USAID Governance for Local Development Quarterly Report July 1 – September 30, 2017
October 2017 This publication was produced for review by the United States Agency for International Development. It was prepared by RTI International.
USAID Governance for Local Development (USAID GOLD) Quarterly Report July 1 – September 30, 2017
Cooperative Agreement # AID-685-A-16-00006
Prepared for Aliou Kébé, Agreement Officer’s Representative (AOR) USAID/Senegal Democracy and Governance Office
Prepared by RTI International 3040 East Cornwallis Road Post Office Box 12194 Research Triangle Park, NC 27709-2194
RTI International is one of the world's leading research institutes, dedicated to improving the human condition by turning knowledge into practice. Our staff of more than 3,700 provides research and technical services to governments and businesses in more than 75 countries in the areas of health and pharmaceuticals, education and training, surveys and statistics, advanced technology, international development, economic and social policy, energy and the environment, and laboratory testing and chemical analysis. RTI International is a registered trademark and a trade name of the Research Triangle Institute.
The author’s views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the United States Government.
Table of Contents
List of Figures...... vi
List of Tables ...... vi
List of Annexes ...... vii
Acronyms ...... viii
1. Executive Summary ...... 1
2. Expected life-of-activity results ...... 5 2.1 Summary ...... 5 2.1.1 Result 1: Capacity of local government to respond to citizen demand increased ...... 5 2.1.2 Result 2: Mobilization and management of local public resources improved ...... 5 2.1.3 Result 3: Community participation in service delivery management (health, education, WASH, and agriculture) increased ...... 5 2.2 Milestones ...... 6
3. Project management and activities ...... 8 3.1 Introduction ...... 8 3.2 Dakar office ...... 8 3.3 Regional offices ...... 9 3.4 Toolkit adaptation ...... 11 3.5 CT selection ...... 13
4. Coordination and integration ...... 15 4.1 Strategic integration ...... 15 4.2 USAID programs ...... 15 4.2.1 SHOPS+...... 15 4.2.2 USAID Neema ...... 15 4.2.3 RSS+ ...... 16 4.2.4 USAID Accès ...... 16 4.2.5 USAID SPRING ...... 17 4.2.6 USAID Yaajeende ...... 17 4.2.7 Lecture Pour Tous national program ...... 18 4.2.8 US President’s Malaria Initiative (PMI) ...... 18 4.2.9 USAID WASH ...... 18 4.3 Ministries, institutions and other projects ...... 19
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4.3.1 Ministry for Good Governance and Child Protection (Ministère de la Bonne Gouvernance et de la Protection de l’Enfance) (MBGPE) ...... 19 4.3.2 PNDL ...... 19 4.3.3 Agency for Local Development (ADL) ...... 20 4.3.4 Projet d’Appui à la Modernisation de l’État Civil (PAMEC) ...... 20 4.3.5 Cellule de Lutte Contre la Malnutrition (CLM) ...... 20 4.3.6 Cercle des Communicants en Décentralisation (2CD) ...... 21 4.3.7 RAES...... 21 4.3.8 National Agency of Statistics and Demography (ANSD) ...... 21 4.4 Plans for next quarter ...... 22
5. Cross-cutting themes ...... 23 5.1 Gender and social inclusion ...... 23 5.2 Communication ...... 23 5.3 Conflict management and mitigation ...... 24 5.4 Sustainability plan ...... 24 5.4.1 Local ownership ...... 24 5.4.2 Capacity building ...... 24 5.4.3 Adaptive approaches ...... 25 5.4.4 Sustainable enabling environment ...... 26 5.5 Plans for next quarter ...... 26
6. Result 1: Capacity of local government to respond to citizen demand increased ...... 27 6.1 Introduction ...... 27 6.2 Summary of progress under Result 1 ...... 27 6.2.1 SR 1.1: Leadership capacity of CT councilors as elected representatives improved ...... 27 6.2.2 SR 1.2: Organizational strengths (planning, budgeting, and implementation processes) of decentralized government structures increased...... 30 6.2.3 SR 1.3: Public financial management and oversight of public expenditures improved ...... 30 6.3 Constraints and solutions ...... 31 6.4 Plans for next quarter ...... 31
7. Result 2: Mobilization and management of local public resources improved ...... 32 7.1 Introduction ...... 32 7.2 Summary of progress under Result 2 ...... 32 7.2.1 SR 2.1: Own-source revenue of CTs increased...... 32 7.2.2 SR 2.2: Social accountability mechanism for service delivery transparency increased ...... 34
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7.2.3 SR 2.3: CT planning and budgeting integrates development partners’ resources ...... 35 7.3 Constraints and solutions ...... 35 7.4 Plans for next quarter ...... 36
8. Result 3: Community participation in service delivery management (health, education, WASH, agriculture) increased ...... 37 8.1 Introduction ...... 37 8.2 Summary of progress under Result 3 ...... 37 8.2.1 SR 3.1: CSOs’ skills to take collective action in priority public needs improved ...... 37 8.3 Constraints and solutions ...... 41 8.4 Plans for next quarter ...... 42
9. Grants program ...... 43
10. Cost share ...... 43
11. Collaboration, learning, and adapting (CLA) ...... 43 11.1 Activity 1: Develop and operationalize the Activity Monitoring, Evaluation, and Learning Plan (AMELP) ...... 43 11.2 Activity 2: Collaboration and learning activities ...... 44 11.3 Plans for next quarter ...... 45
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List of Figures Figure 1. USAID Governance for Local Development logical framework ...... 3 Figure 2. Interrelated GOLD components ...... 4 Figure 3. USAID Governance for Local Development offices ...... 9 Figure 4. GOLD sustainability strategy ...... 24 Figure 5. SMP-CT: Summary of scores (/100) in each area for each pilot CT ...... 28 Figure 6. Knowledge of at least two CT responsibilities in implementing sectoral policies ...... 38 Figure 7. Knowledge of norms and standards ...... 38
List of Tables Table 1. Activity milestones and outcomes ...... 6 Table 2. Application of the GOLD governance toolkit ...... 11 Table 3. Selected CTs (by département) ...... 13 Table 4. Coordination / integration activities planned for Q1, FY 2018 ...... 22 Table 5. Intersectoral activities planned for Q1, FY 2018 ...... 26 Table 6. Constraints and solutions (Result 1) ...... 31 Table 7. Activities planned for Q1, FY 18 (Result 1) ...... 31 Table 8. Constraints and solutions (Result 2) ...... 35 Table 9. Activities planned for Q1, FY 18 (Result 2) ...... 36 Table 10. Community structures by CT ...... 40 Table 11. Constraints and solutions (Result 3) ...... 41 Table 12. Activities planned for Q1, FY 18 (Result 3) ...... 42 Table 13. Table of indicators on September 30, 2017 ...... 44 Table 14. Activities planned for Q1, FY 18 (CLA) ...... 45
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List of Annexes [Submitted as a separate document to USAID] Annex 1: PNDL joint mission report Annex 2a: Selection committee report (Tambacounda) Annex 2b: Selection committee report (Kédougou) Annex 3: PMI draft proposal Annex 4: MPBGPE draft action plan Annex 5: AFEX conflict management training report Annex 6a: ADL agreement Annex 6b: ADL action plan Annex 7a: Acte III training report, Bagadadji Annex 7b: Participatory budgeting training report, Bambali Annex 7c: Resource mobilization and management training report, Dindéfélo Annex 7d: Y-Tax baseline report Annex 8: Draft CT-GOLD framework agreement Annex 9: CT facilitator Terms of Reference
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Acronyms 2CD Cercles des Communicants en Décentralisation Accès Assainissement, Changement de Comportement et Eau pour le Sénégal ADEMAS Agence de Développement du Marketing Social ADIE State Agency for Data Processing (Agence de l’Informatique de l’État) ADL Agency for Local Development (Agence de Développement Local) AFEX Afrique Enjeux AMELP Activity Monitoring, Evaluation, and Learning Plan AMS Association of Mayors of Senegal (Association des Maires du Sénégal) ANSD National Agency of Statistics and Demography (Agence Nationale de la Statistique et de la Démographie) AOR Agreement Officer’s Representative APE parents’ association APEA Applied Political Economy Analysis ARD Regional Agency for Development (Agence Régionale de Développement) ARTP Regulatory Authority for Telecommunications and Post (Autorité de Régulation des Télécommunications et des Postes) ASUFOR water users’ association (Association des Usagers de Forage) AWP annual work plan BP participatory budgeting (budgétisation participative) BPS Budget Participatif du Sénégal CBO community-based organization CDD Comité Départemental de Développement CLA collaboration, learning, and adapting CLCOP Local Framework for Cooperation of Producer Organizations (Cadre Local de Concertation des Organisations de Producteurs) CLD Comité Local de Développement CLM Unit for the Prevention of Malnutrition (Cellule de Lutte Contre la Malnutrition) CNEC Centre National d’État Civil CSC Cellule de Santé Communautaire CSO civil society organization CT Collectivité Territoriale CVA Citizen Voice and Action DGAT General Directorate of Territorial Administration (Direction Générale de l’Administration Territoriale) DOC Development Outreach and Communication (USAID) DPBG Directorate for the Promotion of Good Governance (Direction de la Promotion de la Bonne Gouvernance) ECOPOP Espaces de Co Production des Offres Populaires pour l’Environnement et le Développement en Afrique (Enda ECOPOP) ENA National School of Administration (École Nationale d’Administration) FAFS Fédération des Associations Féminines du Sénégal FY Fiscal Year GCP Citizen Advocacy Group (Groupe Citoyen de Plaidoyer)
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GIS geographic information system GOLD Governance for Local Development GPS global positioning system GTC Citizen Working Group (Groupe de Travail Citoyen) IGGB Integrated Good Governance Barometer IP implementing partner LLIN long-lasting insecticidal nets LPT Lecture Pour Tous MBPGE Ministry for Good Governance and Child Protection (Ministère de la Bonne Gouvernance et de la Protection de l’Enfance) MEL monitoring, evaluation, and learning MES monitoring and evaluation system MGTDAT Ministère de la Gouvernance Territoriale, du Développement et de l’Aménagement du Territoire MIANPBG Ministry of Good Governance (Ministère de l’Intégration Africaine, du NEPAD et de la Promotion de la Bonne Gouvernance) MSAS Ministry of Health and Social Action (Ministère de la Santé et de l’Action Sociale) NGO nongovernmental organization OFOR Office des Forages Ruraux OIG Office of the Inspector General PAI annual investment plan (Plan Annuel d’Investissement) PAMEC Projet d’Appui à la Modernisation de l’État Civil PISAM Program Impact Sustainability Assessment Method PMI US President’s Malaria Initiative PNDL Programme National de Développement Local PNLP National Malaria Control Program (Programme National de Lutte Contre le Paludisme) PSBP Participatory Strategic Budgeting and Planning PWD people with disabilities RAES Réseau Africain pour l’Éducation, la Santé et la Citoyenneté RSJ Réseau Siggil Jigéen RSS+ Renforcement du Système de Santé SDR baseline (situation de reference) SHOPS+ Strengthening Health Outcomes through Private Sector SIT Système d’Information Territorial SMART Specific, Measurable, Attainable, Relevant, Time-bound SMP System for Performance Measurement (Système de Mesure de Performance) SMPP short message peer-to-peer SMS short messaging system SPRING Strengthening Partnerships, Results, and Innovations in Nutrition Globally SR sub-result STD decentralized technical service unit (Service Technique Déconcentrée) TOR Terms of Reference UAEL Union des Associations des Élus Locaux
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UNICEF United Nations Children’s Fund URAC Union Radios Associatives Communautaires US United States USAID United States Agency for International Development USG US Government WASH water, sanitation, and hygiene
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1. Executive Summary The US Agency for International Development (USAID) Governance for Local Development (GOLD) Activity is pleased to submit the quarterly report covering the period of July 1–September 30, 2017 (hereafter referred to as Quarter 4 [Q4] of fiscal year [FY] 2017). In September 2016, USAID/Senegal awarded RTI International a five-year cooperative agreement to support the Government of Senegal’s (GOS’s) decentralization program. USAID Governance for Local Development’s implementation is guided by the framework of three main Activity-specific results (see Figure 1) in support of USAID’s Intermediate Result 3.2: Responsive democratic governance strengthened: • Result 1: Capacity of local government to respond to citizen demand increased • Result 2: Mobilization and management of local public resources improved • Result 3: Community participation in service delivery management (health; education; water, sanitation, and hygiene [WASH]; agriculture) increased The following political developments were taken into account when planning activities for FY 2017: • Challenges facing Senegal in the implementation of Acte III reforms • Governance constraints that inhibit the ability of Collectivités Territoriales (CTs) to fulfill their duties—from insufficient funding to limited capacity to fulfill their new functions, and lack of knowledge about the roles and responsibilities of officials and citizens • Activities and opportunities to collaborate and coordinate with USAID implementing partners (IPs) in health, food security, education, and WASH sectors. The following significant achievements were made during the quarter:
a. Collaboration mechanisms with USAID programs GOLD held several meetings with USAID partner programs to promote synergies. A booklet on rural water system management standards – co-produced by USAID GOLD, USAID's Assainissement, Changement de Comportement et Eau pour le Sénégal project (Accès), the Office des Forages Ruraux (OFOR), and the Ministry of Water Resources – was finalized. GOLD is currently revising another booklet on standards for good governance in health in collaboration with RSS+, Neema, and the Community Health Unit (CSC) of the Ministry of Health and Social Action (MSAS). GOLD also worked with the Strengthening Health Outcomes through Private Sector program (SHOPS+) to air 10,000 radio spots through the Union Radios Associative Communautaires (URAC) network. GOLD continued to integrate partner program activities in its target regions. The Tambacounda office developed a synergy plan for USAID GOLD, Neema, and RSS+. GOLD also held working sessions with the Lecture Pour Tous (LPT) and USAID Yaajeende programs, the US President’s Malaria Initiative (PMI), and staff from USAID/Washington.
