I. SITUATION ANALYSIS

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2 Brief Description This assessment s key objectives are to conduct a political economy and drivers of change analysis of the informal and formal governance structures in Yemen and to explore the prospects for how best these two systems can work together. The findings and analysis of the study will help inform not only UNDP but also the Government of Yemen, relevant national stakeholders (including the Private Sector), the UNCT, and international partners in their planning, development of strategies, policy and assessments. This assessment will disaggregate the national level and the local levels of informal and formal governance recognizing the influence of informal governance structures on national politics, policy making, appointments and resource allocation processes. 2

3 I. SITUATION ANALYSIS Over three decades, Yemen has been suffering from growing unrest and violent conflict which have been caused by underlying problems of unequal access to power and resources. Politics both at national and sub-national level are dominated by bargaining of power and interests organized along patron-client systems in tribal groups, extended families etc. Government of Yemen formal structures, including Rule of Law institutions, is not only weak and ineffective outside main cities but also increasingly untrusted. Informal governance structures have been an important valve for regulating relations and conflicts for centuries. The unrest and violence have been manifested by six rounds of fighting in the Sa adah Governorate since 2004; a separatist movement in the southern governorates; the active presence of Al- Qaida in the Arabian Peninsula, including an open confrontations with government forces in the south; conflict between pro- and anti-government groups and contenders to the presidency (e.g. tribal and military factions) in Sana a, Taiz and Aden; and sustained demonstrations and sit-ins by youth and other sections of the population, which have often met with violence. Since January 2011 this background of discontent and unrest has been brought to a head by mass demonstrations throughout the country. Clashes between pro- and anti-government groups have resulted in deaths of over 3,000 individuals and thousands of injuries, as well damages to personal and public properties and also resulted in over 500,000 of internal displaced persons around the country. The deterioration in security has hindered provision of humanitarian and development assistance to vulnerable groups, especially in remote areas to a greater extend and also to some of the problematic urban centers such as Abyan and Sa adah. The unrest and violence have exacerbated Yemen s under-development and caused a severe humanitarian crisis, requiring the launch of two flash appeals and two Consolidated Appeals over just the past three years. Yemen s malnutrition levels are among the world s highest, and every night roughly one in four of the country s population of 23.5 million goes to bed hungry. In some parts of the country, one in three children is malnourished. The risk of outbreaks of disease in conflict- and displacement-affected regions is high, and with violence often concentrated in urban areas the protection of civilians is a major challenge. These factors have made day-to-day life more difficult for a large part of the population including more than 300,000 people displaced by past conflict in northern Yemen and more than 200,000 people displaced by recent fighting in the south, and hundreds of thousands of refugees from the Horn of Africa. Following delays in the signing of the GCC Initiative, UN Security Council Resolution 2014 in October 2011 called on the parties to take necessary steps to end violence and to engage fully in implementing a political settlement based on the GCC Initiative. The resulting transition agreement (The Agreement on the Implementation Mechanism for the Transition in Yemen Pursuant to the GCC Initiative ), signed on 23 November 2011, stipulates the transfer of authority to the Vice-President, who will in turn call for early elections in 90 days; appoint a Prime Minister from the opposition and form a Government of National Unity; facilitate and secure humanitarian access and aid delivery wherever it is needed; and set up a Military Committee for Establishing Safety and Security, which will end the division of the armed forces and take the steps needed to bring the armed forces under professional, national and unified leadership, and under the rule of law. A Government of National Unity was sworn in on 10 December 2011 and early Presidential elections were conducted on 21 February 2012, with high turnover of 63% compared to the previous elections and also high rate of turnover among youth and women as well. Although the events in Yemen in 2011 can be interpreted as part of the Arab Spring and the democratization movement that spread across the Arab world during 2011, the events in Yemen are grounded in the country s problems of chronic underdevelopment, weak governance, political marginalization and social exclusion. In both the north-west and the south, the state s failure to meet the needs of local populations resulted in their disengagement from the approved political sphere and the strengthening of tribal leadership in the north, and, critically, the re-emergence of separatist agendas in the south. Local conflicts between farmers and nomadic tribes over declining natural resources have also increased. Finally, terrorist activities have increased in recent years, bringing a cross-border dimension to the Yemeni conflict. 3

