LEAD_Year_3_Work_Plan_Oct_2011_-_Sept_2012.pdf

Leadership, Empowerment, Advocacy and Development (LEAD) Work Plan

October 2011 This publication was produced for review by the United States Agency for International Development. It was prepared by RTI International.

Leadership, Empowerment, Advocacy and Development (LEAD)

Work Plan Cooperative Agreement #: 620-A-00-10-00001-00 October 1, 2011–September 30, 2012

Prepared for USAID/Nigeria

Prepared by RTI International 3040 Cornwallis Road Post Office Box 12194 Research Triangle Park, NC 27709-2194

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LEAD Work Plan, October 1, 2011–September 30, 2012 iii

Table of Contents Page

Abbreviations ........................................................................................................ v

I. Background A. Context

II. LEAD Project A. Goal and Objectives B. LEAD’s Implementation Approach

III. Achievements in Year 2 and Preparing for Year 3 A. Achievements in Year 2

Objective 1: Strengthened local government capacity Objective 2: Increased transparency of local government operations Objective 3: Increased capacity of local organizations Objective 4: Improved service delivery

B. Preparing for Year 3 Work Plan: October 1, 2011–September 30, 2012 C. Collaboration with Other USAID Projects

IV. Work Plan Scope and Structure

V. Work Plan Activities Objective 1: Strengthened Local Government Capacity

Key Issues Prior Years’ Foundation Activities

Objective 2: Increased Transparency of Local Government Operations Key Issues Prior Years’ Foundation Activities

Objective 3: Increased Capacity of Local Organizations Key Issues Prior Years’ Foundation Activities

Objective 4: Improved Service Delivery Key Issues Prior Years’ Foundation Activities

5.0 Cross-Cutting and Other Project Activities

List of Annexes Annex A. LEAD’s Year 3 Work Plan Implementation Time Frame

(October 1, 2011–September 30, 2012) iv LEAD Work Plan, October 1, 2011–September 30, 2012

List of Tables Page

Table 1: LEAD’s Implementation Challenges and Approaches

Table 2: LEAD’s Collaboration in Year 2

Table 3: LEAD’s Support for Health, Education, and Economic Growth

LEAD Work Plan, October 1, 2011–September 30, 2012 v

Abbreviations ALGON Association of Local Governments of Nigeria

BAURUWASSA Bauchi State Rural Water Supply and Sanitation Agency

BSWB Bauchi State Water Board

CBO community-based organizations

CSO civil society organization

FOIA Freedom of Information Act

FRL Fiscal Responsibility Law

IGR internally generated revenue

LEAD Leadership, Empowerment, Advocacy and Development

LGA local government authority

LGDF local government development framework

LGSC Local Government Service Commission

MBEP Ministry of Budget and Economic Planning

MCH maternal and child health

MEMS Monitoring and Evaluation Management Services

M&E monitoring and evaluation

MLG Ministry of Local Government

MOWR Ministry of Water Resource

MTSS medium-term sector strategy

NEI Northern Education Initiative

NGO nongovernmental organization

NULGE Nigerian Union of Local Government Employees

PIND Partnership Initiatives in the Niger Delta

PMP performance management plan

PPL Public Procurement Law

PPP public-private partnership

RUWASA Rural Water and Sanitation Agency

SEPA State Environmental Protection Agency

SHAWN Sanitation, Hygiene and Water in Nigeria

SIP service improvement plan vi LEAD Work Plan, October 1, 2011–September 30, 2012

SOP standard operating procedure

SUWASA Sustainable Water and Sanitation in Africa

TSHIP Targeted States High Impact Project

USAID

VLMC

WASHCOM

U.S. Agency for International Development village-level management committee

Water and Sanitation Committee

WATSAN water and sanitation

WOFAN Women Farmers Advancement Network

LEAD Work Plan, October 1, 2011–September 30, 2012 1

This work plan outlines activity implementation under the Leadership, Empowerment, Advocacy and Development (LEAD) Project in Nigeria for Year 3 of the project. This document highlights the current context and planned activities across LEAD’s four objectives for the period October 1, 2011 through September 30, 2012.

I. Background A. Context Local governments are a core institution of Nigeria’s governing structure. Currently, Nigeria’s Constitution of 1999 establishes 774 local government authorities (LGAs) as a system of “local government by democratically elected local government councils” and requires states to ensure the structure and function of the local government. However, the functioning and performance of local governments face considerable challenges. Most of these challenges stem from three major areas: (1) regulatory framework; (2) organizational process; and (3) technical know-how.

1. Regulatory framework: Although the Constitution is somewhat specific about the powers of local governments, there is much overlap and ambiguity in service responsibilities among the three tiers of governments. The trend in the recent design of federal programs has been to create centralized service delivery structures that supersede the local role. Local governments are closely linked to state government with local action tied to state approval.

2. Organizational process: At the local level, the organizational process is characterized by little public participation, transparency, and technical analysis. At the state level, for example, the budget process is characterized by an unclear review and allocation procedure. Even with the authority over internally generated revenue (IGR) such as rates and licenses, IGR mobilization appears to be weak and inconsistent across LGAs. Transparent and participatory processes for revenue mobilization and allocation are lacking. Little oversight, or lack thereof, of services as well as normal checks and balances have considerably weakened the potentially strong role LGAs could perform.

