IMPACT ASSESSMENT OF UPAZILA PARISHAD GOVERNANCE PROJECT [UZGP] & UNION PARISHAD GOVERNANCE PROJECT [UPGP] FINAL REPORT JUNE, 2017 Team Leader Dr. Salahuddin M. Aminuzzaman Team Members Dr. Mobasser Monem Dr. Ferdous Arfina Osman Dr. Mohammad Shuaib Dr. Bazlul Huq Khondker Dr. Mohammad Abu Eusuf Abu Hossain Muhammad Ahsan Mr. Riaz Uddin Khan 2 Table of Contents Composition of the team 2 Abbreviations and Acronyms 6 Maps of the Study Area 7 Executive Summary 8-15 Foreword 16 Part I Overview of Project Context 17-29 1.1. Introduction 1.2. Relevance of Project interventions and Government of Bangladesh Policy framework 1.3. UPGP and UZGP At a Glance- Objectives and Result framework of UPGP and UZGP 1.4. Background of Assessment 1.5. Reflections from other studies having bearing upon UPGP and UZGP 1.6. Scope and Objectives of Assessment Part II Evaluation Methodologies 30-41 2.1 Survey Methodology of the study 2.1.1 Overview of survey design 2.2 Study area and target population of the study 2.2.1 Study area 2.2.2 Target population 2.2.3 Matching methodologies 2.3 Matching results 2.3.1 Methods of data collection 2.4 Quantitative survey 2.4.1 Sample size 2.4.2 Sample design 2.4.2.1 Sample design for Upazila Parishad and Union Parishad Surveys 2.4.2.2 Sampling design for household survey and Household selection 2.4.2.3 Sampling design for exit client survey 2.5 Qualitative survey 2.6 Review of Secondary Data 2.7 Data collection methodologies 2.7.1 Development of study instruments 2.7.2 Recruitment of and training to field staff 2.8 Data collection operation 2.8.1 Field visits and quality checking 2.9 Data management and quality assurance 3 2.10 Data Analysis and preparation of the report 2.11 Special consideration and limitation of the methodology PART III UPGP: Overview of Impacts/Results 42-137 3.1. Impact Assessments of Results: UPGP Output 1 3.1.1. Key Findings 3.1.2. Capacity building of UP Chairs and members in the light of roles and responsibilities defined by UP Act 2009 3.1.3. Activating Ward Shavas for inclusive decision-making 3.1.4. Strengthening Standing Committees for Effective Governance 3.1.5. Up-Scaling of Women’s Development Forum 3.1.6. Building Citizenship and Promoting Downward Accountability and overall efficiency and effectiveness 3.1.7. Overview of performance grants for improving core governance areas of UPs 3.1.8. Identifying the areas of relative performance on composite governance indicator 3.2 Impact Assessments of Results: UPGP Output 2 3.2.1. Key Findings 3.2.2. Quality of development plans and needs assessments 3.2.3. Quality of financial and revenue management 3.2.4. Quality of budgeting, auditing and reporting practices 3.2.5. Number and nature of gender focused projects 3.2.6. Extent of use and impact of Right to Information 3.2.7. Performance and Challenges of WDF 3.2.8. Use and Impact of Citizen Charter 3.2.9. Assessment of quality of service delivery system 3.2.10. Right to Information at UP level PART IV UZGP: Overview of Impacts/Results 138-202 4.1. Impact Assessment of Results – UZGP Output 1 4.1.1. Key Findings 4.1.2. Capacity and role of UZP members 4.1.3. Women Development Forum 4.1.4. Citizen Charter 4.1.5. Performance grants and improvement in core governance areas 4.2 Impact Assessment of Results – UZGP Output 2 4.2.1. Key Findings 4.2.2. Extent of links of the plans of the Line Departments 4 4.2.3. Quality of plan and budget making and execution 4.2.4. Co-financed Upazila level projects 4.2.5. Impact of performance based UFF to Upazila and how good practices have been replicated in other interventions 4.2.6. Assessment of quality of service delivery system 4.3 Impact Assessment of results-Output 3 4.3.1. Key Findings 4.3.2. Policy Advisory Group (PAG) 4.3.3. Policy Advocacy 4.3.4. System design 4.3.5. Peer Learning Forums 4.3.6. Policy Dialogue Forums PART V Economic Analysis of the Project (UPGP and UZGP) 203-242 5.1. Economic Analysis of the Project (UPGP) 5.2. Key Findings 5.3. Trend Analysis of Grants, Revenues and Investments in Program and Control Areas 5.4. Assessment on Changes in Resource Base of UP and UZP 5.5. Assessment on Changes in the Pattern of Utilization of Funds 5.6. Impact on how investments benefit the communities, including poor households and gender 5.7. Estimate the impact on local fiscal space, fixed capital formation and economic return 5.8. Assessing the Changes in Financial Management Practices 5.9. Conclusion PART VI - Assessment of Overall Effectiveness, Efficiency, Sustainability, Relevance, and Impact 243-254 Part VII - Gender Analysis 255-265 PART VIII - Self-Assessment of LGD Policy makers and Project Management of the UPGP and UZGP 266-271 PART IX - Lessons Learned and Good Practices 272-275 PART X - Recommendations 276-278 Annex: Questionnaire 279-335 Interview Related Note (Write Specifically) 336-523 5 Abbreviations and Acronyms ADP Annual Development Programme AP Annual Plan CSO Civil Society Organization