4 II. STRATEGY This project is linked to the governance outcome node (see cover page) of the current UNDAF ( ) and the Joint UN Transitional Framework to Support the Transition in Yemen. This assessment will address a number of Government of Yemen s (GoY) priorities which are enshrined in GoY s Transitional Programme for Stabilisation and Development (TPSD). One of TPSD s core priorities is to enhance Governance in Yemen, including Local Governance. Another priority is to strengthen service delivery to the subnational level, including the enhancement of Rule of Law. These and other priorities will be reviewed by the assessment and will then be incorporated into future UNDP, GoY and other partners programmes. This assessment is sponsored by the Ministry of Local Administration (MoLA), the National Foundation on Human Rights and Sana a University. During the assessment formulation, outreach will be made to the Ministry of Interior and Ministry of Justice. The above institutions will provide various supports ranging from advice to secondment of experts. Specific protocols or letters of agreement will be developed with each partner to ensure clarity on commitments. Other potential partners have expressed interest in participating and contributing to the exercise, and the assessment management structure and operational arrangements will be adjusted as other partners join. In order to keep high political level informed, Ministry of Local Administration will be a Government Focal Agency that will be responsible in conveying the progress of work under this high political project to the Cabinet of Minister in its regular meetings. Also the Ministry will be responsible for presenting the final product of the project to the Cabinet for endorsement; as such the product will obtain legality for implementation of its recommendation and action plan and contribute to the transformational changes that were requested by majority of the people of in Yemen during the political uprising of The project field activities will be sub-contracted to competent firm or/and NGO, in which the communication strategy should also be part of the selected sub-contractor. As the more the public is informed on the anticipated results the more the level of engagement is increasing. A two-way communication will be established in one hand to inform the public and on the other hand to capture public opinion on the whole process. III. PARTNERSHIP STRATEGY To ensure public inclusiveness in this complex exercise that will bring consensus building for the achievement of ultimate results, a Project Steering Committee will be established as elaborated in the Methodology Document (Annexed (IV) to this project document). This Steering Committee will consist of representation from: Ministries of Planning; Local Administration (including Local Councils); Representation from Parliament, Shoura Council and Juvenile Parliament; Central Statistical Organization: Social Fund for Development: Public Works Project: National Human Rights Observatory; Yemen Centre for Studies and Research: Key NGOs: Academia Institutions; Political Parties; key Tribal Leaders: Youth and Women Organizations; Syndicates; Media Institutions; Development Partners; Private Sector and United Nations Country Team (UNCT). Gender balance, geographical and geopolitical representation among the members of the Steering Committee is crucial for consensus building and assurance for provision of high quality guidance to the Project Management and other project beneficiary, as well as the public at large. Upon the signature of the project document the Steering Committee will convening its first meeting, select its Chairperson and agrees to its Terms of Reference and also agreeing on the frequency of the meetings. If the members of the Steering Committee felt necessary to create sub-committees at local levels that will be within the survey framework, the project is very flexible to consider and draft the required ToRs for such endeavor. 4

5 IV. RESULTS AND RESOURCES FRAMEWORK Intended Outcome as stated in the Country Programme Results and Resource Framework: Outcome 7: By 2015, government is accountable at central and local levels and decentralisation, equitable access to justice and human rights are strengthened as well as capacity to promote International Humanitarian Law is built Outcome indicators as stated in the Country Programme Results and Resources Framework, including baseline and targets: Responsive democratic governance (i.e. participation, equity, decision making authority, transparency and accountability) extended at local level Applicable Key Result Area (from Strategic Plan): Democratic Governance Partnership Strategy: A Multi-dimension Project Steering Committee will be established that will be mandated with facilitation of the work of this project, keep the public informed and also ensure that the final product received legality blessing in order for its recommendation and action plan be implemented and contribute to the transformational changes that the people of Yemen requested during the political uprising of Project title and ID (ATLAS Award ID):

6 INTENDED OUTPUTS OUTPUT TARGETS FOR (YEARS) INDICATIVE ACTIVITIES RESPONSIBLE PARTIES INPUTS Project/Output ID: A Formal Informal Assessment Report finalized and disseminated, and way forward agreed by all stakeholders Baseline: 1/ No Formal Informal Assessment (2012) Indicators: 1/ Formal Informal Assessment Report Target for 2013 Independent Firm/NGO identified, contracted, Field Inception Report submitted and agreed and field work initiated Targets for 2014 Final product (Formal Informal Assessment Report), discussed with all stakeholders, finalized and submitted to Cabinet for endorsement Activity Result 1 Formal Informal Assessment commissioned by a selected independent firm/ngo Recruitment of Project Staff Preparation of ToR for sub-contracting a firm/ngo Advertisement, selection and contracting with selected firm/ngo Inception Report Commission of field work 1 st Progress Report (Sept 2013) 2 nd Progress Report (Dec 2013) UNDP and Project Steering Committee UNDP/BCPR $ 300,000 TRAC UNDP $ 110,000 Activity Result 2 Formal Informal Assessment Report finalized and disseminated Share field assessment results with all stakeholder Prepare dissemination plan Organize consultation process Incorporating comments from stakeholders Another round consultation before finalization of the report Finalization of the report Translation of the Report Submission of the final draft to the Cabinet Printing of the Report (Arabic/English) Launching of the report and dissemination (Cluster Workshops) Grand Total US$ 410,000 6

