local government institutional self-assessment (lisa

Local Government Institutional Self-Assessment (LISA): Experience and Lessons Learned from ten Gaunpalikas

September 2020

Mott MacDonald Sanepa, Ward No 2 Lalitpur Nepal mottmac.com

Mott MacDonald Ltd, Nepal Branch, Sanepa Ward No.2, Kathmandu, Nepal. Registered no. 176230/074/075.

Local Government Institutional Self-Assessment (LISA): Experience and Lessons Learned from ten Gaunpalikas

September 2020

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Acknowledgements

The Local Government Institutional Self-Assessment (LISA) Learning report is the result of Purnima’s

work in ten gaunpalikas and the technical assistance provided to 22 local governments for strengthening

the capacities to enhance governance and planning. The Learning Report is a consequence of the study

carried out in partnership local governments and led by the governance portfolio (Output 1). It is a

culmination of the hard work and expertise of a large number of individuals, including 20 Technical

Assistance staff, 2 senior capacity development experts, external consultants, GP officials and elected

representatives of ten palikas. The result is a document which analyses the learning from the LISA and

Institutional Needs Self-Assessment (INSA) study. As LISA is still evolving, the lessons learned during

the study will be important for the PLGSP, Ministry of Federal Affairs and General Administration

(MoFAGA), and help to review and revise the indicators, the process, and the approach to make it more

effective. LISA also creates opportunities to the local governments to self-assess their work, recognize

the gaps so that they can address it for better service delivery. I would like to take this opportunity to

thank PLGSP for agreeing to let Purnima pilot the Institutional Needs Self-Assessment (INSA) that was

developed keeping in mind the four output areas of Purnima and were complementary to the LISA

indicators.

Thank you to Arun Kumar Regmi of AKR Bigya Paramarsha Sewa Samiti (AKRBPSS), who facilitated

the LISA tool in ten local governments, and his team for analysing ten individual GP level reports,

preparing the consolidated report and pulling together the learnings from ten local governments. My

appreciation goes to Purushottam Nepal, former joint secretary of MoFAGA and one of the experts to

develop LISA. I would like to thank the Purnima Governance and Planning Advisers (GPA), the

Governance, Planning, Implementation and Monitoring Engineers (GPIME), and the GP officials and

elected representatives of ten gaunpalikas for taking part in the study, helping to refine the process, and

provide feedback on how the study could be most effective going forward. The Senior Capacity

Development Officer, Mahesh Nepal, Capacity Development Officer, Bikash Panthi deserve a special

mention for their unstinting support during the LISA application and coordination in the gaunpalikas. I

would like to thank the Senior Inclusive Governance Adviser, Seema Rajouria for her inputs to the

learning document, as well as leading and coordinating the entire process, providing feedback and

bringing in the learnings to substantiate the findings. Special thanks are due to the Senior Governance

Manager, Santosh Bisht who coordinated tirelessly with the ministry, PLGSP, team of consultants and

Purnima staff during the whole process and aligning the learnings with Nepal’s federal system

recognising it as an integral part of governance and the annual planning process.

Thank you to the chairpersons, vice chairpersons, ward chairpersons, assembly members, Chief

Administrative Officers (CAO) heads of sectoral committees, and the local residents who played an

important part in the study. Their active participation will ensure that LISA becomes an integral part of

gaunpalikas as GPs improve both demand and supply side of local governance.

Lastly, I would like to extend my sincere thanks to the Ministry of Federal Affairs and General

Administration for paving the way for the LISA study through PLGSP. Without their support this study

would not be complete.

Simon Howarth

Team Leader

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Table of Contents

1 Introduction 1

1.1 Districts and Gaunpalikas covered in this LISA 1

1.2 Background 1

1.3 Driving Force for LISA Implementation 2

1.4 Purpose of the Learning Report 2

2 Capacity Building through Capacity Assessment 3

2.1 Capacity Assessment in Unitary System 3

2.2 Relevance of LISA in the Federal Context 3

3 Approach, Process, Tools and Methodology 5

3.1 Approach & Process 5

3.2 Tool and Methodology 5

4 Experience & learning 6

4.1 On Approach & Process 6

4.2 On tools and methodology 6

4.2.1 LISA as a capacity assessment tool 6

4.2.2 SWOT analysis as a tool & methodology 7

4.2.3 Focus Group Discussion & Interviews with stakeholders 7

4.2.4 Institutional Capacity Development Strategic Action Plan 7

4.2.5 LISA indicators’ situation & means of verification 8

4.3 On thematic areas, indicators, situation & means of verification 8

4.3.1 General experience & learning 8

4.4 From additional thematic areas & indicators 8

4.4.1 Specific experience & learning on LISA indicators 9

5 Additional Experiences & Learning 15

6 Conclusion Error! Bookmark not defined.

A. Local Government Institutional Self-Assessment (LISA) Indicators 19

A.1 Thematic Area- 1: Governance System 19

A.1.1 Overall Scenario: 19

A.1.2 Process Scenario 19

A.1.3 Quantitative Scenario: 20

A.2 Thematic Area - 2: Organization & Administration 20


A.2.2 Procedural Scenario: 21


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A.3 Thematic Area- 3: Annual Budget and Plan Formulation 22




A.4 Thematic Area-4: Fiscal & Financial Management 23




A.5 Thematic Area-5: Service Delivery 25




A.6 Thematic Area - 6: Judicial Work Performance 27



A.6.3 Quantitative Scenario 28

A.7 Thematic Area-7: Physical Infrastructure Development 28

A.7.1 Overall Scenario 28

A.7.2 Procedural Scenario 29

A.7.3 Quantitative Results Scenario: 29

A.8 Thematic Area - 8: Social Inclusion 30




A.9 Thematic Area- 9: Environment Protection and Disaster Management 32


A.9.2 Procedural Scenario 32


A.10 Thematic Area- 10: Co-operation and Coordination 33




B. Indicators (Additional) of Institutional Needs Self-Assessment (INSA) 36

B.1 Thematic Area: Clarity on functional assignment of LG, Vision & Plan 36

B.2 Thematic Area: Organization & Management 37

B.3 Thematic Area: Human Resource Management 38

B.4 Thematic Area: Planning & project management 39

B.5 Thematic Area: Fiscal Management 40

B.6 Thematic Area: Financial Administration 41

B.7 Thematic Area: Service Delivery Management 42

B.8 Thematic Area: Internal & external coordination 43

B.9 Thematic Area: Public accountability Management 44

B.10 Thematic Area: Knowledge management 45

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C. Working schedule of LISA process 47

D. Modified (Revised) Schedule for 5 working days of LISA as proposal 48

E. Gaunpalika Scores 49

E.1 Lisa Indicators 51

E.2 Additional Indicators 53

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1 Introduction

1.1 Districts and Gaunpalikas covered in this LISA

This report presents learning from the initial application of LISA in 10 palikas through the Purnima

programme.

Gorkha District Dhading District Nuwakot District Rasuwa District

1. Siranchowk Gaunpalika

2. Ajirkot Gaunpalika

3.Dharche Gaunpalika

4.Jwalamukhi Gaunpalika

5.Khaniyabas Gaunpalika

6.Thakre Gaunpalika

7. Tadi Gaunpalika

8.Dupcheshwar Gaunpalika

9.Kispang Gaunpalika

10. Naukunda Gaunpalika

Guidance and Direction Ministry of Federal Affairs and General Administration (MoFAGA)

Provincial and Local Governance Support Program (PLGSP)

Technical Assistance Purnima: U.K. Support to Post-Earthquake Recovery in Nepal

Report Prepared AKR Bigya Paramarsha Sewa Service (Pvt. Ltd.)

The scores are presented in Annex E and are reported in detail separately. This report presents the

learning from the LISA process.

1.2 Background

With the promulgation of the new constitution in September 2015, Nepal adopted federal structure,

decentralizing the state power and responsibilities among the federal, provincial, and local order with

constitutionally guaranteed exclusive and concurrent power and functions as specified in the article 56 of

the constitution and its schedules.

Under the federal system, local governments have significant responsibilities towards ensuring public

service delivery closest to the citizens. Therefore, its effectiveness plays a crucial role in the success of

the federal system. The constitution has guaranteed adequate autonomy by providing legislative,

executive and judicial powers to all levels of the state structures based on the principles of co-operation,

co-existence and co-ordination.

With the adoption of federal structure, elections were held in all three levels of government, which

endorsed the complete implementation of the federal system. There were more than 37,000 people’s

representatives elected in the general election held in 2074 B.S (2017). The Local Government Operation

Act, 2074 (2017) came into effect intending to assist the elected representatives in the systematic

implementation of their constitutional rights. Furthermore, Inter-governmental Fiscal Arrangement Act,

2074 and National Natural Resources and Fiscal Commission Act, 2074, have been issued based on the

constitutional spirit for the implementation of the federal finance system. Also, the administrative

restructuring of the country has been initiated and to some extent, accomplished.

The newly created local governments are bigger in size and have higher levels of authorities and

functions. Since federalism is a work in progress, local governments are continuously adopting to ensure

better governance to ensure effective service delivery. With line agencies’ responsibilities being

transferred to the local governments, power relations are often complicated and confusing.

The international community in Nepal recognize the significance of the state restructuring and the

opportunity it provides to promote local governance arrangements that support inclusive democratic

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empowerment, collective local decision-making and accountability to local citizens and users. It envisages

contributing to pro-poor development in which all citizens, either directly or through elected

representatives, have a voice in decisions that affect their lives and livelihoods. This has been the

demand of the peace process; to this end, the local governments have a crucial role in ensuring that

aspirations of the people are well catered.

In this background, it is necessary to establish inclusive and representative collective local governance

arrangements to promote society-state relationships that emphasis collective local empowerment and

accountability. Such arrangements allow citizens to engage, directly or indirectly in collective decision-

making regarding local policies and the allocation of locally assigned resources. To support Nepal’s

transition to the federal system, various development partners are supporting Nepal’s provincial and local

governments through a multi donor-supported Provincial and Local Governance Support Programme

(PLGSP). This program is led by the Ministry of Federal Affairs and General Administration (MoFAGA).

Purnima programme (2017- 2022) is funded by the United Kingdom’s Foreign, Commonwealth and

Development Office (FCDO) formerly Department for International Development (DFID) and managed by

Mott MacDonald, and primarily focuses on post-earthquake recovery in 22 earthquake-affected

Gaunpalikas of Gorkha, Dhading, Nuwakot and Rasuwa districts. Moreover, Purnima provides technical

assistance to local governments of 22 Gaunpalikas to strengthen the planning process and governance.

The Local Government Institutional Self- Assessment (LISA) is a tool to identify capacity development

needs of Gaunpalikas that will contribute to institutionalise and sustainably manage the recovery benefits

by strengthening the planning process besides other aspects of governance. In addition to LISA, Purnima

developed and used some supplementary indicators through Institutional Needs Self-Assessment.

1.3 Driving Force for LISA Implementation

Most of the elected representatives of local governments are striving for better governance and effective

service delivery, but the system and procedure to assess the existing situation of their organization in

terms of strength and weakness is yet to get established. The local governments have shown interest to

introduce LISA in their respective organizations based on the following driving forces:

● Opportunity for systematic self-assessment, whether or not the rights and responsibilities as

determined by the constitution and prevailing laws has been adequately exercised.

● Identify the shortcomings as well as areas for improvements.

● Convince the stakeholders that it is trying to address the needs and demands of the citizens lawfully

by enhancing capacities itself through self-assessment.

1.4 Purpose of the Learning Report

In coordination with MoFAGA/PLGSP, Purnima has provided technical assistance for the application of

LISA in ten Gaunpalikas. The learnings are relevant and vital to reflect on developing local government’s

process of institutionalisation in the federal system. The understandings also underpin the capacity

development strategy developed by PLGSP. LISA developed by MoFAGA consists of 100 indicators.

When Purnima undertook the study, it added fifty more indicators, which provides some additional

learnings. The primary purpose of this report is to highlight some of the learnings. An in-depth review of

the application of LISA (approach, process, tools & methodology) is elaborated below. Additionally, it is

assumed that the learning report will not only provide guidance for institutional capacity building of LGs

but also help in further improving institutional self-assessment procedural guideline prepared by the

MoFAGA.

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2 Capacity Building through Capacity

Assessment

PLGSP provides high priority to capacity building of provincial and local governments to ensure the

success of federalism. To this end capacity building is considered as a process by which individuals,

organisations, institutions, and societies develop abilities to perform assigned functions, solve problems

as well as set and achieve goals. It is premised on ownership, choices, and self-esteem.

Capacity assessment is an initial stage for the capacity building process. It gives a clear picture of

organisational strengths and weakness. The outcome of this process demands necessary capacity-

building measures categorically and contribute to building ownership to strengthen self-esteem. In this

context, MoFAGA/PLGSP designed LISA, a self-driven tool to assess capacities of local governments.

Purnima applied LISA in ten Gaunpalikas to assess their strengths and weakness in order to support

them to carry out their responsibilities in an accountable manner.

During the facilitation of LISA process, it was sensed that participants were inclined to identify appropriate

activities for the action plan to build the required capacity of the palikas so that gaps in better service

delivery could be addressed. This was a strong indication of their ownership and self-worth in the capacity

upgrading process.

2.1 Capacity Assessment in Unitary System

Before the promulgation of new Constitution in 2015, the Local Bodies Fiscal Commission (LBFC),

formed under the provision of the Local Self-Governance Act, 1999, section 237 was responsible for

conducting research on local taxes, performance measure in local bodies and for recommending central

government for the capital grant to local bodies.