3. Technical know-how: Most councilors lack a basic understanding of the fundamental functions of local government and the policy and representative role that the council plays. Role confusion, lack of resources, improper use of resources, and low capacity in LGAs has had a devastating effect on the quality and delivery of public services to its citizens. In fact, many LGAs lack adequate staff and few have professionally trained staff to meet their statutory roles and mandates.

These challenges create an enormous gap in confidence and trust between citizens and local governments. As its contribution to overcoming these development challenges, the U.S. Agency for International Development (USAID)/Nigeria initiated the LEAD Project to build accountable and effective local government through capacity strengthening (of select local governments and civil society) for improved service delivery. Under the Foreign Assistance Framework Objective of Governing Justly and

2 LEAD Work Plan, October 1, 2011–September 30, 2012

Democratically, LEAD represents USAID/Nigeria’s first significant program in recent years to improve local governance.

Building on lessons learned from previous development assistance in Nigeria, specifically the need to have a greater geographic focus, USAID has directed its three flagship projects—the Targeted States High Impact Project (TSHIP), the Northern Education Initiative (NEI), and LEAD—operate initially in Bauchi and Sokoto states.

Beyond the challenges to local governance discussed above, the environment in many areas in northern Nigeria includes increasing security concerns. The recent activity of Boko Haram and the ethnic tensions in Jos have not overly affected donor activities up to now, but they are becoming a factor in activity planning. Security is increasingly a concern of political leaders in the Middle belt and the North as they increase the presence of security forces, consuming resources that might otherwise go to development.

II. LEAD Project

A. Goal and Objectives The goal of the project is to create sustained momentum toward improved local governance in Nigeria. The specific objectives are to

1. Strengthen the capacity of local governments

2. Increase the transparency of local government operations

3. Increase the capacity of local organizations

4. Improve service delivery

The LEAD Project recognizes the inter-related nature of these objectives. For example, strengthening the capacity of the local council and service departments to engage in a dialogue with civil society organizations (CSOs) over community priorities should result in improved services and better targeted infrastructure projects.

Therefore, this work plan focuses on areas that reinforce and build on that interrelationship. Similarly, the implementation of the work plan will emphasize a One Team approach with strong communication across the project’s technical units.

B. LEAD’s Implementation Approach Our approach to achieving LEAD’s goal and the four objectives recognizes that there are three fundamental challenges we face. The challenges and our approach to them are summarized in Table 1.

Table 1: LEAD’s Implementation Challenges and Approaches

Challenge Approach

Building effective and responsive local government

• “With Many” : the development of a community is the concern of the entire commu nity, not just the local government

LEAD Work Plan, October 1, 2011–September 30, 2012 3

Challenge Approach

• Transparency: LEAD focuses on building transparent LGA procedures and serves as a model itself

• Services for all citizens : improvements that are visible and build confidence in the LGA

• Policy and regulatory reform to prom ote decentralization and increase local autonomy

Building capacity and an environment that encourages change

• Build on local best practices

• Use LEAD ’s champion LGAs as agents for change

• Recognize and reward innovation

• “Make Noise” : communications to get th e story out, emphasize peer-to-peer exchange, and raise expectations for LGA performance

Sustainability: continued improvement after LEAD

• Plan with partners

• Work with, through , and for local partners

• Build partner capacity

III. Achievements in Year 2 and Preparing for Year 3

A. Achievements in Year 2 Following the start up and project initiation activities in Year 1, which included identifying Round 1 champion LGAs, assessing their capacity, and beginning technical assistance, Year 2 marked the first full year of LEADs technical assistance.

The activities for Year 2 were inspired in part by the ideas generated at the Saminaka Stakeholders’ Workshop in March 2010 and from further consultation with LEAD’s core stakeholders. A deepening of the project’s relationships with state and local officials and stronger and more effective collaboration with the other USAID flagship projects NEI and TSHIP characterized Year 2 implementation. Some of the most significant achievements in Year 2 are summarized below.

Objective 1: Strengthened local government capacity

• Key trainings in leadership, management, and strategic planning provided for LGA managers based on the needs identified in the Local Government Development Framework (LGDF).

• Based on the capacity building plan, instituted the following organizational systems in all champion LGAs: organizational charts, roles and responsibilities, suggestion boxes, daily attendance registers, and internal

4 LEAD Work Plan, October 1, 2011–September 30, 2012 channels of communication such as morning briefs and weekly staff meetings for their departments.

• LGAs have developed, for the first time, annual work plans for programming budget execution (i.e., time frame, responsibilities, and monitoring).

• As a result of community priority settings, at least 60 percent of the communities’ identified priorities have been included in LGA budgets.

• Participatory planning sessions provided a broad set of stakeholders (traditional leaders, CSOs, etc.) access to the local development agenda.

Objective 2: Increased transparency of local government operations

• The Sokoto Budget Stakeholders’ Working Group has been set up and terms of reference adopted.

