, internet access, IT expertise) of the municipal administration with respect to budgeting, revenue raising, accounting, service management / oversight, and service implementation for these services? [Rank 1-5.1=meets current and future needs; 2=meets current needs; 3=partially meets current needs; 4=falls well short of current needs; 5=not sure]





Basic healthcare

Primary education


100

116. What types of development activities does the municipal administration provide for staff working budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services?

Full Time Staff Part Time Staff Contract Staff

Current financial year Formal training events

Seminars, conferences, workshops

Courses leading to qualifications

Courses not leading to qualifications

Local study visits

International study visits

Twinning

Coaching

Mentoring

Not sure

Previous financial year

Formal training events




Local study visits


Twinning

Coaching

Mentoring

Not sure


101

117. To what extent does the municipal administration specify its own service delivery targets to what extent are these specified by other authorities (e.g. central and regional)?

Has significant influence over these

Has some influence over these

Has little influence over theseThere are no service delivery

targets for this serviceNot sure




Basic healthcare

Primary education

118. To what extent does the municipal administration specify service delivery targets regarding the following groups, and to what extent are they specified by other authorities (e.g. central and regional)?

Has significant influence over these

Has some influence over these

Has little influence over theseThere are no service delivery

targets for this groupsNot sure

Women

Minorities


Persons with low income



102

119. To what extent does the municipal administration design services to meet the needs and rights of the following groups, and to what extent are they delivering services to these groups that are designed/specified by other authorities and organizations? [Applies only to drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education]

Relies mainly on own service designs

Relies on both own service designs and those provided by

others

Relies mainly on service designs provided by others

There are no services that have been designed or adapted specifically for this group

Not sure

Women

Minorities

Persons with disabilities



120. To what extent is the municipal administration able to negotiate with central and regional authorities regarding service delivery / implementation, specifically with respect to (1) determine roles and responsibilities, (2) defining methods, (3) setting targets, and (4) obtaining resources?

Frequently able to get agreement to its proposals

Sometimes able to get agreement to its proposals

Rarely / never able to get agreement to its proposals

Not sure




Basic healthcare

Primary education


103

121. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration with respect to the delivery / implementation of these services?






Basic healthcare

Primary education

122. How often does the municipal administration consult the public about service delivery? [For the purposes of this questions, “consult” means to seek feedback from 2%, or more, of service users about the quality, reliability, and coverage of services]

At least once every month

At least once every six months

At least once every year

At least once every two years

Less frequently than every two years

Not sure




Basic healthcare

Primary education


104

123. To what extent does the municipal administration consult with the following stakeholders about service delivery?

Frequently Sometimes Rarely / never Not sure

Organizations representing women’s interests

Organizations representing the interests of religious, cultural, or ethnic minorities

Organizations representing the interests of refugees and/or displaced persons

Organizations representing the interests of persons with disabilities

Youth associations and organizations representing the interests of young people

Other organizations representing the interests of other typically socially excluded persons

124. To what extent does the municipal administration consult specialist gender and human rights staff, departments, and other bodies (e.g. councils and committees) about the delivery / implementation of the five services?

Frequently Sometimes Rarely / never Not sure

There are no such specialist staff, departments, or other bodies to consult on human rights and gender issues

125. Which of the following does the municipal administration invite to comment on delivery / implementation?

General publicOther service

delivery organi-zations

Local NGOsNational and

regional NGOsOther munici-

palitiesCentral authori-

tiesRegional

authoritiesInternational

agencies




Basic healthcare

Primary education


105

126. To what extent is the municipal administration required by legislation to consult the public and other stakeholders about the delivery of these services?

Required EncouragedNeither required /

encouraged, nor discour-aged

Discouraged Not permitted Not sure




Basic healthcare

Primary education

127. Is the municipal administration required by legislation to consult the following stakeholders regarding the delivery of these services? [1=Yes; 2=No; 3=Not sure]

Women Minorities Other typically socially excluded groups




Basic healthcare

Primary education


106

128. To what extent is the municipal administration incentivized by central and / or regional authorities to consult the public and other stakeholders about the delivery of these services?

Incentives existThere are neither incentives nor

disincentivesDisincentives exist Not sure




Basic healthcare

Primary education

129. Is the municipal administration incentivized by central and/or local authorities to consult the following stakeholders about the delivery of these services? [1=Yes;2=No;3=Not sure]

Women MinoritiesOther typically socially

excluded groups




Basic healthcare

Primary education


107

130. To what extent does the municipal administration incorporate stakeholder feedback on the delivery / implementation of these services?

Always Usually Rarely / never Not sure




Basic healthcare

Primary education

131. What, if any, explicit monitoring and evaluation obligations does legislation place on the municipality with respect to the provision of these services?

Monitoring and evalua-tion obligations exist in

legislation

Monitoring and evalu-ation encouraged in

legislation

Legislation neither en-courages nor discour-ages monitoring and

evaluation

Monitoring and evalu-ation discouraged in

legislation

Monitoring and evalu-ation reserved to other authorities (e.g. central

and / or regional)

Not sure




Basic healthcare

Primary education


108

132. Does legislation place any obligation on the municipality to cover specifically the following groups when monitoring and evaluating these services (for example obligations to disaggregate monitoring data by sex, ethnicity, and age groups)?

Monitoring and evaluation of women

Monitoring and evaluation of minorities

Monitoring and evaluation of persons living with disabilities

Monitoring and evaluation of other typically socially excluded

groups

Yes No Not sure Yes No Not sure Yes No Not sure Yes No Not sure




Basic healthcare

Primary education

133. With respect to monitoring and evaluation, how good is co-ordination between the municipal administration and other service delivery organisations?

Excellent Adequate Problematic Not sure




Basic healthcare

Primary education


109

134. Do guidelines / procedures exist for monitoring and evaluation for the following?

Yes No Not sure




Basic healthcare

Primary education

135. To what extent are existing monitoring and evaluation implemented by the municipal administration with respect to the services for which it is solely responsible?

