Public Expenditure Tracking in Tanzania How to make it work effectively. A Guide for CSOs, FBOs and NGOs

Transcription

1 Public Expenditure Tracking in Tanzania How to make it work effectively A Guide for CSOs, FBOs and NGOs

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3 FOREWORD Public expenditure tracking started in Tanzania over a decade ago with the aim of improving transparency and accountability in the flow of public funds to the village level. After public expenditure tracking surveys done in neighbouring countries were found effective at uncovering the misuse of public funds and in the process attracting media and public attention, audit institutions and research bodies saw them as an opportunity also for Tanzania to improve accountability. Subsequently, various stakeholders developed initiatives to build capacities for these systems at the local level in order to generate a permanent demand for accountability with the communities themselves continuously tracking the use of public resources on their own. However, success was limited and rarely sustainable. The implementation of the Public Expenditure Tracking Systems (PETS), as they are formally referred to, was primarily donor-driven, with most of the initiatives short-term and haphazard. Instead of integrating PETS into existing governance processes at the local level, often parallel structures were created instead. Tracking committees created in the villages thus did not survive beyond the relatively limited financial support they received from national CSOs or development partners. For effective public expenditure tracking, access to information is crucial, yet many of those involved in the initiatives found themselves constrained due to poor management and documentation or due to the reluctance among officials to provide information. Furthermore, preliminary PETS approaches also did not sufficiently consider factors like skills levels and capacities in rural areas, which would eventually impede their efforts. The Civic Education Teachers Association (CETA) in partnership with GIZ, under the Support to Local Governance (SULGO) Programme, undertook a careful review of the various initiatives in a bid to develop a more robust PETS approach that takes into account the lessons learnt along the way. Implementation of the new approach started in five villages of Handeni district in Tanga region in With one year down, the results have been encouraging enough that CETA and GIZ have felt the need to make the success factors accessible for replication in other regions and areas. This guide, which includes tools and templates in the annex, is meant to help improve the effectiveness of the PETS as well as other social accountability programmes that NGOs, CSOs and FBOs are supporting in Tanzania. Salim R. Olotu CETA Executive Director Hans-Jürgen Cassens SULGO Programme Manager Quick Guide PETS 1

4 ACRONYMS CETA CSO FBO GIZ LGA LGRP LLGA MKUKUTA NGO O&OD PETS PIMA card PMO-RALG PNB SULGO TAMISEMI TM VAM VEO VPT WEO Civic Education Teachers Association Civil Society Organisation Faith Based Organisation Deutsche Gesellschaft für Internationale Zusammenarbeit GmbH Local Government Authorities (District level) Local Government Reform Programme Lower Local Government Authorities (Ward and Village level) Mkakati wa Kukuza Uchumi na Kupunguza Umaskini Tanzania Non-Governmental Organisation Opportunities & Obstacles to Development Public Expenditure Tracking System (sometimes also: Public Expenditure Tracking Survey) pima meaning measure / assess in Kiswahili. A specially adapted instrument for data collection, similar to a questionnaire Prime Minister s Office Regional Administration and Local Government Public Notice Board Support to Local Governance (Implemented by GIZ and PMO RALG) Tawala za Mikoa na Serikali za Mitaa Template Village Assembly Meeting Village Executive Officer Village PETS team Ward Executive Officer 2 Quick Guide PETS

5 CONTENTS Foreword 1 Acronyms 2 1. What is PETS 6 2. How to achieve sustainable results 7 3. How does it work How to institutionalize PETS How to engage stakeholders What should trainings include What should be tracked What to do with tracking results 28 Brief Profiles 29 Appendices 31 Quick Guide PETS 3

6 1 WHAT IS PETS Public Expenditure Tracking Systems (PETS) were developed to address the poor delivery of local development projects as a result of misuse of funds, inefficiency and overall lack of accountability. Local authorities often do not inform citizens appropriately on matters concerning their development, while citizens are unaware of their right to receive information. PETS empower ordinary people to follow the spending of public resources allocated to their area. This naturally improves the delivery of services at the local level. Salim Olotu, Executive Director of CETA In 2007, the Civic Education Teachers Association in partnership with GIZ, recruited members in Korogwe and trained them to become PETS facilitators. When CETA completed its support to the project that involved 15 villages, most of the PETS committees collapsed. With this hindsight, CETA and GIZ felt compelled to review the approach. Today, so called PETS teams are elected from among the villagers during regular Village Assembly Meetings. These then take part in the participatory budget and planning process, including the Opportunities & Obstacles to Development (O&OD) exercise, to make sure that priorities defined by the communities within this mandatory process are considered for tracking. Furthermore, PETS teams coordinate closely with local authorities to ensure mutual understanding, trust and cooperation. Between 2012 and 2013, CETA worked with partner communities in five villages in Ndolwa ward, Handeni district, including taking them through a four-module training as well as continuous mentoring of the elected PETS teams. In this way CETA strengthened participation at the grassroots while increasing communities awareness and understanding of their rights and development priorities. Consequently, transparency and accountability as well as social service delivery have started to improve. PETS teams probe local authorities for information 4 Quick Guide PETS