• Participatory planning and budgeting, including public budget hearings, started for first time in LGAs, priorities from community priority setting and water point maintenance were integrated into local budgets.

• A local budget strategy to improve the budget process was adopted by the Budget Stakeholders’ Working Group (Bauchi).

• IGR mobilization training and assistance resulted in substantial increases in local revenues; for example, more than a 50 percent increase in IGR in Bauchi and over 40 percent in Dass. Systematized improvement plans are in place, linking service improvements for fee payers to fee payment.

• As a result of training in the Fiscal Responsibility Law, tender boards have been established in two LGAs (Bauchi).

Objective 3: Increased capacity of local organizations

• CSOs now have access to LGAs through LEAD activities under other objectives: LEAD took local government staff and a few elected officials to multiple locations in 63 wards for the first time. Participatory activities and working with local CSOs has been accepted by LGAs. In Katagum alone, 27 local CSOs registered for the first time with the LGA after community meetings.

• LGA/CSO project monitoring committees have been revived in all champion LGAs.

• Six CSOs now have capacity to accept grants from any source, 12 have standardized strategic plans, and 6 have capacity development and resource mobilization plans (Sokoto).

• In champion LGAs, local CSOs are regularly included in activity planning and community-based organizations (CBOs) facilitate community participation in LGA discussions.

Objective 4: Improved service delivery

• In Sokoto and Bauchi, almost 50,000 people gained access to potable water as a result of LEAD sponsored water point maintenance training for

LEAD Work Plan, October 1, 2011–September 30, 2012 5

WASHCOMs, followed by the community organizations conducting maintenance on their own. LGAs and community organizations have taken on the repair process with their own funding.

• All champion LGAs have now budgeted for water maintenance and have released funds for this service. For example, in Sokoto, 65 WASHCOMs have maintenance systems set up with the support of their LGA.

• Based on the successful pilot in the water sector, LEAD has developed a clear methodology for service improvement plans (SIP) that is applicable to all LGA services.

• A water policy was officially adopted by Bauchi State government. It defines roles and responsibilities of all stakeholders, guidelines to monitor donor activities, and is linked to federal policy.

• In Sokoto, a multisectoral policy formulation committee that is tasked to draft a water and sanitation policy was inaugurated by the Ministry of Water Resources (MOWR).

• In Bauchi, LEAD conducted an assessment of the state’s water board, and cited the need to improve revenue collection as a key issue and condition for future assistance. Dialogue between water board and LGAs has been established to develop greater partnership for water system improvement.

In implementing its work plan, LEAD collaborated frequently with USAID’s other flagship projects in Sokoto and Bauchi—TSHIP and NEI— as well as with numerous other donor programs. LEAD also collaborated with these programs in implementing their respective work plans. Table 2 presents LEAD’s collaborations during Year 2.

Table 2: LEAD’s Collaboration in Year 2 Activity Collaborating Program

Objective 1

• Leadership training for Directors of non -champion LGAs

• Leadership training for health services ’ directors in champion LGAs

TSHIP and NEI

TSHIP

Objective 2

• Assistance initiating set up of drug procurement and management agency

• Study on education accounts

• Study on intergovernmental flows for local services

• Strategy for engaging budget resources and Budget Stakehol ders’ Working Group

• Intergovernmental forum for improving IGR collection and management

TSHIP and Bauchi Ministry of Health

NEI

NEI and TSHIP

NEI and TSHIP

TSHIP

6 LEAD Work Plan, October 1, 2011–September 30, 2012

Activity Collaborating Program Objective 3

• Support for Ministry of Women’s Affairs study of gender gap

TSHIP and NEI

Objective 4

• Technical assistance to Bauchi State Water Board (BSWB) on billing and collections

• Partnership agreement between BSWB and LGA headquarters for improved water service

• Advocacy on counterpart funds release for the Sanitation, Hygiene and Water in N igeria (SHAWN) project

• Sokoto State water policy development process

Sustainable Water and Sanitation in Africa (SUWASA)

SUWASA

UNICEF and WATSAN-–Stakeholders’ Working Group

TSHIP, NEI, and WOFAN

B. Preparing for Year 3 Work Plan: October 1, 2011–September 30, 2012 LEAD’s third year work plan builds on the foundation laid during the first 18 months of technical implementation and the corresponding lessons learned. Similar to the development of previous work plans, LEAD organized a forum to ensure stakeholder participation. On September 6–8, 2011, more than 60 participants representing champion local governments, state agencies, and CSOs gathered in Kano to review the activities included in the second year work plan, draw lessons from LEAD’s approach and its implementation, and recommend orientations for the third year work plan. The participants recognized that LEAD, in addition to the specific results reported above, had started to transform local governance in Bauchi and Sokoto: it had successfully improved local government capacity and begun to build bridges between LGAs and a stronger civil society that have given citizens new access to the decision-making process. To improve the project’s effectiveness, the participants recommended a stronger emphasis on elected councils and local executives, expanding the effort at the state level with a policy reform agenda, expanding the project to cover more LGAs, and enhancing CSO strengthening with an emphasis on CBOs.