7 V. ANNUAL WORK PLAN Year: 2013 EXPECTED OUTPUTS And baseline, indicators including annual targets Project/Output ID: 000xxxxx A Formal Informal Assessment Report finalized and disseminated, and way forward agreed by all stakeholders Baseline: 1/ No Formal Informal Assessment (2012) Indicators: 1/ Formal Informal Assessment Report PLANNED ACTIVITIES List activity results and associated actions Activity Result 1 Formal Informal Assessment commissioned by a selected independent firm/ngo Actions: TIMEFRAME PLANNED BUDGET RESPONSIBLE PARTY Q1 Q2 Q3 Q4 Funding Source Budget Description Recruitment of Project Staff X TRAC UNDP Preparation of ToR for subcontracting a firm/ngo Advertisement, selection and contracting with selected firm/ngo Inception Report Commission of field work 1 st Progress Report (Sept 2013) 2 nd Progress Report (Dec 2013) Int l Researcher (6w/m) Nat. Researcher (6w/m) Amount in US Dollars 72,000 18,000 X TRAC UNDP Sundries 5,000 UNDP and Project Steering X Committee UNDP/BCPR Sub-Contracting 91,500 X X X UNDP/BCPR Sub-Contracting 34,500 X UNDP/BCPR Sub-Contracting 24,000 TOTAL 245,000 7

8 ANNUAL WORK PLAN Year: 2014 EXPECTED OUTPUTS And baseline, indicators including annual targets Project ID: A Formal Informal Assessment Report finalized and disseminated, and way forward agreed by all stakeholders Baseline: 1/ No Formal Informal Assessment (2012) Indicators: 1/ Formal Informal Assessment Report PLANNED ACTIVITIES List activity results and associated actions Activity Result 2 Formal Informal Assessment Report finalized and disseminated Actions: Share field assessment results with all stakeholder Prepare dissemination plan Organize consultation process TIMEFRAME PLANNED BUDGET RESPONSIBLE PARTY Q1 Q2 Q3 Q4 Funding Source Budget Description UNDP/BCPR Int l Researcher (1 w/m) Nat. Researcher (8w/m) Amount in US Dollars 15,000 24,000 Sub-Contracting 58,500 Incorporating comments from stakeholders Another round consultation before finalization of the report Sub-Contracting 52,500 Finalization of the report Translation of the Report Submission of the final draft to the Cabinet Printing of the Report (Arabic/English) Launching of the report and dissemination TRAC UNDP Printing 10,000 TRAC UNDP Sundries 5,000 TOTAL 165,000 8

9 VI. MANAGEMENT ARRANGEMENTS Project Organisation Structure Senior Beneficiary Ministries of Planning and Local Project Board Executive Steering Committee Senior Supplier UNDP & Donor Representation Project Assurance Head of Governance Team, UNDP Project Manager Int l Researcher Project Support National Researcher Sub-Contractor The project will be implemented by UNDP in accordance with established UNDP procedures. Ministry of Local Administration will be the Government Lead agency with the following responsibilities:- 1. Co-chair the project Steering Committee together with the Ministry of Planning and International Cooperation; 2. Inform the Cabinet of Ministers of the progress of work; and 3. Present the final Formal Informal Assessment Report to the Cabinet of Ministers for review and approval. A Project Board will be established to oversee the implementation of the project. Membership in the Board should ensure the participation of targeted governmental institutions (CI), donors representation as suggested in the above diagram. The Project Board is the group responsible for making, by consensus, management decisions for the project when guidance is required by the day-to-day manager of the project, the Chief Technical Advisor (CTA), including recommendations for UNDP/Implementing Partner approval of project annual work plans and revisions. In order to ensure UNDP ultimate accountability, the Project Board decisions are made in accordance with standards that ensure management for development results, best value for money, fairness, integrity, transparency and effective international competition. The Project Board has the following specific responsibilities: 1. Provide overall guidance and direction to the project, ensuring it functions within any specified constraints; 2. Address project issues raised by the International Researcher; 3. Provide guidance and agree on possible countermeasures/management actions to address specific risks;

10 4. Agree on the International Researcher tolerances in the Annual Work Plan and quarterly plans when required; 5. Conduct regular meetings to review the Project Quarterly Progress Report and provide direction and recommendations to ensure that the agreed deliverables are produced satisfactorily and according to plans; 6. Review Combined Delivery Reports (CDR), prior to certification by the Implementing Partner; 7. Appraise the Project Annual Review Report, make recommendations for the next AWP, and inform the Outcome Board about the results of the review; 8. Review and approve the end of project Final Report, and make recommendations for follow-on actions; 9. Provide ad-hoc direction and advice for exceptional situations, when the International Researcher tolerances are exceeded; and 10. Assess and decide on project changes through substantive project revisions. Since the project is directly implemented by UNDP, UNDP will be in charge of the overall monitoring of the project, ensuring the achievement of development results. UNDP will also be responsible for the recruitment of project staff as indicated in the project Results Resources Framework and Annual Work Plan. The recruitment process will be conducted in close consultation with the respective national entities. Additional support staff will be recruited as needed, including specialized national and international expertise. The International Researcher will deal with technical issues that related to supporting the sub-contractor in planning and in initiation of requested technical activities. The Researcher will be responsible for supervising the implementation of the project activities and will be accountable to the Project Board. The Researcher will be responsible for preparing a detailed project work plan in consultation with all stakeholders and corresponding budget and submitting progress and financial reports to UNDP and the Project Board. The Researcher will be assisted by the National Researcher in managing the project s finances according to UNDP s financial management rules and regulations, and for maintaining all documentation related to the project. Prior to their recruitment the respective Programme Officer at UNDP will be responsible to initiate project activities that related to procurement of goods and services according to the standard procedures. Any changes in the milestones and outputs of the project will be discussed with and agreed upon with the Project Board. UNDP will be responsible for the recruitment and contracting of project staff and will be responsible for the purchase of expandable and non-expendable equipment in accordance with UNDP rules and procedures, taking into consideration the specifications laid down by national entities and UNDP Country Office senior management. 10

