Annexure 4 Reform Checks (see sample reform plans for detailed actions, base line and time line) – To be submitted by SPCUs Sample Activities Minimum Requirements Actions/ Checks Yes No Remarks Reporting I, Improving Service Delivery Solid Waste Management 1 IEC program implementation for source segregation and promotion of recycling Commitment of funding for commencement of activities Does the report cover Overall plan IEC plan, agreement with CLG and means of financing Communities covered Semi Annual 2 Install a waste recycling and recovery facility (identification of suitable site) Initiation of solid waste management improvement Does the plan include: Improvement in source segregation Improvement of collection and transportation Treatment system Construct a residual landfill Increased collection area quantum of waste recycled Households covered Compost plant in operation Semi Annual - 4 Promotion of household or community level composting (tons/day of waste composted) Does the report conclude its feasibility? If Yes Action Plan including means of financing Semi Annual 5 Door-to-door collection in township areas (Percentage population covered) Commence door-to-door collection in high density areas. check % population covered Annual Report on activity / facility performance 6 Project proposal Linked to Action plan (1) above Procurement of Compactor truck Distribution of compost bins to selected areas Improved collection areas Source level segregation in streamline LA will seek funds from other sources Water Supply and Sanitation 1 Introduction/ revision of water tariff to at least cover full cost of operation and maintenance Clear demonstration of sustainability of tariff (if water supply is operated Tariff proposal in place Bye law to be notified Appropriate level of tariff established. One time Bye law on tariff notification Annual statement of water accounts as part
resource allocated Social services 1 Improvement of health, library, computer services etc Design proposals for facilities in place Do they reflect gender priorities? New library Office and and auditorium in operation Completion report and end user surveys by PMU. (ii) Streamlining taxation, licensing, and approval systems and processes: Revenue management 1 Development of fiscal database of assessment, licenses and trade establishments, and introduction of computerised billing system Is the approval from PMU for support for this activity place ? Has the LA nominated a nodal officer for this activity. Action plan for completion fiscal database of assessment, licenses and trade establishments, and introduction of computerised billing system in place? Completion of databases Action Plan and annual progress report Revenue enhancement in the medium-term 1 A series of measures to increase the revenue from assessment tax (e.g. expand or declare built areas, increase assessment rate, and/or valuation of property by the Valuation Department) (collected assessment tax) Putting in place measures for medium-term revenue enhancement Is the action Plan for assessment tax in place? Check if time includes actions for land survey Notification of built up areas and requests for valuation Demand and collection targets for next three years Increase the own source revenue by **% annually. Target **% Collection Presentation of Demand Collection Balance Statement as part of Annual Budget Confirmation by Valuation Department 2 Measures to increase revenue from other sources (rentals, licenses, court fines, etc) Action Plan// activities in place to Introduce Business Tax Trade license and Business tax revenue of SLR ** Annual (Revenues) and List of additional establishments in the tax net
3 Is the plan to decide on rents for the Pola to be constructed under LGESP? Attach council resolution and Bye law on annual revisions of rent Bye law on rents and increases Achieve ***% annual increase Annual Performance and bye law 4 Preparation of financial projections for both revenue and expenditure for the next 5 years Demonstration that the total revenues will cover the total expenditures in the medium-term Financial forecast in place and assumptions are reasonable? Provisioning for O&M reflected in the forecast? Revenue will exceed expenditures. Annual – Forecast VS actual Process re-engineering 1 Review of the tax, licensing and approval procedures and simplifying the procedures Clear commitment to simplify the procedures Commitment to implement the process re-engineering measures- council resolution and nomination of nodal officer Council Resolution passed. Await guidance from PMU on schedule of program implementation (iii) Ensuring the effective management of infrastructure/facilities O&M Plan 1 O&M plan to effectively manage the assets of local authority (Percentage allocated for O&M out of total expenditure) O&M plan that demonstrates a mechanism to ensure adequate budget allocation for O&M of infrastructure and facilities, including those proposed by the local authority As part of Report check for facility operation actions and O&M plan including cost estimate Annual budget allocation for O&M as part of forecast In place * % of total expenditure allocated for O&M Annual 2 Establishment of a separate unit to operate the system (e.g. water supply) Outline of an institutional arrangement for O&M Subject to sub projects proposed and need. Is the plan to establish separate units including recruitment plan for Water supply SWM- composting in Units established and operational Annual- establishment of unit and necessary orders appended.