Beyond those points for orienting the third year work plan, LEAD recognizes that the coming year is critical in the life of the project. The first 18 months saw the establishment of the project, our entry into the Round 1 champion LGAs, and building the relationship with a range of stakeholders (LGAs, civil society, state agencies, and USAID flagship projects). To enhance LEAD’s effectiveness and impact in Year 3, we will

• Consolidate our assistance in the Round 1 champion LGAs by focusing on results, institutionalizing procedures and processes, and documenting LEAD approaches

• Expand to new champion LGAs, drawing on the most successful Round 1 champions as models and mentors

LEAD Work Plan, October 1, 2011–September 30, 2012 7

• Improve internal organization to ensure that the project goes forward as one team (strengthening coordination between the two field offices and among the teams in each office)

• Continue to strengthen collaboration with TSHIP and NEI as well as other USAID projects as LEAD expands to new LGAs and pursues a policy reform agenda at the state level.

C. Collaboration with Other USAID Projects One of the principal reasons that USAID has concentrated the efforts of its three major projects covering governance (LEAD), health (TSHIP), and education (NEI) in the same states is to achieve value-added synergy across sectors with the development partners in the same geographic area. This approach also recognizes the cross-cutting nature of governance in development. Achieving this goal requires consistent and effective coordination and collaboration in planning and implementing project activities where there is an overlay of interest in terms of content or geographic coverage. Significant efforts to establish the mechanisms for collaboration have been put in place since the beginning of the three projects. For activities in which there is mutual effort, TSHIP and NEI are identified in this work plan as partners. In terms of process, collaboration will be achieved at three levels:

1. Strategic: periodic meetings among the three chiefs of party to define and review areas and mechanisms for collaboration and broad environmental issues that affect the three projects

2. Programmatic: meetings among the technical staff regarding the design of specific activities that have been identified in the project work plans and regarding programming in specific local governments to avoid duplication or overburdening a local partner

3. Operational: meetings among technical and administrative staff regarding the implementation of specific activities.

In addition to its close collaboration with USAID’s health and education sector programs, LEAD also works closely with the Mission’s economic growth programs.

Since the beginning of the program, the project’s primary involvement in economic growth has occurred under Objective 4 with the focus on improving access to potable water in rural and urban areas through assistance in the development of state water policies, work with the WATSANs in water point maintenance, and the emerging support to the Bauchi State Water Board. In the coming year, LEAD’s support for economic growth will expand in several ways: greater assistance to state water boards; service improvements related to LGA economic infrastructure; and development of a forum of LGA, business, and CSOs for economic development planning. LEAD will collaborate closely with the EG implementing partners.

Table 3 presents LEADs support for health, education, and economic growth in the Year 3 work plan. More detail of these activities is found under the work plan activities described under each LEAD objective.

8 LEAD Work Plan, October 1, 2011–September 30, 2012

Table 3: LEAD’s Support for Health, Education, and Economic Growth LEAD Objective Activity

Health

Obj. 1: Strengthened local government capacity ü 1.1 Participatory strategic planning ü 1.3 Town hall meeting

Obj. 2: Increased transparency of local government operations ü 2.2 Improving the LG A budget process ü 2.4 Intergovernmental resource flow reform

Obj. 3: Increased capacity of local organizations ü 3.3 CSO capacity building ü 3.5 CSO networking and coalition building

Obj. 4: Improved service delivery ü 4.1 Water policy development and implement ation ü 4.2 Improving water service delivery ü 4.4 Domesticating environmental sanitation policy ü 4.5 Improving health and education services

Education

Obj. 1: Strengthened local government capacity ü 1.1 Participatory strategic planning ü 1.3 Town hall meeting

Obj. 2: Increased transparency of local government operations ü 2.2 Improving the LGA budget process ü 2.2 Intergovernmental resource flow reform

Obj. 3: Increased capacity of local organizations ü 3.5 CSO networking and coalition building

Obj. 4: Improved service delivery ü 4.5 Improving health and education services

Economic growth

Obj. 1: Strengthened local government capacity ü 1.1 Participatory strategic planning

Obj. 4: Improved service delivery ü 4.1 Water policy development and implementation ü 4.2 Improving water service delivery ü 4.3 LGA service improvements

Other activities ü 5.2 Local economic development planning (see page 27)

IV. Work Plan Scope and Structure This work plan covers the period October 1, 2011 to September 30, 2012, and will guide the implementation of the LEAD Project in Bauchi and Sokoto States. The activities in this work plan draw on the orientations provided by the Kano stakeholders’ workshop, LEAD staff analysis of the external environment, the status of project implementation in champion LGAs, and consultations with USAID.

The primary framework for the work plan comprises LEAD’s four objectives followed by key cross-cutting components. Accordingly, the structure of the work plan is as follows:

LEAD Work Plan, October 1, 2011–September 30, 2012 9

1. Objective 1: Strengthened local government capacity

2. Objective 2: Increased transparency of local government operations

3. Objective 3: Increased capacity of local organizations

4. Objective 4: Improved service delivery

5. Cross-cutting issues and other activities − Round 2 champion LGAs − Local economic growth planning − LGA Innovations Fair − Communications − Gender inclusion − Delta State assessment − Monitoring and evaluation

After a general discussion of issues relevant to each of the aforementioned elements, each activity is presented in the following way:

a. Objective and Description

b. Anticipated Results

c. Time Frame

d. Key Partners

A timeline for the LEAD Year 3 work plan implementation is attached as Annex A.