11 VII. MONITORING FRAMEWORK AND EVALUATION In accordance with the programming policies and procedures outlined in the UNDP User Guide, the project will be monitored through the following: Within the annual cycle On a quarterly basis, a quality assessment shall record progress towards the completion of key results, based on quality criteria and methods captured in the Quality Management table below. An Issue Log shall be activated in Atlas and updated by the Project Manager to facilitate tracking and resolution of potential problems or requests for change. Based on the initial risk analysis submitted (see annex 1), a risk log shall be activated in Atlas and regularly updated by reviewing the external environment that may affect the project implementation. Based on the above information recorded in Atlas, a Project Progress Reports (PPR) shall be submitted by the Project Manager to the Project Board through Project Assurance, using the standard report format available in the Executive Snapshot. A project Lesson-learned log shall be activated and regularly updated to ensure on-going learning and adaptation within the organization, and to facilitate the preparation of the Lessons-learned Report at the end of the project A Monitoring Schedule Plan shall be activated in Atlas and updated to track key management actions/events Annually Annual Review Report. An Annual Review Report shall be prepared by the Project Manager and shared with the Project Board or/and the Outcome Board. As minimum requirement, the Annual Review Report shall consist of the Atlas standard format for the QPR covering the whole year with updated information for each above element of the QPR as well as a summary of results achieved against pre-defined annual targets at the output level. Annual Project Review. Based on the above report, an annual project review shall be conducted during the fourth quarter of the year or soon after, to assess the performance of the project and appraise the Annual Work Plan (AWP) for the following year. In the last year, this review will be a final assessment. This review is driven by the Project Board and may involve other stakeholders as required. It shall focus on the extent to which progress is being made towards outputs, and that these remain aligned to appropriate outcomes. 11

12 Quality Management for Project Activity Results OUTPUT 1: A Formal Informal Assessment Report finalized and disseminated, and way forward agreed by all stakeholders Activity Result 1 (Atlas Activity ID) Formal and Informal Assessment commissioned by a selected independent firm/ngo Start Date: April 2013 End Date: Dec 2013 Purpose Selection of a competent firm to undertake the field related activities according to project work plan Description Quality Criteria How/with what indicators the quality of the activity result will be measured? Approach and methodology applied; Geographical coverage and sampling of the field survey 1. Advertisement of two positions International and National Researcher 2. Finalization of ToR for the Sub-Contractor 3. Requesting of bids to the firm to undertake field research activities, evaluation of bids and contracting the selected firm 4. Preparation of 1 st and 2 nd progress report Quality Method Means of verification. What method will be used to determine if quality criteria has been met? Inception Report by the subcontractor Date of Assessment When will the assessment of quality be performed? One month after signature of the contract Meeting the agreed milestones based on the approved inception report Meeting the agreed milestones based on the approved inception report 1 st Progress Report 3 rd quarter of nd Progress Report 4 th quarter of 2013 Inclusiveness of the framework and indication that the ultimate final report will address the purpose of the assessment General Framework of the Formal Informal Assessment Report 4 th quarter of 2013 OUTPUT 1: A Formal Informal Assessment Report finalized and disseminated, and way forward agreed by all stakeholders Activity Result 2 (Atlas Activity ID) Purpose Description Formal Informal Assessment Report finalized and disseminated Start Date: 1 Jan 2014 End Date: 30 June 2014 Finalization of the Formal Informal Assessment Report and submission to Cabinet of Ministers for approval Wider consultation process with all stakeholders including members of the Steering Committee and submission of the report to Cabinet of Ministers for approval Quality Criteria How/with what indicators the quality of the activity result will be measured? Level of field consultation and acceptance of the Steering Committee members Quality Method Means of verification. What method will be used to determine if quality criteria has been met? Date of Assessment When will the assessment of quality be performed? Formal Informal draft report 2 nd quarter