place. Is the time schedule reasonable? Staff capacity 1 Development of staff recruitment and human resources development plan See above Request to CLG for Appointment notification (iv) Improving systems and management Accounting 1 Establishment of automated accounts Nominate Staff for coordination Annual 2 Separate presentation of water accounts as part of the budget Prepare separate statements for water supply activity. Annual report on water supply operations 3 Completion of audit of accounts by June of subsequent year Preparation of final account for 2010 Certificate of completion of accounts and audit Submission of final audited account by June of subsequent year Annual Organizational structure 1 Proposal for establishing functional organisational structure Action Plan and commitments form CLG for support. Structure change and appointment of qualified staff Annual Inclusive and participatory planning 1 Preparation of development plan and medium term development plan through participatory process Demonstration of participatory planning processes through minutes of meetings, committee representation etc. Do the consultation plans reflect the process requirements? Council resolution in place on inclusivity in committee as per GAP? Development plan prepared Copy of Notification- Subject to Amendment to the Pradeshiya Sabhas Act. Administration 1 Enhancement of citizens’ (including women) participation in local authority committees (finance, environment) (Percentage of members) Appoint a women’s representative in all the committees of the pradeshiya sabhas A representative in all committees Annual reporting on participation, especially of women in planning meetings.
2 Development of a grievance redress mechanism Appoint a responsible officer Notification of citizens charter in the PS Officer appointed Office computerization 1 Commitment to computerizing office functions, including separating consumer services and basic office function. Action plan and request to MLGPC for support attached? Nodal officer nominated? Complete activity Define schedule in consultation with PMU. 2 Establishment of a zonal office. Project report and plan reflects needs of zones? Communicate decision as part of annual reform plan monitoring.
Consultation and Participation Plan – Pura Neguma (LGESP) Project Cycle Target Group Consultation Tools Consultation and Participation Topics Indicators Sources of Verification Responsibility Planning Stage Beneficiaries including women, youth, and marginalized social groups Focus group discussions Overview of the proposed project and interventions Definition of issues and constraints in access to services and resources List of needs and initial prioritization Reform Plan Number of consultation sessions carried out for various stakeholder groups including number of participants Number of received and converted into actions/ projects Base line indicators in relation to select DMF targets At least 15% participation by women (target) Summary of consultations with each group. Baseline indicators in relation to select DMF targets Local Authority (Assisted by PMU, SPCU, DSC) Elected representatives / leaders of Local Authorities (Las) Council level meetings and presentations Civil Society Organizations- Women’s society/ youth` associations, Others as identified Key informant interviews with leaders Local registered NGO’s Focus group discussions Traders association Focus group discussions Academic institutions Focus group discussions Elected representatives / leaders of Local Authorities (Las) Class room discussions for orientation and training Orientation/training of local authorities’ leaders in participatory approaches, decision making and M&E Number of leaders of Las trained Summary of Orientation. Sub-project identification stage Beneficiaries including women, youth, and marginalized social groups Focus group discussions Information leaflets about sub-project and benefits Newspaper articles seeking feedback Open house meetings Overview of service requirements Sub-project selection criteria Reason for prioritizing the sub-project improvements / benefits envisaged User contribution requirements Implementation schedules and arrangements Number of consultation sessions carried out for various stakeholder groups including number of participants Note on Views received and incorporated into the selection of sub-projects Local Authority (assisted by PMU, SPCU DSC)
