Kazakhstan

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Activity Data Sheet PROGRAM: Kazakhstan TITLE & NUMBER:More Effective, Responsive, and Accountable Local Governance, 115-023 STATUS: New PROPOSED FY 2001 OBLIGATION AND FUNDING SOURCE: $1,800,000 FSA PROPOSED FY 2002 OBLIGATION AND FUNDING SOURCE: $1,500,000 FSA INITIAL OBLIGATION: FY 2001 ESTIMATED COMPLETION DATE: FY 2005 Summary: This new objective is focussed on working with local institutions rather than national policy makers. Increased citizen participation and improved local government practices should increase the receptivity of national policymakers to decentralization and create a critical mass for promoting local government reform. Under this objective, USAID will strengthen local governments as both democratic and service-providing institutions in Kazakhstan through the introduction of democratic practices in targeted local governments; increased local government capacity; and increased local government authority. Technical assistance and training will be directed at elected councils to play a more pro-active role vis a vis appointed administrations and at administrations to open up their decision making processes. Technical assistance and quality control, through a USAID-supported certification program, strengthens local training programs for local government officials, elected leaders, and housing association leadership and staff. The end result of this training will be higher standards of transparency and accountability in local governance. USAID funding of advisors, exchanges, publications, and support to local think tanks will promote greater understanding and support for decentralization among national and local policymakers and foster greater dialogue between the capital and the regions. Program Categories include support for local government management capacity. Key Results: Principal results expected are: 1) the introduction of democratic practices in targeted local governments; 2) increased local government capacity; and 3) increased local government authority. Performance and Prospects: The Government of Kazakhstan (GOK), while willing to hear other viewpoints on local government reform, is not yet willing to make serious changes. The recently passed Local State Administration Law does not provide a foundation for decentralization; rather, it codifies the status quo. While national leadership generally remains uninterested in decentralization, supporters of decentralization include the progressive, but politically weak, Agency for Strategic Planning (ASP), a number of parliamentarians, and a growing number of local authorities. The ASP actively consulted USAID's advisors as it drafted a concept paper for decentralization in Kazakhstan, and has requested assistance with legislative drafting. USAID and its advisors maintain an on-going dialogue with the parliament regarding local government reform. While challenging and engaging national policymakers remains important, USAID's new strategy is to introduce commonly accepted practices of accountability, transparency and citizen involvement to a broad audience of local government officials through widespread training, publications, and technical assistance. There remains a great demand for training and information among elected council members and appointed administrators. Thus, consensus from below is the most likely strategy for raising the standard of governance. USAID-supported training activities and development of a local training capacity have enjoyed considerable success. High quality, in-service training has been institutionalized so that it is available to local government professionals nationwide. The number of local trainers and the number and variety of training modules, which they are able to conduct, is growing steadily. Training is well received and in high demand throughout the country. Two certification programs, one for financial officers and one for elected council members, will give motivated individuals' an incentive to complete a series of courses. The curriculum of the certification programs has the preliminary approval of the Agency for Civil Service (ACS) and will be offered by regional training centers throughout the country. USAID is providing assistance with curriculum development and training the trainers. It will co-fund training and provide quality control. More public hearings were held, making it one of the most popular tools for soliciting citizen input. Several regional representatives of the National Anti-Monopoly Committee put USAID training and technical assistance on how to hold a public hearing to good use, while the National Antimonopoly Committee (AMC) revised its regulations on public hearings. In Atyrau, the local Antimonopoly Committees held public hearings on water and sewage tariffs and the Ust-Kamenogorsk and Almaty Antimonopoly Committees held public hearings on heating and electric tariffs. An in-depth credit-worthiness analysis for the city of Almaty, as a preliminary step for an EBRD loan, was conducted by two consultants with expertise in municipal finance. While the assessment revealed that the city is managing its finances more professionally and transparently than in the past, the city's control over its own budget-and thus its ability to engage in borrowing independently-is highly circumscribed by the national government's practice of dictating annual transfers amounts. A partnership between the cities of Almaty and Tucson, Arizona is seeking to improve solid waste management and public utilities infrastructure management. This complements the EBRD loan, which will finance a municipal landfill. Currently, private operators dump trash throughout the foothills of the Tien Shan Mountains surrounding Almaty. In addition to the Almaty-Tucson partnership, a partnership between the northern city of Pavlodar and Helena, Montana was launched. In Pavlodar, the partnership will pursue improved solid waste management with