V. Work Plan Activities

Objective 1: Strengthened Local Government Capacity

Key Issues

Although Nigeria’s 1999 Constitution guarantees democratically elected local government, a variety of factors prevent local government from fulfilling its role as the effective third tier of government. The principal factors include

• Ambiguity and misapplication of roles as defined in law, leading some local officials to complain about the intrusion of the states into local autonomy in areas such as service responsibilities, budget management, and revenue mobilization

• Some council members still lack an understanding of the political process and some deliberately misuse funds for personal gain, thereby depriving the community of the leadership and policy-making role that the council should play

• Weak human resource capacity reflected by both inappropriate staffing and weak technical capacity

10 LEAD Work Plan, October 1, 2011–September 30, 2012

• Limited local government ability to effectively engage the community, especially the most marginalized groups such as women, has resulted in the public lacking an understanding of the role of local government and LGA decisions that do not reflect community priorities.

Prior Years’ Foundation

The Year 3 activities under Objective 1 build on the foundation that was created in Years 1 and 2. Specifically, after the selection of the Round 1 champion LGAs, LEAD applied the Local Government Development Framework (LGDF) to assess the performance of each champion and design a capacity building plan. From that, the project provided capacity building assistance in organization and management. In addition, LEAD facilitated a community priority-setting process to identify needed service improvements that were integrated into the planning and budgeting process in the subsequent year. Because the elected councils’ terms had expired and they had been replaced by “sole administrators,” LEAD focused on LGA staff. However, local council elections were held in Sokoto in July 2011 and elections in Bauchi are slated for 2012, opening the opportunity to work with newly elected officials in both states.

Activities

1.1 Participatory strategic planning

a. Objective and Description: The objective of this activity is to design and implement an LGA strategic planning process that allows for input from a broad range of stakeholders to identify goals for the LGA and service and infrastructure priorities. LEAD will review other participatory strategic planning (PSP) methodologies to develop one that is adapted to the needs and context of Nigerian LGAs and, in particular, that emphasizes community participation. The development of LGA strategic plans will be scheduled so that they can feed into the budget cycle in 2012.

b. Anticipated Results:

− Strategic plans guide LGA decisions on services based on the expression of community needs and priorities − Greater responsiveness in LGA annual budgets − Enhanced community commitment to LGA activities

c. Time Frame:

− Strategic planning methodology finalized: November–December 2011 − PSP process run in Round 1 champion LGAs: February–May 2012

d. Key Partners: Champion LGAs and partner CSOs

1.2 Council Effectiveness Training

a. Objective and Description: This activity, held over from the previous year because of the uncertainty about local elections, will establish a basic orientation program for newly elected officials and toolkit that will strengthen their ability to serve as representatives of the community and function more

LEAD Work Plan, October 1, 2011–September 30, 2012 11 transparently and effectively. The activity will be structured as a series of one-day workshops over several months, recognizing the limitations on the availability of elected officials. The training will begin with an overview of the roles of the councilor and the legal framework for local government.

Subsequent sessions will focus on specific topics such as council procedures, the budget process, service monitoring, and constituent relations. The training approach will be concrete, specific to the role of the councilor, and will emphasize peer-to-peer exchange. In addition to training materials, LEAD will prepare model tools and stand operating procedures (SOP) to help guide the work of the councils.

b. Anticipated Results:

− Elected officials become stronger local leaders and fulfill their role as community representatives − Improved the efficiency and transparency of the LGA council

c. Time Frame: In Sokoto, the orientation session was delivered at the end of September 2011 and sessions will run on a monthly basis thereafter. The cycle will likely begin in Bauchi in mid-2012, depending on the date of local elections.

d. Key Partners: Association of Local Governments of Nigeria (ALGON)

1.3 Town Hall Meeting

a. Objective and Description: The objective of town hall meetings is to provide citizens with an end of year accounting of LGA activities and budget implementation and thereby build a culture of accountability and regular reporting to citizens. LEAD will assist the process by developing a standard reporting format and process for the town meetings. In addition, LEAD will collaborate with TSHIP and NEI so that reporting can be made on health and education activities and state senators will be invited to enhance their understanding of improvements in local governance.

b. Anticipated Results:

− Improved accountability of elected officials and LGA staff − Increased public confidence in local government

c. Time Frame: The meetings will be scheduled from January to April 2012

d. Key Partners: CSOs, TSHIP, and NEI

1.4 Community Priority Setting

a. Objective and Description: Building on the identification of community priorities in Year 1, LEAD will launch a second round of priority setting sessions in the champion LGAs. While in the initial priority-setting sessions LEAD served as the main initiator, during this round, LEAD will step back and assist the LGA and key CSOs in organizing the process as a way to institutionalize community priority setting as an LGA activity. As before, following the priority-setting exercise, LEAD will assist the LGA in reporting

12 LEAD Work Plan, October 1, 2011–September 30, 2012 back to the community on priorities that have been integrated into the budget and subsequent implementation. LEAD will also assist local CSOs in advocating for the community priorities during the budget review process at the state level.

