Table of Contents 01 Introduction 1 1.1 Introduction 1 1.2 Concept of Mahinda Chintana and Local Government 1 1.3 Local Govern
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Table of Contents 01 Introduction 1 1.1 Introduction 1 1.2 Concept of Mahinda Chintana and Local Government 1 1.3 Local Governments and Regional Development 1 1.4 Overall Local Government Situation in Sri Lanka 2 1.5 Administrative Structure and Strength of LAs 3 1.6 Present Socio-Political and Economic Situation in the North and East 4 1.7 Present Context of Local Governments in North & East 4 1.8 Project Coverage 5 02 Project Designing 7 2.1 Introduction 7 2.2 The Process of Selection of LAs 7 2.3 LA qualifying criteria 8 2.4 The Project Objective 9 2.5 LA Participatory Development Plan 10 2.6 LA Development Plan and Environmental Requirements 14 2.7 Project Implementation Period 16 2.8 Project Costs and Financing Plan 16 03 Project Components 17 3.1 Introduction 17 3.2 Component 1: Infrastructure Service Delivery 17 3.3 Component 2: Institutionalizing Accountabilities 20 3.4 Component 3: Building Capacities 21 3.5 Component 4: Assessments and Evaluation 23 3.6 Component 5: Project Management 24 04 Project Institutional Arrangements 26 4.1 Introduction 26 4.2 National Level Institutional Arrangements 28 4.3 Provincial Level Institutional Arrangements 29 4.4 Regional Level (District) Institutional Arrangements 29 4.5 Divisional Level Institutional Arrangements 30 4.6 Village Level Institutional Arrangements 31 4.7 Provincial, District and Divisional Coordination Committees 31 05 Project Implementation Arrangements 33 5.1 Introduction 33 5.2 National Level Implementation Arrangements 33 5.3 Provincial Level Implementation Arrangements 35 5.4 Regional Level (District) Implementation Arrangements 38 5.5 Divisional Level Implementation Arrangements 40 5.6 Grama Niladari Division Level (village level) Implementation 43 i 06 Project Cycle 46 6.1 Introduction 46 6.2 Start-up Stage 46 6.3 Pre-Planning Stage 47 6.4 Planning Stage 48 6.5 Implementation Stage 49 6.6 Post Implementation Stage 50 07 Project Appraisal Mechanism 51 7.1 Introduction 51 7.2 Need of Appraisal 51 7.3 Appraising of Sub-Projects 51 7.4 Appraisal Teams, Composition and Tasks 52 7.5 Appraisal Process and Steps 53 7.6 Role of Community Members in Appraisal 53 7.7 Service Standards 54 7.8 Sharing of Appraisal Learnings 55 7.9 Monitoring & Evaluation of Resources & Results 56 08 Project Financing Arrangements 57 8.1 Introduction 57 8.2 Disbursement Arrangements 57 8.3 Financial Management Arrangements 59 8.4 Fund Flow 61 8.5 Financial Reporting 64 8.6 Safeguarding Project Fixed Assets 65 8.7 Internal Audit 65 8.8 External Audit 66 8.9 Supervision Plan 66 8.10 Project Summary Cost 66 8.11 Financial Management Manual 67 09 Procurement Arrangements 69 9.1 Introduction 69 9.2 Procurement Manual 71 9.3 Possible Risks 71 9.4 Corrective Measures 72 10 Monitoring and Evaluation (M&E) 73 10.1 Introduction 73 10.2 Purposes of Monitoring and Evaluation 74 10.3 M&E Strategy 74 10.4 Monitoring and Evaluation of Outcomes/and Results 75 10.5 Project’s Outcomes and Indicators for Success 76 10.6 Participatory Stakeholder Monitoring System 77 10.7 Learning Forums and Experience Sharing 78 10.8 Independent Assessment and Impact Evaluation 78 10.9 Periodic Reviews 78 10.10 Process Monitoring 79 ii 10.11 Key Monitoring Indicators for Progress Monitoring 80 10.12 Monitoring Methods and Tools 80 10.13 Methods for Generating Data 80 10.14 Field Visits 81 11 Communication Arrangements 83 11.1 Introduction 83 11.2 Communication Strategies 83 11.3 Implementation Arrangements for Communication 84 11.4 Communication Operational Plan 85 11.5 Sources of Information for NELSIP 86 11.6 Information Education Communication (IEC) 86 12 Stakeholder Participation 89 12.1 Introduction 89 12.2 Participation of Elected Members of LAs 91 12.3 Participation of Women 92 12.4 Participation of Youth 93 12.5 Participation of School Children 94 12.6 Participation of Community Organization 95 12.7 Participation of Civil Society Organizations 96 12.8 Participation of Religious Leaders 97 12.9 Participation of Regional Level Government Officials 97 12.10 Participation of Village Level Government Officials 98 12.11 People’s Gallery 98 13 Governance and Accountability 100 13.1 Introduction 100 13.2 Overall Governance Framework 100 13.3 Key Risk Areas of the Project 101 13.4 Types of Risks 101 13.5 Risk Mitigation Measures 103 13.6 Social Audit Arrangements 103 13.7 Governance and Accountability Action Plan (GAAP) 104 13.8 Citizen’s Charter 106 14 Conflict and Grievance Redressing Mechanism 108 14.1 Introduction 108 14.2 Arrangement for Resolution of Conflicts and Grievances in Steps-Wise 109 14.3 Project Exit Strategies 110 15 Sustainability of the Local Services 112 15.1 Introduction 112 15.2 Integrated Planning 113 15.3 Community Participation and Management 113 15.4 Technology Selection 114 15.5 Community Contribution 114 15.6 Operation and Maintenance 114 iii 15.7 Proposed Project Implementation Process 115 16 Capacity Building Arrangements 118 16.1 Introduction 118 16.2 Overall Capacity Building Framework 120 16.3 Awareness Raising for the Political