Fully PartlySeldom/

neverNot sure




Basic healthcare

Primary education


110

136. Do the guidelines / procedures for monitoring and evaluation give guidance on the following?

Yes No Not sure

How to design systems that specifically monitor and assess access to and use of services by both male and female users

How to design systems that specifically monitor and assess access to and use of services users amongst typically socially excluded groups (minorities, people with disabilities, etc.)

How to design systems that measure satisfaction among both female and male users

How to design systems that measure satisfaction among users from typically socially excluded groups

How to design systems that measure the delivery performance of the municipal administration and other service deliv-ery organizations in fulfilling gender equality and discrimination standards in processes and results (targets).

137. To what extent are the following activities actually undertaken?

Frequently SometimesSeldom/

neverNot sure

Monitoring and assessing access to and use of services by both male and female users

Monitoring and assessing access to and use of services by users amongst typically socially excluded groups (minorities, people with disabilities, etc.)

Monitoring and assessing satisfaction among both female and male users

Monitoring and assessing satisfaction among users from typically socially excluded groups

Monitoring and assessing the delivery performance of the municipal administration and other service delivery organiza-tions in fulfilling gender equality and discrimination standards in processes and results (targets).


111

138. How many staff are working on monitoring and evaluation issues? Insert number, including ‘0’ where appropriate. If not sure, do not insert numbers, but insert “NS” in relevant column.

Full time Part time Contracted





Basic healthcare

Primary education

139. Overall, roughly what percentage of the staff working on monitoring and evaluation issues in relation to these services are from the following groups?

Women Persons belonging to minority group Persons from other typically socially excluded groups

10 % or less

11% - 30 %

31%- 50 %

51%- 70 %

71%-100 %

Not sure


112

140. Are monitoring and evaluation responsibilities for these services clearly assigned within the municipal administration?


Yes NoNot sure

Yes NoNot sure




Basic healthcare

Primary education

141. To what extent do specialist gender and human rights staff, departments, and other bodies (e.g. councils and committees) participate in monitoring and evaluation of these services?

Frequently SometimesRarely/never

Not sure

Focal point, advisor, or sub-department on gender

Focal point, advisor or sub-department on human rights and minority concerns

Council or committee on gender

Council or committee on human rights and minority concerns

Other


113

142. Are there sufficient, suitably qualified and experienced staff to carry out effective monitoring and evaluation for these services?

Yes No Not sure




Basic healthcare

Primary education

143. Are there sufficient financial resources to carry out effective monitoring and evaluation for these services?

Yes No Not sure




Basic healthcare

Primary education

144. Overall, how do you rate the capacity of the municipal administration to monitor and evaluate these services?



Liquid waste manage-ment


Basic healthcare

Primary education


114

145. Do any of the following constrain the capacity of the municipal administration to integrate gender and human rights issues effectively into monitoring and evaluation of these services?

Major constraint Some constraint No constraint Not sure

Legislation

Lack of practical guidelines / procedures on how to design monitoring systems that address gender and human rights issues

Lack of staff with expertise in analysing and evaluating service delivery data from gender and human rights perspectives

Lack of finances

Lack of support and encouragement from management / supervisors

People belonging to typically socially excluded groups do not want to participate in service delivery monitoring and evalua-tion activities

Other

146. Overall, how to you rate the capacity of the municipal administration to undertake monitoring and evaluation of the following issues?

Strong Moderate WeakNo

capacityNot sure

Monitoring and assessing access to and use of services by both male and female users

Monitoring and assessing access to and use of services by users amongst typically socially excluded groups (minorities, people with disabilities, etc.)

Monitoring and assessing satisfaction among both female and male users

Monitoring and assessing satisfaction among users from typically socially excluded groups

Monitoring and assessing the delivery performance of the municipal administration and other service delivery organisa-tions in fulfilling gender equality and discrimination standards in processes and results (targets).

Collecting data disaggregated by ethnicity to compare differences in development indicators between minority and majority population

Measuring the delivery performance of the municipal administration and its partners in fulfilling gender equality and discrimination standards in processes and results (targets).


115

147. Are there service delivery targets for these services?

Yes No Not sure




Basic healthcare

Primary education

148. Do service delivery targets for these services include the following components? [Rank 1-3. 1=yes; 2=no; 3=not sure]

Quantity QualityTimeliness / continuity / availability




Basic healthcare

Primary education


116

149. To what extent do monitoring and evaluation carried out by the municipal administration comply with guidelines and recommendations provided by the following? [Rank 1-4. 1=closely; 2=somewhat; 3=little / not at all; 4=not sure]

National guidelinesCouncil of Europe (e.g. “Performance

Management at Local Level”)World Bank (e.g. “Are You Being Served?”)




Basic healthcare

Primary education

150. When monitoring and evaluating service delivery, to what extent do the municipal administration focus on progress towards the achievement of Millennium Development Goals?

No Millennium Development Goals exist

in this areaExtensively Somewhat Little / not at all Not sure




Basic healthcare

Primary education


117

151. How do you rate the monitoring and evaluation IT of the municipal administration (computer workstations, servers, software, internal network, internet access, IT expertise)?

Meets current and future needs

Meets current needsPartially meets current

needsFalls well short of current

needsNot sure




Basic healthcare

Primary education

152. To what extent are the monitoring and evaluation activities carried out by the municipal administration determined by the municipality itself, and to what extent are they stipulated by other authorities and organizations?