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 1
b. Meetings with public institutions USAID GOLD organized a second joint mission with the Programme National de Développement Local (PNDL) to share information, approaches, and tools and implement its activities in its four intervention regions. USAID GOLD's and Neema's Agreement Officer’s Representatives (AORs) participated in the mission. A meeting was held this quarter with the Directorate for the Promotion of Good Governance (DPBG) to finalize a joint activity action plan. USAID GOLD also launched a partnership with the Unit for the Prevention of Malnutrition (CLM) to help CTs improve the way they address nutrition issues.
c. Exchanges with other partners GOLD hosted the NGO RAES (Réseau Africain Pour l’Éducation et la Santé) to discuss possible areas for collaboration. Another meeting is scheduled to examine the possibility of using tools developed by the NGO for community engagement activities and GOLD's participation in the technical committee to implement the organization's governance program. GOLD also participated in a workshop to present the 2016 Continuous Demographic and Health Survey, organized by the National Agency of Statistics and Demography (ANSD).
d. Political economy analysis This quarter, USAID GOLD conducted a political economy analysis to better understand fiscal decentralization in Senegal. The analysis, which offered a rapid assessment of the situation, identified certain problems, particularly concerning the use of resources and their allocation to CTs, a failure to support CTs, weak CT capacity, and the coordination and management of local and regional development. The analysis revealed the need for programs like USAID GOLD to support CTs in improving the mobilization and management of local public resources, while also shifting to a more balanced approach in political dialogue on decentralization, at both the local and central levels, to make interventions more sustainable. GOLD will share and discuss the results of the PEA with USAID during the next quarter.
e. CT selection The CT selection process was completed during the last month of the quarter. The same selection criteria were used as for the eight pilot CTs. A total of 42 CTs were selected: 13 in Tambacounda, nine in Kédougou, 10 in Kolda, and 10 in Sédhiou. GOLD will also work in the 13 départements in its intervention regions.
f. FY 2018 annual work plan (AWP) annual retreat GOLD held a participatory planning workshop for Year 2, with the participation of consortium members – Enda ECOPOP, World Vision International, Afrique Enjeux (AFEX), URAC, Fédération des Associations Féminines du Sénégal (FAFS), and RTI –, USAID sectoral programs, and institutional partners. The annual retreat provided an opportunity to take stock and learn lessons from the previous year in order to plan activities for FY 2018.
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 2
Figure 1. USAID Governance for Local Development logical framework
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 3
Linkages among components USAID Governance for Local Development components are interrelated as indicated in Figure 2. GOLD activities are designed to strengthen CT effectiveness and collaboration, increase citizen engagement and oversight, and improve the collection and management of local public resources. CTs will acquire a wide range of skills. Through their participation, communities and the private sector will gain trust in local government performance—especially as the delivery of health, education, WASH, and food security services improves—within a more supportive environment for change. Our system-based approach allows us to take into account the interconnected influences of all key actors to ensure that improvements in service delivery and growth are sustainable. We will implement activities across all three results as mutually reinforcing interventions that strengthen different building blocks of good governance and service delivery by building a culture of collaboration and openness among all stakeholders. Result 1 will focus on building the capacity of CT officials, Result 2 on applying that capacity, and Result 3 on promoting citizen engagement.
Figure 2. Interrelated GOLD components
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2. Expected life-of-activity results
2.1 Summary At the end of the Activity, the performance in “good governance” (including effectiveness, rule of law, accountability, participation, and equity) of our partner CTs and key sectors (education, health, WASH, and food security) will increase by a minimum of 20% as measured with the Integrated Good Governance Barometer (IGGB).
2.1.1 Result 1: Capacity of local government to respond to citizen demand increased D• GOL will see a minimum 15% increase in the percentage of CTs that incorporate citizen priorities as well as data (from social accountability tools such as Sen-Bridge1) into decision making in health, WASH, education, and food security. • GOLD will see an 85% increase in the number of local government officials who better understand CT processes such as budget disbursement and financial management (as measured in the Système de Mesure de Performance des CT [SMP-CT] assessments). This will increase by 50% in Year 1, 50% in Year 2, 70% in Year 3, and 85% in Year 5—cumulative over the baseline.
2.1.2 Result 2: Mobilization and management of local public resources improved • GOLD will see an average 20% increase in own-source revenue in targeted CTs and a 15% increase in funds allocated to sector services, including malaria prevention, maternal and child health, family planning, early grade education, WASH, and food security. • At least 40 CTs will demonstrate the use of reliable sectoral data for planning and to prioritize sector funding levels.
2.1.3 Result 3: Community participation in service delivery management (health, education, WASH, and agriculture) increased • Through GOLD activities using the Citizen Voice and Action (CVA) approach, a minimum of 150 sector committees will implement a costed action plan to oversee service delivery at the community level. We anticipate that the focus of these costed plans will be divided by sector, with approximately 25% health, 30% education, 30% WASH, and 15% agriculture. The GOLD team will ensure that a minimum of three sector committees will participate in each selected CT. • Based on the knowledge of consortium partners based in GOLD's four regions, the Activity will see a minimum of 100 women’s and youth organizations involved in budget processes and service delivery advocacy work.
1 Sen-Bridge is an SMS platform that citizens can use to report their concerns about governance and service delivery and receive responses from local authorities. The platform is the Senegalese version of the U-Bridge system developed by the USAID GAPP program in Uganda in collaboration with UNICEF. GOLD is responsible for Sen-Bridge's initial development and may establish a future partnership with UNICEF and other organizations to implement it.
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2.2 Milestones
Table 1. Activity milestones and outcomes Implementation phases Milestones Key outcomes
• Operationalize GOLD in all four regions • GOLD is operational and able to (Year 1) through a successful and efficient technical, effectively interact with key logistical, and administrative project launch stakeholders at the national and local (Achieved) levels (Achieved) • Set the tone for productive and open • Series of memoranda developed with coordination with USAID, USAID IPs, other ministries, public institutions, IPs, etc. donors, and GOS partners (Achieved) (MOU signed with the PNDL. MOUs in development with ARD, CLM, • Complete CT and cluster selection process Accès, SHOPS+, Neema, UNICEF, and initiate activities in 15 to 20 CTs and Directorate for the Promotion of (Achieved: 42 new CTs selected during Good Governance. Framework MOU the quarter plus eight pilot CTs) with CTs drafted.) • Ensure buy-in of GOLD objectives and • Process of selecting 42 CTs approaches by Senegalese partners at the (Achieved) national, regional, and local levels (Achieved at the national, regional, and • Informational meetings with selected pilot CT levels) CTs (Ongoing) • Develop, adapt, or update core approaches, • Implementation of capacity building tools, and training modules (Ongoing) plans resulting from the IGGB and SMP in eight pilot CTs (Ongoing) • Establish initial baseline and carry out first evaluation of initial outcomes and impacts • Working with decentralized technical (Achieved for the IGGB and SIMP in pilot service units (services techniques CTs) déconcentrées [STDs]), Regional Agencies for Development (Agences • Train our local consortium partners on RTI Régionales de Développement tools to become “certified” implementers [ARDs]), and relevant ministries, (Achieved for the IGGB) sustainable approaches and tools are developed (Ongoing) • Integration opportunities are identified with USAID sectoral projects (Ongoing) • Baselines completed (Ongoing) • A common understanding of GOLD approaches across all stakeholders (Ongoing) • Local partners capable of implementing RTI’s tools (Ongoing)
Scaling up lessons learned from Phase 1 • Tools and approaches are adapted to (Years 2–3) extend activities to the other CTs • Adapt methodologies and tools (Ongoing) • Expand activities to 63 CTs • All clusters are formed and • Peer-to-peer approaches intermunicipal activities are implemented • Re-adapt the action plan after the first evaluation • All activities in 63 CTs are developed • Strengthen the internal management and • A transition plan is developed for the project implementation skills of our local technical management of the Activity consortium partners (Ongoing)
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Implementation phases Milestones Key outcomes
Consolidate and progressive phasing out • The STDs, ARDs, and Ministry of Local (Years 4–5) Governance, Development and • Gradually transfer tools to Territorial Administration (MGLDAT) partners/stakeholders have capacity to implement activities • Reinforce the ARDs, stakeholders, and • Local partners and national staff are STDs in equipment and materials to sustain able to become direct implementers of activities in CTs donor-funded projects • Transfer all program management to national staff • Capitalize outcome, impacts, and best practices • Document and share lessons learned • Technical and administrative close-out
• Progressive close-out • At least one local partner is ready to (Year 5) lead a GOLD follow-up activity with • Capitalization USAID • Sharing of best practices • Document and share lessons learned
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3. Project management and activities
3.1 Introduction In Dakar, GOLD's management team (Chief of Party [COP], Senior Finance and Administration Manager, Communication Specialist, and Technical Coordinator) meet every Monday to discuss both operational and programmatic aspects of the Activity. At the Activity level, the Technical Coordinator organizes regular coordination meetings (by videoconference) with technical staff based in Dakar and in the regions. This forum allows the team to conduct weekly planning based on the broader monthly planning and discuss specific topics.