7 2 HOW TO ACHIEVE SUSTAINABLE RESULTS This section summarises important success factors for local accountability systems based on lessons learnt from earlier initiatives. These experiences have been leveraged upon in the on-going PETS programme implemented by CETA and supported by GIZ/SULGO in Handeni District and are already yielding positive results. BE FAMILIAR WITH THE LOCAL SITUATION The organisation working with the villagers is not only expected to have the capacity and to be trustworthy, but it should also have good knowledge and a well-functioning network within the respective area of intervention. For success, an understanding of formal and informal power structures within the respective villages is of great importance. The organisation has to identify influential stakeholders and to integrate them strategically. This includes political parties, traditional leaders, religious authorities, retired public servants and schoolteachers. This way they can be rallied as positive influencers of the process when they would have promoted conflicts that adversely affect PETS if they were to be excluded. Building-up a close and trustful relationship between these stakeholders is therefore crucial. Local theatre groups can help to mobilize village communities Market days, public ceremonies and other events can serve as a forum to reach out additionally to relevant groups including the youth, the elderly as well as other marginalized groups. It is the responsibility of the organisation working with the villagers to identify available opportunities that can be tapped into as they promote the programme. INVOLVE THE AUTHORITIES AND HELP THEM DO THEIR JOB It is important to involve the authorities from the beginning. The implementing organisation should invite them to participate in a constructive dialogue and in activities related to PETS. Planning and attending trainings together with their representatives is useful as you get to utilise their local knowledge while increasing it at the same time. It also helps to establish mutual understanding, trust Quick Guide PETS 5

8 and cooperation. While in the past, local authorities have had a tendency to perceive organisations and groups engaged in PETS as unwelcome auditors and watchdogs, engaging them in a constructive dialogue from the very beginning helps local authorities to better understand the PETS process and their community s needs and concerns. At the same time, thanks to constructive collaboration communities benefit by attaining easier access to information about their development plans and budgets, as well as the actual incomes and expenditures thus also making the tracking easier. An official framework for downward accountability was developed during the first phase of the Local Government Reform Programme (LGRP I). Subsequently, in December, 2007 The Prime Minister s Office Regional Administration and Local Government (PMO-RALG) published a Guidance document on PETS for Local Government Authorities, PMO- RALG and Regional Secretariats. It promotes PETS as a tool to increase accountability and performance. FOSTER LEGITIMACY FROM THE GRASSROOTS In order for PETS to be successful and sustainable, the demand for tracking has to be generated from the legitimate body at the grassroots level, i.e. the Village Assembly. It is this body that grants the mandate to the PETS team and would therefore hold it accountable. Existing structures and procedures must be reinforced rather than creating parallel ones. Not only does this help people to use their time and resources more efficiently, it also creates synergies between various stakeholders and activities. PETS should be integrated into the mandatory O&OD process at village level in order to link it to the annual general budget and planning cycle. This can be achieved by synchronising PETS trainings and activities with the mandatory quarterly Village Assembly Meetings, which discuss opportunities and challenges while planning for relevant development projects. Consequently, PETS activities track priorities defined by the communities themselves as being relevant to them. 6 Quick Guide PETS

9 The Opportunities & Obstacles to Development (O&OD) process facilitates planning and implementation of development projects by the communities themselves in a bottom-up rather than top-down style. It empowers citizens by providing experienced facilitators, tools and a platform where they can express their demands and plan their development. At the same time, O&OD is meant to promote transparency and accountability and to improve communication between communities and local authorities. Local Government procedures require all district and municipal councils in Tanzania to carry out O&OD as a mandatory part of the planning and budgeting process. TRAIN VILLAGE COMMUNITIES IN CIVIC EDUCATION AND INFORMATION TRACKING People in the villages are often hesitant to raise their voice, as they are aware neither of their own rights nor of the responsibilities of the local authorities. Therefore, they don t know that the flow and utilisation of public resources is meant to be transparent and that village authorities are accountable to the community. Public information related to the income and expenditure of villages, development projects and minutes of village meetings often is neither available nor accessible and the villagers don t know that they have the right to obtain this information whenever they need it. This underscores why PETS trainings should start off by raising community awareness of their civic rights and the responsibilities of the authorities. Given the educational level of the majority of villagers and PETS team members and the absence of suitable tools, it is also important to provide the PETS teams with adequate training in documentation, reporting and presentation methods, and to equip them with relevant instruments (see section 3.3. What should trainings include ). PETS teams reporting directly to the Village Assembly and to village committees responsible for finances, security and social services also enhance the capacities of existing village governance structures. Including PETS related costs such as travel or stationary expenses in the village budget determined during the O&OD process, builds the community s ownership, and contributes towards the sustainability of PETS activities beyond external funding Quick Guide PETS 7