Monitoring and evaluation activities are mainly determined by the

municipal administration

Monitoring and evaluation activities are are partly determined the municipal administration and

partly stipulated by other authorities

Monitoring and evaluation activities are mainly stipulated by other

authoritiesNot sure




Basic healthcare

Primary education


118

153. To what extent does the municipal administration work with other actors (e.g. central and regional authorities, international organizations, etc.) in monitoring and evaluating service delivery with respect to the following groups? [Rank 1-4. 1= often works closely with other municipalities and organizations; 2= Sometimes works with other municipalities and organizations; 3= Rarely / never works with other municipalities and organizations; 4=not sure]

Women Minorities People with disabilitiesOther typically socially excluded

groups




Basic healthcare

Primary education

154. To what extent do central and regional government requirements encourage or discourage innovation by the municipal administration and other service delivery organizations in the area of monitoring and evaluation?

Encouraged to innovateNeither encouraged to, nor discour-

aged from innovatingDiscouraged from innovating Not sure




Basic healthcare

Primary education


119

155. Overall, how do you rate the capacity of the municipal administration to translate the findings of monitoring and evaluation into service improvements?





Basic healthcare

Primary education

156. Overall, how do you rate the capacity of the municipal administration to translate the findings of monitoring and evaluation into service improvements for the following groups?


Women

Minorities

People with disabilities

People with low income



120

157. How often does the municipal administration monitor service delivery?

ContinuouslyAt least once every

monthAt least once every 6

monthsAt least once per year

Less often than once per year

Not sure




Basic healthcare

Primary education

158. How do you rate the knowledge of the municipal administration with respect to monitoring and evaluation methods?





Basic healthcare

Primary education

159. To what extent does the municipal administration make the results of monitoring and evaluation available to the public? [Rank 1-4. 1=frequently; 2=sometimes; 3=rarely / never;4=not sure]

Monitoring Evaluation




Basic healthcare

Primary education


121

Optional supplementary questions for part 3 of the questionnaireServices where responsibility is shared by the municipality with one or more other service delivery organizations


122

160. How important are the following service delivery partners with respect to the provision of these services in the municipality? [Rank 1=very important; 2=moderately important; 3=not important/relevant].

This municipal administration


Central authorities

Regional / dis-trict authorities

State owned

enterprises

Private enter-prises

NGOOrganizations with climate

change expertiseOther

Not sure




Basic healthcare

Primary education

161. How important are the following partners with respect to the provision of these services? [Rank I=very important; 2=moderately important; 3=not important/relevant].

Civil society organizations and private enterprises representing in particular women’s interests and

demands

Civil society organizations and private enterprises representing in particular minorities’ interests and

demands

Civil society organizations and private enterprises representing

typically socially excluded groups’ interests and demands

Civil society organizations and private enterprises representing

the interests of groups promoting climate change mitigation and

adaptation




Basic healthcare

Primary education


123

162. What are the key impediments to establishing service delivery partnerships?

Discour-aged or not

permitted by legislation / regulations

Lack of clarity in legislation / regulations

Restrictions on the use of central

government grants

Lack of other suitable serv-

ice delivery organizations

Lack of experience in the munici-pal admin-

istration in setting up service

delivery part-nerships

Lack of experience in the munici-pal admin-istration in

working with service deliv-ery partners

Lack of partnership approach in the country

This service is not suited to a partnership

approach

Other Not sure




Basic healthcare

Primary education


124

163. How clear are the roles and responsibilities of municipal administration, its service delivery partners, and central and regional authorities with respect to research, statistics, and analysis for these services?

Municipal administration Service delivery partner organization Other actors (e.g. central and regional authorities)

Role and responsi-

bilities are clear

Role and responsi-

bilities are somewhat

clear

Role and responsi-

bilities are unclear

Not sure

Role and responsi-

bilities are clear

Role and responsi-


clear

Role and responsi-


Not sure

Role and responsi-

bilities are clear

Role and responsi-


clear

Role and responsi-


Not sure




Basic healthcare

Primary education


125

164. How clear are the roles and responsibilities of the municipal administration, its service delivery partners, and central and regional authorities with respect to climate change research, statistics, and analysis for these services?

Municipal administration Service delivery partner organization Other actors (e.g. central and regional authorities)

Role and re-sponsibilities

are clear

Role and responsi-


clear

Role and responsi-


Not sure

Role and responsibili-ties are clear


are somewhat clear

Role and re-sponsibilities are unclear

Not sure



are somewhat clear


Not sure




Basic healthcare

Primary education

165. To what extent does legislation assign policy, strategy, and service development responsibilities between relevant service providers?

Not applicable. Service delivery not shared or municipality has no

responsibility for this service

Responsibilities are clearly assigned

Responsibilities are as-signed, but not specifically

Responsibilities are not assigned

Not sure




Basic healthcare

Primary education


126

166. How clearly are policy, strategy, and service development responsibilities divided between the relevant service providers in practice?

Municipality has no responsibility for this service or service delivery not shared

Division of responsibilities is clear in practise

Division of responsibilities is not clear in practise

Not sure




Basic healthcare

Primary education

167. How are policy, strategy, and service development actually undertaken?

Municipality has no responsibility for this service or service delivery

not shared

Jointly by the municipal administration and

service delivery organi-zations

By the municipal administration only


Not sure




Basic healthcare

Primary education


127

168. With respect to policy, strategy, and service development, how good is co-ordination between the municipal administration and other service delivery organizations?

Municipality has no responsibility for this service or service delivery

not sharedExcellent Adequate Problematic Not sure




Basic healthcare

Primary education

169. How clear are the roles and responsibilities of municipal administration, other service delivery organizations, and central and regional authorities with respect to policy, strategy, and service development for these services?