LBFC introduced the Minimum Condition and Performance Measure (MCPM) assessment from the fiscal

year 2004/05 with the following primary objectives:

● To prepare criteria for allocation of unconditional capital grant for local bodies based on the result of

MCPM assessment;

● To identify local bodies' strength and weakness; to analyse them, and provide feedback for capacity

building; and

● To explore realities by analysing local bodies' policy, plan and programme management which are

affecting their overall performance.

MCPM assessment system had contributed to improving the performance and other managerial work of

local bodies. It had also helped local bodies to be more responsive to local people and to ensure

transparency in activities carried out through local bodies; which contributed to abide by legal provisions;

to maintain financial discipline and to reduce fiduciary risk of local bodies. This was a process that was

externally driven.

2.2 Relevance of LISA in the Federal Context

After the promulgation of the new constitution, local bodies are transformed into local governments. Local

governments now have full-fledged responsibility for local development and service delivery. The local

governance system has gone through a complete restructuring process to establish viable and vibrant

local governments. However, improvement in the following existing situation of LGs is necessary to make

them more efficient and effective:

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● Local governments are established but still need to be well structured. Although rapid progress is

being made, much of the legislative and regulatory framework that provides the backbone for LGs

systems and several procedures still need to be put in place. The local governments will require

enough capacity to exercise their legislative, regulatory and administrative function to perform

effectively and operate as the ‘whole of the government’ entities. Moreover, for inclusive and

accountable governance, special procedures and systems such as inclusive, participatory planning,

transparency budgeting and budget execution are critical. Additionally, the Public Financial

Management (PFM) system needs to integrate with the gender-responsive budget right from the

beginning for equitable budget allocation and expenditures.

● The institutional capacity of local government in terms of the number of staff; qualifications of those

staff, both in terms of the required technical skills given the new situation, but also in terms of mind-set

working under the oversight of a local government and last but not least, in terms of understanding the

roles and mandates of local government are not at the desired level for better service delivery hence,

needs substantial improvement.

● The link between citizens and local governments for meaningful participation and accountability is low;

thereby strengthening citizens’ engagement in the local governance process is necessary to honour

the constitutional expectations.

The primary entity responsible for ensuring that a local government is an effective organisation or

institution is the local government itself. As such, local governments will have to take the initiative in

assessing their organisational/institutional strengths and weaknesses and use information from regular

self-assessments to strengthen their institutional capacities. Thereby it is inevitable to proceed with the

necessary improvement by doing self-assessment concerning the capacities of local governments. To

this end essential questions need to be answered such as the existing capacity of the local level to

exercise its powers effectively and efficiently; whether or not the processes in service delivery and

development activities are proceeding as per the spirit of the constitution & prevailing law. In this context,

the Ministry of Federal Affairs and General Administration (MoFAGA) has developed the Local

Government Institutional Self-Assessment tool (LISA) to assess regularly institutional strengths and

weaknesses of local government to ensure that they have the capacity to carry out constitutional

responsibilities effectively.

The main objective of LISA is to explore the existing practices in ten thematic areas related to local

governance. The specific objectives of examining the situation are as follows:

● To monitor whether the local government’s performance is in the right track as pursuant by the

constitution and prevailing laws.

● To identify capacity development related to essential need-based policy and programmes.

● To make sure the use of good governance practices, e.g. the rule of law, use of accountability tools,

and mechanism of citizen’s engagement in decision-making process etc.

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3 Approach, Process, Tools and Methodology

LISA Procedural Guidelines 2075 consists of hundred indicators related to ten thematic areas. In addition

to 100 indicators, Purnima in consultation with PLGSP has developed fifty more indicators to self-analyse

institutional needs to assess its technical assistance. Of the fifty additional indicators, forty indicators

complement the LISA indicators in thematic areas like governance management, organization &

administration, annual budget & plan formulation, fiscal & financial management, service delivery and

cooperation & coordination. Remaining ten more indicators (out of 50 additional indicators) are related to

additional two thematic areas, e.g. public accountability and knowledge management. Altogether 150

indicators under 12 thematic areas were applied in ten Gaunpalikas. Detailed description of thematic

areas and indicators are given in Annexes A and B.

3.1 Approach & Process

LISA is a participatory, self-driven and consultative process that is to be led and applied by the local

governments. Initially some level of apprehension on the part of local governments to take part in the

LISA process was observed in ten Gaunpalikas, which implies that ensuring enthusiasm in the entire

process is critical. However, the embedded TA team played an important role in explaining the need and

the importance of LISA, which helped to create a sense of ownership of the process to some extent.

Similarly, the role of the facilitators involved in conducting the self-assessment process is of utmost

importance. In this case, external consultants with a high level of experience of the process were

mobilized, which further enhanced the acceptance of LISA process.

As the emerging structures in local governments are yet to mature, it will take some time for them to

conduct the self-capacity assessment study on their own. Until it is fully institutionalised some kind of

external support will be welcome. LISA guideline estimates up to 3.5 days for the self-assessment

process, which is reasonably good; however, it took five working days in each Gaunpalika because

Purnima added some additional indicators, tools and methodologies. However, during the course of the

study, it was observed that the study can be conducted in a shorter time despite the added indicators.

Working schedule is given in Annex C.

3.2 Tool and Methodology

Ten Gaunpanlikas have embraced LISA as a tool to assess strengths and weakness, to develop strategic

action plans, to identify areas of investment in institutional development and to promote good governance

practices with the support of Purnima.

SWOT analysis of an organisation was also used as an additional assessment tool. Similarly, focused

group discussions and interviews with key stakeholders’ representatives for collection of perception in

performance of Gaunpalikas were also applied as an additional methodology. At the end of the self-

assessment process, a strategic action plan for minimising the gaps was developed in each GP, which

was not incorporated in LISA piloting phase of MoFAGA.

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4 Experience & learning

4.1 On Approach & Process

As mentioned above, the hands-on training showed that five working days was too long a period for

elected representatives and Chief Administrative Officers to get involved fully. The study can be

compressed to a lesser number of days to get the maximum benefit from the GP elected representatives

and officials, while they continue to give attention to the daily work of the GP. The number of working

days for LISA needs to be based on the specific purpose of LISA implementation in that particular LG and

also the reason behind technical assistance of supporting organization (development partners) for LISA.

Precisely, following aspects need to be considered while deciding the duration of LISA application:

● If the purpose is only to create awareness and sensitize on existing as well as required institutional

capacity, then two working days is enough. Day one for orientation about assessment guideline &

situation rating by participants (elected: executive board members & administration: section chiefs

jointly). Day Two for collection of means of verification documents and uploading scores in LISA

software.

● If the objective is to create awareness and sensitize on exiting as well as required institutional capacity

and continue support for the attainment of the needed capabilities, then it needs a systematic plan of

actions (action plan). These plans should have set of capacity development measures including

preparation of action plan, SWOT analysis, Focus Group Discussion & Interview with Key Informants

parts (strengths of these tools are described below) which are not included in LISA guideline. If these

parts are included as a component in LISA guideline, then five working days will be necessary but

with an interval of 7-10 days. The modified schedule is given in Annex D.

Third-party facilitation/moderation in LISA process is essential for both scenarios as described above.

Due to the new federal system of governance, elected representatives and GP officials are still finding

their way through institutions, structures and systems. One important purpose of LISA is to create

understanding and learning. This can only happen if there are discussions in the LGs on each of the

indicators, what they mean, how the palika is performing on it, how it can improve. It is also important that

not only a few people in the LGs understand what the indicator means but that everyone understands and

can participate in the debate. This is important for making inclusion happen and building the

understanding of everyone so that not only a few have an advantage over others. This means the

indicators need to be clearly explained, perhaps in a separate manual that is written in very simple

practical language; and as much as is possible in the beginning (e.g. where there are DP or other

programmes that could support) the debates should be facilitated (on the basis of the manual, so that

everyone has a clear understanding). Given the complexity of the indicators Local governments would

welcome the support and facilitation of someone outside the system to consolidate the findings, verify it

and prepare actions plans. Therefore, it is recommended to bring in technical support to conduct the LISA

study.

4.2 On tools and methodology

4.2.1 LISA as a capacity assessment tool

The usefulness of LISA as a tool for self-assessment, which outlines the LG’s overall, procedural and

quantitative status based on interest and views expressed by participants of the Gaunpalikas during the

LISA process are explained below.

a. LISA indicators are aligned with the mandate and scope of work as per the constitutional

framework and prevailing laws, which made participants understand legal provisions as well as the

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role and responsibility of officials of LGs without difficulty. The selection/rating of the actual

situation under each indicator by authentication required to prove by the formal evidence (means of

verification) has reinforced the appropriateness of LISA tool. This suggests that institutional self-

assessment can be used as a powerful tool to bring more clarity on the roles and responsibilities of

office bearers and elected representatives.

b. LISA as a tool is observed to be effective in creating awareness in elected representatives and staff

of local governments on the provisions of rules, systems and procedures that need to be followed

by local governments.

c. Discussion among participants on the score assigned to each indicator along with the reason for

high and low score has helped to develop a corrective action plan and commitment of concerned

officials of local government. Such discussion has created a sense of horizontal competition. For

instance, participants of respective sections and related thematic committee in Naukunda GP,

realised & committed that they will develop a proposal on local environmental conservation and

waste management policy.

d. Discussion on issues related to the lack of documents to justify the indicator’s achieved has helped

officials of local governments to realise the importance of maintaining records properly. Participants

shared that issues discussed at the executive board meeting were not minuted, and tasks that

were implemented but not documented property deprived them to assign good scores even in

satisfactory performance. This has prompted LISA to be considered as a tool to highlight the

importance of proper documentation, as well as encourage teamwork between policymakers

(representatives) and implementers (staff) for such a function.

e. An in-depth discussion on 12 thematic areas with indicators, interrelationships between them has

revealed LISA as a successful tool for realizing the need for inter-thematic relations and balance in

the service delivery and development of local government.

4.2.2 SWOT analysis as a tool & methodology

SWOT analysis was carried out to complement the LISA process. It was found to be a supportive tool for

assessment /rating the situation, and also to specify the issues for discussion before coming to a

conclusion. Moreover, the findings of SWOT analysis can be used as reference inputs to observe how

necessary and vital the proposed activities included in the action plan are. SWOT analysis provided an

opportunity for different sectors and units to understand issues related to others, further it helped in

establishing coherence amongst various local government sectors, which otherwise were working in silo.

The tool fosters integrated approaches between various activities implemented through various sectors

and helped officials to consider links between various GP activities in a more integrated manner to

support coherent decision-making.

4.2.3 Focus Group Discussion & Interviews with stakeholders

The Focus Group Discussion is generally used in 'Institutional Needs Self-Assessment' and 'Training

Needs Self-Analysis'. Information obtained from the use of this method was used as an input during

SWOT to make the analysis more realistic. Information and facts derived from the Focus Group

Discussions were used as reference inputs while assigning the score to indicators and in developing the

action plan. Data derived from this method has helped facilitators to conduct LISA based on ground

reality.

4.2.4 Institutional Capacity Development Strategic Action Plan

The strategic action plan was also prepared to use as a method for bridging the gap between existing and

expected capacities in indicators of the various thematic areas. Discussion and practice of this method

have helped in realizing that the current situation in many indicators can be improved without any

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additional cost. Moreover, discussion among participants has also contributed to increasing the readiness

and eagerness of representatives and employees to enhance the institutional capacity and efficiency.

4.2.5 LISA indicators’ situation & means of verification

LISA indicators are primarily based on Local Government Operation Act 2074. LISA guidelines

consist of hundred indicators under ten thematic areas. Thematic areas & indicators included in

LISA guidelines are anticipated responsibilities of local government in line with the constitution of

Nepal & prevailing laws.

4.3 On thematic areas, indicators, situation & means of verification

4.3.1 General experience & learning

a. The overall indicators of LISA Guidelines 2075 are related to tasks to be performed at the local

level in fulfilling the constitutional and legal rights and obligations. Most of the indicators attempt to

explore the primary conditions (the foundation of beginners) of local government’s governance

process and norms. However, some GPs have already crossed that boundary, while some GPs still

need to work more to get closer to that boundary. In this context, it seems practical to review and

revise LISA indicators regularly to make it more realistic. Based on the results, subsequent studies

should include new indicators as gaunpalikas upgrade themselves. New indicators imply upgrading

indicators that have been met to higher ones to achieve higher goals. There is no point in keeping

the same indicators once they have been met as complacency might set in

b. The study will have to be carried out two or more times during the five-year tenure of the elected

representatives.

c. In some GPs mismatch was observed between the effectiveness of existing service delivery and

assigned scores (detail score is given in Annexes E.1 and E.2). For example, the service delivery

of Khaniyabas & Dharche GP (assigned lowest scores) is more effective than the highest scoring

GPs like Thakre & Jwalamukhi. This shows that a review and revision of LISA indicators from the

perspective of the effectiveness of service delivery is necessary.

d. The contents covered in Indicator No. 1.1 (Ka), 1.1.1 (Kha), 1.1.2, 1.2.1, 1.2.2, and 1.2.3 (contents

are given below in table) should be relevant concerning what and how effectively the elected

representatives have performed their duties since the beginning of their tenure. However, it should

be pertinent to revise some of the indicators designed to observe the fundamental status in the

situation of completing three years of local election. Some local governments (especially

Metropolitan, Sub-Metropolitan and some Gaunpalikas) are capable in terms of organiational

capacity (internal sources of income, human resources, internal working system and physical

facilities). This aspect should also be taken into account while revising the LISA indicators.

e. Some of the LISA indicators have covered two or more subjects, which has made it difficult to

assess and assign the score (e.g. indicator 1.2.2, 3.3.4, 9.2.2 etc. contents given below in table).