10 Simple and structured presentation of tracking results is important MAKE IT SIMPLE AND RELEVANT An organisation working with the villagers needs to take into account that most community members may not have attended school. Thus, activities and trainings need to use simple language and easily understandable methods imparting knowledge. In order to motivate people to give their time and to participate, all activities should be relevant and attractive. This can be achieved by inviting a local theatre group that would stage a performance related to a relevant topic, such as good local governance. People may also be motivated and attracted to support PETS teams and activities if the topics and priorities defined by themselves are followed up and yield tangible results. We were surprised when the construction of our primary school was halted. When we checked the income and expenditures sheets we found they were okay. We interviewed the VEO and found that the money was in fact in the village account but it had not been disbursed on time. On our request, the VEO went to see the Village Council and the money was finally released. The construction has now resumed. PETS team member, Chanika Kofi 8 Quick Guide PETS

11 3 HOW DOES IT WORK 3.1 HOW TO INSTITUTIONALIZE PETS Monitoring is often weak within O&OD. That is why in Ndolwa ward, Handeni district, the council cooperates with CETA to link a Public Expenditure Tracking System to the O&OD process. Safari F. Minja, Executive Secretary, CETA O&OD and the local budget and planning process In order to make PETS work and produce tangible results that motivate villagers to utilise them beyond the period of external support, the tracking has to become a legitimate part of local governance system. When district councils plan their yearly expenses, they are obliged to consider the development priorities at the grassroots through the participatory planning process known as Opportunities and Obstacles to Development (O&OD). With the help of district O&OD facilitators, the participatory consultation process in village communities starts in October/November so the communities can decide what their priorities are for the following budget year, for example constructing a new dispensary, buying new chairs for the school, a new roof for the market, or renovating the village office. During the O&OD process, the PETS implementing organisation sensitizes the Village Assembly on the meaning and benefits of Public Expenditure Tracking as a means of monitoring the implementation of the projects defined during the O&OD process. A PETS team is then recruited from among the villagers (see section 3.2 for details on the election process). It participates in all O&OD exercises and receives training by the implementing organisation on the tracking of the priorities set by the Village Assembly. (see section 3.3. What should trainings include ). At the Village Assembly Meeting in February where the Village Plan and Budget are finalised through the O&OD process, the PETS team presents its first tracking results and receives feedback on further tracking needs from the Village Assembly. At the same time, the PETS team gets additional training based on needs identified at the end of the first module. Tracking continues and results are again presented at the next Village Assembly Meeting, while more training is provided at the same time. The PETS training comprises a total of four modules which, ideally, are completed in June/ July. Quick Guide PETS 9

12 In July, Local Authorities are required to inform wards and villages through a printed notification about the approved budgets and projects. Authorities at ward and village level are then expected to inform their communities (e.g. via Public Notice Boards, see page 13). In practise, however, this feedback is not often given either because authorities do not have the capacity or they do not know it is their duty to inform citizens. In addition, citizens are not aware of their right to be informed or would rather not dare to probe authorities for information. As a result, villagers never know what happened to their formulated priorities. PETS teams help track the missing information. When funds are released, typically starting from August, work begins on the approved development projects. The PETS teams tracking will also focus on the use of resources concerning these new projects. The presentation and identification of the results of tracking continues during Village Assembly Meetings, while a new cycle of the O&OD process starts again from October/November. The following PETS training comprises four modules synchronised with the annual O&OD and Budget and Planning cycle 10 Quick Guide PETS