3.2 Dakar office GOLD took advantage of the presence of all RTI Consortium partners at the FY 2018 AWP retreat to invite an investigator from the USAID Office of Inspector General to provide training on fraudulent situations and their impact on US Government-funded projects. USAID approved the hiring of Mr. Mamadou Amadou Diako to replace Mr. Abdou Sène in the position of Senior Technical Coordinator, Key Staff. An operations team made up of the Senior Accountant, Human Resources Assistant, and Administrative Procurement Assistant went to Nairobi on September 4-6 to participate in the RTI Global Operations Conference to share and build upon best operational practices for projects implemented by RTI around the world. All costs (transportation, lodging, per diem, training) were covered by RTI. Participatory planning workshop One year into the Activity, GOLD staff met in Dakar on August 16-25 to plan activities scheduled for Year 2 (FY 2018). The planning workshop consisted of multiple sessions: • A session to review and build on Year 1 activities • An annual planning session with participation from consortium members: Enda ECOPOP, World Vision International, AFEX, URAC, FAFS, RTI, USAID sectoral programs, and institutional partners • An integration session with USAID sectoral programs, during which priorities and collaboration mechanisms were defined, with participation from the USAID Deputy Mission Director. During these sessions, participants reviewed Year 1 (FY 17) activities, identified challenges and opportunities for Year 2, and determined strategic approaches and interventions for the work plan, taking into account the new social and political context in Senegal.
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3.3 Regional offices
GOLD staff Figure 3. USAID Governance for Local Development share offices offices with the USAID health programs (Neema and RSS+), which has facilitated integration with the development of shared frameworks and the joint planning of activities among different programs. Tambacounda This quarter, GOLD conducted the following integration and coordination activities: • Program teams met to develop a synergy action plan to facilitate integration, complementarity, and efficiency in activity implementation. • GOLD participated in a Q3 activity review workshop along with Neema and RSS+. The objectives of the workshop, held on July 6-7, were to (1) share progress in the implementation of activities planned during the quarter from April-June 2017; (2) present work plans for the quarter from July-September; (3) review activities that were planned but not implemented and discuss a remediation plan; (4) discuss challenges and constraints at all levels and agree on actions to take and monitoring procedures to adopt to accelerate their implementation. • A USAID delegation made up of the GOLD and RSS+ AORs participated in the Tambacounda regional office coordination meeting on July 17 along with the USAID focal point for Tambacounda. The delegation commended the presence of all three projects in the regional office and the synergies being created and formalized through the development of a synergy plan. • Participation in weekly coordination and planning meetings held every Monday in the regional office. • Weekly, bimonthly, and quarterly GOLD activity reports prepared and submitted to the regional office coordinator. Kolda The regional office in Kolda held weekly coordination meetings with staff from Neema, RSS+, and USAID GOLD and members of each program's consortium.
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A quarterly coordination meeting with all USAID programs was organized with the USAID focal point. The meeting offered each program an opportunity to present the implementation of its activities and next steps. This quarter, representatives from USAID's Democracy, Rights, and Governance (DRG) and Health offices visited the regional office. The objective of the visit was to review progress in implementing program activities but also to see the operational integration of all three USAID programs.
USAID visit to the regional office in Kolda
Sédhiou and Kédougou GOLD began subleasing space in the Accès office in Kédougou in September 2017. The two USAID programs will each cover 50% of the office's operating costs. This physical integration will also facilitate synergies in the two programs' interventions. The GOLD focal point responsible for supervising activities throughout the Kédougou region will have access to a motorbike for traveling around the Kédougou département, with occasional access to a vehicle from the Tambacounda regional office. This person will be recruited at the start of the next quarter. In Sédhiou, the GOLD focal point will work out of the Agence Régionale de Développement (ARD) office. GOLD will support the ARD's operations by sharing Internet connection costs and periodically providing office supplies. Sharing its offices will strengthen collaboration and contribute to the ARD's cost share for the Activity.
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3.4 Toolkit adaptation Table 2. Application of the GOLD governance toolkit Activities during the Partners & Tool Objectives quarter participants Integrated Measures CTs’ good • IGGB implemented and • CTs governance performance; action plans developed in Good • Regional Evaluation informs on the overarching eight pilot CTs Governance Committees Barometer governance progress in each • Capacity building activities • (IGGB) CT—key stakeholders from all conducted based on action GOLD consortium Results will participate in the plans members baseline and annual (see Result 1 section) • CBOs assessment
Sen-Bridge SMS (text messaging)-based • Deployment strategy • CTs platform that allows citizens to developed • CBOs send service requests to CT • Online platform created officials and service providers • Decentralized • and to monitor service delivery Koumpentoum selected as technical service pilot CT units Système de Self-assessment tool that • Baseline results collected, • Pilot CTs (elected Mesure de measures CTs' technical used, and analyzed in eight officials and Performance capacity against an appropriate pilot CTs municipal agencies) set of benchmarks for (SMP) • Analyses and summaries of • PNDL successful municipal results produced (one report • management and service per CT) ARD delivery • Eight plans developed for • Regional Evaluation assisting pilot CTs in Committees implementing action plans • Regional Training and three test training Committees sessions conducted • Regional Treasuries- tax collection agencies • Consultants Système Standardized referential • Meeting held with partners • ADL, PNDL, ARD, d’Information database for cross-sectoral data and existing data and USAID, Naatal Territorial integration; user-friendly systems identified Mbay, Yaajeende, (SIT) interface to support decision- • Review of existing systems Neema making in planning and and mechanisms conducted, budgeting through access to by level (local, départemental, available cross-sector regional, national) data/information • Data collected (shape files, topographic maps, population data disaggregated by CT, etc.) • GIS consultant identified in collaboration with Neema • Multiple health facilities geolocated • Intervention CT maps produced
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Activities during the Partners & Tool Objectives quarter participants Participatory Builds consensus on funding CT • Reports completed to serve • Pilot CTs (mayors, Strategic sector development priorities; as a baseline for the municipal Budgeting and provides support for participatory budgeting and secretaries) participation of women, youth, planning process in eight pilot Planning • PNDL (PSBP) and people with disabilities CTs • (PWD); stakeholders openly • Action plans developed ARD discuss investment measured • Capacity building activities • Regional Training against available financial Committees resources conducted for local actors • Map of IPs in pilot CTs • Steering Committees completed • Participatory Budgeting Committees Yelen Tax Improves effectiveness and • Eight Y-Tax technical and • CTs transparency in local tax technological baselines (Y-Tax) • Treasury collection conducted Department • Resource mobilization, • management, and budgetary CBOs and financial transparency • ARD baselines conducted in pilot • Tax collectors CTs • Accounting supervisors (tax auditors) • Regional Treasuries- tax collection agencies E-Learning Cost-efficient transfer of skills • No activities conducted • École Nationale and knowledge through web- during the quarter d’Administration based training, virtual (ENA) classrooms, and digital collaboration
Citizen Voice Social accountability approach • Educational rural water • Ministry of Water building civil society systems booklet developed in and Action • OFOR (CVA) organizations' (CSO) capacity to collaboration with USAID take collective action and Accès, OFOR, and the Water • USAID/Accès monitor service delivery Ministry • USAID/RSS+ • USAID/RSS+ staff trained on • CSC the CVA approach and on how to develop an AWP (one • Regional Head CVA budget submitted per Doctor CT) • USAID Neema • Development of a health • CT mayors governance booklet planned • • Development Committees Development and Citizen Advocacy Groups Committee established in four pilot CTs management • Six Development Committees trained in local advocacy Program Provides understanding of the • Not started • MGTDAT, PNDL Impact most important contextual Sustainability elements influencing the Assessment sustainability of selected Method program impacts (PISAM)
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3.5 CT selection (See Annexes 2a and 2b: Selection committee reports [Tambacounda and Kédougou]) GOLD's intervention areas are comprised of four regions, 13 départements, and 149 CTs. USAID GOLD committed to conducting activities in 50 CTs and 13 départements. The choice of these CTs is strategically important and politically sensitive. Eight CTs were selected to launch a pilot phase of the Activity. In the last quarter of FY 17, through a participatory process, GOLD selected 42 new CTs in its four target regions. The CTs for this expansion phase were selected using the same convergence criteria as in the pilot phase. Using a list of eligible communes indicating the presence of other USAID sectoral programs, the regional committees, chaired by the regional governors and composed of ARD directors and the heads of the regional Local Development, Planning, ANSD, and Treasury departments, selected the remaining CTs. To select CTs, the regional committees used the following criteria, among other things: • Mayoral leadership and engagement • Good level of citizen involvement in activities developed by the Municipal Council • Health, education, food security, and WASH sectors included in the CT's budget • Efforts to mobilize financial resources • Coordination and efforts to create synergies among programs active in the CT • CT organization − Number of annual meetings − Number of proceedings − Technical committee functioning, etc. After the selection process, GOLD selected the following CTs (by département): Table 3. Selected CTs (by département) Département CTs BPS CVA Accès Tambacounda Region Tambacounda Koussanar département Tambacounda X Sinthiou Malem X Missirah X X Bakel Bakel X département Bélé Ballo Koumpentoum Bamba Thialem département Ndame Méréto Koumpentoum X
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Département CTs BPS CVA Accès Goudiry Goudiry X X département Sinthiou Bocar Aly X Balla Kothiary X Kolda Region Kolda Bagadadji X X département Médina Chérif X X Dioulacolon X Saré Yoba Yéga X Thieti Vélingara Médina Gounass département Diaobé Kabendou X Linkéring X Sinthian Koundara Médina Yoro Pata Foula Médina Yoro Foula département Kéréouane Kédougou Region Kédougou Bandafassi X X département Kédougou X Fongolémi X Dindéfélo X X Salémata Kevoye X département Dakatéli X Dar Salam X Salémata X X X Saraya Khossanto X X département Sabodala X X Saraya X X Sédhiou Region Sédhiou Sédhiou département Djiredji Marsassoum Bambali X Bounkiling Médina Wandifa département Bona Bounkiling Tanaf X X Goudomp Yarang Balante X département Simandi Balante X X Samine Goudomp X Note: USAID/Neema works in all CTs. BPS: Budget Participatif du Sénégal
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4. Coordination and integration "Alone one goes fast, together we go far." (Proverb) The Activity's strategy is designed to strengthen democracy, rights, and governance and encourage a strong integration across all sectors. GOLD acts as facilitator, identifies opportunities for collaboration as well as systemic governance constraints that prevent donor programs from achieving sectoral outcomes, and strengthens the capacity of CTs to assume their roles and responsibilities.
4.1 Strategic integration During Year 1 of implementation, the Activity is primarily invested in designing and adapting cooperation and information sharing mechanisms to facilitate the integration of interventions by different actors (public institutions, USAID projects, other development programs, etc.). This approach represents a major investment to pool resources (human, logistic, and financial), optimize the impacts of various initiatives, and better sustain project achievements. During this quarter, USAID GOLD conducted multifaceted integration activities between its own different components and with USAID IPs, government programs, and other donors. Operationally, this led to the development of a synergy action plan with Neema and RSS+.
4.2 USAID programs GOLD continued and strengthened its cooperation with USAID programs in the health, WASH, food security, and education sectors. Several meetings have been organized with staff from other programs.