13 VIII. LEGAL CONTEXT This project document shall be the instrument referred to as such in Article 1 of the SBAA between the Government of Yemen and UNDP, signed on 11 April Consistent with the Article III of the Standard Basic Assistance Agreement, the responsibility for the safety and security of the implementing partner and its personnel and property, and of UNDP s property in the executing agency s custody, rests with the implementing partner. The executing agency shall: a. put in place an appropriate security plan and maintain the security plan, taking into account the security situation in the country where the project is being carried; and b. Assume all risks and liabilities related to the implementing partner s security, and the full implementation of the security plan. UNDP reserves the right to verify whether such a plan is in place, and to suggest modifications to the plan when necessary. Failure to maintain and implement an appropriate security plan as required hereunder shall be deemed a breach of this agreement. The implementing partner agrees to undertake all reasonable efforts to ensure that none of the UNDP funds received pursuant to the Project Document are used to provide support to individuals or entities associated with terrorism and that the recipients of any amounts provided by UNDP hereunder do not appear on the list maintained by the Security Council Committee established pursuant to resolution 1267 (1999). The list can be accessed via This provision must be included in all sub-contracts or sub-agreements entered into under this Project Document. 13

14 IX. ANNEXES Annex I Risk Log Annex II Research Methodology, including Terms of References for International and National Researcher and for the Sub Contracting

15 # Description Date Identified 1 the lack of well Feb 2013 experienced firms to conduct the inform forma system in the Yemeni market 2 Security and safety of project personnel if required to travel to problematic Governorates and Districts 3 Lack of high rank officials and the tribal leaders in the informal formal study Jan 2013 Feb 2013 Type Operat ional Enviro nmenta l Politic al Impact & Probability Difficulties in managing project resources for implementation of activities at central and local levels Probability = 4 Impact = 4 Limit staff movement to project areas Probability = 5 Impact = 5 Probability = 5 Impact = 5 Countermeasures / Mgt response Conducting the field assessment to number of COSs prior signing the project document implementation of field activities should be placed on national, fieldbased, staff to reduce the need for internal travel to a minimum, and minimize external staff exposure to unsafe Creation of steering committee form different institutions Owner Khaled Magead, PO Governance Team; National Programme Manager Khaled Magead, PO Governance Team Khaled Magead, PO Governance Team Submitted, updated by Edward Christow the Team Leader Governance Unit Edward Christow the Team Leader Governance Unit Edward Christow the Team Leader Governance Unit Last Update At project formulation Feb 2013 During formulation stages of the project During formulation stages of the project Status No changes So far, no changes So far, no changes Annex I 15

16 Annex II METHODOLOGY AND WORKPLAN FOR ASSESSMENT OF INFORMAL GOVERNANCE IN YEMEN 28 November 2012

17 I. Background With the signing of the peace initiative and its implementation mechanism sponsored by the Gulf Cooperation Council (GCC) and facilitated by the United Nations in November 2011, Yemen has embarked on the implementation of its transition agenda. The transition period will pose a great challenge to the Government of Yemen (GoY) and the international community, requiring the GoY to address multiple competing issues, including state reform, within a short time frame. Following the approval of its Country Programme Document , UNDP believes that innovative approaches to governance are required if its interventions are to promote an environment in which all stakeholders, in particular youths, can participate in and contribute to economic and democratic governance reforms at all levels. 1 UNDP recognises that taking context as a starting point is the first of the Principles for Effective Engagement in Fragile States and Situations, underpinning all the other principles. 2 Many recent academic studies as well as UN reports have highlighted the importance of Yemen s vibrant informal governance system in the state building and peace building process. 3 Whilst often presented partially, there is a broad consensus that the relationship between formal and informal structures of governance has been deterministic of development outcomes, and influences access to basic services, economic opportunity and security in Yemen. 4 In 2009, a major whole of government study of Yemen conducted by the EU, concluded that a mapping of the parallel state, with a better understanding of the shifting balance of key players, their interests and rivalries as well as of the tribal dynamics underlying the political settlement was central to developing a strategy of support to transition in the country. 5 With an estimated 75% of the population living in rural areas and the rapid contraction of the economy during the 2011, the prospects of extending service delivery to the majority of the population through formal channels is receding. In many parts of the country, local authorities have yet to take fully charge of local affairs as foreseen by the law, and an estimate of over 70-80% of all disputes are being resolved outside of the formal justice system. 6 Even with consistent investment, Government of Yemen, World Bank and UN estimates indicate that meeting MDG targets would be impossible by 2015, whilst poverty rates have risen from 35% in 2006, to 42% in 2011, and 54.4% in 1 UNDP Yemen Country Programme It is essential for international actors to understand the specific context in each country, and develop a shared view of the strategic response that is required. It is particularly important to recognise the different constraints of capacity, political will and legitimacy [..]. Sound political analysis is needed to adapt international responses to country and regional context, beyond quantitative indicators of conflict, governance or institutional strength. International actors should mix and sequence their aid instruments according to context, and avoid blue-print approaches. OECD (2007), Principles for Good International Engagement in Fragile States and Situations, Paris: Organisation for Economic Cooperation and Development. 3 Alley, April (2010) The Rules of the Game: Unpacking Patronage Politics in Yemen, Middle East Journal, Vol. 64, Number 3, The United Nations - The World Bank (2011) Joint Initiative for Saada- Situational Analysis January 10, 2011, Sarah Phillips (2010) What Comes Next in Yemen? Al-Qaeda, the Tribes, and State- Building, Carnegie Foundation; Sarah Pillips (2011) Yemen: Development Dysfunction and Division in a Crisis State, Development Leadership Program, Research Paper 14; Victoria Clark (2010) Yemen: Dancing on the Head of Snakes, Yale University Press. 4 Nadwa Al-Dawsari (2012)Tribal Governance and Stability in Yemen, Carnegie Foundation, 5 European Union (2010) Report of the assessment towards a 'whole of EU' approach to state building in Yemen: addressing fragility to prevent state failure 6 Al-Zwaini, Laila (2012). The Rule of Law in Yemen: Prospects and Challenges, HiiL Quick Scan Series. 17