13 Chart provides more details: How to link PETS to the O&OD and the annual Budget & Planning Month Local Budget & Planning process, including O&OD PETS Oct O&OD process: Nov 1. Consultation 2. Situation analysis 3. Needs identification Training 1 (incl. Village Assembly Meetings) Election of PETS teams Start of tracking Dec 4. Setting of village priorities PETS team reports tracking results to Village 5. Discussion of Village Plans by Village Government Committee which report to Village Council 6. Submitting of Village Plan to Ward Development Jan VEO puts tracking results on agenda for subsequent Village Assembly Meetings Committee 7. Village Plan & Budget is presented at Village Assembly Feb Meeting Training 2 (along with Village Assembly Meetings) Report on tracking results at Village Assembly Meetings, decision on further tracking activities Tracking continues based on outcome of Village Assembly Meetings March April May June/ July 8. Village Assembly approves Village Plan 9. Village Plan & Budget consolidated by Ward Development Committee 10. Ward Plan & Budget consolidated by Council Budget Committee in consultation with Regional Secretariat and Council Finance Committee 11. Preliminary Council Plan & Budget reviewed by Regional Management Team and subsequently Regional Consultative Committee. 12. Preliminary Council Plan & Budget consolidated by the Council Planning Team, in consultation with Regional Secretariat and Council Finance Committee 13. Preliminary Council Plan & Budget presented to Council Finance Committee and submitted to Full District Council, to be included along with Sector Plans & Budgets in the three-year strategic plan & national Midterm Expenditure Framework year strategic plan & national Midterm Expenditure Framework sent to PMO-RALG for consolidation 15. PMO-RALG Plan & Budget sent to Ministry of Finance to be included in the central Government Budget 16. Ministry of Finance releases funds for Local Governments 17. Local authorities provide information about approved budget and projects to wards and villages 18. Villages (Chairperson and VEO) and wards (Ward Councillor and WEO) inform communities about approved budgets and projects Tracking PETS team reports tracking results to Village Committees which report to Village Council VEO puts tracking results on agenda for subsequent Village Assembly Meetings Training 3 (along with Village Assembly Meetings) Report on tracking results at Village Assembly Meetings, decision on further tracking activities Tracking continues based on outcome of Village Assembly Meetings VEO puts tracking results on agenda for subsequent Village Assembly Meetings Tracking PETS team reports tracking results to Village Committees who report to Village Council VEO puts tracking results on agenda for subsequent Village Assembly Meetings Training 4 last training - (along with Village Assembly Meetings) Report on tracking results at Village Assembly Meetings, decision on further tracking activities Tracking continues based on outcome of Village Assembly Meetings and based on approved village budgets and projects Aug 19. Local authorities release funds and implementation begins Tracking and reporting as above Sept Tracking and reporting as above Oct } } Start of new cycle, start of new O&OD process, tracking, tracking reports during Village Assembly Meetings Quick Guide PETS 11

14 Ideally, the PETS training cycle follows the local Budget & Planning cycle. However, coordination with the O&OD schedule is not an easy task. Contents of O&OD and PETS have to be synchronized. At the same time, linking up with the facilitators from the District can be a challenge due to difficult travel and weather conditions. Additionally, leaving sufficient time between PETS trainings is important in order to follow up on tracking activities that were defined during the training. As a result, the next PETS training may be delayed and would be held separately from events related to O&OD and the Budget and Planning cycle. For a successful implementation it is important that the sequencing of trainings is adapted to the conditions on the ground which might differ significantly from one area to another. VILLAGE ASSEMBLY MEETINGS Village Assembly Meetings include the entire village community. It is mandatory that meetings are held at least every quarter. In practice, however, they do not take place on a regular basis. Although it is the Village Assembly that approves PETS and tracking activities, the results of these activities also contribute towards making the Village Assembly Meetings more meaningful and stimulating, thus increasing the motivation for holding meetings more regularly. PETS teams continuously report their tracking results and questions to the Village Committees concerned with finance, security and social services. Village Committees discuss the findings and bring them to the attention of the Village Council which includes them as an item on the agenda of the Village Assembly Meetings. During the meeting, villagers discuss the tracking results and raise any questions they may have with the Village Government. The Village Government has the opportunity to answer these questions and to demonstrate successes, while emphasising the need for support from the villagers. Against this background, new tracking priorities are set for the next period until the next Village Assembly Meeting takes place. PETS Team REPORTS ON PETS ACTIVITIES STANDING VILLAGE COMMITTEES: - financial - social services - security REPORTS ON PETS ACTIVITIES Village Council (puts PETS on agenda of Village Council Meetings) OUTCOMES: Behaviours changed PUTS PETS ON AGENDA VILLAGE ASSEMBLY MEETING (PETS is a regular agenda item, PETS Team reports on activities and results, raises questions and helps to identify further tracking requirements) 12 Quick Guide PETS

15 LETTER OF COMMITMENT In order to demonstrate commitment, formalise collaboration and clarify mutual roles and responsibilities, a letter of commitment is signed by the representatives of the Village Government, Ward and District (see example in the Annex). This letter of commitment is published on the Public Notice Board for everyone in the village to see. In this way, public interest and support for tracking is stimulated. PUBLIC NOTICE BOARDS It is important to make all information related to PETS available to the public by placing it in easily accessible places. Public Notice Boards are one of the best channels for publicizing relevant information. Where available, the Village Executive Officer is usually responsible for maintaining them. In the absence of a Public Notice Board information can be published in other feasible places, such as the village shop, the market, schools or on the walls of the Village office. Particularly important is the updated information andpublication of the approved village budget and approved projects, income and expenditure details and results of elections and appoinments of ward and village authorities. PETS, tracking reports should be published as well as results of PETS teams elections and other useful information such as the letter ofcommitment betweenthe Village assembly and authorities. Public notice boards are strong communication tools for the community. They publicize: } Approved village budgets } Planned development projects } Reports on on-going projects in the village } Income and expenditure reports } Contributions from the villagers Quick Guide PETS 13