4.2.1 SHOPS+ USAID GOLD held a meeting at its office with SHOPS+ and its subcontractor, ADEMAS, to lay the groundwork for URAC and ADEMAS to work together on certain activities, including: • Broadcasting national radio spots on products promoted by SHOPS+ (Aquatabs, Fagaru and Protec condoms, long-lasting insecticide-treated nets [LLINs]) through the URAC network • Broadcasting educational radio shows • Participating in awareness-raising campaigns. URAC, USAID GOLD's implementing partner, is a network of community radio stations throughout the country with the ability to reach people in isolated areas. By working with URAC, SHOPS+ has been able to air more than 10,000 radio spots. The two programs also discussed the need to meet with the Association des Maires du Sénégal (AMS) to involve local communities in SHOPS+ activities. Finally, GOLD participated in the SHOPS+ FY 18 planning workshop to help the program better address governance support needs.
4.2.2 USAID Neema USAID GOLD helped develop a guide for local officials and a community health management manual during workshops in Thiès in August and Dakar in September. These documents will be used to build the capacity of local officials and community
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actors in CT health governance. This activity was initiated by Neema in collaboration with the MSAS's Community Health Unit (CSC). As part of its synergistic activities with Neema in Kolda, GOLD participated in a regional training workshop organized by Réseau Siggil Jigéen (RSJ)2 on the AFP SMART3 advocacy tool for CT monitoring committees in Dabo, Dinguiraye, Sinthiang Koundara, Bagadadji, Bambali, Médina Chérif, and Tanaf. Staff from both programs facilitated the workshop. The workshop aimed to allow participants to learn to use the AFP SMART tool and be able to advocate within their respective CTs. The workshop achieved the following: • Familiarized advocacy committee members with the USAID GOLD and USAID Neema projects to provide them with an integrated vision • Built the capacity of advocacy committee members in the AFP SMART advocacy model • Developed a plan for advocating and monitoring local activities in each CT. A meeting to review the Q3 activities of Neema, RSS+, and GOLD was held in the Tambacounda regional office. The meeting provided an opportunity to review synergies, identify implementation gaps, and develop a new quarterly action plan.
4.2.3 RSS+ USAID GOLD participated in the USAID RSS+ FY 18 AWP workshop. To strengthen the community engagement component of its health program, USAID RSS+ plans to select four pilot CTs to test the CVA approach. GOLD therefore trained CVA trainers chosen by RSS+ and met with RSS+ to discuss the implementation framework. The two programs agreed that the expanded health committee could serve as a consultant group. While the two programs do not share intervention zones, testing the CVA approach in target CTs will constitute a highly integrative result that could inform a "peer-to-peer" approach in the health sector.
4.2.4 USAID Accès During previous quarters, GOLD began working with USAID Accès, OFOR, and the Ministry of Water to develop an educational booklet on rural water system management standards. The booklet was finalized this quarter under OFOR's leadership, and all branding aspects were submitted to USAID DOC for approval. The booklet is scheduled to be printed in 1,000 copies for wide distribution to local authorities, mayors, and development actors to ensure their understanding of the standards and reforms promoted by the Ministry of Water and Sanitation. GOLD and Accès decided to work out of the same office in Kédougou to better integrate their activities. Accès is also working with the Association des Maires (AMS) to ensure active CT involvement in WASH issues.
2 Advanced Family Planning (AFP): Specific, Measurable, Attainable, Relevant, Time-bound (SMART). More information available at: http://advancefamilyplanning.org/sites/default/files/2017- 07/AFP%20Portfolio%20Component%20Part%202%20EN.pdf 3 RSJ is an NGO that works to promote and protect women's rights in Senegal.
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4.2.5 USAID SPRING GOLD met with USAID SPRING (Strengthening Partnerships, Results, and Innovations in Nutrition Globally) to share experiences and communicate with the nutrition sector. GOLD presented its behavior change strategy and saw how the community video approach could be adapted for use in Result 3. Participants in the meeting also discussed types of equipment and the possibility of GOLD working with local human resources trained by USAID SPRING.
SPRING and GOLD teams, September 2017 Pico equipment for showing community videos
4.2.6 USAID Yaajeende USAID GOLD staff went to Bakel on July 25-27, 2017 to meet with the USAID Yaajeende team. The objective of the meeting was to share important experiences and good practices for GOLD to build upon and continue. Discussions focused on: • Identifying program beneficiaries and organizing them into structured groups (Debbo Galle groups, producer groups) • Creating forums and groups for consulting, coordination, and management, such as Citizen Working Groups (GTCs) and Local Steering Committees (CLPs) • Conducting awareness-raising and behavior change communication activities for the program's target actors to ensure understanding and ownership of the practices and methods promoted • Building local actor capacity in certain areas (leadership, advocacy, lobbying, etc.) • Measuring the performances of local institutions with a capacity building plan focused on food security. This system has made it possible to measure how well CTs address food security-related issues and local communities' involvement in addressing these issues. • Institutional support, in terms of equipment to use during activities or rent in order to generate additional resources • Developing resource mobilization plans • Creating databases. After the meeting, a package of documents was submitted to the Mission. The next step for USAID GOLD will be to examine how it can build upon some of these achievements and experiences.
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4.2.7 Lecture Pour Tous national program As part of its synergies with USAID sectoral programs, GOLD met with the Lecture Pour Tous national program. Though they do not share intervention zones, the two programs did identify areas in which they could collaborate. LPT expressed great interest in getting CTs more involved in the implementation of its program. Discussions revealed possible synergies in: • Working with school management committees (CGEs): examining how tools and approaches that GOLD has developed for other sectors (health, water management, etc.) could help improve the functioning of school management committees • Contracting with local CBOs/NGOs: building on GOLD's experience to solicit CTs' participation in this approach • Communication: building on experiences and examining how to use the URAC network. It was decided that GOLD would participate in a network for sharing good practices established by LPT. The two programs designated points of contact to facilitate discussions and prepare next steps.
LPT– USAID GOLD meeting at the LPT office
4.2.8 US President’s Malaria Initiative (PMI) This quarter, GOLD met with PMI to define ways to get CTs and community groups more involved in malaria control efforts. A concept note was developed to propose a CT intervention approach to USAID (Annex 3: PMI draft proposal). GOLD will participate in meetings with PMI and the PNLP next quarter to be a part of the national malaria control strategy. FAFS could participate in social mobilization and URAC could contribute to communication/awareness-raising efforts through its network of community radio stations.
4.2.9 USAID WASH GOLD met with USAID WASH to discuss how to support CTs in incorporating WASH concerns in local planning and community engagement efforts. Grants Challenges will be launched in CTs to support the best local WASH management initiatives. Five target CTs will be selected according to their level of development, limited access to sanitation, and high level of malnutrition, before expanding the initiative to other CTs. GOLD will write a Grant Project Plan to help CTs develop their proposals and manage grants. GOLD will include its efforts to support CTs in CT action plans and in its AWP to improve sectoral integration of activities.
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4.3 Ministries, institutions and other projects
4.3.1 Ministry for Good Governance and Child Protection (Ministère de la Bonne Gouvernance et de la Protection de l’Enfance) (MBGPE) A meeting was held at the Directorate for the Promotion of Good Governance (DPBG) on July 25, 2017 to finalize a joint activity action plan (Annex 4: MBGPE draft action plan). The main priority for collaboration is helping to build the capacity of elected leaders and officials in CTs to ensure implementation of governance measuring and monitoring instruments like the Integrated Good Governance Barometer (IGGB).
Meeting with DPBG to develop a joint action plan
4.3.2 PNDL As part of its partnership with GOLD, the PNDL shared pilot CT baselines and identified joint activities to be conducted under Results 1 and 2. The PNDL also invited USAID GOLD to participate in a workshop to integrate cross-cutting issues into the national territorial development planning guide. GOLD participated in the workshop, which was an important opportunity for integrating gender, nutrition, climate change, and migration into local planning. GOLD was also able to make contacts in the MGTDAT Gender Unit to help build the capacity of elected women officials.
USAID GOLD organized a second joint mission with the PNDL to share information, approaches, and tools and implement activities in its four intervention regions, with participation from the GOLD and Neema AORs. The mission, conducted in July 2017, kicked off with the PNDL's participation in the weekly coordination meeting at the Tambacounda regional office, which also covered the region of Kédougou. The meeting provided the Tambacounda regional office with an opportunity to share its results and Weekly coordination meeting operations. The AORs shared information on at the Tambacounda regional office approaches and methods for integrating USAID programs with the staff present at the meeting.
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GOLD held regional workshops with local actors (elected officials, ARD, technical service units, and evaluation, training, and BP committees) in Kédougou and Sédhiou. These workshops allowed the USAID GOLD team and the PNDL to discuss GOLD's priorities as well as tools such as Y-Tax, CVA, and SMP-CT. The ARD shared participatory budgeting experiences from pilot CTs, and workshop participants discussed how to improve interventions in the field.
Regional workshop in Kédougou to 4.3.3 Agency for Local Development (ADL) share GOLD tools (See Annexes 6a and 6b: ADL MOU and ADL action plan) To strengthen its synergies within CTs, GOLD launched a partnership with the ADL national observatory in order to facilitate the management of territorial information and CT capacity building, participation in initiatives to reform the system for allocating resources to CTs, and building on self-assessments and social governance audits. In the next quarter, USAID GOLD will meet with the ADL to discuss the Geographic Information System (GIS) developed by the agency and examine how it could be used by CTs and sectoral programs.
4.3.4 Projet d’Appui à la Modernisation de l’État Civil (PAMEC) MGTDAT, through the Centre National d’Etat Civil (CNEC), invited GOLD to participate in a workshop to review the ANSD analysis of vital statistics in the Medina Gounass and Tambacounda CTs (2013-2016), which are part of GOLD's intervention areas. Strengthening the vital records system to better address citizens' needs and improve the quality of statistical data is an important issue for GOLD. After the workshop, GOLD was invited to another workshop to review the results of efforts to digitize and file vital records. The results revealed the challenges related to vital records and the need for greater involvement by elected officials. As part of its efforts to improve CTs' governance performance results on the IGGB, GOLD will help target CTs to improve their management of vital records by developing an archiving system, digitizing vital health records to ensure the systematic declaration of births, and creating documents for schoolchildren with no vital records. In partnership with Neema, GOLD will help CTs establish vital record focal points in health facilities to ensure the systematic declaration of births.
4.3.5 Cellule de Lutte Contre la Malnutrition (CLM) To help CTs better address nutrition-related issues, GOLD signed a partnership with the CLM, facilitated by USAID’s Economic Growth Office. In August, GOLD shared a capacity building plan for elected officials with the CLM and submitted it for approval. The plan includes: • Building CTs' technical and organizational capacities in integrating food security and nutrition into local planning and budgeting • Conducting an information and radio communication campaign on nutrition through URAC • Developing a community engagement approach for the implementation of nutrition policies and norms integrating other sectors in which USAID operates (education, health, WASH)
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• Advocating to educate local actors (associations of elected officials, mayors, elected CT advisors, women's associations, technical service units, local media) about the importance of easing women's workloads and integrating nutrition issues into local planning • Developing simplified mechanisms and tools for ensuring accountability and monitoring the evolution of integrated approaches developed in the areas of malnutrition.
4.3.6 Cercle des Communicants en Décentralisation (2CD) GOLD plans to work with 2CD to organize the fourth edition of the Université de la Décentralisation on the theme of "Innovative CT financing methods." Terms of Reference for the conference were approved this quarter. The meeting will be held during the next quarter to allow mayors, local authorities, and relevant sectoral programs to participate.