Municipal administration Other service delivery organizations Other actors (e.g. central and regional authorities)

Role and responsibilities

are clear


are somewhat clear


are unclear

Not sure


are clear

Role and re-sponsibilities are somewhat clear

Role and re-sponsibilities are

unclear

Not sure


are clear



unclear

Not sure




Basic healthcare

Primary education


128

170. How clear are the roles of the municipal administration and other service delivery partners in incorporating climate change mitigation and adaptation into policies and strategies for these services?



are clear

Role and responsibilities are somewhat

clear


are unclear

Not sure


are clear



are unclear

Not sure


are clear



unclear

Not sure




Basic healthcare

Primary education

171. How does legislation assign budgeting, revenue raising, accounting, service management / oversight, and service implementation responsibilities between relevant service providers? [Select 1-5. 1=to municipal administration only; 2=to other service delivery organizations only; 3=to both municipal administration and other service delivery organizations; 4=to neither municipal administration nor other service delivery organizations;5=not sure]





Basic healthcare

Primary education


129

172. To what extent does legislation place obligations on the municipal administration and/or other service delivery organizations to address gender and human rights issues during the processes of budgeting, revenue raising, accounting, service management / oversight, and service implementation? [Rank 1-4. 1=A lot; 2=somewhat; 3=not at all; 4=not sure]

BudgetingRevenue raising

AccountingService

management / oversight

Service imple-mentation

Design and implement programmes and systems that specifically target the needs and demands of women

Design and implement programmes and systems that specifically target the needs and demands of minorities

Design and implement programmes and systems that specifically target the needs and demands of other typically socially excluded groups

173. How clearly are budgeting, accounting, revenue raising, service management / oversight, and service implementation responsibilities divided between the relevant service providers in practice? [Insert 1-3. 1=division of responsibilities is clear in practise; 2= division of responsibilities is not clear in practise; 3=not sure]

Municipality has no responsibility for this

serviceBudgeting Revenue raising Accounting






Basic healthcare

Primary education


130

174. With respect to budgeting, revenue raising, accounting, service management / oversight, and service delivery / implementation, how good is co-ordination between the municipal administration and other service delivery organizations? [Rank 1-4. 1=excellent; 2=adequate; 3=problematic; 4=not sure]

Budgeting Revenue raising AccountingService management /

oversightService delivery / imple-

mentation




Basic healthcare

Primary education

175. To what extent does legislation assign monitoring and evaluation responsibilities between relevant service providers?

Responsibilities are clearly assignedResponsibilities are assigned, but

not specificallyResponsibilities are not assigned Not sure




Basic healthcare

Primary education


131

176. How clearly are monitoring and evaluation responsibilities divided between the relevant service providers in practice?

Division of responsibilities is clear in practiseDivision of responsibilities is not clear in

practiseNot sure




Basic healthcare

Primary education

177. How are monitoring and evaluation actually undertaken?

Jointly by the municipal ad-ministration and other service

delivery organizations

By the municipal administra-tion only


Not sure




Basic healthcare

Primary education


132

178. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organizations, etc.) in carrying out monitoring and evaluation with respect to these services?




Not sure




Basic healthcare

Primary education

179. How satisfied is the municipality with the cost to end users for services provided by public utility companies in the following areas?

Very satisfied Somewhat satisfied Not satisfied Not sure Does not apply





133

180. Has the municipality been involved in any of the following types of service delivery partnership?

With another municipality

With several municipalities

With a regional authority

With a private sector operator

With an NGO Not sure

Service delivery opera-tions

Equipment / infra-structure sharing

Investment planning

Financial management

Service charge admin-istration and collection

Other

181. Is the municipality planning to be involved in any of the following types of partnership?

With another municipality

With several municipalities

With a regional authority

With a private sector operator

With an NGO Not sure

Service delivery operations

Investment planning

Financial management

Service charge administration and collec-tion

Other


134

182. What are the main reasons for undertaking actual or envisaged partnerships in the following areas?

Improved quality and/or reliability

of service

Increased coverage of service provision

Access to ex-pensive and/

or scarce equipment and infra-structure

Access to specific

high-cost expertise

Lower serv-ice charges

Reduced overheads

Improved compli-

ance with national and

EU regula-tions

Improved protection of the environ-

ment

Other Not sure

No current or envisaged partnership in this area




Basic healthcare

Primary education

183. How would the municipality describe its experience of partnerships that it has been, or is currently involved in?

Very positive PositiveNeither positive nor

negativeNegative Very negative

No experience of part-nership in this area


Liquid waste manage-ment


Basic healthcare

Primary education


135

184. To what extent, if at all, do the following issues undermine partnerships?

This is/has been a significant problem

This is/has been a moderate problem

This has rarely/never been a problem

Not sure

Partners have different objectives and expectations

Partners do not make agreed contributions as planned (money, staff, equipment, infrastructure, etc.)

The municipality does not get the expected access to equipment, infrastructure, expertise, etc.

Some partners generally fail to perform as envisaged

Financial and/or institutional instability of partners

Change in political leadership of participating municipalities

Lack of clear political leadership in participating municipalities

Questionnaire Municipal service delivery capacity assessment - Turkey and the Western Balkans

136

Questionnaire

Capacity Assessment

Municipal Service DeliveryDrinking water supplyLiquid waste managementSolid waste managementBasic healthcarePrimary education


137

Contents

Part 1 General OverviewPart 2 Services that are the sole responsibility of the municipalityPart 3 Services where responsibility is shared by the municipality with one or more other service delivery organizations


138

Part 1General Overview


139

185. Of the following services, which are the sole responsibility of the municipal administration, and for which does it share responsibility with some other body or organization?

Sole responsibility Shared responsibility No responsibility Not sure




Basic healthcare

Primary education

186. How many staff does the municipal administration employ?

Operational Administrative and managerial

Women Men Women Men

Full time

Part time

Contract staff


140

187. How many of the senior staff and managers in the municipal administration are women, belonging to a minority group, or are from a typically socially excluded group?