16 3.2 HOW TO ENGAGE STAKEHOLDERS It is important that all relevant stakeholders, such as the entire village community, village leaders, Ward and District Councillors and O&OD staff, are integrated from the very beginning of the process. In the first year, the organisation (FBO, CSO, NGO) working with the villagers ensures that information flows easily between these stakeholders about PETS activities and results. This builds trust and strengthens acceptance thus setting the right conditions for success. After the PETS training cycle is completed and a new O&OD and local Budget and Planning process starts, PETS becomes part of the regular structures and procedures and can continue to function without external support. The most important roles and responsibilities of the implementing organisation can be summarized as follows. IMPLEMENTING ORGANISATION (NGO, CSO, FBO) Inform the local authorities from district to village level on the PETS approach as well as benefits and integrate them in all activities. Sensitize people in the villages on their rights and the benefits of transparency and accountability. Advise village authorities during the whole process and clarify the roles and responsibilities of the PETS team and all concerned stakeholders. Initiate the election of PETS teams by supporting the village authorities in preparing for the election process (e.g. explain tasks, responsibilities, and the necessary minimum qualifications and requirements (see chapter 3.2 for details on How to elect PETS team members ). Train the PETS teams in how to conduct the tracking. Develop and adapt PETS training contents and coordinate with the O&OD facilitators from the ward and district levels in order to synchronize PETS with O&OD events. Support the PETS teams during tracking (especially with accessing information), and help them integrate tracking activities and results into the local Planning and Budget process. 14 Quick Guide PETS

17 Moderate the dialogue between communities and authorities. Moderate dialogue with influential stakeholders who may affect PETS implementation, such as the religious authorities, traditional leaders, schoolteachers and political leaders. Identify additional opportunities for communication, such as market days and public events. In the following section, terms of reference for the various stakeholders in regards to PETS are summarized. PETS team members learn about civic rights and responsibilities LOCAL GOVERNMENT AUTHORITIES (DISTRICT LEVEL) Facilitate the participation of communities in the annual O&OD and budget and planning process. The Community Development Officer and District Facilitator provide information on the O&OD schedule in order to align the schedule for PETS activities. They also assist with synchronising contents of O&OD and PETS activities while demonstrating their commitment to the PETS towards the village community. The District Council is a key provider of information for the communities. It provides all relevant information on a timely and regular basis and in simple format. This includes planned projects in the national Midterm Expenditure Framework, the approved budget and the arrival of funds. My responsibility as a facilitator is to ensure that villagers participate as key actors in the implemen tation of the PETS programme and I help them by providing the knowledge and skills to collect relevant information. Rosemary Buge, District Facilitator Quick Guide PETS 15

18 Restricted access to information is one of the main obstacles to PETS. This, on the one hand, is usually due to the unwillingness of the authorities to provide the information in line with their obligations or their lack of understanding of these obligations, while on the other hand the villagers often don t know they have the right to get information from authorities, and so they are afraid to approach them. Close integration of authorities into the whole PETS approach, including participation in PETS trainings, increases their level of knowledge, awareness and willingness to support PETS implementation. This is reinforced by the fact that PETS activities provide valuable information from the grassroots to the District level thus facilitating and easing the work for the concerned authorities at the same time. LOWER LOCAL GOVERNMENT AUTHORITIES (WARD/VILLAGE) The Lower Local Government Authorities are invited to actively support tracking activities and to provide all relevant information and documents to the PETS team. They receive feedback on the results and participate in the discussion of the results. The Village Executive Officer is invited to take up PETS initiatives and provide feedback on it. The Village Committees are invited to take up the input from the PETS team, integrate it into their day-to-day work, discuss it in the Village Council Meetings and bring it to the agenda of the Village Assembly Meetings. The Ward Executive Officer is especially invited to support PETS initiatives and teams and to help put them in contact with PETS teams from other villages in the ward. Sometimes PETS is not well understood by village institutions and some village leaders regard PETS teams as auditors. It is important that village leaders are fully involved in PETS. Rosemary Buge, District Facilitator Villages are required to hold at least four Village Assembly Meetings a year 16 Quick Guide PETS

19 The Ward Councillor has a key role with regards to PETS, as he/she acts as the link between the village and the district, receiving and forwarding information from one end to the other and participating in relevant meetings at both levels. Representatives of Ward and Village Councils, the Village Executive Officer or Treasurer, the Village Chairman as well as members of the Village Committees can also participate in PETS trainings, thereby building capacities within these governmental institutions, sharing information and knowledge, and creating or reinforcing a relationship of mutual trust and cooperation. VILLAGE ASSEMBLY Is the owner of the PETS process. Elects the PETS team. Decides the area of tracking. Decides on further processing of the tracking results. PETS TEAM A mining company exploits our land without paying tax. We kept inquiring and I am very pleased that after so many discussions the company finally agreed to pay for the con struction of a dispensary in our village in order to compensate for the debts. PETS team member in Seza Kofi Is the PETS driving force and conducts the whole tracking process. Reports to Village Committees and the Village Assembly. Follows up on the priorities set during the O&OD and the budget and planning process. Presents tracking results during Village Assembly Meetings. Village Assembly Meetings comprise the entire community Quick Guide PETS 17