4.3.7 RAES On Wednesday, September 20, USAID GOLD hosted RAES (Réseau Africain pour l’Education et la Santé), an NGO that uses "entertainment-based learning" by producing films and documentaries to raise awareness and spark behavior change, particularly among youth and women, in the area of health. With funding from the Agence Française de Développement (AFD), RAES plans to implement a Bruits de Tambours program on the issue of good governance to encourage greater participation in the democratic process among youth and women in the run-up to the next elections in 2019. After discussions, it was agreed that: • GOLD would be included in the technical committee for implementing the Bruits de Tambours program to provide its expertise in the areas of governance and strategic orientation • RAES would be connected with URAC and community radio stations would use good governance discussion guides • Women would receive capacity building on gender issues.
4.3.8 National Agency of Statistics and Demography (ANSD) As an integrator, GOLD was invited to the workshop to review the 2016 Demographic and Health Survey (Enquête Démographique et de Santé), during which all of the documentation was shared. ANDS also conducted a national survey of health management committees and will share the results soon. This survey will provide GOLD with a baseline of how these committees are operating that it can address with the health sector. In partnership with Neema and RSS+, GOLD will use the map produced by the survey to support health and management committees in its intervention areas, by providing training on the texts governing their operations, technical assistance in developing action plans to ensure the sustainability of their operations, and equipment to ensure their administrative functioning.
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The ANSD national director being interviewed by the press
4.4 Plans for next quarter As part of its partnership with government institutions, GOLD has already developed action plans with the PNDL, ADL, CLM, and DPBG and plans to hold MOU signing and planning meetings with them to operationalize activities.
Table 4. Coordination / integration activities planned for Q1, FY 2018 Activity Expected outputs/comments Sign and implement a framework The IGGB is integrated into the tools promoted by the DPBG. agreement with the DPBG Sign and implement an agreement with the The national observatory platform is launched in collaboration with the ADL ADL. Sign and implement an agreement with the Nutrition issues are taken into account by CLM and GOLD partner CLM CTs. Collaborate with RAES GOLD is included in the technical committee for the Bruits de Tambours program to strengthen governance issues. Organize a discussion meeting with the The Ministry's national gender strategy is shared. MGTDAT Gender Unit Synergy activities are identified to help CTs better address gender issues. Collaborate with LPT GOLD is included in LPT's committee for sharing good practices. GOLD participates in LPT's advocacy activities in CTs and départements. The IGGB is implemented in one of LPT's CTs. Participate in a synergy meeting with Synergistic activities are planned around the USAID focal point in Neema, Abt Associates, Accès, and Naatal Kolda to improve consistency among IPs. Mbay Implement synergy plans between Synergistic activities with Neema and RSS+ are conducted in partner components with Neema and RSS+ CTs. Participate in the development of a A health governance booklet is developed and distributed. community health booklet with Neema and RSS + (Kolda, Tambacounda) Train local elected officials, local CBOs, Local actors' capacity is built in leadership and health governance. and community health workers in leadership and health governance (Tambacounda, Kédougou)
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5. Cross-cutting themes
5.1 Gender and social inclusion
This quarter, FAFS held meetings with its members in the intervention regions of Kédougou and Sédhiou to discuss the USAID GOLD approach. Women from GOLD's current target CTs, Kédougou's municipal and départemental councils, and GOLD's regional staff all participated in the workshop in Kédougou to share experiences and information with FAFS members.
5.2 Communication
GOLD developed a communication strategy to FAFS regional workshop in Kédougou, ensure USAID's visibility and produce and September 2017 distribute messages on subjects related to local governance. During the quarter, GOLD's Communications Manager was in regular contact with the USAID Mission's Communications Officer to ensure compliance with all branding and marking procedures. Institutional materials were developed and submitted for comments to USAID DOC. GOLD is currently using those comments to finalize the materials. USAID GOLD participated in a meeting with Health Program communication focal points on September 22. The meeting focused on sharing the following tools: • Events briefing memo: used to prepare events at which programs would like to request participation from USAID or the US Ambassador • USAID Graphics Standards Manual and Partner Co-Branding Guide • Success stories. GOLD has experienced difficulties with co-branding situations between multiple USAID programs, which sometimes require contacting each IP's headquarters, as branding conditions depend on different types of contracts. GOLD would like to increase mayors' involvement in developing interactive radio programs in the future and in supporting the broadcasting of radio spots in their communities. URAC organized a capacity building workshop in Kolda for radio hosts from 14 community radio stations in partner CTs with the goal of providing journalists with a better understanding of the Activity and giving all USAID programs access to competent local journalists.
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URAC capacity building workshop for local journalists, Kolda, July 2017
5.3 Conflict management and mitigation (See Annex 5: AFEX conflict management training report) AFEX conducted a series of workshops in Tanaf, Bagadadji, Yarang, and Bégéne to build participants' capacity to recognize and anticipate different types of potential conflicts in the delivery of health, education, WASH, and agriculture services and analyze the first signs of conflict in order to prevent, resolve, and transform conflicts and advocate in their respective communities. Conflict management committees will be established or revived in GOLD's partner CTs to prevent and manage conflicts in health committees, parents' associations (APEs), school management committees (CGEs), and water users' associations (ASUFORs), between farmers and livestock owners, in forest management, etc. Action plans will be developed and implemented to make these conflict management committees operational.
Figure 4. GOLD sustainability strategy 5.4 Sustainability plan
5.4.1 Local ownership GOLD continued holding meetings with all local partners to promote local buy-in of tools in order to ensure the sustainability of its interventions after its gradual close-out. Collaboration efforts include national institutions such as the MGTDAT, MIANPBG, PNDL, DGAT, ADL, and CLM.
5.4.2 Capacity building USAID GOLD staff participated in a fraud training led by Mr. Abdou
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M. Seye, Investigator-OIG. The regional offices, AFEX, URAC, FAFS, WVI, and Enda ECOPOP participated in the workshop, which was held in GOLD's conference room, and learned about cases of fraud and ways to prevent fraud in using USAID funds for projects. Recommendations to staff included: • Enhancing the focus on ethics when conducting activities. • In addition to RTI's internal whistleblowing systems, every GOLD employee is encouraged to immediately notify the USAID Office of the Inspector General of any instance of fraud and reject any form of corruption.
Fraud training for staff led by USAID OIG, August 2017
A consultant was hired to analyze the capacities of each local member of the RTI consortium. This activity is part of GOLD's plan to build the capacity of local partners to directly manage USAID funds once the Activity is complete. Based on the analysis, GOLD developed a plan to build their capacities in financial management, which is essential to each organization's sustainability. GOLD recruited a grants manager in September to implement this action plan. GOLD also trained its partners on the processes and timelines for reviewing, approving, and paying advances and for reconciling funds allocated for activities. With GOLD's interactivity, a periodic review of documentation allowed its subcontractors to submit expense reports using the RTI template, correctly complete advance requests and timesheets, and apply per diem rates for field visits and G50 Protocol workshops. During FY 2018, GOLD will focus its capacity building efforts more on management for rapid decision-making, the filing and archiving of accounting documents, and cost share documentation.
5.4.3 Adaptive approaches This quarter, USAID GOLD continued to meet with national institutions and USAID partner programs to understand their expectations and determine which tools could be adopted to meet their needs. The booklet on water system management standards designed in collaboration with USAID Accès and OFOR in response to priorities expressed by the local population was finalized this quarter. The booklet will be printed and distributed after branding approval by USAID DOC. GOLD also worked with Neema, RSS+, and the Ministry of Health's Health Unit to plan the revision of a booklet on health governance standards. The Ministry of Health is the document's institutional sponsor. RSS+ believes in the effectiveness of CVA as a
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social accountability tool and plans to test the approach in at least four CTs, with GOLD's assistance. Next quarter, GOLD will continue to meet with partners such as ADL to discuss the use of the SIT platform. At the operational level, GOLD will adapt its interventions to meet the needs of CTs and ensure tools are deployed in accordance with their capacities.
5.4.4 Sustainable enabling environment This quarter, GOLD conducted an applied political economy analysis (APEA) of the current fiscal decentralization system, which identified a number of problems. Based on the APEA recommendations, GOLD will work with USAID and in collaboration with the World Bank and Donor Working Group on Decentralization to consider possible central level interventions to sustainably improve the current systems for managing territorial development and allocating resources to CTs.
5.5 Plans for next quarter
Table 5. Intersectoral activities planned for Q1, FY 2018 Cross-cutting activities Expected outputs/comments Organize meetings with IPs' gender Integration around communication and inclusion and communications focal points (working groups)
Train staff in USAID branding Understanding of USAID branding standards Involve FAFS and URAC in missions Involvement of women's civil society groups and media coverage provided to share information and present the by the URAC network Activity Participate in the conducting of the Gender and equality issues are taken into account in the IGGB process with IGGB in all four regions the participation of FAFS and AFEX members and media coverage is provided by URAC Participate in the development of Educational and communication materials on the Y-Tax tool are developed educational and communication to ensure understanding by all actors materials on the Y-Tax tool (in pilot CTs) Conduct educational campaigns Educational campaigns about the Y-Tax tool are conducted with URAC, about the Y-Tax tool (URAC) FAFS, and AFEX Develop brochures and booklets on Materials on the tools used by GOLD are developed to ensure various tools (Y-Tax, IGGB, BPS) understanding within CTs
Meet with the MIANPBG Gender The action plan for building the capacity of elected officials in gender issues Unit is approved by the Ministry and shared with GOLD to develop synergies
Develop a list and map of FAFS Improved information on FAFS member associations in areas of intervention members in the Activity's areas of intervention
Organize radio programs on the The use, principles and objectives of tools will be presented and actors will tools used by GOLD: BPS, IGGB, Y- be informed and educated about them to facilitate their mobilization Tax, CVA
Provide partner radio stations with Improved reports and sound quality of productions more equipment Prepare the fourth edition of the The issue of CT funding is raised with administrative authorities, elected Université de la Décentralisation officials, and citizens in the Tambacounda region Monitor indicators related to age, Women, youth, and persons with disabilities involved in GOLD's activities gender, and persons with disabilities are known and the possibility of increasing their involvement is raised
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6. Result 1: Capacity of local government to respond to citizen demand increased
6.1 Introduction Result 1 activities focus on strengthening the capacity of CTs to become the catalyst of territorial and local development to more effectively respond to citizen demand. The GOLD approach increases the accountability, transparency, collaboration, and integration of programs and actors working in CTs through activities implemented under the three sub-results (SRs) to address weaknesses identified by the Plan Sénégal Émergent and strengthen the ability of CTs to fulfill new functions. These activities include acting as an incubator for sectoral integration and a catalyst of collaboration among CTs, projects, and programs and other agencies and public institutions. The Activity is working closely with USAID programs (Neema, RSS+, Accès, Naatal Mbay, etc.) and other partners and public agencies to coordinate assistance to municipal and départemental councils and sector management committees. Result 1 activities strengthen the ability of elected councilors (and other local officials) to understand and take ownership of budgeting, planning, contracting, tax and duty collecting, expenditure implementing, and reporting mechanisms. They encourage citizen participation and ownership of service delivery and monitoring of the quantity and quality of services in the food security, health, education, WASH, and nutrition sectors while simultaneously strengthening their ability to engage with technical committees, local management agencies and committees, CVA groups, and consultant groups.