4.4 From additional thematic areas & indicators

a. During the discussion on Indicators and status related to Public Accountability Management, which

is an additional thematic area added by Purnima, participants were excited to recall acceptable

practices of the past. For instance, public hearing, social audit, and third-party monitoring done in

the past with the support of Local Governance and Community Development Programme

(LGCDP). Some GPs are still using those practices. If this thematic area is added in LISA

Guidelines, local governments can likely be made more accountable to citizens. It is to be noted

that only public hearing among the various accountability tools is included in LISA Guidelines.

b. While discussing the Knowledge Management aspect, another thematic area added in LISA

Guidelines, indicators could not be assessed well due to lack of supporting documents but

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participants informed that proposed indicators are relevant and would help them to address gaps in

record keeping and documentation. Despite excellent practices adopted/implemented by

Gaunpalikas in the area of local development and service delivery, the painful experience of not

being able to confirm due to lack of documents was expressed by elected representatives. If this

thematic area is included in LISA Guidelines, it will contribute to local government in enhancing the

capacity for systematic documentation and publicity.

c. Forty additional indicators were used as complementary to LISA indicators. For example, Fiscal

and Financial Management thematic area indicator related to revenue administration was added in

LISA indicators. While assessing this indicator, some GPs (Tadi, Thakre & Jwalamukhi) out of 10

GPs were found to be in excellent condition in terms of generating own source revenue. During the

discussion in this aspect, particularly, Vice-Chairpersons appreciated this indicator as very relevant

and useful.

d. Based on discussions with participants, it was that found 40 indicators related to respective

thematic areas in LISA indicators should be included. Detailed information is given in Annex B.

4.4.1 Specific experience & learning on LISA indicators

Specific experiences and learning from LISA tool are given in the following tables for each thematic area:

4.4.1.1 Thematic Area- 1: Governance System

Indicators Experience & Learning Means of

verification

Experience & Learning Remarks

1.1.1. (a) Decision making

process of Assembly

(LGOA Clause 19)

If this indicator linked with

reference of article 227 of

the Constitution of Nepal

will be better.

Copy of the letter

provided to the

assembly

members.

Copy of letter is not

convincing in this stage,

therefore needs to

mention means of

information as prescribed

in meeting management

guideline. (e.g. group

SMS etc.)

CoN Article 227: Other

matters relating to the

conduct of business of a

Village Assembly and

Municipal Assembly, rules

of procedures of

meetings, formation of

committees, conditions in

which the office of

member falls vacant,

facilities receivable by

members of the Village

Assembly and Municipal

Assembly and employees

and offices of the Village

Body and Municipality

shall be as provided for in

the State law.

1.2.1 Operational

procedure/guidelines

related to LG assembly/

Executive Board

committees/sub-

committees.

(LGOA clause 14, 46, 65,

66 & 67)

If this indicator also linked

with reference of article 227

of the Constitution of Nepal

will be better?

1.2.2 Executive Board

Meeting

(LGOA Clause 17 &

Meeting operation

regulation)

Copy of letter

related to the

meeting.

Copy of letter is not

convincing in this stage,

therefore needs to

mention means of

information as prescribed

in meeting management

guideline. (e.g. group

SMS etc.)

10

1.2.3. Internal Control

System

(LGOA-78)

Is it integrated for all

services or subject-wise

separate, needs to make

clear.

Most of the Gaunpalikas

have internal control

guideline only for financial

management.

Some municipality of

Dhading is found with very

specific Good Governance

Act 2075 along with very

clear subject wise service

delivery related regulation.

This is contributing to

strengthen internal control

system.

1.2.4. Information related to

the property details of local

level elected

representatives and

employees.

(LGOA Clause 110)

Will be better to separate

indicator for representatives

& employees.

1.3.1 Number of Executive

Board meeting till

assessment period

(LGOA Clause 17, Meeting

Management regulation)

Will be better in the last

fiscal year in place of till

assessment period..

Timing for LISA will be

better within 3 month

after the ending of last

fiscal year.

Provisions of Constitution, in article 226, sub-article 2 related law-making processes were found overlooked by

all Gaunpalikas. Therefore, separate indicator under this thematic area is needed to monitor or self-check this

process.

For example: Assembly meeting management procedural guideline 2075 of Naukunda.

CoN Article 226 (2) The

process for making laws

under clause (1) shall be

as provided in the

Provincial e Law.

4.4.1.2 Thematic Area- 2: Organization & Administration


verification


2.1.1. (a) Capacity

Development of Municipality

/Rural Municipality

(LGOA Clause 102.2)

No close relation with

mentioned legal clause.

Coverage of this aspect in

additional indicator 3.4 &

3.5 is more compre-

hensive. Please look in

Annex B of this report..

2.1.1. (b) Policy provisions

on personnel management

(Act, Rule, By-Laws,

Guideline etc)

(LGOA Clause 83,86,87)

Based on the mentioned

legal clause it will be

better to rephrase the

situation statement of

indicator.

2.1.2. Reporting &

Information Dissemination

(LGOA Clause 76.5 &

IGFMA clause 32)

Based on the referred

legal clause, situation

statement of this indicator

is not found very

appropriate, will be better

to rephrase.


additional indicator 5.1,

5.2 & 6.3 is more

comprehensive. Please

look in Annex B of this

report.

2.2.1. Detail Terms of

Reference (ToR) of Sectoral

Division /Section/ Unit

(LGOA Clause 83)

There is no direct relation

with given legal clause 83,

but better with clause 102.

2.3.1. Investment on HR

Development and CD

(LGOA Clause 102.2)


additional indicator 3.4 &

3.5 is more



report.

11

4.4.1.3 Thematic Area- 3: Annual Budget and Plan Formulation

Indicators Experience & Learning Means of verification Experience & Learning Remarks

3.1.1. Annual budget,

program and Periodic Plan

formulation

(LGOA Clause 24)


additional indicator 1.4, 4.1

& 4.2 is more



report.

3.2.4. Implementation of the

program of NGOs after

approval from the assembly

(LGOA Clause 25)


additional indicator 8.4 is

more comprehensive.

Please look in Annex B of

this report.

3.3.3. Annual internal

revenue increment

compared to last year.

(revenue capacity according

to IGFMA Clause 10 )

IGFMA Clause 8 is more

closer than 10. Need to

rephrase the statement of

the situation according to

the spirit of clause 8.

Clause 8 related with the

equalization grant, basis

for distribution of this grant

are own source revenue

mobilisation capacity and

expenditure needs.

4.4.1.4 Thematic Area- 4: Fiscal & Financial Management


verification

Experience &

Learning

Remarks

4.1.1 Internal source of

revenue

(LGOA Clause 65 )



more comprehensive.


this report.

4.1.2 Fiscal Discipline

(IGFMA, Clause 25-32 )



more comprehensive.


this report.

4.2.3 Preparation of

procurement Master Plan

and Annual Procurement

Plan as per prevailing law

(Public Procurement Act

clause 6 & LGOA Clause

84.2 Ta)

If both are mandatory then

need to improve the statement

of the situation of this indicator.



more comprehensive.


this report.

4.3.5. Expenditure authority

delegation

(LGOA Clause 73)

It is necessary to check the

situation of authority

delegation to thematic section

chief and ward secretary by

CAO with adding additional

indicator or rephrasing the

situation statement of this

indicator.

4.4.1.5 Thematic Area- 5: Service Delivery

Indicators Experience &

Learning

Means of

verification

Experience &

Learning

Remarks

5.1.2. Satisfaction on

received services

(LGOA Clause 11, 12)

More broad, need to

specify with the

rephrasing of situation

statement of this

indicator.



more comprehensive.


this report.

12

Indicators Experience &

Learning

Means of

verification

Experience &

Learning

Remarks

5.2.2 Standard Operating

Procedure of Service

delivery (SOP)

(LGOA Clause 11.2. N 1)

Need to specify the

thematic area of

services.



more comprehensive.

Please look in Annex B

5.3.1. Grievances

Settlement

(LGOA Clause 11.2.

Need to improve the

statement of the

situation based on the

Good Governance Act

clause 31.

5.3.4. Public hearing

(LGOA Clause 78.5)

Coverage of this aspect

under in additional

Thematic area indicators

9.1 to 9.5 are more


look in Annex B.

5.3.5. An innovative

approach is used on service

delivery

(LGOA Clause 11.2. N 7 )

Few examples needed in

situation statement.

5.3.6. Access on education

by all children

(LGOA Clause 11.2. Ja)

These are the major

thematic areas of service

of LGs, may need to look

overall & process

scenario of these

specifically.


additional indicators 7.1 to

7.5 are more



report.

5.3.7. Citizen access to

health services

(LGOA Clause 11.2. Jha)

5.3.8. Livestock and

Agriculture Services

(LGOA Clause 11.2. NNA &

Da)

5.3.9. Promotion of local

products and marketing.

(LGOA Clause 11.2. NNA 7)

4.4.1.6 Thematic Area- 6: Judicial Work Performance


verification

Experience &

Learning

Remarks

6.2.1 Provision of Mediators

(LGOA Clause 49.3)

Adding Trained Mediators will

be better.

6.3.1 Settlement of

Complaints.

(LGOA Clause 49.2 & 4)

Under the situation statement,

it will be better to put in the last

fiscal year rather than till

assessment period.

4.4.1.7 Thematic Area- 7: Physical Infrastructure Development


verification


7.1.1 Physical Infrastructure

(Road, Electricity, Drinking

Water, Communication)

(LGOA Clause 11.2 . Chha,

Tta & Dha)

Need to define the minimum

level in situation statement.

13


verification


7.2.1 Child and Disable

friendly public infrastructure

policy .

(LGOA Clause 24.2)

Need to add woman also.

7.2.3 Environmental studies

of Project

(LGOA Clause 24.2)

Need to rephrase the

statement of the situation of

this indicator.

7.2.4 National Building

Code and building bylaw

(standards)

(LGOA Clause 23.1)


statement of situation

differently with the inclusion of

building bylaws.

7.3.1 Road Expansion

(LGOA Clause 11.2. ta 1 &

5)


statement of situation with

adding type of road.

7.3.3 Drinking Water

Service Coverage

(LGOA Clause 11.2. Dha

1, .4. Ga 2 & Clause 12.2.

Ga 10)



differently. It was noticed in all

GPs that such projects are not

on yearly basis.

7.3.4 Annual

program/projects

implementation status

(LGOA Clause 71.2. along

with estimated progress of

running F.Y.)



differently. Because till the

assessment period is not

appropriate.

4.4.1.8 Thematic Area- 8: Social Inclusion


verification


8.1.1 (a) Social Inclusion

(Women, Dalit, Janajati,

Madhesi, Disabled, Muslim

and minority)

(LGOA Clause 111)

No need to put participation

only in elected positions

prescribed by law under the

statement of the situation.

8.2.3 Child labour, Child

marriage, dowry, Chhaupadi

and Boxi related activities

(LGOA Clause 12.2. Ga

30)

Need to add local before the

policy in the statement of the

situation.

8.3.1 Decrease in incidents

of domestic violence against

women (In comparison to

the previous year).

(LGOA Clause 11.4. Na 1,

23 & 26)

Need to make clear registered

complains in judicial committee

or more than this need to

clarify in the statement of the

situation.

4.4.1.9 Thematic Area- 9: Environment Protection and Disaster Management


verification


9.3.5 Formation and

functioning of Tole

This indicator not fully

harmonized under this

14


verification


Development Organizations

(TDOs)

thematic. Will be more

appropriate under thematic

area 10 Cooperation and

Coordination.

4.4.1.10 Thematic Area- 10: Cooperation and Coordination


verification

Experience &

Learning

Remarks

10.1.1 Co-operation and

Coordination among

federal, province & local

governments

(CON Article 235)


additional indicators 8.1 to

8.2 are more



report.

10.1.2 Inter LGs Co-

operation and Coordination

(conservation of natural

resources, industry,

infrastructure development,

environment conservation

and waste management,

Emergency service

management and revenue

collection etc.)

(LGOA Clause 26)


additional indicators 8.3 is

more comprehensive.


this report.

10.2.1 Formation and

operation of the inter-LGs

committee (more than two

LGs) to address common

interests.

(LGOA Clause 26)



more comprehensive.


this report.

10.2.2 Cooperation and

Coordination with non-

governmental organizations

and private sector

(LGOA Clause 25)


additional indicators 8.4 &

8.5 is more compre-

hensive. Please look in

Annex B of this report.

10.3.2 Inter LGs partnership Coverage of this aspect in


more comprehensive.


this report.

Public accountability &

Knowledge management

thematic areas are missing

here.

It was realized that indicators

related to these areas are

missing so need to include..

Comprehensive coverage of

this aspect in additional

thematic areas 9 & 10.


this report.

15

5 Additional Experiences & Learning

In addition to experiences and learning mentioned in the previous sections following aspects are equally

relevant to incorporate in LISA Guidelines:

● The provision of institutional self-assessment of elected officials two or more times during their five-

year tenure, as well as the inclusion of some new indicators in each subsequent self-assessment to

observe how an upgrade is being done, should be practised effectively.

● It is deemed necessary to engage provincial government in LISA process which will help in

establishing coordination with Provincial Training Academy/ Provincial Centre for Good Governance

who will provide necessary capacity development support.

● As the local government doesn't need to use LISA to assess their institutional strength and weakness,

they might not institutionalise LISA. However, the local governments have to be encouraged to use the

tool as it identifies gaps and challenges on which they can work for better service delivery. In order to

institutionalise LISA in local government the findings can be linked with top up grants based on certain

set criteria, If the self-assessment results of local government can be considered as one of basis to

allocate top up grant to local government, it will help to institutionalize LISA in local government.

● The provision of performance-based additional grants in the form of outstanding performance award to

local governments through the respective provincial government, who have shown excellent

performance especially in the areas of social inclusion and gender equality, environment conservation

and disaster management, effective use of accountability’s tools, effective mobilisation of internal

resources, proper management of solid waste, effective implementation of National Buildings Code,

expansion and quality control of services in collaboration with private and community sectors, are

likely to be helpful in promoting good governance practices. Those aspects need to be appropriately

addressed and adequately in LISA Guidelines.