Willingness to pay assessments Possibility of community participation in O&M Elected representatives / leaders of Las Key informant interviews Information leaflets about sub-project and benefits Open house meetings Civil Society Organizations- Women’s society/ youth associations , Others as identified Information leaflets about sub-project and benefits Open house meetings Local registered NGO’s Information leaflets about sub-project and benefits Open house meetings Traders association Information leaflets about sub-project and benefits Open house meetings Academic institutions Information leaflets about sub-project and benefits Open house meetings Sub-project design stage Beneficiaries including women, youth, and marginalized social groups Elected representatives / Leaders of Las Focus group discussions Newspaper articles seeking feedback Open house meetings Household Summary of reports (DPR/IEE/RP/IPP) Design criteria alternatives considered project components involving land acquisition mitigation measures environmental impacts and mitigation measures Number of consultation sessions carried out for various stakeholder groups including number of participants Agreement on O&M arrangements Note on Views of participants No. of objections/ suggestions received and action taken Baseline Local Authority (assisted by PMU, SPCU DSC)
questionnaire cost of the project likely charges, if any Specific arrangements for involvement of communities in O&M, if appropriate indicators in relation to select DMF targets Draft agreement documents Affected households Focus group discussions Household questionnaire Summary of reports (DPR/IEE/RP/IPP) Design criteria alternatives considered Extent of land acquisition and mitigation measures Proposed resettlement and rehabilitation measures, if any No of consultations held Views of participants No of objections/ suggestions received and action taken Feedback on rehabilitation and restoration measures Sub-project implementation stage Elected representatives /Leaders of Las Interest groups including women’s groups and vulnerable groups Civil Society Organizations- Women’s society/ youth associations , Others as identified Local registered NGOs Traders association Academic institutions Focus group discussions Monitoring surveys Periodic open house meetings Newspaper articles Display of project details on site. Progress of implementation Temporary impacts / discomfort to public advance communication about civil work schedule Quality and adequacy of environmental and social mitigation measures undertaken Share design changes, if any reason for the same alternatives considered Efficacy of the grievance edressal system Labor standards and safety measures Awareness measures Sanitation and water conservation HIV AIDS and other communicable diseases Formulation of user/community Number of consultation sessions carried out for various stakeholder groups including number of participants Views of participants / grievances received and action taken report. Local Authority Contractor PMU / SPCU DSC
groups responsible for O&M Affected households Focus group discussions Grievance edressal mechanisms Temporary impacts review Report on grievance edressal and actions on temporary impacts. User Group Focus group discussions O&M issues, structure of arrangement and agreements . Consultations held Formulation of necessary committees and selection of key staff Minutes of consultation Agreements on O&M arrangements Post Project Implementation Beneficiary Communities Structured meetings Focus group discussions Individual interviews O&M issues / Management by user/community groups- in small / localized community infrastructure and Polas Satisfaction levels Performance in relation to DMF targets No of project/ activities transferred Performance in terms of efficiency of O&M Notes on Beneficiaries perception of project benefits Feedback Reports Community satisfaction Local Authority and Community/ User Groups Monitoring and Evaluation Beneficiary Communities User groups Elected representatives / Leaders of Las Individual interviews Focus group discussions Participation in evaluation: feedback to the Local Authority on benefits Monitoring service delivery Impacts on women and vulnerable amongst the beneficiaries / user groups Progress on Reform Plan Comparison with DMF Targets Numbers of local leaders who participated in M&E activities Note/ report Facility specific performance Progress on reforms Impacts on women and vulnerable groups LA in consultation with beneficiary communities and user groups DMF= design and monitoring framework, DSC = design and supervision consultant, DPR = detailed project report, IEE = initial environmental examination, IPP = Indigenous Peoples Plan, LA = local authority, M&E = monitoring and evaluation, O&M = operation and maintenance, PMU = project management unit, PPTA = project preparatory technical assistance, RP = resettlement plan, SPCU = subproject coordination units.