particular emphasis on landfill improvement, water treatment and water system management, and communal property management. In FY 2001 USAID intends to obligate the following amounts per category: $1,800,000 for training and technical assistance to local governments. In FY 2002 local government initiatives in Kazakhstan will be evaluated to assess impact after four years of implementation and to integrate lessons learned into a new activity design. Likely initiatives will include continued training in participatory governance for elected councils and management training for local government staff. Beneficiaries: Immediate beneficiaries are elected and appointed local government officials and staff, as well as officials of non-governmental housing associations and staff attending training. The ultimate beneficiaries are city dwellers, who benefit from the opportunity to convey their priorities to local government authorities and who enjoy improved services. Possible Adjustments to Plans: Work in pilot sites slowed down during the second half of 2000, particularly with regard to the introduction of improved management practices. A shift in focus away from the regional (oblast) administrations and towards improving management practices in city and district administrations may improve performance. Other Donor Programs: European Union-Technical Assistance for the Commonwealth of Independent States (EU/TACIS) is concluding its work in civil service reform and is starting a decentralization initiative. The World Bank is negotiating a series of loans for water supply companies that will include hiring outside operators to run the companies. The Soros Foundation provides small grants to local governments and non-governmental organizations (NGOs) to hold hearings, conduct other activities, and provide grants to policy institutes to research local government issues. Principal Contractors, Grantees, or Agencies: The International City/County Management Association implements the Local Government Initiative and Resource Cities. The Academy for Educational Development (AED) coordinates participant training. The Eurasia Foundation provides grants to university-based public administration programs. FY 2002 Performance Table Selected Performance Measures: More Effective, Responsive, and Accountable Local Governance, 115-023 Indicator FY97 (Actual) FY98 (Actual) FY99 (Actual) FY00 (Actual) FY01 (Plan) FY02 (Plan) Indicator 1: Public confidence in local government increases N/A N/A N/A 61% 62%* 63%* Indicator 2: Increase in use of participatory and transparent governance practices in target local governments N/A N/A 4% 9% 13% 18% Indicator 3: Improvement in management practices in target municipalities N/A N/A 2% 5% 13% 18% Indicator 4: Increase in public satisfaction in the delivery of municipal services N/A N/A N/A 53% 54% 55% Indicator Information: Indicator Level (S)or(IR) Unit of Measure Source Indicator Description Indicator 1: S Percent Public poll Public confidence is defined as public attitudes to local governments. The assumption is that the adoption of democratic practices by local governments and the increase of their capacities and authority will be reflected in the increase of public confidence in local government. Method of calculation: percent of people expressing confidence in city administration Indicator 2: IR Percent ICMA monthly and annual reports The indicator tracks the dissemination of USAID-promoted citizen participation practices (techniques) or transparent practices institutionalized by target municipalities. " Participatory practices" include such practices as open hearings, task forces, commissions, economic development boards; "Transparent procedures" include publications, open council meetings, information offices, budget-in-briefs. Method of calculation: percent of target local governments that use transparent procedures and vehicles for citizen involvement. Indicator 3: IR Percent ICMA monthly and annual reports The indicator measures increased local government capacities. USAID promotes "good local practices" to increase local government capacities. "Good local practices" include competitive procurement practices, capital or program budgeting, financial and budget management techniques, strategic planning; inventory maintenance, or disposal of communal property, functional and organizational analysis and reorganizations made basing on this analysis. Method of calculation: percent of target municipalities using new good management practices. Indicator 4: IR Percent Public poll This indicator measures increased local government capacities. "Public satisfaction" is defined as: public satisfaction with the quality of services provided by local government of target municipalities. Method of calculation: percent of people expressing satisfaction in the delivery of municipal services in target municipalities. U.S. Financing (In thousands of dollars)   Obligations   Expenditures   Unliquidated   Through September 30, 1999 0 DA 0 DA 0 DA 0 CSD 0 CSD 0 CSD 0 ESF 0 ESF 0 ESF 0 SEED 0 SEED 0 SEED 4,761 FSA 3,685 FSA 1,076 FSA 0 DFA 0 DFA 0 DFA Fiscal Year 2000 0 DA 0 DA     0 CSD 0 CSD     0 ESF 0 ESF     0 SEED 0 SEED     2,433 FSA 2,078 FSA     0 DFA 0 DFA     Through September 30, 2000 0 DA 0 DA 0 DA 0 CSD 0 CSD 0 CSD 0 ESF 0 ESF 0 ESF 0 SEED 0 SEED 0 SEED 7,194 FSA 5,763 FSA 1,431 FSA 0 DFA 0 DFA 0 DFA Prior Year Unobligated Funds 0 DA         0 CSD         0 ESF         0 SEED         47 FSA         0 DFA         Planned Fiscal Year 2001 NOA 0 DA         0 CSD         0 ESF         0 SEED         1,800 FSA         0 DFA         Total Planned Fiscal Year 2001 0 DA         0 CSD         0 ESF         0 SEED         1,847 FSA         0 DFA                             Future Obligations   Est. Total Cost   Proposed Fiscal Year 2002 NOA 0 DA 0 DA 0 DA 0 CSD 0 CSD 0 CSD 0 ESF 0 ESF 0 ESF 0 SEED 0 SEED 0 SEED   1,500 FSA 0 FSA 10,541 FSA 0 DFA 0 DFA 0 DFA

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