18 As the country prepares to renegotiate the historical political settlement through a national dialogue, relation-based systems could allow leveraging large constituencies at a time where broad based support is needed by formal structures in redefining a rule-based national social contract. For this to be done, national and international partners need to understand in greater detail the stakeholders, roles and perceptions of informal governance systems. This requires moving beyond anecdotal descriptions, to develop a disaggregated evidence base and analysis of how informal systems are working and influencing formal decision making and service delivery across the country. The transition period defined by the GCC agreement, has provided an opportunity for basic law and policy regulating the informal governance sector to be reviewed. This opportunity for change creates risks for all activities, however, provides a unique opportunity for such study, enabling both the process and the outcomes to align with and support national debate and policy review. Drawing upon UNDP s comparative advantage and the lessons learned on supporting governance in fragile states, both globally and in Yemen, UNDP is proposing to support a qualitative and quantitative baseline assessment of the perceptions, stakeholders and structure of Yemen s informal governance systems. This assessment will be used to inform national policy formulation and planning as well as to assist development partners in the design of a program of support for governance extension and reform in Yemen. II. Objective and Scope a. Objective The assessment will develop a nation-wide qualitative and quantitative baseline of the perceptions, stakeholders and structure of Yemen s informal governance systems. This baseline will be used to inform national policy formulation and planning as well as enable partners and UNDP to support building of institutional and human capacity and improve programming in support of improved relationships between informal and formal governance systems. b. Scope The objectives of the assessment are to develop a comprehensive baseline of Yemen s informal governance systems. This assessment will include a. a desk review of the legal and institutional framework for informal governance in Yemen; including a review of the constitution, basic laws, institutional arrangements and capacity; b. a stakeholder and influence analysis identifying informal governance actors operating at national, governorate and district levels and mapping their relationship to formal governance; c. a nation-wide survey of citizens on the roles, value and impact of informal and formal governance systems in the provision of basic, justice and security services; This assessment will pay special attention to the experience of women, and minority groups, whose affairs often remain mostly in the informal circuits. Based on the findings of this assessment, UNDP will develop a program of governance support that will facilitate the links between formal and informal local governance structures over the short and medium term. The assessment will inform strategy development, as well as provide guidance on priority institutional and capacity issues to be addressed, define an action plan for policy development and identify immediate activities to be started in The Government of Yemen, The World Bank and the United Nations Development Program (2007). Yemen Poverty Assessment. 18

19 This programme strategy draws on lessons and guidance from UNDP s past experience both globally and in Yemen. This includes UNDP s lessons on supporting governance in fragile states recently captured in the Governance for Peace framework. 8 This framework recognises UNDP s extensive experience in fragile and conflict affected settings, and defines UNDP s role in fragile environments as a service provider and source of technical assistance working with both state and society with the objective of reinforcing the social contract. III. Geographic Scope The assessment will be divided into a qualitative and a quantitative component, and undertake surveying in all 20 governorates, covering districts in each governorate. A representative sample for the two components of the assessment will be defined in consultation with key national partners. The assessment will also cover Yemen s major cities, including Sana a, Ta iz, Ibb, and Aden. Whilst a research team will be consolidated in Sana s, data collection teams, consisting of men and women, will be located at governorate/district level. The assessment will include conflict affected governorates, including Sa ada, Hajja, Abyan, Aden and Lahaj, as well as non-affected areas. Time and resources will be dedicated to outreach and confidence building to ensure that a representative sample of the country is secured. IV. Assessment Team The Informal Governance Assessment will draw upon the capacity and experience of the Government of Yemen and partners, with leadership from UNDP. The core assessment team will be constituted by 1 senior international consultant and 1 senior national consultant with complementary skills in law, political science, sociology and/or anthropology. The lead researchers will work with 2 national research associates at national level (1 male and 1 female), a national administrative associate and 30 field data collectors, formed into 5 teams of 6. The senior consultants will maintain overall responsibility for the final report, including but not restricted to: - finalization of research methodology including all research tools (incl. surveys); - design and implementation of the research work plan, - supervision of national researchers and field research teams, - consolidation of data and analysis - drafting, editing and finalization of the final report - support to outreach, dissemination and consultation of final report The national researchers will be responsible for: - undertaking a desk review of Yemen s basic legal and institutional framework for informal governance systems; - compiling a complete bibliography in English and Arabic 8 UNDP(2012) Governance for Peace: Securing the Social Contract 19