● The role of leadership (Chairperson, Vice-Chairperson, Chief Administrative Officer, Ward

Chairpersons, and Section Heads) is indispensable in providing impetus to any organization. The

capacity of an organization is likely to be weakened when responsible officials do not fulfil their roles

as prescribed by the law effectively in a timely manner. In view of the critical role of leadership to drive

the organization effectively, it is necessary to include this aspect in LISA Guidelines.

Finally, it is believed that experiences and lesson learned highlighted in this report will assist in initiating a

discussion to review and revise LISA indicators more effectively. Moreover, the involvement of

multidisciplinary experts would add value in the review and revision of LISA indicators. In this context, it

appears to be more appropriate to review LISA Guidelines in consultation with respective ministries.

16

6 Conclusion and Recommendations

6.1 Conclusiona

The Constitution of Nepal establishes the local level as the government nearest to the people. It has an

important constitutional and legal responsibility to provide essential services, including primary education,

health, water supply, agriculture, agro-product management, and local infrastructure. Schedule 8 of the

constitution of Nepal mentions the exclusive power of local level, while Schedule 9 includes the

concurrent power of federation, state and local level. Moreover, the role and responsibility of local level

are explicitly explained in the Local Government Operation Act, 2074. In order to fulfil these rights and

responsibilities, the local level needs to empower itself in the areas, for instance, policy, law, human

resource, and institutional structure.

The Ministry of Federal Affairs and General Administration with the support of the Provincial and Local

Governance Support Programme has prepared the Local Government Institutional Self-Assessment

Guidelines, 2075. The primary objective is to support local levels to assess how successfully they have

performed their institutional responsibilities as provided by the constitution and prevailing laws as well as

analyse the strengths and weaknesses for moving towards the reform process.

Purnima in consultation with the Ministry of Federal Affairs and General Administration and coordination

with Provincial and Local Governance Support Programme has conducted institutional self-assessment in

ten GPs of Gorkha, Dhading, Nuwakot and Rasuwa districts. It is believed that experiences and lessons

learned highlighted in this report would help to enhance the institutional capacity of ten GPs of 4 districts

and would support to review and revise the Local Government Institutional Self-Assessment Guidelines,

2075.

6.2 General Recommendations

The application of LISA in ten Purnima-supported local governments has not only provided valuable

insights on the capacity of local governments but has also provided general understanding of perceptions

of elected members, civil servants and civil society’s understanding of federalism. The process was

instrumental to deepen understanding on how democracy at local level is unfolding and how age-old

structures though non-existent systems still shape in the way decisions are made. People at the local

level have high expectations of experiencing prosperity and development with the restoration of

democracy and federalism; expectations which are now fast dwindling. Three years after the elections,

communities have now come to realise that without an active and strong local government, democracy is

unresponsive to citizens’ needs, because of the lack of capacities of local governments to deliver services

to the people. Any support to strengthen local government’s weak capacities will require continued

persistence as well as flexibility in relation to an unfolding federal context.

Consolidating and stabilising federalism requires participation of all actors in the decision-making

processes. Due attention should be given to society and citizen engagement so that governments are

accountable to their citizens. This includes participation of marginalised groups, which is crucial to

facilitate the democratisation process. Dialogues at various levels are important to help women and other

marginalised groups to become an important part of the development narrative. They have to be aware

and informed enough to seize suitable opportunities that have been mandated to them through the

Constitution, and various Acts and policies that have arrived with the political change. Once they are

informed and aware of the role of local governments, they will be in a better position to influence

leadership for policy and practice change. Gender equity and social inclusion is one of the mainstays of

good governance, and it should be a priority topic in local governments. Building partnerships and

linkages with various groups working in the LGs will help strengthen governance in the long run.

17

The LISA study was an exercise in that direction, and it identified gaps in the supply side, or systems,

structures and institutions through a variety of tools. Though a 360-degree study would have been ideal to

identify gaps and challenges in both supply and demand side and rectify it with proper interventions, this

is the beginning of a federal system and it will take some time for the dust to settle before a clear picture

emerges and citizens are better placed to evaluate services provided by the government. Local

governments are shouldering huge responsibilities and are the key structures to fulfil the needs of the

citizens, all this seems unachievable in the near future unless capacity needs are persistently and

diligently addressed.

In light of these challenges four key recommendations for MoFAGA and PLGSP are:

1. GESI: Purnima conducted GESI audit and GESI Perception Survey in the GPs, with revealing results

regarding the low priority given to GESI. GESI is a significant policy agenda in all GPs based on the

Constitution, LGOA 2017 and various Acts and policies but remains in paper only. Process signifying

how decisions are made, who is included in the process of making those decisions; and outcomes

indicating access to resources and power remain inert in most GPs. The GESI Audit has shown that

limited institutional and organisational mechanisms exist in palikas to ensure necessary targeting and

attention, which affects service delivery, the crux of local governments, in the long run1. A more

strategic and realistic perspective on strengthening institutional mechanisms grounded in thinking and

working in a more politically and socially aware way has to be put into practice for sustainable reforms

to take place.

2. Specific and persistent training support: From the time local governments came into existence

three years ago, they have participated in and held a multitude of workshops and trainings to build

capacity of the elected representatives and its staff. Most of the trainings have been transactional in

nature with it fulfilling the immediate needs of the GP, without focusing on long term solutions. Only a

handful of elected representatives and staff (most of those in senior positions) participated in all

trainings, and frequent turnover of trained staff is a challenge with wider repercussions for the

performance of the GPs. A combination of trainings that address both demand and supply side and

are transformational in nature are required for lasting impact.

3. LISA Manual: LISA as a tool is highly effective, however it is complex and can be difficult to

understand the requirements and therefore a user-friendly manual is necessary. The purpose of the

manual should have an explicit description of processes and procedures for administering and

applying LISA in a systematic, consistent, coherent and transparent way. In particular the manual

should lay down step-by-step procedures for

– Objectives and relevance of LISA in the federal context;

– The importance and relevance of the three scenarios;

– Explanation of the ten thematic areas, the indicators and the relevance;

– Checklist of relevant Acts/guidelines for reference purpose;

– Process and procedural requirements of conducting LISA

4. WARD Level Training: Most of the trainings taken by palikas have been focused in strengthening

capacities of Chair, Deputy Chair, CAO and other upper-level civil servants. Ward as the smallest

political structure in a GP has an important role and is key in dealing with the citizens. Therefore,

trainings should be designed to cater to the needs of the ward level. Focussed capacity building

programmes is required to be given to the lower tier of elected representatives (ward members), and

personnel so that they are well equipped to effectively deal with front line delivery mechanism.

5. LISA indicators have to be adjusted every year based on previous scores: LISA is a live process;

if it is to be practised every year, indicators for high performing GPs must be adjusted to reflect the

changes. The identified gaps and challenges have to be addressed as well and some thematic areas

1 Result of GESI Audit, Purnima, September 2020

18

need to be improved. LISA focuses on the quantitative aspects of results in various service sub-

sectors but under stresses the overall situation and necessary process which is critical to secure the

quantity of results. Therefore, it is important to sharpen the indicators to make LISA more conducive to

the demand side.

Recommendations for Purnima

1. Learnings from LISA should be the entry point to Palikas: The LISA facilitation is an effective

tool to show gaps and challenges in the institutional development of local governments. This can

be an effective criterion for development partners wanting to support palikas for sustainable

development. Purnima did not have this choice when the TA was started in late 2018. The TA

adapted to the situation as it developed before establishing a foothold. However, this can be

avoided through results of LISA.

2. LISA indicators have to be refined continuously: The current leadership in local governments

was established through elections in 2017. This was the first cycle of elections post federalisation

with new systems, structures and institutions still evolving. The existing LISA indicators reflect the

current situation in local governments where systems, and process of governance are still

developing. LISA should continue to be piloted for another election cycle until systems are

strengthened before finalising it.

19

A. Local Government Institutional Self-

Assessment (LISA) Indicators

A.1 Thematic Area- 1: Governance System

A.1.1 Overall Scenario:

Indicators Condition -1 Condition -2 Condition -3 Condition -4 Means of

Verification

1.1.1. (a) Decision -

making process of

Assembly

(LGOA Clause 19)

Members are not

informed about the

agenda of

discussion and

possible decisions

prior to the assembly

meeting.

Occasionally

members are

informed through

clear written

information about

agenda and possible

decisions before the

assembly meeting.

Members are

informed about

agenda and possible

decisions prior to the

assembly meeting.

Members are

informed through

written information

about agenda and

possible decisions

before seven days of

Assembly meeting.

Copy of the letter

provided to the

assembly

members

Minute book

1.1.1. (b) Decision-

making process of

Executive Board

(LGOA Clause 17

Discussion agenda

of meeting and its

possible decisions

have been taken as

instructed by the

Chief of LG’s.

The topic of

discussions and its

decisions in the

meeting has been

made as per the

proposal of the

Executive Board of

LG.

Majority based

decisions are taken

only after completion

of topic wise

discussion on the

proposed agenda.

Decisions are made

on overall consensus

through open

discussion process.

Attendance and

Meeting minute. If

there is different

opinion/argument

from members

then record of

such argument on

minute.

1.1.2. Approved

Local laws (acts,

regulations,

directives, guidelines)

by LG

assembly/executive

board have been

made public

(LGOA Clause 102 &

Constitution of

Nepal Article 27 RTI)

Making public of

local laws (acts,

regulations,

directives,

guidelines,)

approved by LG

Assembly/executive

board not yet

practiced.

The practice of

making public of

approved local laws

(acts, regulations,

directives,

guidelines,) in local

gazette but not

practiced of

publicizing other

decisions.

Practice of making

public of approved

local laws (acts,

regulations,

directives, guidelines)

only in local gazette

but other decisions

are made public

through notice board.

Practice of making

public approved local

laws (acts,

regulations,

directives, guidelines,)

in local gazette and

uploading LG website

and other decisions in

website, notice board

and other

communication

medias.

Copy of the local

level gazette,

official website,

copy of

newspaper, clips

of video or audio

recording.

A.1.2 Process Scenario

Indicators Weak Satisfactory Good Means of

Verification

1.2.1 Operational

procedure/guidelines

related to LG

assembly/ Executive

Board

committees/sub-

committees.

(LGOA 14, 46, 65, 66

& 67)

No operational

procedure/guidelines have

been prepared for

organizing meeting of

committee/subcommittee

of Executive Board and

assembly meeting as

provisioned in the LGOA.

Guidelines/procedures has

been prepared for

organizing meeting of

committee/subcommittee

of Executive Board and

assembly meeting as

provisioned in the LGOA but

not implemented yet.

Guidelines/procedures are

prepared for organizing

meeting of committee/ sub-

committee of Executive

Board and assembly

meetings are under

implementation as

provisioned in the LGOA.

Copy of approved

Guidelines/procedures.

Meeting minutes of

committee/ sub-

committee of Executive

Board and assembly

meetings

20


Verification

1.2.2 Executive Board

Meeting

(LGOA Clause 17 &

Meeting Operation

Regulation)

Operational procedures for

organizing Executive

Board Meeting (call for

meeting, final dates,

venue, prior information

about work schedule,

majority count, signing in

minute book, note of

decent etc) has not been

determined/established.

Operational procedures for

Executive Board Meeting

(call for meeting, final dates,

venue, prior information

about work schedule,

majority counts, signing in

minute book, note of decent

etc) has been set but

practiced partially.

Executive Board Meeting

(call for meeting, final

dates, vane, prior

information about work

schedule, majority count,

signing in minute book,

note of decent etc) has

been implemented as per

the set operational

procedures.

Copy of letter related

with meeting. Meeting

minute.

1.2.3. Internal Control

System

(LGOA-78)

There is no policy

arrangement to manage

the internal control system

of the LG.

A Policy arrangements have

been made to manage

internal control system but

not under implementation.

A policy arrangement has

been made to manage

internal control system

under implementation

accordingly and also

ascertained regular

monitoring and feedback.

Copy of approved

Internal control system

directives.

1.2.4. Information

related with the

property details of

local level elected

representatives and

employees.

(LGOA Clause 110

Local level elected

representatives and

employees have not

submitted their property

details as per the laws.

Some of the local level

elected representatives and

employees have submitted

their property details as per

the law.

All Local level elected

representatives and all

employees have submitted

their property details as per

the laws.

Entry book for the local

level properties details,

copy of letter which

forwarded to provincial

governance regards of

property details

A.1.3 Quantitative Scenario:


Verification

1.3.1 Number of Executive

Board meeting till

assessment period

(LGOA Clause 17, Meeting

Management Regulation)

No regular monthly

meeting conducted.

Generally, one meeting

organized in a month..

At least one meeting

including need-based

meeting events were

organized in every month.

Meeting minute book

1.3.2. Technology use in

accounting system

(LGOA Clause 72)

Limited only to the

manual accounting

system.

Under preparation of

implementing online

accounting system.

Online accounting system

is under implementation.

Accounting reports,

website

A.2 Thematic Area - 2: Organization & Administration



Verification

2.1.1. (a) Capacity

Development of

Municipality /Rural

Municipality

(LGOA Clause 102.2)

CD Plan not yet

prepared, and

budget has been

not allocated for

CD activities.

CD Plan has been

prepared but not

implemented yet.

CD Plan prepared

and partially CD

activities

implemented.

CD Plan prepared

and fully

implemented

Copy of capacity

development plan,

Training record of

staff capacity

development

activities

21


Verification

2.1.1. (b) Policy provisions

on personnel management

(Act, Rule, By Laws,

Guideline etc)


No any policy

arrangement made

on personnel

administration and

staffing arrange-

ment made under

Ad hoc basis.