Within the municipal administration

Women among senior staff

Women among managers

Minority persons among senior staff

Minority persons among managers

Senior staff from socially excluded group

Managers from socially excluded group

10 % or less

11% - 30 %

31%- 50 %

51%- 70 %

70 %-100 %

Not sure

188. What is the population in the municipality, and what is the estimated percentage of women?

5,000 or less 5,001 - 10,000 10,001 -20,000 20,001 - 50,000 50,001 - 100,000 100,001 - 500,000500,001 - 1,000,000

More than 1,000,000

Total population

Estimated % of women


141

189. Have there been any changes in the profile of the population in the municipality over the past five years?

Significant change Some change Little change Not sure

Increase in population

Decrease in population

Age profile

Gender profile

Increase in % of population living in urban areas

Decrease in % of population living in urban areas

Number of refugees and/or displaced persons

190. What is the area of the municipality [km2]?

Less than 10 km2 10 km2 - 14.9 km2 15 km2 - 19.9 km2 20 km2 -29.9 km2 30 km2 - 49.9 km2 50 km2 - 99.9 km2 100 km2 or more

191. What is the budget of the municipality (excluding international donor funding)?

Current financial year Previous financial year Next financial year

Local currency

Euro


142

192. How is the municipality’s budget made up (excluding international donor funding)?

Central government grant % Local revenue % Borrowing % Other sources %

Current financial year


Next financial year

193. Is the municipality subordinated to any of the following structures?

Exists Subordinated to

District authority

Provincial authority

Regional authority

194. Has the municipal administration been subject to any restructuring in the past three years?

Significant restructuring Some restructuring Little restructuring No restructuring Not sure

195. Is any restructuring of the municipal administration envisaged?

Significant restructuring Some restructuring Little restructuring No restructuring Not sure


Next financial year


143

196. Is there a regional development agency in the municipality’s region?

Yes. Was established three or more years agoYes, was established less than

three years agoNo, but there are plans to

establish oneNo Not sure

197. How many NGOs are there operating in the municipality?

0-9 10-19 20-49 50-99 100 or more Not sure

Local NGOs

Regional NGOs

National NGOs

International NGOs

198. How many languages and/or dialects are used by the citizens of the municipality on a daily basis?

1

2

3

More than 3


144

Part 2Services that are the sole responsibility of the municipalityAll questions in Part 2 relate only to the following services, including where the services are not specifically mentioned:

y Drinking water supply y Liquid waste management y Solid waste management y Basic healthcare y Primary education

These are referred to collectively as “the five services.” When answering the remaining questions, do not consider any other services.

Where these services are listed in the question, provide answers only for those of the above five services for which the municipal administration is fully and solely responsible.

Where the services are not listed in the question, provide answers that generally reflect the situation only for those of the five above services for which the municipal administration is fully and solely responsible.


145

199. Does the municipal administration use any of the following special methods to ensure that socially excluded, and other groups are participating effectively in public consultations regarding drinking water supply, liquid waste management, solid waste management, basic healthcare, and primary education?

Women MinoritiesOther groups that are

typically socially excludedEnvironmental / climate

change groupsThe general public

Yes No Not sure

Yes NoNot sure

Yes NoNot sure

Yes NoNot sure

Yes NoNot sure

Interviews with individuals

Specially targeted surveys

Focus group discussions

Advisory panels

Working groups or committees

Separate public meetings

Other

200. To what extent are equal participation of women and men, and effective participation of minorities and typically socially excluded groups achieved in public consultation?

Fully Partly Seldom /

neverNot sure

Equal participation of women and men

Effective participation of minorities

Effective participation of typically socially excluded groups


146

201. To what extent is climate change covered by municipal consultations with the public?

A lot Somewhat Little / not at all Not sure

Risk of climate change to future service delivery, and potential impact

Long term, climate change-related policy choices

202. Do any of the following constrain the ability of the municipal administration to effectively consult the following groups?

Women MinoritiesOther groups that are typically

socially excludedThe general public

Yes No Not sure Yes No Not sure Yes No Not sure Yes No Not sure

Legislation

Lack of guidelines / procedures

Lack of staff with necessary language skills

Lack of knowledge about interests and needs of this group

Lack of finances

Lack of encouragement from management/ super-visor

People belonging to this group are not willing to participate in consultations


147

203. Is there a function (for example a focal point, advisor, sub-department, council or committee) within the municipal administration that is responsible for consulting with relevant local civil society and private stakeholders regarding the state’s gender, human rights and minority policies and institutions?

Yes No Not sure

Focal point, advisor, or sub-department on gender

Focal point / advisor or sub-department on human rights and minority concerns

Council or committee on gender

Council or committee on human rights and minority concerns

204. Is there a function (for example a focal point, advisor, sub-department, council or committee) within the municipal administration that is responsible for climate change risk analysis and planning?

Yes No Not sure

Focal point

Advisor

Department

Council or committee


148

205. To what extent does information made available to the public cover the following issues? [Rank 1-4. 1=always; 2=sometimes; 3=seldom / never; 4=not sure].

What share of the budget is planned

to be used to target specifically women (projects, subsidies,

etc.)

How much money is actually spent on female employees compared to male

employees

How many women compared to men that are actually

receiving financial or technical support in

the community

How many women compared to men that are actually

using the services

If there is any dif-ference between

women and men in the level of satisfac-

tion with service delivery

Risks and potential impact of climate

change, and major policy choices




Basic healthcare

Primary education

206. Does the municipal administration use any of the following methods to target the following specific groups through research and analysis? [Rank 1-4. 1= always; 2= often; 3= seldom/never; 4=not sure]

Sociological surveys (concerning service-seeking behaviour, barriers to service access, opinions, etc.)

Anonymous client surveys (for example interviews and questionnaires)

Disaggregated research and data related to use and impact of services

Women MinoritiesOther groups that

are typically socially excluded








Basic healthcare

Primary education


149

207. Do research and analysis guidelines / procedures for the five services give guidance on the following?

Yes Partly No Not sure

How to collect data that is disaggregated by gender

How to collect data that is disaggregated by other groups that are typically socially exclud-ed (for certain age groups, minority groups, disabilities, etc.)

How to analyze statistical information with a gender equality perspective

How to analyze statistical information with a perspective of other groups that are typically socially excluded (such as certain age groups, minority groups, disabilities, etc.)