6.2 Summary of progress under Result 1
6.2.1 SR 1.1: Leadership capacity of CT councilors as elected representatives improved Activity 1.1.1: Develop a baseline assessment of the capacity of local actors and CTs using the Integrated Good Governance Barometer (IGGB) and Système de Mesure de Performance des Collectivités Territoriales (SMP-CT) Integrated Good Governance Barometer (IGGB) This quarter, Enda ECOPOP conducted capacity building activities resulting from the IGGB and SMP-CT action plans in the CTs of Bambali, Bagadadji, and Dindifélo (Annexes 7a, 7b, 7c: Training reports). In implementing these plans, AFEX built the capacity of actors in the CTs of Koumpentoum and Salémata in conflict prevention and management. The training allowed actors to identify existing types of conflicts, contextualize the nature of their conflicts, and identify solutions. Conflict management committees were established in the CTs, and USAID GOLD will help build their operational capacity.
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GOLD and Neema, through its partner, RSJ, conducted an advocacy capacity building activity for elected officials from the CTs of Bagadadji, Médina Chérif, Bambali, and Tanaf on August 28-29, 2017. This activity built the capacity of CT spokespersons to advocate for CTs to fund health priorities. At the end of the training, an advocacy plan was developed for each CT. GOLD conducted informational visits in the 13 new CTs selected in Advocating for health funding with the mayor of the Tambacounda region on Tanaf (on the right) September 25-30. The visits were an opportunity to inform CTs and local actors of why their CT was selected, present the IGGB, and educate actors on the IGGB implementation process. During the next quarter, GOLD will continue the process of implementing the IGGB in 20 CTs (five per region). It will also work with other sectoral projects and each CT's partners to implement the capacity building activities resulting from action plans in the eight pilot CTs. SMP-CT: Pilot CTs
This quarter, USAID Figure 5. SMP-CT: Summary of scores (/100) in GOLD analyzed the each area for each pilot CT SMP-CT report results for all eight pilot CTs. This table (Figure 5) shows the performances and a comparison of the overall results obtained by each pilot CT. Bagadadji had the best performance and the highest score (83 out of 100 points). Bambali had the weakest performance (41.5 points). After analyzing these initial results, USAID GOLD developed a summary presentation of performance measurement results and a plan to assist each of the eight pilot CTs. The plans contain all of the needs expressed by CTs during their baseline assessments and will serve as roadmaps for GOLD and its partners in supporting CTs and building their institutional
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 28
and leadership capacities. CTs will implement the plans in partnership with the MGTDAT, through the PNDL, the Ministry's training department, the DCL, ARDs, and the ADL. GOLD plans to work with the PNDL to review the relevance of certain indicators, particularly those used to assess the ability of CTs to meet their citizens' priority needs. Baseline assessments to identify the capacity building needs of eight pilot CTs As part of its baseline assessment of the capacity building needs of CTs, GOLD launched an evaluation of CTs' training needs in conjunction with elected officials and other resource persons working in the pilot CTs. Needs were determined based on existing documentation and interviews conducted with mayors and municipal councilors, regional training committees, and ARDs. Using these diagnostics, GOLD developed eight provisional baseline documents to identify each CT's strengths and weaknesses, particularly in local leadership, the development of strategy documents, budget design and monitoring, and project implementation and follow-up. The analysis also showed that the pilot CTs do not have the capacity needed to develop successful partnerships, promote sectoral integration, or understand and meet citizens' priority needs. The training needs assessment is intended to complement the IGGB, SMP, and CVA to better determine demand for training. It is in line with the Regional Training Committee's strategy of supporting the national strategic training plan instituted by MGTDAT. Test training sessions in the pilot CTs of Dindéfélo, Bagadadji, and Bambali (Annexes 7a, 7b, 7c: Test training reports) The Activity began its implementation of capacity building plans with test trainings in the pilot CTs of Dindéfélo, Bagadadji, and Bambali. The training session in Dindéfélo (Kédougou region) focused on mobilizing and managing CT resources, a theme that falls under Result 2 of the Activity. The training session in Bagadadji (Kolda region) focused on the Acte III decentralization reforms and the roles and responsibilities of elected officials and territorial and local actors (Result 1). In Bambali (Sédhiou region), actors were trained in participatory planning and budgeting (BP) (Result 2). A total of 75 people participated in these sessions (15 in Dindéfélo, 30 in Bagadadji, and 30 in Bambali), including mayors, municipal councilors, technical committee members, local committees, technical service units, consultant groups, and partners.
BP test training in Bambali Test training in Bagadadji: Acte III decentralization reforms and roles and responsibilities of elected officials, technical committees, and local actors
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 29
In Kédougou, the regional tax collection department played an active role in the training. The participation of this key actor in local resource mobilization will help ensure the sustainability of the approach. Activity 1.1.2: Develop or adapt a good governance toolkit GOLD shared the Y-Tax tax collection tool with key actors in the pilot CTs and held working sessions with the regional Treasury departments, which expressed a willingness to support the tool's implementation. GOLD conducted baseline assessments for the eight CTs in collaboration with regional tax collection agencies, local leaders in pilot CTs, CT support agencies (ARDs), and administrative authorities in its intervention regions. During the next quarter, GOLD will implement the tool in test CTs and train and equip actors to begin collecting taxes. GOLD is working with the ADL to make data from the Observatoire Nationale de la Décentralisation et du Développement Local (ONDDL) and Géoportail accessible and useful to CT officials involved in local development planning processes.
6.2.2 SR 1.2: Organizational strengths (planning, budgeting, and implementation processes) of decentralized government structures increased No activities conducted.
6.2.3 SR 1.3: Public financial management and oversight of public expenditures improved Activity 1.3.1: Develop a baseline on budget management and transparency GOLD analyzed budgetary management and transparency by collecting different documents and data (administrative accounts, management accounts, records of proceedings, statements of revenue and expenditure, budget documents, interviews, etc.) to serve as a baseline and measurement of pilot CT capacities. The Activity then developed eight reports, or one per CT. Each document identifies the CT's strengths and weaknesses in collecting and managing taxes and managing the tax base. The assessment revealed the limited technical, logistical, and human capacities of pilot CTs to mobilize and manage budgetary and financial resources. The analysis also showed that most resources used for operations and investments in pilot CTs come from funds transferred by the national government, with very little coming from CTs themselves. CTs also face challenges in exploiting the available tax potential or managing the local tax base. The CTs that the Activity analyzed also face difficulties with bookkeeping and developing administrative accounts according to the required conditions and timelines. Once this initial analysis is reviewed and approved by CTs and actors, USAID GOLD will use it as a baseline for evaluating its progress in future years. CTs and public officials could also use the analysis to change their local policies, and partners and technical service units could use it to learn about the situation in CTs and help them make improvements.
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 30
6.3 Constraints and solutions Table 6. Constraints and solutions (Result 1) Constraints Solutions Difficulty accessing certain documents in CTs • Vary sources of information and from programs, institutions, and government • Triangulate the information obtained agencies • Use partnership agreements and personal contacts
Weaker level of engagement / collaboration in • Turn to other structures or agencies to try to obtain one pilot CT (Missirah, Tambacounda region) information on the CT than in other CTs
6.4 Plans for next quarter
Table 7. Activities planned for Q1, FY 18 (Result 1) Activity Expected outputs/comments Assess the capacities of elected officials, local officials, Elected and local official capacity baselines are and other local development actors and evaluate available training needs
Implement the IGGB Capacity building plans produced from the IGGB are available
Develop or adapt training materials Training material development/adaptation has begun Consolidate action plans (IGGB, SMP-CT, training A harmonized action plan is developed needs, CVA, other partners) Implement capacity building plans for elected officials Capacity building plans are implemented and local actors in pilot and new CTs Develop and test an E-learning platform in pilot CTs The E-learning platform is tested and in place Support CT technical committees in the design, CT technical committees are supported in the design, monitoring, and evaluation of their integrated AWPs monitoring, and evaluation of their integrated AWPs Train and support sectoral committees: CGEs, health Sectoral committees are trained and supported committees, ASUFORs, operators, etc. Conduct baselines of the management, execution, and Baseline assessments of the management, execution, oversight of public expenditures and oversight of public expenditures have begun
Share and obtain approval of baseline assessments Baseline assessments are shared and approved by target CT actors
Organize missions to share information and present the Missions to provide information and share GOLD's Activity (approaches and tools) in new CTs in the objectives, strategies, and approaches are conducted presence of all actors (elected officials, administrative with all target actors in new CTs authorities, technical service units, local committees, local civil society, private sector, etc.) Begin collecting baseline reports on the SMP-CT and Collection and use of documents and an analysis of develop assistance plans in new CTs SMP-CT baseline report results have begun in new CTs
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 31
7. Result 2: Mobilization and management of local public resources improved
7.1 Introduction Result 2 activities build on the work of Result 1, helping CT officials implement their newly gained skills to increase local revenue mobilization and build trusted relationships among all key stakeholders. Result 2 activities will also work with and build on Result 3 activities that will reinforce participation of local communities in monitoring health, education, WASH, and agriculture service delivery management. Information on CT financial resources, collected mainly with the PNDL and ADL, show that the own-source revenue of CTs accounts for only around 20% to 30% of their total budgetary resources. Given their limited resources, additional own-source CT revenue is not likely to be sufficient enough to have a major impact on CT investments in health, education, food security, and WASH services. For that reason, USAID GOLD conducted an APEA to better understand the fiscal decentralization situation in Senegal. GOLD will analyze the results and work with USAID to determine how they could impact CT resources.
7.2 Summary of progress under Result 2
7.2.1 SR 2.1: Own-source revenue of CTs increased Activity 2.1.1: Develop a baseline of resource mobilization in CTs To develop baselines on the mobilization of own-source CT revenue, GOLD met with relevant authorities and actors (regional tax collectors, CTs, ARDs, administrative authorities, local actors, etc.) to share baselines and collect data and information in the field to get an overview of the situation. The results show that CTs have limited capacity to mobilize and manage resources to fund local development. GOLD will use the baseline results to assess progress in resource mobilization in each of the eight pilot CTs. Activity 2.1.2: Create plans for increasing CTs’ own-source revenue mobilization This quarter, the Activity conducted field visits to determine CTs' own-source budgetary and financial revenue potential and define major strategic priorities for plans to increase revenue mobilization in pilot CTs. GOLD is currently drafting these revenue mobilization plans. During the next quarter, GOLD will finalize the plans by using information from the diagnostic visit and analyzing documents and data collected from CTs and technical service units (CT budgets, CT meetings, administrative accounts, operating accounts, individual interviews, other relevant information, etc.). The finalized plans will serve as roadmaps for the eight pilot CTs. Activity 2.1.3: Raise awareness and mobilize elected officials and local actors on resource mobilization and the management of local public resources USAID GOLD and the PNDL conducted a joint mission in July 2017 to share information on results and activities, including those related to Result 2. Elected officials, regional tax collectors and agencies, other technical service units, consultant groups, and local committees that attended the workshops in Kédougou and Sédhiou were informed of the importance, issues, and challenges of mobilizing and managing the public resources needed to fund local development (Annex 1: PNDL joint mission report).
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 32
Activity 2.1.4: Pilot Y-Tax GOLD began the deployment of Y-Tax in its pilot CTs and conducted the following activities: Technical meetings with tax collectors and agencies on mobilizing and collecting revenue through Y-Tax GOLD organized meetings with tax collectors and agencies in its intervention regions in order to explain to Treasury officials the Activity's resource mobilization objectives and their expected participation in testing the Y-Tax tool and collecting revenue.
Through these working sessions, GOLD and Treasury departments agreed on how to test tools for collecting own-source revenue in pilot CTs and how to oversee operations. The Treasury departments provided USAID GOLD with monthly revenue statements for the pilot CTs from the last two years (2015-2016) and first half of 2017.