A policy provision

on personal

administration has

been made but

policy is yet to be

implemented.

Policy provisions

on personal

administration has

been made and

partially

implemented.

Policy provisions on

personal

administration has

been made and fully

implemented.

Copy of personal

administration

related policies.

2.1.2. Reporting &

Information Dissemination

(LGOA Clause 76.5 &

IGFMA clause 32)

No report and

information have

been submitted to

federal and

provincial

government

Report and

information have

been submitted to

federal and

provincial

government but

set deadlines not

met.

Report and

information

submitted to

federal and

provincial

government on

regular and on

time.

Report and

information

submitted to federal

and provincial

government on

regular and timely

basis and uploaded

in the own website.

Copy of official

report,

Dispatch book

A.2.2 Procedural Scenario:

Thematic Indicators Weak Satisfactory Good Means of

Verification

2.2.1. Detail Terms of

Reference (ToR) of

Thematic Areaal Division

/Section/ Unit

(LGOA Clause 83)

Not yet ToR prepared /

developed.

ToR prepared / developed

but not yet implemented

ToR prepared / developed

and implemented

Copy of ToR. Uploded

work details (ToR) in

own

Website.

2.2.2. Staff contracted out

in the post of outlawed

permanent position

(LGOA Clause 83.8 & 9)

Outlawed permanent

positions have been

fulfilled even after the

enactment of LGOA.

After activation of LGOA,

staff recruited under

contract but the Terms of

Reference (ToR) does not

specify the period, salary

and other benefits.

After activation of LGOA,

staff recruited on outlawed

permanent position in

contract and the Terms of

Reference (ToR) clearly

specifies the period, salary

and other benefits.

Details of staffs who are

contracted and their

letter of agreement

Details of staffs posting.

2.2.3. Performance

Contract with staff member

(LGOA Clause 102.2)

No performance contract

signed in between the

CAO and section head

Performance contract

signed between the Mayor

/Chair and CAO

Performance contract

signed between Mayor

/Chair and CAO, CAO and

Division/ Section Head

Copy of performance

contract.

Copy of performance

contract related

decisions.


Indicator Weak Satisfactory Good Means of

Verification

2.3.1. Investment on HR

Development and CD

(LGOA Clause 102.2)

Less than 0.5% of total

recurrent expenditure

0.5- 1.5 % of total recurrent

expenditure

Above 1.5 % of

total recurrent

expenditure

Copy of approved

annual budget and

programme

2.3.2. Attendance of CAO

(including field work within

the work area)

(LGOA Clause 84)

Deputed CAO by Ministry

present below than 50 %

of total working days.

Deputed CAO by Ministry present

50 -75 % of total working days.

Present above than

75 % of total

working days.

Copy of attendance

register or e-

attendance

2.3.3. Participation of

elected officials and staffs

in capacity development

programme

(LGOA Clause 102.2)

Below to 40 % till the

assessment period

40- 60% till the assessment period Above 60% till the

assessment period

Evaluation Report

Attendance

Register.

22

A.3 Thematic Area- 3: Annual Budget and Plan Formulation



Verification

3.1.1. Annual budget,

program and Periodic Plan

formulation

(LGOA Clause 24)

Annual budget,

program and periodic

plan have not been

prepared.

Only annual

budget and

program prepared.

Annual budget,

program and periodic

plan have been

prepared.

On the basis of

periodic plan, annual

budget and program

prepared.

Document of

Periodic Plan

Copy of Annual

Budget and

Program

3.1.2. Concerned

committees and their

coordination in relation to

preparation and approval

of annual budget and

program


Local Revenue

Advisory Committee,

Resource Projection

and Budget Ceiling

Fixing Committee and

Budget and Program

Formulation

Committee not yet

formed.

All activities are

performed solely

by the Resource

Projection and

Budget Ceiling

Fixing Committee

All activities are being

performed jointly by

Local Revenue

Advisory Committee,

Resource Projection

and Budget Ceiling


Budget and Program

Formulation

Committee

All three Committees

(Local Revenue

Advisory Committee,

Resource Projection

and Budget Ceiling


Budget and Program

Formulation

Committee) are

functional.

Copy of

committee

formation

decision

minute.

Copy of

meeting minute

of committees.


Indicators Weak Satisfactory Good Means of Verification

3.2.1. Localization of

Sustainable Development

Goals

(LGOA Clause24 )

No any initiations taken

toward localizing SDGs

Initiations have been

taken to prepare

required policy toward

localizing SDGs

Detailed Policy

have been

formulated for

localizing SDG and

implemented.

Copy of Periodic plan

document, Copy of annual

budget and program. Copy of

policy in regards sustainable

development goals,

localization.

3.2.2. Thematic Area

budget ceiling determined

(LGOA Clause 66.3 )

Thematic Area budget

ceiling not determined

Thematic Area budget

ceiling determined

Priority based

Thematic Area

budget ceiling

determined

Copy of budget ceiling

determined minute.

Copy of prioritization

decisions.

3.2.3. Budget submission

and approval within

deadline

(LGOA Clause 71 )

Budget not purposed within

June 25 and approved

within July 15.

Budget approved within

July 15.

Budget purposed

within June 25 and

approved within

July 15 after

adequate

consultation.

Copy of minute of council

(assembly) meeting.

Record of submission of

budget proposal.

3.2.4. Implementation of

program of NGOs after

approval from the

assembly (LGOA Clause

25)

LG not aware of NGOs

programme and budget

NGOs maintaining

coordination with LG

while implementing their

programs.

Programme and

budget of NGOs

have been well

incorporated in

LG’s plan.

Copy of approved annual

budget and plan.

Copy of coordination meeting

minute.


Indicator Weak Satisfactory Good Means of Verification

3.3.1. Portion of internal

revenue in annual budget

(IGFMA Clause 8 )

Up to 10 % Up to 20 % Up to 30 % Copy of approved annual budget

and programme

23

Indicator Weak Satisfactory Good Means of Verification

3.3.2. Portion of total

capital budget invested for

below 5 Lakh worth project

(Annual Budget and

Program Preparation

Guideline)

Above 50 % 50-30 % Below 30 % Copy of approved annual budget

and programme

3.3.3. Annual internal

revenue increment

compared to last year

(revenue capacity

according to IGFMA

Clause 10 )

Similar or below up to 5 % Above 5 % Internal Revenue Record

3.3.4. Cost contribution in

project implemented by

User’s Committee and

NGOs.

(LGOA Clause 25 )

Below than 5 % (Cost

contribution /partnering)

5-15 % (Cost

contribution

/partnering)

Above 15 % Cost

contribution

/partnering

Annual budget and programme

copy

Partnership related decision’s

book.

3.3.5. Allocated budget for

matching fund to

implement joint partnering

programme /projects

(IGFMA Clause 10 )

Budget not allocated for

matching fund/cost

sharing

Up to 20 % cost

sharing of LG

More than 20 % cost

sharing of LG

Annual Budget and Programme

Copy.

A.4 Thematic Area-4: Fiscal & Financial Management


Indicator Condition -1 Condition -2 Condition -3 Condition -4

4.1.1 Internal source of

revenue

(LGOA Clause 65 )

No any study carried out

from the last two years

about internal revenue

rate and range that are

under the jurisdiction of

Local Government

Study carried out

about internal

revenue rate and

range, but not yet

implemented study

feedback/suggestion.

provided in the study

Study on rate

and range of

internal revenue

carried out and

feedback/sugges

tion partially

implemented

Study on rate and

range of internal

revenue carried

out and the

feedback/suggesti

on fully

implemented

Local Revenue

Consultation

Committee

Report.

Own Source

Revenue rate

4.1.2 Fiscal Discipline

(IGFMA, Clause 25-32 )

Final audit pointed out

more than 5% arrears

(beruju) of total

expenditure

Final audit pointed out

3- 5% arrears (beruju)

of total expenditure.

Final audit

pointed out 1-3%

arrears (beruju)

of total

expenditure

Final audit pointed

out less than 1%

arrears (beruju) of

total expenditure

Report of Final

Audit


Thematic indicators Weak Satisfactory Good Means of

Verification

4.2.1 Applied the

classification, method,

structure and accounting

code in income and

expenditure as set by GoN

(IGFMA Clause 32 )

Not applied Partially applied Fully applied Forms that is used for

keeping accounting

details.

24

Thematic indicators Weak Satisfactory Good Means of

Verification

4.2.2 Publicized income

and expenditure details

Not publicized Not publicized on

monthly basis

Publicized on monthly basis

within the deadline

Copy of periodic income

and expenditure details

Publicized record.

4.2.3 Preparation of

procurement Master Plan

and Annual Procurement

Plan as per prevailing law

(Public Procurement Act

clause 6 & LGOA Clause

84.2 Ta)

Procurement Maser

Plan and annual

procurement plan not

prepared

Only annual

procurement plan

prepared

Both Procurement Master

Plan and annual procurement

plan are prepared and under

implementation

Copy of procurement

master Plan and annual

procurement plan.

4.2.4 Programme

approval and

implementation

(LGOA Clause 71.6)

Expenditures made

without approval of

annual budget and

programme by assembly

Expenditure made on

other areas than the

programme approved

by assembly

Expenditure made as per

approval of assembly

Council approved

programme,

Expenses details



4.3.1 Budget Transfer

(LGOA Clause 79)

Budget transferred to

other areas that are out

of assigned limitation of

budget head

Budget transferred

only on program

areas that are

approved by

assembly

Budget transferred within the

assigned limitation and

budget head

Copy of consolidated

annual Programme,

expenses details.

4.3.2 Administrative

Expenditure

( Annual income and

expenditure estimation

according to LGOA

Clause 71)

Administrative

expenditure made from

other budget heads

including internal income

and royalty.

Administrative

expenditure made as

prescribed in

conditional grant and

within the budget

head of internal

income and royalty.

Administrative expenditure

made as prescribed in the

conditional grant and within

the budget head of internal

income and royalty and also

remaining amount of royalty

invested in capital projects.

Copy of annual program,

expenses details.

4.3.3 Capital Expenditure

( Annual income and

expenditure estimation

according to LGOA

Clause 71)

Expenditure made less

than 60% of capital

budget

Expenditure made 60-

80% of capital budget

Expenditure made more than

80% of capital budget

Copy of expenses details

.

4.3.4 Revenue collection

(LGOA Clause 71)

Revenue collected less

than 70% of estimation

Revenue collected

70-90% of estimation

Revenue collected more than

90% of estimation

Copy of the report of

internal revenue annual

target and actual

progress.

4.3.5. Expenditure

authority delegation

(LGOA Clause 73)

Mayor/Chairperson not

delegated the

expenditure authority to

the chief administrative

officer (CAO)

Mayor/Chairperson

delegated the

expenditure authority

to CAO after crossing

the deadline

Mayor/Chairperson delegated

the expenditure authority to

CAO within the 7 day.

Copy of authorization

letter.

25

A.5 Thematic Area-5: Service Delivery



Verification

5.1.1(A). Service delivery

(LGOA Clause 11)

Executive committee is

not aware about those

services to be provided

to the citizen according

to law.

Poor institutional

capacity of

Executive

Committee for the

service delivery to

the citizen

according to law.

Necessary

institutional

arrangements for

the service delivery

in place.

Smoothly

delivering the

services

according to

law with

necessary

institutional

arrangements.

Copy of service

delivery guideline.

Copy of authority

delegation letter by

Mayor/Chair . Citizen

Charter,

5.1.1 (B). Services to be

provided by ward

(LGOA Clause 12)

Services to be delivered

through ward is not yet

delivered according to

law

Services delivered

by joint ward

office.

Ward offices are

established in all

wards and services

are being provided

partially,

Service delivery

is done by all

wad offices as

provisioned in

the law.

Copy of authority

delegation letter by

ward chair. Service

delivery guideline,

Copy of staff's work

plan, Citizen

Charter, Record of

complaint hearing

etc.

5.1.2. Satisfaction on

services

(LGOA Clause 11, 12)

Beneficiaries are not

satisfied on service

delivery.

Beneficiaries are

partially satisfied

Beneficiaries are

moderately

satisfied on service

delivery .

Beneficiaries

are fully

satisfied on

service

delivery.

No. of complaint and

their solution, Report

of satisfaction survey



5.2.1. Service delivery

based on technology


Not yet technology

used for service

delivery.

Very few technologies

are used in service

delivery.

Information

Technology used in

every service

delivery.

Record of quality of services and

time taken for delivery, Used

Information Technology

5.2.2 Standard Operating

Procedure of Service

delivery (SOP)


Sanders regarding

service delivery not yet

defined /prepared.

Sanders regarding

service delivery

prepared but not

implemented.

Sanders regarding

service delivery

prepared and

implemented.

Defined sanders with indicators

Monitoring report on use of defined

sanders.

5.2.3. Payment through

Banking system


Using banking system

as well as cash for

official payments

All the official

payments done

through banking

system only.

All the official

payments paid

through banking

system and using

e-payment system.

Record of payment.

5.2.4. Alternative

arrangement of services

delivery in ward

(LGOA Clause 16.4. G 6 &

clause 18.3)

In absence of ward

chairperson, alternative

arrangement for the

services at ward level is

not implemented

In absence of ward

chairperson, alternative

arrangements for

services at ward level

is less effective or only

effective in few ward

offices.

In absence of ward

chairperson,

alternative

arrangement of

services is effective

in all ward offices.

Copy of authority delegation letter

..

26



5.3.1. Grievances

Settlement

(LGOA Clause 11.2. )

Out of total, less than

40% grievances

addressed by the

RM/Municipality till

assessment period.

Out of total, 40% -80%

grievances addressed by

the RM/Municipality till

assessment period.