20 Leads the dialogue with concerned authorities with regards to the tracking results. If feasible, integrates the authorities feedback into the presentation of the results. Makes proposals for further tracking activities to the Village Assembly. How To Elect PETS Team Members Members of a PETS team are elected during the Village Assembly Meeting which is constituted by the entire village community. It is possible that a list of candidates is prepared in advance on the basis of proposals made during an earlier Village Assembly Meeting. The list of candidates can be published on the Public Notice Board prior to the elections. During the election, relevant village authorities are requested to introduce a representative of the implementing organisation, who gives a short overview of the PETS, including the criteria for being elected a PETS team member. Each PETS team consists of eight to 10 members per village. Gender equity should be taken into consideration. Ideally, at least 40 per cent of the elected PETS team members should be women. As a minimum qualification, candidates should have completed primary school. This guarantees that PETS team members are able to read and write, to follow the trainings and to understand basic documents such as budgets and minutes. The office term for PETS teams should be at least two years. Only half of the team should be newly elected in each cycle in order to preserve knowledge and experience that the newcomers would tap into 18 Quick Guide PETS

21 The Village Authorities are responsible for ensuring that the election takes place according to democratic rules (i.e. fair, secret and equal procedures). The village authorities provide a polling booth, a table, and a ballot box. (Election by acclamation is not recommended). Subsequently, the votes are counted by a volunteer committee of villagers elected by the Village Assembly, while the implementing organisation monitors the process. The final result of the election is published on the Public Notice Board. As a minimum requirement, the PETS team should elect a chairperson (who is responsible for the documentation of activities and results, and acts as a contact person for the implementing organisation) a secretary and a treasurer (responsible for the finances of the PETS team). The treasurer reports the PETS team s income and expenditure annually and in writing to the Village Assembly. WOMEN, MINORITIES Because women, people with disabilities and ethnic minorities are usually marginalized, the implementing organisation makes extra efforts to have them included in the PETS activities and to sensitize the communities in this regard. Women and representatives of minorities should be part of the PETS team (see above, on the election process), and the PETS teams are encouraged to emphasize gender and minority issues especially during the O&OD process. MEDIA Newspapers and radio often highlight the misuse of public resources and necessary corrective actions. The implementing organisation that works with the communities can invite the media to attend events related to PETS and to report on the PETS programme, thereby helping to promote its positive effects. CENTRAL GOVERNMENT Sets the framework for PETS through the Local Government Reform Process (LGRP I and II). Provides guidance to all concerned authorities for incorporating PETS at the local level. } } Holds concerned authorities accountable for their performance as uncovered by PETS. Quick Guide PETS 19

22 3.3 WHAT TO INCLUDE IN PETS TRAININGS As mentioned in previous chapters, PETS trainings should follow the O&OD and regular budgetary and planning cycle and should be synchronised with the mandatory Village Assembly Meetings for legitimacy and sustainability. Ideally, a training cycle covers a whole fiscal year, from the planning of the village priorities during the O&OD process, to their realisation. PETS Training sessions are meant to equip PETS teams with the necessary understanding and instruments to conduct tracking activities. However, in order to utilise synergies and to build trust and collaboration, representatives of the Village Government, such as the Village Executive Officer or Treasurer, the Village Chairman and members of the Village Committees should be encouraged to participate in PETS trainings. Successful trainings are synchronized with the O&OD, and Budget & Planning process (see chart How to link PETS to the O&OD and the annual Budget & Planning process in chapter 3.1. How to institutionalize PETS ). utilize opportunities and existing institutions (i.e. Village Assembly Meetings, market days, social events, etc.). focus on issues that are relevant to participants, based on priorities set by themselves (e.g. via O&OD). take into consideration the relatively low levels of education and thus use simple, easily understandable language and methods of communication. are participatory and incorporate practical exercises. include basic civic education to sensitize participants on their rights and obligations and motivate them to strive for more transparency and accountability. provide PETS teams with technical support, such as reporting templates and checklists, so that they can continue tracking activities on their own after the end of the training period. include conflict management and reconciliation techniques, as conflict resolution is often part of the PETS team s work. 20 Quick Guide PETS

23 CSO Knowledge sharing A full PETS training consists of several components. Good results can be achieved with four training modules throughout a whole budget year. This, on the one hand, gives PETS teams enough time for independent tracking activities in between the trainings, while on the other hand trainings at this frequency offer sufficient opportunities for useful exchange and cooperation. For the initial module, a minimum of six full days is recommended, including a Village Assembly Meeting, considering that an initial O&OD exercise is time consuming. For each of the subsequent training modules (i.e. modules 2 to 4), three days should be allocated, including Village Assembly Meetings. Winding up each training module with a Village Assembly Meeting is crucial in order to present tracking results to the villagers and to strengthen the dialogue within the community. At the same time, new information from the district or ward level that is relevant for further PETS activities can be obtained and discussed, such as news on development projects or local elections. Information sharing in a group discussion Quick Guide PETS 21