How to assess the impact of service policy and service delivery on women especially

How to assess the impact of service policy and service delivery on other groups that are typically socially excluded (such as certain age groups, minority groups, disabilities, etc.)

How to assess the risks presented by climate change to the community in general, and in particular to groups that are typically socially excluded (such as certain age groups, minor-ity groups, disabilities, etc.)

208. To what extent does the municipal administration collect disaggregated data for the five services, for example user data, assessments of impacts of services, number of staff, positions and payments, membership on public and private boards, etc.? Rank 1-4. 1=frequently; 2=sometimes; 3=rarely/never; 4=not sure.

Data disaggregated by gender Data disaggregated by ethnicity Data disaggregated by age Data disaggregated by disability




Basic healthcare

Primary education


150

209. To what extent does the municipal administration assess the risk of climate change, and its likely impact on different groups living within the municipality? Rank 1-4. 1=frequently; 2=sometimes; 3=rarely/never; 4=not sure.

Women / men Ethnic groups Different age groups People with disabilitiesOther socially excluded

groupsThe general public




Basic healthcare

Primary education

210. To what extent does the municipal administration invite the following stakeholders to comment on its research, statistics, and analysis relating to the five services? [Rank 1-4. 1=frequently; 2=sometimes; 3=rarely/never; 4=not sure]

The general public

Organization representing

women’s interests

Organization representing interests of religious, cultural, or ethnic

minorities

Organization representing interests of

refugees and/or displaced

persons

Organizations representing

interests of the disabled

Youth associations,

and organizations representing

the interests of young people

Other groups that represent the interests of typically

socially excluded persons

Academic institutions

Environmental / climate change

groups




Basic healthcare

Primary education


151

211. To what extent have staff involved in policy, strategy, and service development for the five services received training in the following areas?

A lot Some A little None Not sure

Rights and needs of people with disabilities

Human-rights based approach to programming

Gender mainstreaming

Gender analysis and gender impact assessments

Gender budgeting

Other training on human rights and/or gender

Climate change risk and impact analysis and policy planning

Consensus building and negotiation skills

Strategy development

Budgeting

Research methods and data analysis


152

212. What types of development activities does the municipal administration provide for staff involved in policy, strategy, and service development?






Local study visits



Twinning

Coaching

Mentoring

Not sure






Local study visits


Twinning

Coaching

Mentoring

Not sure


153

213. To what extent are specialist gender and human rights staff, departments, and other bodies (e.g. councils and committees) involved in policy, strategy, and service development activities for the five services?

Frequently Sometimes Rarely Never Not sure




Basic healthcare

Primary education

214. To what extent are specialist gender and human rights staff, departments, and other bodies (e.g. councils and committees) involved in budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services?

Frequently Sometimes Rarely/never Not sure

Budgeting

Revenue raising

Accounting




154

215. To what extent are staff, departments, and other bodies with climate change expertise involved in involved in policy, strategy, and service development activities for the five services?


Budgeting

Revenue raising

Accounting



216. To what extent are staff departments and other bodies with climate change expertise involved in budgeting, revenue raising, accounting, service management / oversight, and service implementation for the five services?


Budgeting

Revenue raising

Accounting




155

217. Overall, how to you rate the capacity of the municipal administration to undertake the following activities related to the five services?

StrongModer-

ateWeak

No capac-ity

Not sure

Carry out research on climate change

Assess climate change risk and impact

Integrate climate change into medium and long-term policy development

Integrate gender and human rights concerns into proposals for policy, strategy, and service development (mainstreaming)

Formulate service proposals that are specifically targeted at enhancing gender equality

Formulate service proposals that are specifically targeted at enhancing the situation of groups that are typically socially excluded

Translate findings of research and analysis on women into coherent policy, strategy and service proposals

Translate findings of research and analysis on minorities into coherent policy, strategy and service proposals

Translate findings of research and analysis on people with disabilities into coherent policy, strategy and service proposals


156

218. To what extent is the municipal administration able to incorporate relevant aspects of EU policy and legislation into policy, strategy, service development, and service delivery / implementation?

Policy, strategy, service development Service delivery / implementation

Gender equality and anti-discrimination legislation Fully PartiallyLittle /

not at allNot sure Fully Partially

Little / not at all

Not sure

Council Directive 2002/73/EC of the European Parliament and of the Council of 23 September 2002 on the implementation of the principle of equal treatment for men and women as regards access to employment, vocational training and promotion, and working conditions

Council Directive 79/7/EEC of 19 December 1978 on the progressive implementation of the principle of equal treatment for men and women in matters of social security

Council Directive 86/378/EEC of 24 July 1986 on the implementation of the principle of equal treatment for men and women in occupational social security schemes

Council Directive 86/613/EEC of 11 December 1986 on the application of the principle of equal treatment between men and women engaged in an activity, including agriculture, in a self-employed capacity, and on the protection of self-employed women during pregnancy and motherhood

Council Directive 97/80/EC of 15 December 1997 on the burden of proof in cases of discrimination based on sex

Council Directive 96/34/EC of 3 June 1996 on the framework agreement on parental leave concluded by UNICE, CEEP and the ETUC

Council Directive 2000/78/EC of 27 November 2000 establishing a general framework for equal treatment in employment and occupation

Council Directive 2000/43/EC of 29 June 2000 implementing the principle of equal treatment between persons irrespective of racial or ethnic origin


157


Environmental legislation Fully PartiallyLittle /

not at allNot sure Fully Partially

Little / not at all

Not sure

Directive 2006/12/EC of The European Parliament and of The Council of 5 April 2006 on Waste

Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on batteries and accumulators and waste batteries and accumulators

Council Directive 86/278/EEC of 12 June 1986 on the protection of the environment, and in particular of the soil, when sewage sludge is used in agriculture

Council Directive 91/271/EEC of 21 May 1991 concerning urban waste-water treatment

Council Directive 91/689/EEC of 12 December 1991 on hazardous waste

European Parliament and Council Directive 94/62/EC of 20 December 1994 on packaging and packaging waste