Out of total, more than

80% grievances

addressed by the

RM/Municipality till

assessment period

Complaint book,

Record of solved

Complaint/grievances

numbers,

5.3.2. Payment of social

security allowance

through bank

(LGOA Clause 11.2. Ta

2)

Up to 1/3rd out of total

recipients.

1/3rd to 2/3rd out of total

recipients

More than 2/3rd out of

total recipients.

Bank transfer record, Bank

statement (if the service is

available)

5.3.3. Birth registration

within 35 days of birth

(LGOA Clause 11.4.

Chha)

Less than 70% In between 70% to 90% More than 90% Incident registration book.

5.3.4. Public hearing

(LGOA Clause 78.5)

Not yet public hearing

conducted till the

assessment period.

2 times public hearing is

organized till the

assessment period.

Public hearing is

organised on each

trimester till the

assessment period.

Report of public hearing .

Attendance record in

public hearing

5.3.5. Innovative

approach is used on

service delivery

(LGOA Clause 11.2. N

7 )

Traditional approach on

service delivery

remains; services are

delivered being

stationed at the office

premises.

At least one-time mobile

camp is conducted in order

to make services

accessible; technology-

based approaches is used

in some area of service

delivery.

Online service

approaches are

implemented and mobile

camp at ward level is

conducted based on

needs.

Record of online service

technology use for service

delivery and its status,

Mobile service record

book

5.3.6. Access on

education by all children

(LGOA Clause 11.2. Ja)

Student Enrolment rate

is less than 80% during

assessment period and

school dropout rate is

not reduced in

comparison to last year.

Student enrolment rate is

more or less 80-90% during

assessment period & school

dropout rate is reduced by

50% in comparison to last

year.

Student enrolment rate

is more than 90% and

during assessment

period school dropout is

reduced by more than

50%.

Students admission &

attendance records.

5.3.7. Citizen access to

health services

(LGOA Clause 11.2.

Jha)

Human resources,

equipment and

medicine are not

adequate at Health

Institutions that are

established and

conducted in

accordance to

Government law, rules

and regulation.

Less than 50% of

children obtained

mandatory vaccination

Human resources,

equipment and medicine are

delivered as required at the

Health Institutions that are

established in accordance to

Government law, rules and

regulation.

Mandatory vaccination is

obtained by 50-90% of

children.

Human resources,

equipment and medicine

are delivered as per

need at the Health

Institutions that are

established and

conducted in accordance

to Government law, rules

and regulation.

Mandatory vaccination is

obtained by more than

90% of children.

No. of health institution

and service details, job

Approved human resource

post in the health

institutions, no. of regular

staffs' , health instruments,

record of birthing service,

vaccination record.

5.3.8. Livestock and

Agriculture Services

(LGOA Clause 11.2.

NNA & Da)

There is no human

resource and technical

service as per demand

in established veterinary

and agriculture service

centers.

There is few human

resource and technical

service available to meet

service demands in

established veterinary and

agriculture service centers.

There is full flagged

human resource and

technical services

available; meeting local

demands in all

established veterinary

and agriculture service

centers.

Numbers of agriculture

service centre, copy of

area covered by

agriculture service

centers,

number of animal care

centers, No. of the animal

service centers,

27


5.3.9. Promotion of local

products and marketing.

(LGOA Clause 11.2.

NNA 7)

There is no any policy

and program on

promotion of local

product and market

management.

There is the policy and

program to promoting local

product and marketing;

however, marketing aspect

is not properly managed.

There is policy and

program for the

promotion of local

product and marketing

and managing for proper

market aspects.

Copy of policy,

A.6 Thematic Area - 6: Judicial Work Performance



Verification

6.1.1 Justice

performance

(LGOA Clause 46.1.

& Clause 49.12)

Judicial committee not yet

formed, and guideline not

prepared to perform the

judicial tasks..

Judicial committee

formed and

performing they are

working without

guideline.

Judicial committee

formed and

guideline prepared

but not followed all

provisions.

Judicial

committee

formed,

guideline

prepared, and

the justice

services

providing

according to the

guideline.

Copy of decision

on Judicial

committee

formation,

Copy of judicial

functions

implementation

procedure.

6.1.2 The satisfaction

of the service

recipients with the

performance of

judicial committee

(LGOA Clause 51)

Recipients are not

satisfied with the

performance of judicial

committee.

Some recipients are

satisfied with the

performance of the

judicial committee.

The level of

performance is

satisfactory.

Service

recipients are

completely

satisfied with the

performance of

judicial

committee.

Number of appeals,

Percentage of

appealing on total

no.


Thematic Indicators Weak Satisfactory Good Means of Verification

6.2.1 Provision of

Mediators

(LGOA Clause 49.3)

No provision of

Mediators

Mediators are not

registered.

Judicial committee mobilizes

only registered Mediators for

mediation process.

Community mediators lists,

copy of community mediator

appointment,

Copy of no. of decisions

made by community

mediators.

6.2.2 Decision making

process of the Judicial

committee

(LGOA Clause 49)

Coordinator

makes decision.

The judicial committee

formed, and decisions

have been made on the

majority basis.

The judicial committee has

made decisions on unanimous

basis.

Judicial committee decisions

record.

6.2.3 Reporting system

of Judicial committee

(LGOA Clause 53.2)

No practice of

submitting the

report.

The report was

submitted but not

discussed in assembly

meetings.

The report was submitted and

discussed in the assembly

(council) meeting.

Record book that has

information on the report

that is submitted by

chairperson,

assembly discussion and

decisions book.

28

A.6.3 Quantitative Scenario


Verification

6.3.1 Settlement of

Complaints.

(LGOA Clause 49.2 &

4)

The complaints

settlement rate is less

than 50% till the

assessment period.

50-70% complaints have

been settled till the

assessment period

More than 70% complaints

settled till the assessment

period.

Record book of

complaints and

resolved

6.3.2 Appeal on the

decision of the judicial

committee

(LGOA Clause 51)

More than 50% of the

total settled complaints

have undergone for

appellation process

10-50% of the total

complaints settled have

undergone for appellation

process.

Less than 10% of the total

complaints settled have

undergone for appellation

process.

Number of queries

resolved

Queries that were in

appeal

6.3.3 Establishment of

Mediation Centre

(LGOA Clause 49.10)

No mediation centre

established in any

Wards.

Mediation centre established

and operational in some

Wards.

Mediation centre formed and

operational in all Wards.

Decisions book of

community

medication.

A.7 Thematic Area-7: Physical Infrastructure Development

A.7.1 Overall Scenario


Verification

7.1.1 Physical

Infrastructure (Road,

Electricity, Drinking

Water,

Communication)

(LGOA Clause 11.2 .

Chha, Tta & Dha)

Physical status of

infrastructure is

very poor (In case

of RM/Mun)

Physical status of

infrastructure is just

(In case of RM/Mun)

Physical status of

infrastructure is

satisfactory (In

case of RM/Mun)

Physical status of

infrastructure is

good.

(In case of

RM/Mun)

Record of annual

expenses on repair

and maintenance,

status on the fixed

slanders, public

hearing, public

auditing records,

Reaction of media

and citizens. .

Minimum Physical

Infrastructure

situation is poor

(In case of Sub-

Metro & Metro)

Minimum Physical

Infrastructure situation-

Normal/General

(In case of Sub- Metro &

Metro)

Minimum Physical

Infrastructure

situation-

Satisfactory

(In case of Sub-

Metro & Metro)

Minimum Physical

Infrastructure

situation-

Good/well

managed

(In case of Sub-

Metro & Metro)

field visit, technical

evaluation,

road development

plan format,

indicators,

building qualitative.

7.1.2 Public-Private

Partnership Policy

(PPP)

(LGOA Clause 24.8)

No any PPP policy

prepared to

contribute

development of

physical

infrastructure

projects.

PPP policy prepared but

not implemented to

contribute the physical

infrastructure

development

PPP policy

prepared and

partially

implemented to

contribute the

physical

infrastructure

development

PPP policy

prepared for

partnership

programme and

implemented in

entire Thematic

Areas of physical

infrastructure

development

Copy of partnership

concept and policies,

Record of expenses

of private and public

Thematic Areas.

29

A.7.2 Procedural Scenario

Indicators Weak Average Good Means of Verification

7.2.1 Child and Disable

friendly public

infrastructure policy

(LGOA Clause 24.2)

Policy not prepared

yet.

Any Policy prepared but

not fully implemented.

Policy prepared and fully

implemented.

Copy of policies.

Copy of progress report.

7.2.2 Utilization and

sustainable management

of build infrastructures

(LGOA Clause 24.3)

No any policy and

programmatic

arrangements made

for infrastructure repair

and maintenance.

Provision of budget and

programme for repair

and maintenance of

infrastructure, but lacks

policy for the

management

Maintenance and Repair

Fund has been

established in

partnership of

beneficiaries and the

fund is being utilized

through approved

guideline.

Copy of guideline.

Amount in established fund.

7.2.3 Environmental

studies of Project

(LGOA Clause 24.2)

IEE/EIA studies of the

project not carried out

according to respective

laws

IEE/EIA studies of few

projects has been

carried out according to

respective laws.

IEE/EIA studies of entire

projects have been

carried out according to

respective laws.

Projects as per the IEE and

EIA report.

7.2.4 National Building

Code and building bylaw

(standards)

(LGOA Clause 23.1)

National Building Code

not followed and local

building standards not

yet defined.

National Building Code

Partially followed.

Fully followed National

Building Code and Local

Building construction

standards,

Copy of local building bylaws.

Record of National Building

Code implementation.

A.7.3 Quantitative Results Scenario:

Indicator Weak Satisfactory Good Means of verification

7.3.1 Road Expansion

(LGOA Clause 11.2. Tta

1 & 5)

Till the assessment

period, less than 10%

road expanded


Till the assessment period,

10-25% road expanded


Till the assessment

period, more than

25% road expanded


Copy of progress report.

Observation of expanded

roads.

7.3.2 Road Quality

Improvement

(LGOA Clause 11.2. Tta

1 & 5)

Till the assessment

period, less than 5%

road improved



5-15% road improved


Till the assessment

period, more than

15% road improved


Annual progress report,

Supervision/ Monitoring

report of road condition.

7.3.3 Drinking Water

Service Coverage

(LGOA Clause 11.2.

Dha 1, .4. Ga 2 &

Clause 12.2. Ga 10)

Till the assessment

period, drinking water

coverage increment is

less than 10% HHs



drinking water coverage

increment is 10-25% HHs


Till the assessment

period, drinking Water

coverage increment is

more than 25% HHs


Annual progress report,

extended area overview

7.3.4 Annual

program/projects

implementation status

(LGOA Clause 71.2.

along with estimated

progress of running

F.Y.)

Out of the total approved

annual projects, less

than 50% physical

infrastructure completed

till the assessment

period

Out of the total approved

annual projects, 50-80%

physical infrastructure

completed till the

assessment period.

Out of the total

approved annual

projects, more than

80% physical

infrastructure

completed till the

assessment period.

Annual progress report

7.3.5 Waste Management


11)

No waste management

policy in place and

waste being disposed in

public places in

unmanaged way.

Waste management policy

is in place and initiated to

manage waste.

Waste management

policy is in place and

has managed waste

in an integrated

manner.

Copy of waste management

policy. Management of waste

disposal centre.

30

A.8 Thematic Area - 8: Social Inclusion



Verification

8.1.1

(a) Social Inclusion

(Women, Dalit, Janajati,

Madhesi, Disabled,

Muslim and minority)

(LGOA Clause 111)

Participation only in

elected positions

prescribed by law;

local inclusion policy

not yet prepared.

Participation in

elected positions

prescribed by laws;

and local inclusion

policy has been

prepared to make

proportional

representation in

different

committees/sub-

committees based on

LGOA but not

implemented.

Participation in

elected positions

prescribed by laws;

and local inclusion

policy has been

prepared to make

proportional

representation in

different

committees/sub-

committees and

their participation

insured.

Participation in

elected positions

prescribed by laws;

and local inclusion

policy has been

prepared to make

proportional

representation in

different

committees/sub-

committees and their

participation insured.

All are contributing

with their active

participation.

Percentage of

propositional

representation

on different

committee/subco

mmittee.

8.1.1 (b) Social

Discrimination

(CoN article 18 Right of

equity)

Prevails

untouchability as a

social evils in society

and gender based

discrimination and

violence has not

decreased in the

society.

Local policy has been

prepared for

minimizing incidents

of untouchability,

social evils,

superstitions, gender

discrimination and

violence.

Action plan is

prepared and

implemented in

accordance with

local policy for

reduction of

incidents of

untouchability,

social evils,

superstitions,

gender

discrimination and

violence.

The incidents of

untouchability, social

evils, superstations,

gender

discrimination and

violence are

significantly

reduced; and exists

firm base for

equitable society.

Complaints

register.

Copy of social

issues

addressing rules.

8.1.2 Participation on

decision-making process

(LGOA Clause 111)

Only numerical

presence in local

level decision-

making process set

by the law.

Numerical presence

subsists as set by the

law, but only few

representatives do

influence in local level

decision making

process.

Numerical

presence subsists

as set by the law in

the local level

decision-making

process; decisions

have been made in

proportionate

participation of the

anticipated

beneficiary group.

There is a

meaningful

participation in the

decision-making

process, including

the proportional

representation of all

groups.

Committee and

subcommittee

meeting

Attendance and

minute of

decisions.



8.2.1 Social Security and

Social Protection

(LGOA Clause 11.2)

No any works done

towards

establishment and

operation of children

rehabilitation

centres, shelter for

senior citizen and

disabled care

centres.

Policies and programs are

already formulated for the

establishment of child

rehabilitation centre, senior

citizen care centre,

disabled care centre; and

the policy is just begun to

operationalize.