GOLD met with USAID GOLD and the Kédougou the Kolda regional regional tax collector tax collector and his staff in the presence of its AOR. The tax collector and his staff commended the Activity's vision and innovative participative approach to mobilizing CT revenue. This collaboration, which has already begun between regional staff, will help overcome challenges in increasing own-source USAID GOLD staff at the Kolda tax revenue and improving tax collection tools to collection agency (head tax collector in benefit CTs, the government, and citizens the middle) (Annex 1: PNDL joint mission report). Missions to collect data and evaluate the technical and technological mechanisms for implementing the Y-Tax system (Annex 7d: Y-Tax mission report) As part of its Y-Tax baseline assessment, GOLD conducted two missions to evaluate the technical and technological mechanisms for testing the Y-Tax system in the eight pilot CTs, meeting with mayors (local elected officials), municipal officials, accounting supervisors and auditors, tax collectors and agencies, and ARDs. These actors all expressed their commitment to deploying the Y-Tax tax collection and resource management tool. The meetings revealed a real need for CTs to know how their resources are managed by tax collection agencies and to benefit from capacity building in resource collection and management, accounting, and the preparing of administrative accounts. The evaluation showed that CTs are poorly equipped. Some CTs have no electricity or computers, while others lack the minimum number of tax collectors. Regional tax agencies have a greater ability to collect and manage resources through Y-Tax. In Q1 FY 18, GOLD will organize regional workshops to review the situation and deploy Y-Tax in selected test CTs. It will communicate to ensure the active participation of public authorities and taxpayers.
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 33
GOLD staff visiting Bambali, Sédhiou Y-Tax consultant at the Kédougou tax collection agency
Activity 2.1.5: Assist CTs in the planning, implementation, and monitoring of participatory planning, budgeting, and management of CTs, taking into account increased revenues from Y-Tax GOLD shared information and guidance on this activity during its various field visits to conduct baseline assessments. Increased revenues from Y-Tax will be taken into account after Y-Tax and the BP are deployed. During its various missions, GOLD also presented the BP to actors and participants to share information and discuss its strengths and weaknesses. Actors in CTs and communities appear very committed to this adaptable tool. Successful planning and integrated monitoring of activities in CTs will be the responsibility of technical committees, whose leadership capacities need to be strengthened. With that goal in mind, technical committee members participated in all three test training activities.4 Alongside these trainings, GOLD built the capacity of target actors in the participative planning process to help them better understand how to integrate the needs of residents, sectors, and partners in CTs' annual investment plans. Other specific meetings on topics such as health, WASH, land/agriculture, and/or economic growth have been planned between CT technical committees and IPs and will be conducted in the coming weeks. This will make it possible to focus partner and technical service unit efforts around the CT to ensure greater buy-in and more sustainable results.
7.2.2 SR 2.2: Social accountability mechanism for service delivery transparency increased Activity 2.2.1: Create a baseline of social accountability tools and citizen satisfaction A baseline of social accountability tools and mechanisms is underway on the allocation of CTs' budget resources and service delivery in the education, health, and WASH sectors. Initial results show low satisfaction among actors (elected officials, local communities, technical service units) with the services delivered in these sectors, due to a lack of human and budgetary resources, insufficient investments, a lack of citizen awareness of social accountability, the absence of effective, appropriate tools, and a lack of motivation and leadership in CT technical committees. GOLD will continue creating baselines in Q1 FY 18.
4 Training on Acte III, BP, and resource mobilization and management.
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Activity 2.2.2: Develop and implement Sen-Bridge This quarter, GOLD began the process of implementing Sen-Bridge (see footnote 1 at the bottom of page 5) by writing and validating the concept note describing the objectives and steps for implementing the tool. It identified Koumpentoum as the pilot CT where the tool would first be tested. On the technical front, the RapidPro-powered Sen-Bridge platform was deployed and is now available in the cloud. It was presented to GOLD staff by the consultant-developer. As part of the pilot phase, GOLD had procured equipment and submitted a request to the ARTP to attribute it with a short number to which citizens can send messages to technical service units to improve service delivery by local governments. GOLD will work closely with UNICEF on this aspect of the activity. During the next quarter, GOLD will procure more equipment and obtain technical prerequisites (short number, SMPP account, negotiate SMS costs, etc.). It will also visit Koumpentoum to launch the pilot phase and present the approach to local actors.
7.2.3 SR 2.3: CT planning and budgeting integrates development partners’ resources Activity 2.3.1: CT planning and budgeting integrates development partners’ resources In all of the Activity's eight pilot CTs, the BP process is being applied as part of the Budget Participatif du Sénégal (BPS) project led by the PNDL and Enda ECOPOP. This project is the bedrock of USAID GOLD's collaboration with the PNDL. GOLD is monitoring the implementation of activities and will continue to do so during the next quarter by jointly conducting the BP process using a cost share and integration approach. Activity 2.3.2: Reference document of different CT partners and their activities In conducting baselines, USAID GOLD was able to identify partners working in each of its pilot CTs. Most partners work in the same intervention sectors and prefer their own activities; few work in governance.
7.3 Constraints and solutions
Table 8. Constraints and solutions (Result 2) Constraints Solutions Difficulty accessing certain documents in CTs and • Vary sources of information from programs, institutions, and government agencies • Triangulate the information obtained • Use partnership agreements and personal contacts
Weaker level of engagement / collaboration in one • Turn to other structures or agencies to try to pilot CT (Missirah, Tambacounda region) obtain information on the CT
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 35
7.4 Plans for next quarter
Table 9. Activities planned for Q1, FY 18 (Result 2) Activity Expected outputs/comments Submit and approve baseline result reports for CT Baseline results are shared, discussed, and approved mobilization and management, Y-Tax, and BP in pilot by actors CT regions
Submit, share, and approve baselines on own-source Baselines on CTs' own-source revenue mobilization revenue mobilization and management in new CTs and management are submitted and approved (diagnostic results)
Collect and analyze data on CT budgeting and local Budgetary data are available and analyzed taxation and own-source revenue in new CTs
Develop and approve plans for mobilizing own-source Plans for mobilizing revenue are developed and revenue in pilot and new CTs approved Share and distribute plans for mobilizing own-source Citizens have taken ownership of plans and strategies revenue in pilot and new CTs for mobilizing revenue Start the Y-Tax baseline assessment in new CTs The Y-Tax baseline assessment is under way in new CTs
Update the taxpayer database and determine which The taxpayer database is updated, taxpayers are taxes to test in Y-Tax in pilot CTs identified, registered, and numbered, taxes are identified, and legal and security conditions are determined for collecting taxes
Provide pilot CTs with Y-Tax equipment CTs are provided with Y-Tax equipment to start using the tax collection tool
Develop education and communication materials for the Education and communication materials for the Y-Tax Y-Tax tool (for pilot and new CTs) tool are developed
Conduct educational campaigns about the Y-Tax tool in Educational campaigns about the Y-Tax tool are pilot and new CTs (through URAC) conducted with URAC Train tax collectors and accounting supervisors in Y- Tax collectors and accounting supervisors are trained Tax tax collection procedures (pilot and new CTs) in Y-Tax tax collection procedures
Organize sessions to demonstrate and distribute Sessions to demonstrate and distribute informational informational materials about Y-Tax in pilot and new materials about Y-Tax are organized and held CTs Supervise and control the quality of Y-Tax Supervision and quality control of Y-Tax implementation in new and old CTs implementation have begun
Perform a diagnostic of tools to measure social A diagnostic of tools to measure social accountability accountability and citizen satisfaction with public and monitor citizen satisfaction with services is services in pilot and new CTs performed
Support the integration of sectors in the Annual Sectors have begun to be integrated into CTs' Annual Investment Plans (PAI) of pilot and new CTs Investment Plans
Begin the BP process in new CTs after signing The BP implementation process is expanded to new partnership agreements CTs
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 36
8. Result 3: Community participation in service delivery management (health, education, WASH, agriculture) increased
8.1 Introduction Citizen participation in the management and oversight of local public affairs has been slow to materialize. Barriers exist to participation within CTs and within community- based service management committees (SMCs)—in particular, attitudes toward women, youth, HIV-positive persons, and people with disabilities. This situation is the result of elected officials' lack of understanding of the importance of participation and a poor perception of citizen oversight. Citizens do not always understand their role within engagement processes or the potential impact they can have on improving services. Result 3 activities therefore focus on promoting citizen engagement in identifying and addressing priority problems in the delivery of services that affect their communities. This quarter, we noted progress, primarily in the establishment of bodies that should support USAID GOLD in its intervention regions. GOLD developed a guide for establishing community structures, made kakémonos (banners) on community engagement, and developed training tools and materials to help build the capacity of CBOs. To foster integration, GOLD pursued its partnership with IPs and national institutions.
8.2 Summary of progress under Result 3
8.2.1 SR 3.1: CSOs’ skills to take collective action in priority public needs improved Activity 3.1.1: Conduct CVA context analysis This quarter, the Activity conducted the Result 3 baseline, which helped characterize CBO members and assess their knowledge of policies in the Activity's four key sectors. The baseline aimed to assess community mechanisms for engaging in participative, non-conflictual dialogue with local elected officials. The survey results showed a predominance of men (58.25%) in CBOs in all sectors, except for economic development, which had more women. The education level of CBO members is relatively low. Overall, 23.2% completed some secondary school, while only 5.67% completed any higher education. The most educated members were in the CT of Tanaf, followed by Koumpentoum. The analysis also showed that education level greatly determines knowledge of sectoral policies. CBO members have an average of 5.5 years of experience in their organization's main area of intervention. In the eight CTs, 68.81% of CBO members could name at least two CT responsibilities. That percentage varied from one sectoral policy to another. CBO members were most familiar with CT responsibilities in the environmental sector (72.29%), while only around one out of three members (36.6%) were informed about those for implementing WASH policies. 49.74% of CBO members could name more than two norms and standards for quality public service. Members were most familiar with the criteria for health centers and facilities (61.6%). 58.38% of those surveyed were also familiar with norms and
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 37
standards for primary and elementary schools. However, only one out of five people (21.01%) could name two norms and standards for WASH management (Figures 6 and 7).