Council Directive 96/61/EC of 24 September 1996 concerning integrated pollution preven-tion and control

Council Directive 98/83/EC of 3 November 1998 on the quality of water intended for hu-man consumption

Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste

Council Directive 80/68/EEC of 17 December 1979 on the protection of groundwater against pollution caused by certain dangerous substances

Council Directive 75/439/EEC of 16 June 1975 on the disposal of waste oils


158


Climate change policy Fully PartiallyLittle / not at all

Not sure Fully PartiallyLittle / not at all

Not sure

Monitoring and reducing greenhouse gas emissions

Improving energy efficiency and reducing energy consumption

Increased utilization of renewable energy from different sources

Combating deforestation

Flood management and evaluation

Civil protection in the event of climate-change related emergencies


159

219. To what extent have staff involved in service delivery and management received training in the following areas?

A lot Some A little None Not sure

Climate change risk and impact analysis and policy planning

Rights and needs of persons with disabilities

Human-rights based approach to programming

Gender mainstreaming

Gender budgeting

Employment equality (employment of men and women in equal numbers, equal pay, and equal representation of men and women in management posts)

Budgeting

Accountancy

Project management

Procurement

Negotiation skills

Communication skills


Monitoring and evaluation


160

220. What types of development activities does the municipal administration provide for staff involved in service delivery and management?







Local study visits


Twinning

Coaching

Mentoring

Not sure






Local study visits


Twinning

Coaching

Mentoring

Not sure


161

221. What is the current condition and capacity of infrastructure and equipment in the following areas?

Meets current and future require-ments

Meets current requirements but will need to be expanded,

replaced, upgraded, or refurbished in the next 3 years

Falls somewhat short of current requirements. Some investment is

required now

Falls significantly short of current requirements. Significant invest-

ment is urgently required.

Not sure




Basic healthcare

Primary education

222. To what extent are investment decisions regarding equipment and infrastructure guided by formal cost-benefit analyses / investment appraisals?

Always Sometimes Rarely/never Not sure




Basic healthcare

Primary education


162

223. How much capacity (number of staff, expertise, facilities, finance, etc.) does the municipal administration have in the following areas?

The municipal adminis-tration is strong in this

area.

The municipal adminis-tration is neither strong

nor weak in this area.

The municipal admin-istration is weak in this

area.Not sure

Operations costing

Investment appraisal

Budgeting

Equipment and infrastructure lifecycle management

Equipment and infrastructure monitoring

Planning and management of major maintenance

Planning and management of other major equipment and infrastructure investments

224. How much capacity does the municipal administration have regarding EU and national procurement rules?

Full understanding and capacity to implement

Some understanding and capacity to

implement

Limited understanding and capacity to

implementNot sure

National procurement rules

EU procurement rules


163

225. To what extent do the following constrain effective procurement?

This is frequently a problem

This is sometimes a problem

This is rarely/never a problem

Not sure

Contracts are too small

Contracts are too short

Lack of suitable contractors

Lack of competition

Other issues

226. To what extent is the municipal administration able to ensure that contracts are satisfactorily carried out?

Contracts are always satisfactorily per-formed

There are problems in the performance of contracts but the municipal administration is usually able to ensure that the contractor

takes the necessary corrective actions

There are problems in the performance of contracts. The municipal administration is generally unable able to ensure that the contractor takes the necessary corrective

actions

Not sureDoes not

apply




Basic healthcare

Primary education


164

227. Which of the following are the basis for setting service delivery charges? If relevant, select more than one option in each row.

Political considerations

Formal research into what users

are willing to pay

Direct service delivery costs

Maintenance and depreciation

costsOther Not sure Does not apply




Basic healthcare

Primary education

228. Approximately what percentage of service charges (by value) are paid in each of the periods indicated below?

Within 1 month of invoicingBetween 2 and 3 months

after invoicingBetween 4 and 6 months

after invoicingBetween 7 and 12 months

after invoicing

Remaining unpaid more than 12 months after invoic-

ing




Basic healthcare

Primary education


165

229. What actions do the municipality and/or relevant public utility companies undertake to collect unpaid services charges?

Send reminder letters

Involve a collec-tion agency

Take legal actionWithdraw

serviceOther No action Not sure Does not apply




Basic healthcare

Primary education

230. Overall, how do you rate the capacity of the municipal administration to undertake monitoring and evaluation of the five services?





Basic healthcare

Primary education


166

231. Overall, how do you rate the capacity of the municipal administration to undertake monitoring and evaluation of the following issues related to the five services?


Carbon footprint

Energy efficiency

Energy security

Use of renewable energy

Risks and potential impacts of climate change on future service delivery

Access to and use of services by both male and female users

Access to and use of services by users amongst typically socially excluded groups (minori-ties, people with disabilities, etc.)

Satisfaction among both female and male users

Satisfaction among users from typically socially excluded groups

Fulfilment of gender equality and discrimination standards in processes and results

Collecting data disaggregated by ethnicity to compare differences in development indica-tors between minority and majority population


167

232. Overall, how do you rate the capacity of the municipal administration to translate the findings of monitoring and evaluation into service improvements for the following groups?


The general public

Women

Minorities


People with low income


People living in areas under threat from climate change

233. To what extent do local stakeholders (citizens, local NGOs, local enterprises, etc.) take advantage of opportunities to contribute to local decision-making?

Local stakeholders take full advantage of all opportunities that the municipality provides for contributing to local decision making

Local stakeholders partially take advantage of opportunities that the municipality provides for contributing to local decision making

Local stakeholders rarely/never take advantage of opportunities that the municipality provides for contributing to local decision making


168

234. To what extent does the municipal administration make available the following monitoring and evaluation information to the public?