Children's rehabilitation

Centre, senior citizen

care centre, disables

care centres has been

established based on

the set policies and

programme and are

operational with easily

access to the targeted

groups.

Copy of programs and related

Policy.

31


8.2.2 Debates, advocacy

and awareness

campaigns for the End of

domestic Violence,


30)

No any debates,

advocacy and

awareness programs

conducted for the

end of domestic

violence.

Debates, advocacy and

awareness programs

related to ending domestic

violence are not adequate

and effective.

Debates, advocacy and

awareness programs

related to ending

domestic violence are

effectively and

adequately organized.

Annual programs, Record of

program implementation

, Domestic violence related

complains register.

8.2.3 Child labor, Child

marriage, dowry,

Chhaupadi and Boxi

related activities


30)

No policies and

programs for the

control of child

labour, child

marriage, widow

marriage, dowry,

Chhaupadi and Boxi

tradition..

Policies and programs are

prepared for the control of

child labour, child

marriage, widow marriage,

dowry, Chhaupadi and

Boxi tradition

Prepared policies and

programs are under

effective implimentation

for the control of child

labour, child marriage,

widow marriage,

dowry, Chhaupadi and

Boxi tradition

Copy of programs and its policy,

Complain register.

8.2.4 GESI Responsive

Budget Audit

(LGOA Clause 24.3.

Chha)

Gender Responsive

Budget Audit not yet

practiced.

GESI Audit conducted but

there is no any reflection in

plan and programs.

Plan and programs

prepared on the basis

on GESI Audit report.

Annual plans and programs



8.3.1 Decrease in incidents of domestic

violence against women (In comparison

to previous year).

(LGOA Clause 11.4. Na 1, 23 & 26)

Not decreased Decreased by 20% Decreased by more

than 20%

Complain registration book

8.3.2 Investments for the programs in

reducing ill traditions like child labour,

child marriages, Dowry, Chowpadi

(Total budget out of conditional grant)

less than 0.2% Up to 0.5 % More than 0.5% Copy of annual budget and

programme

8.3.3 The number of User committees

having the coordinator/Chairperson

from Women/Dalit and Disable people.

(From formed total user committees)

10% 10% to 30% More than 30% Copy of name list of all user

committee's executive.

8.3.4 Investments made for the

betterment of socially and economically

excluded women, children, dalits,

disabled people, senior citizens,

minority, marginalized communities (in

addition of the conditional grant budget

head)

less than 2% 2% to 10% More than 10% Copy of annual budget and

programme.

32

A.9 Thematic Area- 9: Environment Protection and Disaster Management



Verification

9.1.1

Environment

Protection

(LGOA Clause

11.4.Na.1,23 &

26)

No any environment

protection policy and

institutional set up in

place.

Exists

environment

protection policy

and institutional

set up but lacks

effective

implementation

mechanism

Environment protection

policy and institutional

set up is in place and

environment protection

works are started

accordingly

Environment protection




works are being

effectively implemented

accordingly.

Copy of environment

conservation Policy.

Environment

conservation

institutional facility.

9.1.2 Disaster

Management

(LGOA Clause

11.2. Na)

No Disaster

management policy

and institutional set up

in place but efforts are

limited to nominal

relief materials

distribution during the

time of disaster

Disaster

management

policy formed but

lacks effective

institutional set

up .

Disaster management




works are started

accordingly.

Disaster management




works are being

effectively implemented

accordingly.

Copy of disaster

management policy

and institutional set up.

A.9.2 Procedural Scenario


9.2.1 Environmental Pollution Control (Water, Land, Sound, Air and Food)

(LGOA Clause

11.4.Na.1,23 & 26)

No programme set for environment pollution control

Ineffective environment protection programme

Executed environment Pollution control programs effectively

Copy of policy, Annual budget and programme,

Copy of Pollution mapping (model)

9.2.2 Capacity Development of Local representatives, staffs, volunteers, and communities on Disaster management

(LGOA Clause 11.2.Na.)

No programme for enhancing the capacity of representatives, staffs, volunteers and community people on disaster management

Programs conducted for enhancing the capacity of representatives, staffs, volunteers and community people on disaster management but remained ineffective

Effectively executed the capacity development programs to the representatives, staffs, volunteers and community people on local disaster management

Training record book.

9.2.3 Identification of disaster risky zone and it’s mapping

(LGOA Clause

11.2.Na.4)

No identification and mapping of high potential disaster zone.

Completed identification and mapping of high potential disaster zone, but not reflected in the plans and programs

Prepared plan, under effective execution of those plan in identified high potential disaster zone.

Copy of prepared maps, Annual budget and programme



Verification

9.3.1 Budget allocation

to promote environment

protection

Less than 1% of budget

from equalization grant has

been allocated for the

development of Children

1-3% of budget from

equalization grant has been

allocated for the development

of Children Park/expansion of

open greenery place etc.

More than 3% of budget

from equalization grant

has been allocated for

the development of

Children

Annual budget and

programmes

33


Verification

Park/expansion of open

greenery place etc.

Park/expansion of open

greenery place etc.

9.3.2

Participation/Contributio

n of Private Thematic

Areas/ Civil Societies in


No participation of private

Thematic Areas/ civil

societies and citizens in


Participation from private

Thematic Areas, civil

societies and citizen in less

than 50% of environment

protection works

Participation from

private Thematic Areas,

civil societies and

citizen in more than

50% of environment

protection works

Record of percentage

of contribution from

public and private

Thematic Areas.

9.3.3 LG's investment in

environment pollution

control (From Fiscal

Equalization Grant)

Less than 0.1 % 0.1 % - 0.3 % Greater than 0.3 % Record of percentage

of public and private

contribution.

9.3.4 Annual Budget

allocation to Disaster

Management Fund

Not Specified Less than 0.2% of the total

capital budget

Greater than 0.2% of

the total capital Budget

Annual budget and

programmes

9.3.5 Formation and

functioning of Tole

Development

Organizations (TDOs)

No policy to formulate TDOs

and not yet formulated any

TDOs

Policy formed and TDOs

have formed in some

settlements

TDOs formulation policy

formulated and, on its

basis, more than 80%

HHs have organized

and functional in the

TDOs

Copy of Policy for

TDOs formation.

Total no. of members

involved in TDOs.

9.3.6 Availability of

Emergency services like

Ambulance, Fire Control

Unavailability of emergency

services like Ambulance,

Fire Control

Access to less than 50%

population to Emergency

services like Ambulance, Fire

Control

Access to more than

50% population to

emergency services like

Ambulance, Fire

Control

Record of Ambulance,

Fire Bridget related

services accessibility

A.10 Thematic Area- 10: Co-operation and Coordination


Indicator Condition -1 Condition -2 Condition -3 Condition -4 Means of

Verification

10.1.1 Co-operation and

Coordination among

federal, province & local

governments

(CON Article 235)

LGs have no

information about

the program to be

implemented in

cooperation and

coordination with

federal and

provincial

governments.

LGs have

information about

the program to be

implemented in

cooperation and

coordination with

federal and

provincial

governments but

there is not

functional

coordination with the

federal and

provincial

governance while

formulating policy

and programs.

LGs have information

about the program to be

implemented in

cooperation and

coordination with federal

and provincial

governments but there is

limited functional


federal and provincial

governance while

formulating policy and

programs.

LGs have information

about the program to

be implemented in

cooperation and

coordination with


governments and

there is fully functional



governance while

formulating policy and

programs.

Copy of

internal

governance

coordination

and

cooperation.

Partnership

shown in

annual budget

and program.

10.1.2 Inter LGs Co-

operation and

Coordination

(conservation of natural

The common areas

of cooperation and

coordination has

not been identified

The common areas

of cooperation and

coordination has

been identified but

The common areas of

cooperation and

Coordination has been

identified and prepared

The policy and

institutional structure

for co-operation and

coordination in

Meeting

minute of

related LGs

coordination

34

Indicator Condition -1 Condition -2 Condition -3 Condition -4 Means of

Verification

resources, industry,

infrastructure

development,

environment

conservation and waste

management,

Emergency service

management and

revenue collection etc.)

(LGOA Clause 26)

and also not taken

any initiation.

no initiation has

been taken to

prepare policy and

structure

policy and established

institutional structure.

common areas have

been prepared and

implemented

successfully in

respective LGs

meeting,

Record of

identified

coordination

areas.



10.2.1 Formation and operation of inter-LGs committee (more than two LGs) to address common interests.

(LGOA Clause 26)

No formation an inter-LGs committee to address common interests.

The committees of inter-LGs have been formed to address common interests of LGs but not functional.

The committees of inter-LGs have been formed to address common interest and the committee is functional

Records of joint committee formation meeting and attendance.

Record of agreed working areas of Joint committee, and numbers of meeting.

10.2.2 Cooperation and Coordination with non-governmental organizations and private Thematic Area

(LGOA Clause 25)

Not yet any policy to collaborate/coordinate with local NGOs and private Thematic Areas.

The policy for collaboration / coordination with local NGOs and private Thematic Area has been prepared but not yet implemented

The policy for collaboration / coordination with local NGOs and private Thematic Area has been prepared and fully practicing.

Copy of policy. Record of meeting & decisions, & no. of attendance on those meeting.



10.3.1 Inter-government

coordination and

facilitation

LGs have no information

about required

coordination, facilitation

and support to the

implementation of federal

and provincial

government’s

programme.


about required


and support to the

implementation of


government’s

programme. Established

coordination mechanism

but non-functional


about required


and support to the

implementation of


government’s

programme. Established

coordination mechanism

and it is functioning.

Record of running

programmes with

coordinated manners of three

level of governments.

Annual budget and program

10.3.2 Inter LGs

partnership

No any initiations have

been taken in the joint

venture management with

other LGs aiming to

reduce cost, optimum

utilization of the available

resources and effective

service delivery.

At least one program has

been implemented in the

joint venture

management with other

LGs aiming to reduce

cost, optimum utilization

of the available resources

and effective service

delivery.

More than one program

has been implemented in

the joint venture

management with other

LGs aiming to reduce cost,

optimum utilization of the

available resources and

effective service delivery.

Copy of annual development

budget & program.

Record of decisions by joint

meeting for partnership.

10.3.3 Coordination with

DCC

There is no discussion

held in LG’s executive

Discussions are held in

LGs executive level on

Discussions are held in

LGs executive level on

Copy of received monitoring

report

35


level on the suggestions

and feedbacks received

from DCC to facilitate the

development work.

the suggestions and

feedbacks received from

DCC to facilitate the

development work, but

not made any decision on

that agenda.

the suggestions and

feedbacks received

from DCC to facilitate

the development works

and decision made and

acted upon.

Of DCC with feedback.

Copy of meeting minute of

coordination meeting

organized by DCC.

36

B. Indicators (Additional) of Institutional Needs

Self-Assessment (INSA)

B.1 Thematic Area: Clarity on functional assignment of LG, Vision & Plan

Indicators Condition -1 Condition -2 Condition -2 Condition -4 Means of Verification

1.1. Clarity on

individual job responsibility

Chief, Deputy Chief, ward chairmen, committee coordinators and chief administrative officer are not clear about their work responsibilities.

Chief, Deputy Chief, and chief administrative officer are clear about their work responsibilities.

Chief, Deputy Chief, ward chairmen, committee coordinators, chief administrative officer are clear about their work responsibilities.

Chief, Deputy Chief, ward chairmen, committee coordinators, chief administrative officer and all section heads are clear about their work responsibility and complementing each other.

Copy of Work Division Regulation and ToR.

1.2. Long-

term vision and

mission

Long-term vision, goals

and objectives were

not been determined

so far and there has

been no discussion in

this regard.


and objectives were

not been determined

so far, but the

discussions were made

among the elected

representatives


and objectives were

determined, but the

discussions were not done

among the larger group of

elected representatives,

staffs, and other

stakeholders

Long-term vision,

goals and objectives

were determined, by

the inclusive

discussions among

the elected

representatives,

staff, and other

stakeholders.

Copy of

concerned

authorized

documents and

records

1.3. Long-

term Thematic

Areaal plans

No long-term Thematic

Areal plans were

developed, and


to meet the Long-term

vision, goals and

objectives

No long-term Thematic

Areal plans were

developed, but


among the elected

representatives, staff,

and other stakeholders

to meet the Long-term

among the vision,

goals and objectives

Long-term Thematic Areal

plans were developed, only

Chairman, Vice chairman,

CAO and a few elected

members are oriented and

clear about this

Long-term

Thematic Areal

plans were

developed on

inclusive basis, the

discussions were

made intensively

with broad

stakeholders. Plans

are in

implementation.

Copy of

documented

Thematic Areal

plans

1.4. Periodic

plan

No periodic plan has

been prepared and till

now there have been

no discussions in the

executive board on this

issue.

No periodic plan has

been prepared till now,

but there have been

discussions among the

representatives, staff,

civil society, and other

stakeholders made in

the executive board on

this issue.

Periodic plan has been

prepared, however there

was nobody clear about

periodic plan, except chair,

vice chair, CAO and few

staff

Periodic plan has

been prepared

inclusively with

intensive

discussions of chair,

vice chair, CAO few

staff, civil society,

DAG groups, and all

stakeholders. All of

them have equal

understanding about

periodic plan

Copy of

Periodic plan

and record of

discussions

1.5. Pride

projects and

project bank

No identification of

local pride projects and

preparation of project

bank

Some local pride

projects are identified

but detail projects

report is not prepared

The local pride projects are

identified, and the detail

projects report are

prepared for all and

integrated into annual plan

The local pride

projects are

identified, and the

detail projects report

are prepared for all

and project bank has

been prepared

The list of

project bank

and pride

projects

37

B.2 Thematic Area: Organization & Management


2.1

Organisational

structure

Implemented the organisational structure (Organogram) provided by the Ministry.