and Administrative Leadership 123 16.4 Capacity Building Assessment and Strategies for Stakeholders 124 16.5 Capacity Building for Village Level 125 16.6 Capacity Building for Divisional Level 127 16.7 Capacity Building Programmes for District Level 131 16.8 Capacity Building Programmes for Provincial Level 133 16.9 Capacity Building Programmes for National Level 135 16.10 Capacity Building of other Stakeholders 136 16.11 Approaches and Methods to Implement the Capacity Building Plan 139 16.12 Implementation Methodology of Capacity Building Frame Work 141 iv List of Tables Table 1.1 Distribution of Local Authorities in Sri Lanka 3 Table 2.1 LA Qualifying Criteria 8-9 Table 7.1 Service Standards and Appraisal Process 55 Table 8.1 Overall Project Summary Costs 65 Table 10.1 A guide for Field Visit Analysis 81 Table 11.1 Communication Operational Plan 85 Table 11.2 Overview of Information, Education and Communication Campaign 87-88 Table 15.1 Proposed Implementation Process a Rural Water Scheme 116-117 Table 16.1 Proposed Subjects of Trainings for Stakeholders at Village Level 126-127 Table 16.2 Proposed Subjects of Trainings for Stakeholders at Divisional Level 130 Table 16.3 Proposed Subjects of Trainings for Stakeholders at District Level 133 Table 16.4 Proposed Subjects of Trainings for Stakeholders at Provincial Level 135 Table 16.5 Proposed Subjects of Trainings for Stakeholders at National Level 136 List of Figures Figure 4:1 NELSIP Institutional Arrangements 27 Figure 16.1 Major Stakeholders Considered for Capacity Building 124 v List of Abbreviations ACLG Assistant Commissioners of Local Government AF Asia Foundation CB Capacity Building CCs Community Centers CDO Community Development Officer CEA Central Environmental Authority CGRM Conflict Grievance Redress Mechanism CIRM Center for Information Resources Management CLG Commissioner for Local Government CO Community Organisations CQs Consultant’s Qualifications CSO Civil Society Organisations DCC District Coordinating Committee EA Environmental Assessment EIA Environmental Impact Assessment EIS Environmental Impact Statement EMP Environmental Management Plan FC Finance Commission FGD Focus Group Discussions GAAP Governance and Accountability Action Plan GDP Gross Domestic Products GIS Geographical Information System GN Grama Niladhari GND Grama Niladari Division GOSL Government of Sri Lanka GTZ German Technical Assistance HRD Human Resources Development IBRD International Bank for Reconstruction and Development IDA International Development Agency IDP Internally Displaced Persons IEC Information Education & Communication IEE Initial Environmental Examination IEER Interim Environmental Examination Report INGO International Non Government Organisations IUFR Interim Unaudited Financial Reports LAPDP Local Authority Participatory Development Plan LAEC Local Authorities Environmental Committee LAPIM LA Project Implementation Manual LAs Local Authorities LFA Logical Framework Approach M&E/MIS Monitoring & Evaluation/Management Information System MC Municipal Council MDTU Management Development Training Unit MES Monitoring and Evaluation Specialist MLGPC Ministry of Local Government & Provincial Councils MNBEID Ministry of Nation Building and Infrastructure Development MSD Management Service Department NEA National Environmental Act NGO Non-Governmental Organizations NPSC National Project Steering Committee O & M Operation & Maintenance ODUs Organization Development Unit vi PAA Project Approval Agency PAS Performance Appraisal System PAT Project Appraisal Team PCC Provincial Coordination Committee PCU Project Coordination Unit PDO Project Development Objective PIP Project Implementation Plan PMU Project Management Unit PP Project Proponent PS Pradeshiya Sabha RAP Resettlement Action Plan RLGO Regional Level Government Officials SAC Social Audit Committee SLILG Sri Lanka Institute of Local Government SWOT Strength-Weaknesses-Opportunities- Threats TDS Training and Development System TOR Terms of Reference TOs Technical Officers TSP Technical Support providers UC Urban Council UNDP United Nation Development Programme UNOPS United Nations Office for Project Services USAID US Agency for International Development VLGO Village Level Government Officials YGG Youth Governance Group vii List of Attachments No Name 1 Questionnaire to assess LAs 2 Map of potential PSs in Eastern Province 3 Map of potential PSs in Northern Province 4 Particulars of LAs 5 LA assessment criteria and scoring method 6 Result Framework 7 Negative List 8 Prescribed List 9 Initial Environmental Examination report 10 Environmental Impact Statement Format 11 Method of allocating Block Grants 12 Minimum required staff to implement the Project 13 Overall Project Implementation Plan 14 First Year Detailed Project Implementation Plan 15 Appraisal Process 16 A matrix for setting up a monitoring system 17 NELSIP Risk Management Matrix 18 Critical Risks and Possible controversial aspects 19 Governance and Accountability Action Plan 20 A guide to sustain a Rural Water Supply scheme. 21 TOR for Facilitating to develop LA PDP 22 A guideline for assessing staff capacities viii “You never change things by fighting the existing reality.