24 Table: PETS Training contents # Topic Most relevant questions 1 Introduction and explanation of the planning and budgeting cycle 2 The local government system and democracy at the local level 3 Statutes, ethics and mandate of a PETS team in the village What is the link between PETS and O&OD? Meaning of PETS and O&OD Income and expenditure, types and explanations Monitoring Budgets and Social Service Delivery What are the duties and responsibilities of a Village Government? How is the local government system organised? How can I participate in decision making? 4 Information collection instruments How do I use a PIMA card? How is a Village Government elected or re-elected? What is the best way to organise a PETS team in order for it to work efficiently? What are the relevant interview techniques and how do I use them? 5 Access to information What are the most important documents? Where do I get them? How can I understand them? What does a village budget look like? 6 Rights and duties of a citizen What are the rights and duties of every citizen? 7 Report writing How do I write a concise and well structured report? 8 Presentation techniques How do I present my findings to the authorities and the villagers? 9 Advocacy techniques How do I highlight an issue to the relevant decision makers? 10 Corruption on the local level What is corruption? How can I address questions of corruption? Land right What are the procedures for the allocation of land in the communities? What are the responsibilities of the Village Government? 11 Cross-cutting issues which are closely related to local development How can Villagers participate? HIV/Aids Gender Environment and climate change 12 Conflict management What are possible conflicts in our village? What are the relevant techniques of conflict management? Topics no. 1 to 8 are key elements for the basic understanding of PETS, while no. 9 to 12 (as well as additional topics) can be included according to demand. While the O&OD process is led by facilitators from the district, PETS related training is provided by facilitators from the implementing organisation. Module 1 of the training cycle explains why O&OD and PETS are both part of the local planning and budgeting process, how they relate and how they function. Subsequently, a full O&OD exercise takes place. On the basis of the identified priorities, PETS activities are defined and respective tools are introduced, such as the PIMA card for data collection (see Annex for PIMA card templates). 22 Quick Guide PETS

25 Pima means measure / assess in Kiswahili. The PIMA card is a specially adapted instrument for data collection similar to a questionnaire On the last day of Module 1, a Village Assembly Meeting takes place to validate the results of the O&OD exercise as well as the PETS training outcome. An O&OD exercise including PETS consists of the following elements: 1. Analysis of past development projects, what was achieved, what wasn t and why. 2. Analysis of the village s future opportunities and obstacles for development. 3. Decision on future priorities development of a village plan with income and expenditure. 4. Preparation of a monitoring plan and definition of the role of the PETS team. In each of the three subsequent training modules (2 to 4) the detailed process of O&OD as well as PETS tracking results are discussed. Previous training lessons are revisited and additional contents provided as required, such as access to information, citizens rights and duties, additional documentation and presentation methods, or conflict management tools. During the Village Assembly Meeting which closes each module, training as well as tracking results are presented, and the community decides on further areas and tracking activities. Each Module is followed by a brief workshop of the trainers team (O&OD facilitator and PETS trainers) to discuss the results, to review the methods and to plan the next module according to identified needs and requests from participants. It is important to collaborate with the village authorities in a respectful way. Sometimes it is difficult, like in the case when we found out that they had sold 400 hectares of village land illegally. Initially they shouted at us, but after many discussions they agreed to pay the money back to the investor and the land was returned to the community. PETS team member in Chanika Kofi Quick Guide PETS 23

26 In between trainings and in case of need, the implementing organisation serves as a resource for the PETS team and other training participants and provides support when queries or conflicts arise. At the same time the O&OD facilitators from the district take up problems discussed during the trainings and the Village Assembly Meetings. At the end of the training a recap ensures that the participants not only understand the core idea of PETS, but are also capable and motivated to continue tracking activities independently once the training cycle is completed. A detailed sample training schedule is available in the Annex. Expected training outcome PETS teams are able to conduct tracking activities, to present findings, to negotiate with authorities, to compose reports, and to publish results on the Public Notice Board. Communities are aware of the added value of their PETS team and support it. Awareness of rights and duties of both, citizens and village authorities, is strengthened. } } Village administration functions better as a trustful cooperation is established and authorities are more accountable towards the citizens. 24 Quick Guide PETS