For the Round 2 champion LGAs (see Section 5.1), LEAD will initiate the community priority-setting exercise.

In both Rounds 1 and 2 champion LGAs, LEAD will use small in-kind grants as a match for community and LGA resources as a means to speed the implementation of selected priority projects.

b. Anticipated Results:

− Improved services and infrastructure based on community involvement − Increased partnership between LGAs and the community

c. Time Frame:

− Community priority-setting exercises and incorporation in the budget process, advocacy at the state level: October 2011–March 2012 − Implementation of priority projects: March–September 2012

d. Key Partners: Champion LGAs and target CSOs and community-based organizations (CBOs)

1.5 Improving LGA archiving and document access systems

a. Objective and Description: LEAD and the champion LGAs have identified the ability to maintain adequate archives and provide access to documents as a key challenge. Furthermore, many of the documents are important for the public to see and access. The objective of this activity is to strengthen the LGA’s capacity to archive documentation in three core LGA functions:

council meetings (minutes), budget, and personnel. Beyond archiving, LEAD will assist the LGAs in producing standard meeting minutes and promoting public access to council minutes through postings in public sites.

b. Anticipated Results:

− More efficient LGA administration − Increased citizen awareness of council proceedings generating greater accountability

c. Time Frame: Systems design and training: November 2011–February 2012

d. Key Partners: Local Government Service Commission (LGSC) and the Ministry of Local Government (MLG)

1.6 Capacity Assessment and Capacity Building Plans

a. Objective and Description: Shortly after the Round 1 champion LGAs were selected, LEAD administered the LGDF to assess LGA’s performance and identify capacity building priorities. The LGDF uses a participatory assessment methodology and provides a scored result that LEAD uses to

LEAD Work Plan, October 1, 2011–September 30, 2012 13 monitor LGA progress. Following the assessment, LEAD prepared a plan based on areas that the LGA determined are a priority. Thereafter, the LGA, with LEAD’s assistance, shared the LGDF results and the capacity building plan with the public for comment. It is now time to re-administer the LGDF to the Round 1 champions to monitor progress and update the capacity building plans.

Also, as described in Activity 5.1, LEAD will select Round 2 champions during the fiscal year. After selection, we will facilitate the assessment of the new champions’ capacity using the LGDF and, from that, prepare capacity building plans that will be shared with the public.

LEAD will involve the MLG and LGSCs in each state in the assessment process with the goal of transitioning the ownership of the assessment methodology to them over time.

b. Anticipated Results:

− Capacity of champion LGAs reassessed and capacity building plans revised − Capacity of new Round 2 champion LGAs assessed and capacity building plans developed − Baseline LGDF score established in new champions LGAs and second annual score established in Round 1 champions

c. Time Frame: Assessments will be conducted and capacity building plans will be prepared November–December 2011

d. Key Partners: Champion LGAs, MLG, and LGSC

1.7 Assessing Community Empowerment Structures

a. Objective and Description: At the beginning of LEAD’s assistance to champion LGAs, we assess the existing structures that the LGA may use to give voice to the community and help determine community priorities. These include district and ward-based committees for key sectors and development committees. In the Round 2 champion LGAs, LEAD will assist the LGA in assessing these structures to ensure that they are broadly representative, particularly ensuring that gender is considered.

b. Anticipated results − A strong, representative hierarchy of structures is in place and mobilized to ensure broad participation in LGA activities

c. Time Frame: The assessments will occur shortly after the new champions are selected, December 2011–February 2012.

d. Key Partners: CSO partner organizations

14 LEAD Work Plan, October 1, 2011–September 30, 2012

Objective 2: Increased Transparency of Local Government Operations

Key Issues

The LGA budget process, revenue mobilization, and procurement provide many opportunities to improve transparency in local government operations. However, in most LGAs, the budget process provides few opportunities for citizen input and comment and is not based on objective analyses and planning processes that will build local government effectiveness. Furthermore, the transfer of funds and budget approval process at the state level are not transparent or consistent with local initiatives. IGRs are currently only a small portion of total revenues; they hold considerable potential with management improvements such as dialogue with fee payers. Finally, new laws such as the Public Procurement Law (PPL) and the Financial Responsibility Law (FRL), provide guidelines from the federal and state levels to introduce more transparent procedures in key local government functions.

The Freedom of Information Act (FOIA), signed by President Goodluck Jonathan shortly after he was elected, constitutes another core law to promote public sector transparency.

Prior Years’ Foundation

Year 2 activities under Objective 2 focused on establishing an improved budget strategy approved by the Budget Stakeholders’ Working Group, providing training to champions in internal revenue mobilization that produced early and significant results, training for LGAs in the FRL and PPL and assistance to begin establishing the committees required for implementation of the laws, and a policy analysis of intergovernmental flows for local service delivery that identified a major policy reform and capacity building agenda.