Figure 6. Knowledge of at least two Figure 7. Knowledge of norms and CT responsibilities in standards implementing sectoral policies
Surveyor training Conducting surveys in the field
Activity 3.1.2: Develop training and community outreach materials GOLD continued the process of creating suitable tools and communication materials to inform, educate, train, and raise awareness among communities. A booklet on rural water system management standards – co-produced by USAID GOLD, USAID Accès, OFOR, and the Ministry of Water – was finalized. During the next quarter, GOLD will print and distribute 1,000 copies to actors to better inform them of new water sector reforms. GOLD is also currently revising another booklet on standards for good governance in health in collaboration with RSS+, Neema, and the Community Health Unit of the Ministry of Health and Social Action. The goal is to co-produce an illustrated booklet that will serve as a tool to communicate, inform, and raise awareness among local
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 38
actors of health norms and standards. Several working sessions have been held and will continue during the next quarter. Activity 3.1.3: Create CT-level SMCs and CVA groups that include interested community members, CSOs, health committees, and other sector management committees GOLD initiated the creation of community groups to implement citizen engagement activities. The names of these groups have changed, with management committees becoming "Development Committees" and CVA groups becoming "Citizen Advocacy Groups." Development Committees GOLD continued to work to establish Development Committees and established the first committees in its eight pilot CTs. Committees are made up of various actors such as CBO members, technical service units, religious authorities, BP committees, local authorities, and citizen working groups in USAID Yaajeende's intervention regions. They are chaired by the mayor. The purpose of the committee is to assist the CT in its mission of boosting economic and social development. It is therefore responsible for the following: • Facilitating the creation and mobilization of strong, functional Citizen Advocacy Groups in zones (villages grouped by CT zone sharing a certain number of infrastructure and local community structures) by integrating all of GOLD's four key sectors • Identifying and informing the municipal council and citizens of issues related to USAID GOLD's four intervention sectors and other local development issues • Participating in the local development planning process with the CT, communities, and partners (Plan de Développement Communal, BP, POCL, etc.) • Ensuring commitments made by the municipal council and technical and financial partners are kept by monitoring service delivery (norms, performance measurements, action plan implementation, etc.) • Encouraging and participating in all citizen initiatives and actions organized in the CT or arrondissement, département, etc. • Participating in managing conflicts and responding to citizens' concerns and expectations through advocacy • Supporting the local government in advocating at the national level • Advocating for issues at the départemental and regional levels. The first activity of Development Committees was the establishment of Citizen Advocacy Groups. This was easier in "urban" CTs, which consist of neighborhoods within the same zone. In "rural" CTs, advocacy groups had to adapt to the zones created by partners. For example, Koumpentoum has 10 neighborhoods divided into two zones, which were created for the purposes of participatory budgeting in partnership with the CT. These same zones were used to create the Citizen Advocacy Group zones to avoid creating different structures. Citizen Advocacy Groups Elected members of Development Committees established Citizen Advocacy Groups in the CTs of Koumpentoum (two), Missirah (four), Bambali (three), and Tanaf
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 39
(three). These groups are made up of CBOs in the sectors of education (CGE), health (COS), water (ASUFOR), and agriculture (CLCOP) and resource persons in each zone. The goal of these groups is to facilitate community engagement in their neighborhood or village. Their missions are as follows: • Mobilize existing structures and community organizations in the zone (CGE, APE, etc.) • Support CSOs in organizing social mobilization • Organize community assemblies to share information, monitor norms, evaluate performance measurements, and review results • Monitor action plans for all infrastructure in the zone • Serve as an intermediary between the steering committee and the community • Report to the steering committee on the monitoring of norms, evaluations of performance measurements, and the implementation of action plans for all infrastructure in the zone, using the appropriate monitoring tools • Develop and implement the local advocacy plan • Report all useful information to the steering committee (quarterly). Activity 3.1.4: Conduct trainings for SMCs All Development Committees in pilot CTs were trained in the CVA approach. This training was aimed at encouraging buy-in of the CVA approach by committee members, who are responsible for coordinating all community engagement initiatives in the CT. For two days, committee members discussed topics related to citizen engagement and community participation. Members of Citizen Advocacy Groups were trained on the roles, responsibilities, and functioning of Citizen Advocacy Groups. They also benefitted from capacity building to allow them to organize community meetings (initial meeting, norms monitoring, performance measurement evaluation, and action plan review/development).
Table 10. Community structures by CT Development Committee Citizen Advocacy Group CT # of members # trained # of women # of members # trained #/CT TAMBACOUNDA Missirah 50 43 10 43 4 Koumpentoum 45 45 14 47 47 2
KEDOUGOU Dindéfélo 34 34 04 Salémata 40 35 09
KOLDA Médina Chérif 50 50 11 0 Bagadadji 50 47 15 0
SEDHIOU Tanaf 45 43 13 56 55 3 Bambali 48 48 10 41 0 3
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 40
Bambali Development Committee Tanaf Citizen Advocacy Group
8.3 Constraints and solutions
Table 11. Constraints and solutions (Result 3) Constraints Solutions Conducting the baseline assessment during the Send letters to authorities who can remotely mobilize CBO legislative campaign and rainy season in Senegal, members when certain partners, mayors, and CBO members Make a post-stratification adjustment, mainly to the health and were unavailable education sectors: give more weight in the sample to other sectors and less to education and health in certain areas
Existence of multiple CBOs Choose the most representative CBOs in the area, with both men and women Difficulty mobilizing during the start of the rainy Take advantage of opportune times for conducting training season
Difficulty mobilizing during the electoral campaign Avoid community gatherings Limited literacy among some training participants Include more adult learning Delay in the process of signing MOUs with ARDs to Wait for RTI to sign an MOU with ARDs and follow that MOU use regional training committees
USAID GOLD – Quarterly Report, July 1 – September 30, 2017 41
8.4 Plans for next quarter
Table 12. Activities planned for Q1, FY 18 (Result 3) Activity Expected outputs/comments CLD and CDD members are informed of USAID GOLD Organize the establishment of Comités Locaux de tools, including CVA. The implementing structure guide Développement (CLD) and Comités Départementaux de is shared. Mayors commit to issuing a decree Développement (CDD) in new CTs establishing a Development Committee. Organize a discussion meeting with key actors to A plan for drafting the booklet is discussed and develop the educational booklet on health governance consensually approved standards Organize a workshop with the drafting committee to draft A draft of the booklet is developed and proposed the booklet illustrations are selected
Organize a workshop to submit and approve the booklet The CSC approves the illustrated booklet Print 1,000 illustrated booklets 1,000 booklets are available and shared Establish Development Committees in each CT A decree establishing the committee is published Identify community facilitators Contracts are signed between CT facilitators and USAID GOLD Identify community volunteers in each département / CT Contracts are signed between volunteers and CTs to facilitate community mobilization Train volunteers in how to implement the CVA approach Volunteers and facilitators are trained in CVA so they can actively participate in social mobilization Organize Development Committee coordination meetings A space exists for productive dialogue between in each CT every three months different CT actors Analyze the CVA context in target CTs (questionnaire in A baseline is conducted in each CT each Citizen Advocacy Group) Share the AWP and requirements for working with IPs WVI staff are ready to support USAID GOLD activities with World Vision International staff working with GOLD Facilitate World Vision US's visit to Senegal for USAID USAID GOLD's support country is integrated into the GOLD implementation of the Activity Organize a meeting on drafted action plans with different CVA action plans are reinforced and new commitments actors in WVI's target CTs are made by CTs Participate in the implementation of Sen-Bridge in The Sen-Bridge platform is operational Koumpentoum Raise awareness and mobilize communities outside Communities are educated about GOLD activities Development Committees and Citizen Advocacy Groups with support from URAC and FAFS Train Development Committees and Citizen Advocacy Development Committee and Citizen Advocacy Group Groups in educational norms, standards, and policies members know about norms, standards, and policies in the education sector Train Development Committees and Citizen Advocacy Development Committee and Citizen Advocacy Group Groups in water system norms, standards, and policies members know about norms, standards, and policies in the water sector
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9. Grants program In FY 2018, GOLD will award grants under its three Results and recruit a Grants Manager to oversee and document funding and build the capacity of beneficiary CTs. Grants will be used to fund activities and equipment.
10. Cost share This quarter, from July to September 2017, USAID GOLD pursued its cost share policy through its strategy of negotiating the funding of activities in the field, particularly with CT actors. The aim is to include a cost share system in the framework agreements (Annex 8: Draft CT-GOLD framework agreement) that will soon be signed with each partner CT. The action plans included in the framework agreements will be locally monitored by a facilitator who will be provided by the CT and supported by GOLD (Annex 9: CT facilitator Terms of Reference).
11. Collaboration, learning, and adapting (CLA) Monitoring, evaluation, research, learning, and adaptation are central to the Local Governance for Development approach. The monitoring & evaluation system (MES) should serve as a decision-making tool and meet the internal management and supervision needs of all GOLD stakeholders, i.e., direct and indirect actors, USAID, other implementing partners, and the Government of Senegal. This quarter, GOLD focused on finalizing and sharing the Monitoring & Evaluation Guide and beginning to develop baselines. The list of research questions was selected with USAID.
11.1 Activity 1: Develop and operationalize the Activity Monitoring, Evaluation, and Learning Plan (AMELP) CLA Activity 1.1: Prepare and submit AMELP GOLD developed an AMELP (currently being approved USAID) and a procedures guide that it shared internally. The MERLA day at the GOLD planning and capitalization retreat provided an opportunity to share the guide with actors responsible for the flow of information, indicators, and data collection tools. M&E officers from other USAID programs (Neema, Naatal Mbay) and partner structures (CLM, PNDL, etc.) also participated. CLA Activity 1.2: Design and operationalize a knowledge management platform and M&E dashboard This quarter, GOLD began to develop databases based on its activities in the field and produced tables to report on indicators. In Year 1, GOLD committed to reporting on 10 out of 30 indicators. Of those 10, only one could not be reported by the time the report was written, due to a delay in launching certain activities in the field. The progress made on each of these indicators is shown in Table 13.
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Table 13. Table of indicators on September 30, 2017 Indicator Target value Achieved Percentage Percentage of targeted CTs using a participatory 10% 13% 130% budgeting process Number of individuals who receive training to 100 229 229% strengthen local government and leadership Percentage of targeted CTs that have at least one 6 0 0% technical committee in place to make and follow a plan to provide social services Number of USG-supported activities designed to 20 16 80% promote or strengthen the civic participation of women (F 2.4-6) RTI 1: Number of people that benefit directly from 500 277 55% RTI projects Number of other USG-funded programs with 10 6 60% which the Activity initiated meetings Number of activities carried out in collaboration 30 25 83% with another program funded by USG Number of other programs/ institutions with which 10 11 110% the Activity initiated meetings Number of activities carried out in collaboration 10 16 160% with another program/ institution Number of CLA meetings held between GOLD 2 3 150% core technical team and MEL team
GOLD developed the dashboard above based on data collected in the field. The Activity's eight pilot CTs are using a participatory budgeting process. 13% of the total objective (63 CTs) has therefore been met, exceeding the Activity's objective of 10% for this year. As for the “Number of individuals who receive training to strengthen local government and leadership” indicator, field data show that 229 Development Committee members, including 172 men and 27 women, have been trained in the CVA approach and their roles and responsibilities.
11.2 Activity 2: Collaboration and learning activities During GOLD's capitalization retreat in August, the Activity held a specific session with USAID on questions to align viewpoints and identify a list of research questions that include both USAID's needs and expectations and the Activity's objectives. The table of research questions was then revised based on proposed contributions and RTI's research expertise. • What is the added value of integrated local governance in terms of service delivery? The next step will consist of identifying research institutions to provide GOLD, USAID, the government, and partners with answers to these questions. The following related questions also merit reflection: • What did and did not work well in GOLD's participative design approach? What lessons were learned, including about the way in which stakeholders (USAID, citizens, government actors) facilitated/hindered the design process?
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• How did the political and economic environment change and how did GOLD adapt to changes in the contextual environment? • What governance tools are included in GOLD and how did they function? • How did GOLD use adaptive management?
11.3 Plans for next quarter
Table 14. Activities planned for Q1, FY 18 (CLA) Activity Expected outputs/comments Share the M&E guide and tools GOLD staff have a shared understanding of indicators, the flow of information, and data collection tools Digitize the M&E system and train staff to use it The M&E system is remotely accessible and operational
Organize missions to support teams in the field in Support missions are organized for data collection data collection and reporting and reporting
Organize twice-yearly meetings to share data Activity data is shared twice a year Identify research institutions / universities and start One or two research institutions are selected and a research research agenda is defined Train staff in capitalization and learning techniques GOLD and partner staff are trained in capitalization techniques
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