DANIDA Danish International Development Agency DC Deputy Commissioner DDLG Deputy Director, Local Government DF District Facilitator EPBG Extended Performance Based Grant EU European Union FY Financial Year FYP Five-Year Plan GoB Government of Bangladesh LD Line Department (Deconcentrated department at UZP level) LG Local Government LGD Local Government Division LGI Local Government Institution LG Local Government LM Line Ministry MDG Millennium Development Goal NILG National Institute of Local Government NGO Non-government Organization OSR Own-source revenue RTI Right to Information SC Standing Committee SDC Swiss Agency for Development and Cooperation UFF Upazila Fiscal Facility UNCDF United Nations Capital Development Fund UNDP United Nations Development Programme UNDAF United Nations Development Assistance Framework UNO Upazila Nirbahi Officer UP Union Parishad UPGP Union Parishad Governance Project UZP Upazila Parishad UZGP Upazila Parishad Governance Project 6 Map of the UZGP and UPGP Areas 7 Executive Summary Bangladesh is going through a transition process of democratisation. Various policy documents including Five-Year Plans (6th and 7th) envision a stronger, effective, participative and accountable local government system as the basis for democratic transformation and consolidation. Policy regimes and plan documents over and over again emphasized the need for making Local Government Institutions (LGIs) participative, accountable, inclusive, gender-sensitive and responsive to the needs of citizens in general and the disadvantaged groups, in particular. In view of the context, the Upazila Governance Project (UZGP) intends to build Upazilas as active, bringing all service providers at Upazila level under the accountability framework of Upazila Parishad (UZP). The project also aims at transforming Upazilas into a corporate local government body by developing and strengthening a mechanism of participatory, democratic and accountable governance process, as envisioned in the Local Government (UZP) Act. The Union Parishad Governance Project (UPGP) on the other hand has been piloting innovations to improve the functional and institutional capacity of Union Parishads. The project strives for enhancing democratic accountability of Union Parisha ds and increasing citizens’ involvement in order to achieve effective, efficient, accountable and responsive delivery of local services. The initiatives also included a significant gender mainstreaming effort, looking at local women leadership empowerment, participation and voice. Both UZGP and UPGP aimed to strengthen the national capacity for effective policy review, monitoring, and capacity development of local government institutions (LGIs) to enhance the quality and process of Local Governance. The broad goals and objectives of the both projects are very much in line with the existing policy regimes, perspective plans and broader long- term visions of the government. This study attempts to make an impact evaluation of the projects using both qualitative and quantitative methods, including econometrics techniques. Broadly the study attempts to assess the institutional processes, intervention measures and the impact, value for money, and sustainable improvement in livelihood of citizens at Union and Upazila levels. A comprehensive sampling has been done to gather data and information from the UP and Upazila levels. A total of 3103 households (1541 from project and 1562 from control areas) have been taken as sample respondents of the study. A total of 220 UPs and 80 UZPs have been covered under the survey representing both the project and the control areas. Institutional surveys based on a questionnaire were conducted on these Upazila and Union Parishads. 8 Besides, an exit- point survey on 720 UP service seekers and 720 Upazila Parishad service seekers was also conducted to assess their opinions about the quality of services and their satisfaction with the service delivery process. The study also used the qualitative techniques of data collection from the sampled UPs and Upazilas. The study relied on elected representatives and appointed officials of Upazila and UP as Key Informant Interviews (KIIs). Focus Group Discussions (FGDs) were organized at two different levels- at the institutional level with elected UP and Upazila representatives and appointed officials and also at the community level with community members Besides, a number of case studies were conducted both at the Upazila and UP levels. Finally, the study team members reviewed available secondary literature relevant to focus of the study vis-à-vis the two projects. It reconfirms that grassroots based governments have significant potential to institutionalise democracy, participatory processes and pro-poor and gender sensitive development. Capacity building and technical assistance support have noticeably contributed to accountability, responsiveness and social engagement of LGIs.