20 The field data collectors will be responsible for data collection and aggregation at governorate and district level. Agency Resource Role Lead Researchers National Researchers Field Data Collectors Remote Support and Deployable Capacity V. Partners This assessment will address a number of Government of Yemen s (GoY) priorities which are enshrined in GoY s Transitional Programme for Stabilization and Development (TPSD). One of TPSD s core priorities is to enhance Governance in Yemen, including Local Governance. Another priority is to strengthen service delivery to the subnational level, including the enhancement of Rule of Law. These and other priorities will be reviewed by the assessment and will then be incorporated into future UNDP, GoY and other partners programmes. This assessment is sponsored by the Ministry of Local Administration, the National Foundation on Human Rights and Sana a University. During the assessment formulation, outreach will be made to the Ministry of Interior and Ministry of Justice. The above institutions will provide various support ranging from advice to secondment of experts. Specific protocols or letters of agreement, will be developed with each partner to ensure clarity on commitments. Other potential partners have expressed interest in participating and contributing to the exercise, and the assessment management structure and operational arrangements will be adjusted as other partners join. VI. Defining Informal Governance Systems The United Nations Development Program (UNDP), in its 1997 policy paper, defined governance as the exercise of economic, political and administrative authority to manage a country s affairs at all 20

21 levels. It comprises the mechanisms, processes and institutions through which citizens and groups articulate their interests, exercise their legal rights, meet their obligations and mediate their differences. This definition was endorsed by the Secretary-General s inter-agency sub-task force to promote integrated responses to United Nations conferences and summits. Over the past 10 years, the number of country level programmes on governance supported by the United Nations system has expanded considerably. 9 Informal Governance system defined as socially shared rules, that are created, communicated, and enforced outside of officially sanctioned channels. This means that they are rules based on implicit understandings and not necessarily sanctioned through formal position. 10. At their root, they are behavioural regularities based on socially-shared rules 11, that are created, communicated, and enforced outside of officially-sanctioned channels. 12 Formal systems are embodied in constitutions, commercial codes, administrative regulations and laws, civil service procedures, judicial structures and so on. Their features are readily observable through written documents, physical structures, and public events. Informal systems are based on implicit and unwritten relationships and understandings. They reflect socio-cultural norms and routines, and underlying patterns of interactions among socio-economic classes and groups. 13 In Yemen, the informal and formal realms are certainly not clearly demarcated and a key initial output of the assessment process will be a contextualized definition of informal governance. Informal governance systems should not be confused with culture 14, nor suggest a continuum from traditional to modern. Informal governance systems evolve and adapt, and are shared strategies 15 which are functional in providing value to people. 16 For actors on the ground what matters is the situation they find themselves in as they respond to the known rules of enforcement, i.e. whether it is done by the police or the community, or both. All countries have both formal and informal governance systems that is, systems within which citizens and government officials interact. In countries where formal state structures are weak, informal systems of governance can be important in ordering society, enabling access to basic services and extending the rule of law. Whilst such systems have been perceived as unrelated to or at worst a threat to state building processes, serving as active impediments to the expansion of state authority, increasingly, in many fragile and conflict affected states informal governance plays a 9 United Nations, Economic and Social Council, Compendium of basic terminology in governance and public administration, E/C.16/2006/4, available at: 10 Sangita Yadav, People Perception on Informal Local Governance System In Rural Nepal, Master in Public Policy and Governance Program, Department of General and Continuing Education, North South University, Bangladesh, 2012, 22. Available at: 11 Many definitions of informal systems highlight that these are unwritten. In Yemen,however, there are many written tribal (and other customary) agreements, contracts, deeds, and decisions of settled conflicts, the latter functioning as tribal-legal precedents. There are also documents expounding a tribal 'legal corpus'. Likewise within the Islamic sector, the methodologies, interpretations, rules, etc. of shari`a (Islamic jurisprudence) are written down in an elaborate scholarly corpus of legal treatises and literature. 12 Helmke, Gretchen and Steven Levitsky. (2003) Informal Institutions And Comparative Politics: A Research Agenda, Kellog Institute for International Studies, Working Paper # Brinkerhoff, Derick and Arthur Goldsmith (2002). Clientelism, Patrimonialism and Democratic Governance: an Overview and Framework for Assessment and Programming. 14 There may be a close relation between informal and formal governance systems, as culture shapes behavior by guiding relative valuation or understandings of individuals and groups. (OECD 15 Ostrom, Elinor (2005) Understanding Institutional Diversity, Princeton University Press. 16 Brinkerhoff, Derick and Arthur Goldsmith (2002). Clientelism, Patrimonialism and Democratic Governance: an Overview and Framework for Assessment and Programming. 21