27 3.4 WHAT SHOULD BE TRACKED The community decides during Village Assembly Meetings what information the PETS team shall track. The development priorities defined by the community during the O&OD process provide the basis for tracking activities. Village accounts are assessed against the approved budget. Additionally, the community may choose to analyse other sectors even when they have not been included in the budget for future projects, for example agriculture, mining and natural resources or water. In some cases, tracking at a higher level, such as the ward or district, may be necessary when an aspect extends across neighbouring villages. In this case, PETS teams from different villages may choose to collaborate, and the trainers should encourage and facilitate this process. Sometimes villagers require tracking activities to focus on issues that go beyond the ones defined in the O&OD and budget and planning process, such as land conflicts, access to water or schoolgirl pregnancies. In such cases tracking results can contribute to finding solutions without additional financial resources and to the strengthening of the collaboration between authorities and communities while at the same time relieving the authorities from additional work. In Komdudu village the families of Ramadani P. and Hassan L. were engaged in a longstanding conflict over the borders of their plots. The conflict escalated into violence when the harvest approached. The local PETS team approached the district council for information on the land issue and discovered that a village map in the district office indicated the exact borders of each family s land. The PETS team brought a copy of the map to the village and finally resolved the conflict between the two families. The Conflict Tree helps in analysing conflicts in order to find solutions Quick Guide PETS 25

28 3.5 WHAT TO DO WITH TRACKING RESULTS Tracking results are analysed by the PETS team. The implementing organisation assists in this initially during the training period. Authorities are informed about the results and requested to reflect on them. The PETS team then reports the results to the relevant Village Committees, which bring them to the Village Council for inclusion in the agenda for the next Village Assembly Meeting. The PETS team presents the tracking results during the meeting and the Village Executive Officer publishes them on the village Notice board. During the Village Assembly Meeting, the concerned authorities are invited to present their views before the Village Assembly decides on the follow-up actions. Tracking results can also serve as input in defining the village priorities during the subsequent O&OD exercise. Increases quality of public service delivery Empowers local communities to follow up on public resources earmarked for them Reinforces and complements existing structures and processes (e.g. Village Assembly, O&OD) There are a lot of synergies between O&OD and PETS. Not only do the two processes work well together but O&OD is strengthened as a result of PETS. It is good to have a team of volunteers working with the village to solve community problems. The ability of villagers to solve their own problems has increased. For example, with the help of the PETS team, the villagers of Chanika Kofi and Komdudu have improved access to water. In Amani and Sua village the PETS team helped to address the poor school attendance and through their intervention the situation has significantly improved. Julius M. Mhando, District Community Development Officer Handeni District Council PETS Increases transparency and accountability Improves collaboration between authorities and communities due to mutual trust and respect Helps authorities to do a better job by providing information from the grassroots 26 Quick Guide PETS

29 Brief Profiles Civic Education Teachers Association (CETA) ion/ ?ref=ts&fref=ts CETA is a non-profit-organisation established in 2003 promoting democratic principles, knowledge of political institutions, human rights, citizen rights and duties and accountability of government authorities. Its vision is an informed, democratic, responsible, accountable and developed society, in which teachers provide high quality education to students and citizens. To reach this goal, CETA s members approximately 500 teachers operating in 10 regions - conduct seminars, trainings and workshops, publish special text books and organise activities such as school debates. CETA also implements PETS in five villages in Handeni District, supported by GIZ s Support to Local Governance (SULGO). Support to Local Governance Programme (SULGO) Germany is one of several development partners supporting Tanzania s policy on decentralisation. The bilateral cooperation consists of: 1. Contributions to the two joint funding mechanisms for the Local Government Reform Programme, i.e. the Local Government Development Grant (LGDG) Basket and the Local Government Reform Programme (LGRP II, technical assistance) Basket. 2. Technical cooperation through the bilateral Programme Support to Local Governance (SULGO). It is implemented by Prime Minister s Office Regional Administration and Local Government and by GIZ on behalf of Federal Ministry for Economic Corporation and Development. SULGO focuses on improving public financial management at the sub-national level, as well as on harmonisation of the legal framework and on strengthening the rule of law. Quick Guide PETS 27

30 More specifically, SULGO aims at: Increasing and utilising local revenues for better public services. Improving accountability and civic participation at the local level. Strengthening the legal framework for decentralisation and improving the rule of law and greater legal certainty for the population at the local level. GIZ/SULGO extends financial and advisory support to the Civic Education Teachers Association (CETA) in implementing PETS in Handeni district that is based on lessons learnt from previous experiences. Approach A main principle of German development cooperation is to focus on outcomes and impacts, rather than on activities and outputs in order to ensure the sustainability of results. All operations of SULGO are closely aligned with and complementary to the Tanzanian Government s Local Government Reform Programme. Strategies, policies and instruments developed in the Programme are introduced first in the pilot councils and regions. Under the precondition of being scalable, experiences are systematically processed with the aim of rolling-out good practices and high-impact approaches across the whole country. Coverage For piloting new initiatives, SULGO teams up with local government authorities and regional administrative secretaries, mainly in Tanga and Mtwara regions. Other collaborating partners include the Association of Local Authorities Tanzania, the Tanzania Cities Network, Tanzanian Revenue Authority, Institute for Tax Administration, and the Controller and Auditor General s office. Budget The German government committed technical assistance funds for the period 2007 to 2014 for SULGO s implementation to the amount of approximately EUR 19 million (including contributions to the LGRP Basket). 28 Quick Guide PETS