Activities

2.1 Strengthening Internally Generated Revenue

a. Objective and Description: IGR consists of more than 130 local taxes, fees, and commercial proceeds, but accounts for only about one percent of LGA total revenues, in part, because of inadequate mobilization efforts. In Year 2, LEAD conducted training on a methodology to analyze the highest potential sources that the LGA applies and using more effective collection techniques, including developing a dialogue with fee payers over the condition of the services they pay for (e.g. market vendors). The approach produced some very substantial successes in the pilot LGAs. In Year 3, LEAD will continue providing technical assistance in Round 1 champion LGAs with activities that include − Technical support on taxpayer enumeration/mapping to record the number of eligible tax and fee payers that are the base for high value taxes and fees − Developing IGR improvement plans using the new records − Building awareness of specific tax payers and the public in general about the IGR improvement plan

LEAD Work Plan, October 1, 2011–September 30, 2012 15

− Preparing an IGR mobilization manual for general dissemination − Support to the state–LGA joint tax board on procedures, issues of double taxation, and investigating new tax revenue sources − Initiating IGR mobilization activities in the new Round 2 champion LGAs − Organization of a stakeholders’ forum to review experiences and lessons learned

b. Anticipated Results:

− Improved tax base records established − Continued increase in IGR mobilization − Resolution of double taxation issues between the state and LGAs

c. Time Frame:

− Tax/fee base mapping: October–November 2011 − Public education campaign: December 2011 − IGR training for new champion LGAs: January 2012 − Development of IGR action plans in champion LGAs: March 2012

d. Key Partners: Ministries of Local Government, Bureaus of Internal Revenue, ALGON, and LGSC

2.2 Improving the LGA Budget Process

a. Objective and Description: The LGA budget process is a core local function, but which suffers from a lack of citizen input, transparency, and technical analysis. During Year 2, LEAD’s support to the budget working groups produced new strategies for strengthening the budget process within the framework of existing laws, and LEAD activities in champion LGAs produced promising approaches to engaging citizens’ involvement. In Year 3, LEAD will extend these results with further work on the process, developing SOPs for the process, and building the capacity of state actors to support and oversee

it. Specific activities will include the following:

− Redesigning the budget format so that it conveys better information and reflects more careful analysis such as analysis of revenue trends based on prior results, and more formal procedures for input from citizens and sectors (health, education, water, and other LGA services). More specifically, LEAD will work with NEI, TSHIP, and other implementing partners to bring the results of their community-level activities and the prioritized needs identified by these programs (such as vaccinations and HIV/AIDS) incorporated in the LGA budget process.

− Training for LGAs in improved revenue and expenditure forecasting techniques to allow LGAs to incorporate the results of IGR mobilization and service improvement plans in budget estimates.

16 LEAD Work Plan, October 1, 2011–September 30, 2012

− Analysis of the oversight functions in the MLG and House of Assembly Committees of Appropriations, Local Government Affairs, and Public Accounts and building capacities in those institutions.

− Technical support to the state–local government planning committee to improve coordination in budget preparation

− CSO capacity building to allow CSOs to play a more proactive role in the LGA budget process.

b. Anticipated Results:

− Improved budget practice in LGAs with more attention to the needs of local services − LGA budgets reflect the needs of diverse stakeholders − More CSO/citizen input through specific activities such as public hearings − Greater budget literacy in civil society creating more effective participation − Stronger coordination and improved oversight from state-level institutions

c. Time Frame:

− Analysis of the MLG role: November–December 2012 − Training for oversight agencies: February–July 2012 − Redesign budget presentation format: March–May 2012 − CSO budget literacy capacity building: April 2012

d. Key Partners: MLG, LGSC, Ministry of Budget and Economic Planning (MBEP), state legislature, NEI, and TSHIP

2.3 Capacity Development to Support Application of Fiscal Related Laws at Local Levels

a. Objective and Description: Sokoto and Bauchi are at different stages in the relation to the domestication of the Fiscal Responsibility Law and the Public Procurement Law. For example, the Sokoto State House of Assembly has not yet adopted the measure although LEAD has been successful in getting a special House Committee to study the merits of passing the laws and a report is due out by early October. In year 3, LEAD will advocate for passage at the state level, and assuming passage, will begin training in champion LGAs. The laws have been domesticated in Bauchi and LEAD began training LGAs in Year 2, but implementation at the state and local levels remains a challenge. In Year 3, LEAD will work more on implementation at the state and local levels by building public awareness and conducting capacity building activities.

Specific activities include the following.

− Advocating at the Sokoto State House of Assembly and other stakeholders for introducing and passing the FRL and PPL − Providing assistance for the establishment of LGA procurement committees, including preparing a manual of standard operating

LEAD Work Plan, October 1, 2011–September 30, 2012 17 procedures and broadening training for local officials in the Round 1 champions

− Providing orientation training on the laws to elected officials in champion LGAs (all in Sokoto, Round 2 in Bauchi)

− Facilitating training to champion LGAs in financial management, focusing on accounting for daily revenue and expenditures and coordination between accounting and audit departments. LEAD will also prepare SOPs for these operations.