22 significant role in the construction of a new and more legitimate, indigenous and mediated state. Broadly, speaking the relationship between formal and informal governance systems is related to both the degree of effectiveness of formal institutions and the alignment between formal and informal governance systems. Table 1: Relationship between Formal and Informal Institution Outcome Effective Formal Ineffective Formal Convergent Complementary Substitution Divergent Accommodation Competing. (adapted from Helmke and Levitsky 2004). Whilst many countries, have extensively formalized or harmonised the authority of informal governance systems, Yemen s approach to this is rather fragmented. The basic laws of the Republic of Yemen do not have a legally recognized system of law or administration based upon customary or traditional systems, but grants formal recognition to Islamic law giving precedence to this over the state s legal system. 17 The shari`a-clause in the Constitution (Art. 3) can overrule the legality of lower legislation, especially family laws and criminal laws, which are mainly drawn from classical shari`a in the first place. The present Criminal Code (12/1994), for example, states that criminal liability is personal, and there is no crime or punishment without a preceding statutory law (qânûn) (Art. 2). The more recent Law of Arbitration. (redrafted in 2010), gives jurisdiction to tribal dispute settlement in specific cases. This clearly establishes that common liability, as known in tribal law, is not legitimated by statutory law, and that crimes and punishments can only be defined by state law. 18 As this assessment is focused on informal government systems, rather than solely actors, the key focus of the assessment will be to identify how informal actors are used by citizens to access key services from either state or non-state providers. These services include justice, security, basic (education, water, health) services, as well administrative services, for example registration of births/deaths, identification. The sum of these services, will contribute to a deeper understanding of how citizenry effectively use informal systems to ensure representation to the state. 17 Based upon article 3 of the constitution, shari`a is the basis of formal legislation, including criminal law. Even 'informal' (non-codified) shari`a can overrule legal and other constitutional principles. Because shari`a is considered divine, and statutory laws as human. Constitution of Yemen,. 18 Al-Zwaini, Laila (2012). The Rule of Law in Yemen: Prospects and Challenges, HiiL Quick Scan Series. 22

23 Formal Local Governance in Yemen (al-zwaini 2012) Government authority is cantered in the capital, Sana`a. In 1999, the first Local Governance Law mandated decentralisation of government authority to elected councils at governorate and district levels, to give a greater voice to citizens living in rural areas. The Local Governance Law initially prescribed that the local councils would be headed by government appointed governors. The local governance system was to be founded, as in South Yemen, on a series of governorates, 20 in total, plus the capital Sana`a forming its own unit. The governorates are in turn divided into several hundred districts. The boundaries of the governorates largely converge with existing tribal boundaries. Local council elections were held for the first time in 2001, but lack of resources hampered their efficiency, and the elections suffered from interference from the central government. However, by the end of 2005, local government offices had been established at governorate and district levels, where the local budgets for 2005 were being prepared fully and directly by local authorities. After the local and governorate council elections in September 2006, former President Saleh announced various measures that would also allow the direct election of future governors and directors of the councils. Hence, in May 2008, governors were being elected for the first time. Despite this procedural improvement, the elections did not alter the structural domination of Saleh s ruling party, the General People s Congress (GPC), over the local and governorate councils. VII. Methodology The methodology of the study will be mixed, combining qualitative and quantitative methods, to ensure accurate representation of a highly complex topic. The proposed methodology will be adjusted and scaled according to feasibility and in order to meet the timelines defined by in the workplan. a. Desk Review As a first step, a desk review of the legal and/or regulatory framework governing issues that influence the informal sector will be carried out to identify the existing legal and institutional framework. This will provide an objective analysis to complement interviews with focus groups and key informants. Based on a desk review and data collection at national level, the research team will complete an institutional baseline on the informal governance sector. The Research Team will collect secondary data from Ministry of Local Authorities, Chamber of Commerce, Ministry of Justice, Ministry of Interior and other relevant partners. Priority will be put on collecting data on the formal sector and its intersection with informal actors, systems and institutions for pre-transition period, as well as any available post-transition data on the same aspects. This baseline will in particular focus on collecting information and analyzing: 1. Legal and Regulatory Framework of Informal Governance System, for example the constitution, local government law, criminal law, arbitration law etc.. 2. Structural data, including the institutional arrangements of formal departments, units or agencies with the mandate to engage with informal governance actors at national and local level, and any qualitative surveys of capacities. For example the Authority for Tribal Affairs, the Ministry for Religious Affairs, Ministry of Justice and Ministry of Local Authorities; 3. Identification of formal roles given in justice and dispute resolution, and basic service provision (security, health and education) to informal governance systems by law; The key questions for the institutional baseline are - A-1 What is the constitutional structure of the state (type of government, electoral system, and the organization of the executive, the legislature and the judiciary)? Do the constitution or basic laws of the country define a role for informal, traditional or customary systems of governance? A-2. What formal structures have the mandate and authority to engage with inform informal governance systems, and how important are they? Do these formal structures have the capacity carry out their mandated tasks, at national and local level? 23