This specific monitoring and

evaluation informa-tion does not exist within the munici-

pality

Frequently SometimesRarely /

neverNot sure

Overall service delivery performance / results compared to targets

Satisfaction levels amongst the general public

Number of male and female service users

Number of users within minority and majority populations

The level of satisfaction with service delivery among both women and men

The level of satisfaction with service delivery among both minority and majority populations

Results of service impact assessments for particular groups (for example women, persons living with disabilities, etc.)

Actual money spent on female employees compared to male employees (salaries, training, etc.)

Carbon footprint

Energy efficiency

Energy security

Use of renewable energy


169

235. Overall, how important is feedback from the following stakeholders regarding the delivery of these services? [Rank I=very important; 2=moderately important; 3=not important/relevant].

The general publicWomen’s interest groups and organization

Minority interest groups and organizations

Groups and organizations representing the interests of other typically socially excluded groups

Environmental / climate change interest groups

People living in areas at risk from climate change




Basic healthcare

Primary education

Not sure


170

Part 3Services where responsibility is shared by the municipality with one or more other service delivery organizationsAgain, the questions in this section relate only to the same five services:

y Drinking water supply y Liquid waste management y Solid waste management y Basic healthcare y Primary education

In this part, respondents should provide answers only in regarding those services where the municipality shares responsibility with one or more other service delivery organizations. For example, if solid waste management is the only one of these five services where responsibility is shared by the municipality with other service delivery organizations, then the questions in this part should be answered only in respect of solid waste management.


171

236. Is the municipal administration involved in any of the following types of service delivery partnership?

Two or more municipalities

working together to deliver all or part of service

Service delivered entirely or in part

by state owned enterprise


by municipal owned enterprise

Service delivered entirely or in part by private sector

enterprise


by NGO

Other type of service delivery

partnershipNot sure




Basic healthcare

Primary education

237. Which of the following issues are important when selecting service delivery partners?

Partner’s services meet pro-poor requirements

(affordability), regarding setting of

tariffs, users fees, payment methods etc.

Partner has a good understanding of special demands and needs of minorities (for example language and cultural

differences) and of socially excluded groups in the community (need of youth - and disability

friendly services, etc.)

Partner has a good understanding of

women’s and men’s different demands

and needs (for example timing and appropriateness of

services)

Partner has expertise /

experience in climate change risk and impact

analysis, planning and mitigation

Partner is accepted and respected by the community

Ability of partner to

deliver services in low income

areas

Ability of partner to deliver services

in areas where minorities live

(including refugees and displaced

persons)

Other issue




Basic healthcare

Primary education


172

238. How good are co-ordination and co-operation between the municipal administration and other service delivery organizations with respect to the planning and delivery of these services?

Excellent Adequate Problematic Not sure




Basic healthcare

Primary education

239. To what extent does the municipal administration work with other municipalities and actors (e.g. central and regional authorities, international organizations, etc.) in carrying out policy, strategy, and service development with respect to the following subjects?




Not sure

Climate change risk and impact analysis

Climate change policy development

Climate change mitigation actions

Women

Minorities





173

240. How clear are the roles and responsibilities of the municipal administration, other service delivery organizations, and central and regional authorities with respect to integration of gender and human rights concerns of the following groups into delivery and implementation of the above services?




are somewhat clear


Not sure



are somewhat clear


Not sure



are somewhat clear


Not sure

Women

Minorities

Persons with dis-abilities



174

241. How clear are the roles and responsibilities of the municipal administration, other service delivery organizations, and central and regional authorities with respect to integration of climate change concerns into delivery and implementation of the above services?

Municipal administration Other service delivery organisations Other actors (e.g. central and regional authorities)

Role and responsi-

bilities are clear

Role and responsi-


clear

Role and responsi-


Not sure

Role and responsi-

bilities are clear

Role and responsi-


clear

Role and responsi-


Not sure

Role and responsi-

bilities are clear

Role and responsi-


clear

Role and responsi-


Not sure

Carbon footprint monitoring

Reducing greenhouse gas emissions

Energy efficiency

Use of energy from renew-able sources

Energy security

Planning to ensure con-tinuation of services in the event of a climate-related emergency


175

242. Has the municipality undertaken (or is it currently undertaking) any of the following activities to promote more effective involvement of women in partnerships for service delivery?

Yes No Not sure

Authorizing policies and administrative measures to increase participation of women in public decision-making bodies (for example quotas, special leadership trainings for women etc.)

Authorizing policies and administrative measures to increase participation of women in private decision-making bodies (for example business courses especially for women, quotas for private boards)

Encouraging women entrepreneurs to apply for public service delivery tenders and service delivery partnerships in areas of water supply and waste management

Supporting reforms that transform informal service delivery (unpaid and unvalued work such as care of elders at home and gathering of water), into formal income generating service delivery

Authorizing small loans and credits targeting women entrepreneurs especially

Supporting network for women’s business associations and NGOs supporting women’s entrepreneurship

243. Has the municipality undertaken (or is it currently undertaking) any type of partnership activity in any of the following areas?

Yes No Not sure

Climate change risk and impact analysis

Climate change medium/long-term policy planning

Energy efficiency actions

Actions to reduce overall energy consumption

Promotion of renewable energy

Converting municipal services to renewable energy

Climate change disaster planning

Other climate change mitigation actions


176

244. To what extent is the municipality involved in the following activities regarding public utility companies dealing with drinking water supply, solid waste management, and liquid waste management?

A lot Somewhat Little/not at all Not sure

Strategic planning

Financial planning (including price setting)

Financial monitoring

Monitoring of service delivery

245. To what extent is the municipality able to influence public utility companies in the following areas?

A lot Somewhat Little/not at all Not sure Does not apply




246. How satisfied is the municipality with the quality, extent, and reliability of services provided by public utility companies in the following areas?

Very satisfied Somewhat satisfied Not satisfied Not sure Does not apply




methodology for the assessment of municipal capacities in turkey and the western balkans

Documents

capacity development

local service delivery

gap assessment

questionnaire services

local population

service delivery organizations

basic services

local structures