− Applying the Medium Term Expenditure Framework budget process to selected LGA departments, as stipulated by the FRL (also part of Activity 2.1)

− Providing capacity building to key state agencies (e.g., MLG and MBEP) on how they should apply the FRL and PPL and conduct an analysis of how the FRL applies to intergovernmental relations

− Conducting an analysis of how the FOIA applies to LGAs and how they can respond to FOIA requirements

b. Anticipated Results:

− Domestication of the FRL and PPL in Sokoto − More transparent and effective procurement procedures in champion

LGAs − More transparent and effective procurement financial management and control procedures in targeted LGAs implemented

c. Time Frame:

− Advocacy activities in Sokoto: October–December 2011 − Assistance to procurement committees: October 2011–April 2012 − Training (e.g., FRL, PPL, and financial management) for champion LGAs:

November 2011–August 2012

d. Key Partners: ALGON, Offices of Due Process, State House of Assembly (Sokoto), LGAs, and CSOs

2.4 Support for the reform of intergovernmental resource flows

a. Objective and Description: At the end of Year 2, LEAD completed an analysis of local services responsibilities and the flow of funds to support those services. The report raised several issues, including the disempowerment of local governments in the process, the lack of transparency, and equity in access to resources. The report also included recommendations for policy reform and capacity building actions related to LGA planning and budgeting, the allocation process, and transparency. To operationalize the recommendations, LEAD will carry out several activities.

− Coordinating a dissemination workshop will publicize the analysis and involve stakeholders in a discussion of follow-up actions

18 LEAD Work Plan, October 1, 2011–September 30, 2012

− Conducting advocacy activities at the federal and state levels, driven by the Budget Stakeholders’ Working Group, to promote reforms

− Conducting further detailed analysis where requested by other implementing partners regarding intergovernmental relations around specific sectors

− Many of the local capacity building activities recommended in the report are included in other sections of this work plan

b. Expected results:

− More transparent and equitable intergovernmental allocation process − Increased flow of statutory allocations to the local level − More transparency and accountability in deductions that flow to other local service providers

c. Time Frame:

− Dissemination workshop: January 2012 − Advocacy activities: February–July 2012

d. Key Partners: ALGON, Budget Stakeholders’ Working Group, MLG, and State House of Assembly

Objective 3: Increased Capacity of Local Organizations

Key Issues

Local organizations are critical stakeholders in local governance. These organizations are quite numerous in Nigeria especially at the grassroots level. According to a countrywide survey conducted by Afrobarometer, these associations have continued to thrive: 9 out of 10 Nigerians belong to a religious group, community development association, trade/farmers’ union, and professional/business association.1 However, in terms of their capacity to influence the process of local governance, these associations have not recorded any significant success. First, civil society groups in Nigeria generally lack the necessary resource base and organizational capacity to effectively engage the local governments and advocate for their interests or demand for accountability and transparency in governance. Second, state officials are resistant to the civil organizations’ participation, especially on the matter of budget and finance.

For example, local CSOs do not have access to information about LGAs’ finance and budget. This has a negative consequence on transparency and accountability. Mistrust characterizes the relations between government and civil society. Finally, CSOs have few opportunities to network with their peers, to build common agendas and strategies, and strengthen their capacities.

1Afrobarometer survey carried out in Nigeria in 2001; available at http:/ /www. Afrobarometer.org

LEAD Work Plan, October 1, 2011–September 30, 2012 19

Prior Years’ Foundation

In collaboration with the work under other objectives such as community priority setting, budget development, and water point maintenance, LEAD has successfully begun to build bridges between LGAs and CSOs to the point where there is less mistrust and more active collaboration. In addition, in conjunction with recent USAID approval of CSO grantees, LEAD has begun the capacity development process of state-level CSOs and a few local CSOs.

Activities

3.1 CSO mapping and database development

a. Objective and Description: The objective of this activity is to have a formal database of CSOs that can contribute to improving local governance. Since start up, LEAD began to map related state-level CSOs and local CSOs project activities in champion LGAs. In Year 3, LEAD will formalize the mapping process to create a database and expand efforts to identify CSOs in both states and in the next round of champion LGAs. LEAD will make the database available to other interested organizations and assistance programs.

b. Anticipated Results: A comprehensive list of CSOs that can be mobilized for development activities and networking opportunities

c. Time Frame: October–December 2011

d. Key Partners: State and local level CSOs in Bauchi and Sokoto

3.2 CSO organizational assessments

a. Objective and Description: The objective of this activity is to assess the organizational capacity of LEAD partners CSOs (grantees) and key non-partners. In addition, LEAD will provide assessments to CSOs, as requested by NEI, TSHIP, and other implementing partners in health and economic growth. The assessment methodology will be based on Pact’s Organizational Capacity Assessment tool that looks at an organization’s strengths and weaknesses in core functional areas. Based on the assessments’ findings, LEAD will prepare a capacity building plan that aims to make the CSO a more effective partner during the project and thereafter.

b. Anticipated Results:

− Key areas for improvement of partner CSOs are identified − Customized capacity building plans are in place

c. Time Frame: October 2011–March 2012

d. Key Partners: Selected state and local CSOs

3.3 CSO capacity building

a. Objective and Description: Based on the results of the…