A review and discussions were made to review the organization structure provided the Ministry; however, the preparation is yet to complete

In order to prepare the working structure, all officials, staff and other stakeholders including the present structure have been reviewed but not implemented.

In order to prepare the working structure, all officials, staff and other stakeholders including the present structure have been approved and implemented.

Copy of approved Organogram

2.2 Creation of Job

positions, recruitment and posting

In addition to exceed the number of staffs come from adjustment process rather than ministry's approved O&M structure, and other contract based technical and non-technical staff were also working

All the staffs, who came from employee adjustment process were adjusted within the mandate of ministry's approved O&M structure, and other contract based technical and non-technical staff were also engaged at palika. No any request was made to the Public Service Commission for essential staff.

Only the staffs, who came from employee adjustment process under the mandate of ministry's approved O&M structure were inadequate to deliver the services. So far, request was made to the Public Service Commission to fulfil the positions. However, the service delivery was continued through contract based technical and non-technical staff.

The O&M was completed, and organisation structure was also approved by the palika. To fulfill the positions permanently, request was made to the Public Service Commission. Currently, the service delivery was continued through contract based technical and non-technical staff.

Personal Record of the Staff and request letter to the Public Service Commission

2.3. Institutional norms, values and working environment

No code of conduct was prepared to address the issues of institutional norms, value or morality of elected representatives.

The code of conduct is being prepared with involvements of representatives and staff.

A written code of conduct was prepared and with involvements of representatives, staff, and other stakeholders, and approved it

A written code of conduct was approved, and adopted as well as implemented by the participation of elected representatives, employees and other stakeholders and all concerned shall abide by it.

Documents of organisational code of conduct.

2.4. Work division between elected

Not approved by executive board about Work division and, Performance appraisal regulations

The work division and, Performance appraisal regulations were approved, nonetheless daily based administrative functions are completed by elected representatives

The work division and, Performance appraisal regulations were approved, nonetheless chair bypassed the board and took all decisions. At the end decisions were tabled to the upper level for approval

The work division and, Performance appraisal regulations were approved. Based on that, all works, and functions were implemented by the concerned representatives and sections

The work division and, Performance appraisal regulations

2.5. Internal communication

The copy of the decisions of the RM board and ward committees were not provided to the concerned sections and units.

The copy of the decisions of the RM board and ward committees were provided to the concerned sections and units.

The copy of the decisions of the RM board, ward committees, and staff meetings were provided to all board members, the concerned sections and units, and staffs.

The copy of the decisions of the RM board, ward committees, and staff meetings were provided to all board members, the concerned sections and units, and staffs. And publicize regularly through website

The copy of the decisions & website.

38

B.3 Thematic Area: Human Resource Management


3.1 Job Description

The Job Description of all Thematic Areaal units, ward offices, including committees and staff were not prepared

The Job Description of all Thematic Areaal units, ward offices, including committees and staff were already prepared, but yet to be approved

The Job Description of all Thematic Areaal units, ward offices, including committees and staff were already prepared, and approved, but yet to be implemented

The Job Description of all Thematic Areaal units, ward offices, including committees and staff were already prepared on participatory manner, which was approved and effectively implemented

Individual file with description

3.2 Leadership style of the elected

The regular meeting of the executive board, ward committees, and staff were not taking place, and the schedule of meeting were also not decided

The schedule of regular meeting for the executive board, ward committees, and staff was decided, however, the meetings were not taking place

The executive board meeting, ward committee meetings, and staff meetings were conducted regularly in scheduled time

The executive board meeting, ward committee meetings, and staff meetings were conducted regularly in scheduled time and interactions with concerned stakeholders were done for policy-based decisions.

Meeting minuets of the RM executive board, ward committees and staff meetings

3.3 Carrier Development opportunity of the staff

No job carrier opportunities plan for staff to keep the morale of the employees high

Job carrier opportunities plan was developed for staff to keep the morale of the employees high; it was not approved for implementation

Job carrier opportunities plan was prepared and approved, which was informed to all staff.

Job carrier opportunities plan was prepared and approved, which was informed to all staff and adequate budget was allocated

Document of Job carrier opportunities plan

3.4 Training to the staff

More than 75 percent of the employed employees did not receive any trainings related to entry level or in-service training

More than 50 percent of the employed employees received at least one training either entry level or in-service training

More than 50 percent of the employed employees received both trainings either entry level or in-service training

More than 50 percent of the employed employees received both trainings either entry level and in-service training or completed foreign study, exposure trainings

Record of the staff trainings

3.5 Orientation to the elected representative

The Chairman, and Vice chairman were participated in the orientation program organized by the Government of Nepal and other supporting agencies

The Chairman, Vice chairman and all executive members were participated in the orientation program organized by the Government of Nepal and other supporting agencies

The Chairman, Vice chairman all executive members, and all elected members were participated in the orientation program organized by the Government of Nepal and other supporting agencies

The Chairman, Vice chairman all executive members, and all elected members were participated in the orientation program organized not only by the Government of Nepal and other supporting agencies, but also organized by oneself

Records and document of the participation in the trainings

39

B.4 Thematic Area: Planning & project management


Verification

4.1 Annual Planning

process

In formulating the

Annual Plan, the

participatory

planning process

did not literally

follow the

guidelines

The participatory

planning process was

partially followed to

formulate the plan but

did not include the

topics provided by the

periodic plan in the

annual plan.

Following the

participatory

planning process,

the annual plan was

formulated. In the

annual plan, the

topics were included

guided by the

periodic plan, but

there was no time

bound with

responsibility matrix

was prepared

Following the participatory

planning process, the

annual plan was formulated.

In the annual plan, the

topics were included guided

by the periodic plan. There

was time bound with

responsibility matrix was

prepared and implemented

Copy of plan

formulation

meeting

minutes.

Record of

attendance.

4.2 Link between

Thematic Areaal plan,

Periodic plan and

annual plan

No Periodic plan

was formulated

The formulation

process of periodic

plan is going on. The

long-term vision has

been taken into

consideration while

formulating the

annual plan.

The periodic plan

has been formulated,

which is strictly

integrated, and

follow in the annual

plan. However, the

medium -term

expenditure

framework was not

prepared.

The goals, objectives,

strategies and activities set

out by the Periodic Plan

were followed by the Annual

Plan and also prepared in

the medium -term

expenditure framework

Documents of

Periodic plan,

Annual

Development

plan, and Med-

term

Expenditure

Framework

4.3 Annual policy &

budget allocation

(LGOA Clause 71 )

While formulating

the annual budget,

clear policies and

programs have not

been prepared in

line with long-term

goals, objectives

and development

priorities.

While formulating the

annual budget, the

policies and

programs have been

prepared, however,

there is no synergy

between policy

programs and budget

allocations.

Efforts to co-ordinate

between annual

policies and

programs and

budget allocations,

however, both are

presented together

that does not make

much sense.

Annual policies and

programs have been

prepared and approved after

intensive discussions and

the annual budget is

formulated based on the

approved policy and

program.

Annual

policies and

programmes,

Discussions

minuets and

Annual plan

4.4 Approved budget

implementation plan

Timely actions and

responsibilities for

implementing

budget policies

and programs are

not set out

Timely actions for

implementing budget

policies and

programs are set out,

but responsibilities

are not determined

An implementation

plan with timely

activities and

responsibilities has

been prepared but it

has not been

followed in a literal

way.

An implementation action

plan with timeline, and

responsibility was prepared

that directed to implement

the programme and budget,

so far expected results are

achieved in time manner.

Documents and

minuets of

implementation

plan of Annual

Development

Plan

4.5 Monitoring,

Evaluation and Quality

Assurance

There are no plans

related to

monitoring,

evaluation, and

quality control for

the implemented

project

One of the

procedures or annual

action plan related to

monitoring and

evaluation of the plan

was prepared but not

implemented

Project monitoring

and evaluation

related procedures

are followed to

monitor the project

but did not submit

the regular report

and discuss it with

the executive.

Indicator based monitoring,

evaluation and quality

control procedures or action

plans have been approved

and implemented. Also, the

action has been taken by

the Executive Board based

on monitoring report.

Copy of

meeting

agenda and

decisions for

monitoring,

evaluation and

quality control

procedures

40

B.5 Thematic Area: Fiscal Management


Verification

5.1 Utilisation of

Federal budget and

grant

No budget allocation

for the matching fund

and special grants

available by Federal,

and no proposals are

submitted on time

and did not return the

non-spent amount of

conditional grants on

time.

Budget allocation for

the matching fund

available by

federation, proposals

are submitted on time,

but did not return the

non-spent amount of


time.


the matching fund

available by

federation,

proposals are

submitted on time,

and returned the

non-spent amount of


time.

The budget amount which is

received by the federal and

provincial government in the

form of revenue sharing is

included in the annual

budget, and some

percentage of the revenue

sharing budget is expended

for development work.

Letters from

Supplementary

and Special

Grants

Demands and

Source

Estimates,

5.2 Utilisation of

Provincial budget and

grant

Not budget allocation

for the matching fund

and special grants

available by province,

no proposals are

submitted on time

and did not return the

remaining amount of


time.


the matching fund

available by province,

proposals are

submitted on time, but

did not return the

remaining amount of


time.


the matching fund

available by

province, proposals

are submitted on

time, and returned

the remaining

amount of


time.

The budget amount which is

received by the federal and

provincial government in the

form of revenue sharing is

included in the annual

budget, and some

percentage of the revenue

sharing budget is expended

for development work.

Reports of

Budget income

and

expenditure

5.3 Revenue sharing

and use of royalty

Revenue Sharing and

Royalty are not

included in the

budget. The received

amount from revenue

distribution has been

used for

administrative

expenses.

Revenue Sharing and

Royalty which are

received from federal

and provincial

government are

included in the

budget, and the

received amount from

revenue distribution

has been used for

administrative

expenses.

Revenue Sharing

and Royalty which

are received from

federal and

provincial

government are

included in the

budget, and some

percentage of the

received amount

from revenue

distribution has been

expended for

development works.

Revenue Sharing and

Royalty are included in the

budget. The received

amount from revenue

distribution has been used

few percentages for

administrative expenses,

and larger volume expended

for development works.

Reports of

Budget income

and

expenditure

5.4 Status of the

internal revenue

mobilization

Internal sources of

revenue, taxes,

service charges,

customs, sales, rent

and cost participation,

are not been

sufficiently utilized

Most of the potential

internal resources are

mobilised, and the

Revenue Advisory

Committee analyses

the potentiality of

internal revenue and

submits reports.

All potential sources

of internal revenue

identified and

mobilised, the

Revenue Advisory

Committee has

made intensive

discussions with

stakeholders on tax

and non-tax rate,

scope and revenue

policy matters.

All potential sources of

internal revenue have been

identified and mobilized. Tax

rates have been made

progressive, revenue reform

action plans have been

approved and implemented

for internal revenue

mobilization. The Revenue

Advisory Committee is

active in all these matters.

Revenue

Advisory

Committee

Decision

minuet.

5.5 Status of the

revenue

administration

A separate revenue

section has not been

established and

staffed are not

positioned according

to the organisation

norms

A separate revenue

section has been

established and

staffed are positioned

according to the

organisation norms

A separate revenue

section has been

established and

staffed are

positioned according

to the organisation

norms. Also, various

training is provided

to the staff

A separate revenue section

has been established and

staffed are positioned

according to the

organisation norms. Also,

various training, equipment,

software, and work

procedures have been

provided to the staff

Organisation

structure,

Physical

condition of the

section and

capacity

development

records of the

staff

41

B.6 Thematic Area: Financial Administration


Verification

6.1 Public

Procurement

management

There is no annual

procurement plan

prepared and no

separate public

procurement

regulation is existed

Annual procurement

plan was prepared

and approved. Based

on that goods and

services are procured.

However, no separate

public procurement

regulation is existed

Annual procurement

plan was prepared

and approved.

Based on that goods

and services are

procured. And, a

separate public

procurement

regulation is

approved

A master plan for

procurement was

prepared and approved.

Based on that goods

and services are

procured. And, a

separate public

procurement regulation

is approved

Copy of Public

Procurement

regulation, Copy of

Procurement

master plan, Copy

of Annual

Procurement plan

and procurement

related documents

6.2 Property

verification, handover

and protection

No inspection has

been done to store

section annually, but

only a few people

follow the handover

process, but no

record is maintained

on the leasing, land

and other property

Even though store

section was inspected

annually, the report

does not take action.

Most employees use

to handover the

property when they

leave, only these

records are used to

maintain

Regular inspection

of store section was

done, and action has

been taken partially

based on inspection

report. Most of the

representatives and

staff are handed

over the property,

which they used

Regular inspection of

store section was done,

and action has been

taken based on

inspection report. All

representatives and staff

are handed over the

property, which they

used. Also keep the

track record of public

land property

Store section

inspection report

and copies of the

proceedings taken

on it, records of

property.

6.3 Expenditure

accounting and

reporting system

The expenditure

accounting software

(SUTRA) was not

implemented, and the

expenditure report

was not tabled to the

executive board

meeting and the

concerned agencies.

The expenditure

accounting software

(SUTRA) was

implemented, and the

expenditure report

was tabled to the

executive board

meeting

The expenditure

accounting software

(SUTRA) was

implemented,

monthly reports are

prepared and

forwarded to the

executive board

meetings and

concerned agencies

The expenditure

accounting software

(SUTRA) was

implemented, monthly,

quarterly, and annual

reports are prepared

and forwarded to the

executive board

meetings, federal

government, provincial

government and other

concerned agencies.

Also, publicized through

website

Monthly, quarterly,

and annual reports

produced through

SUTRA software,

and copies of the

letter

6.4 Internal audit There is no internal

audit section, and no

internal audit was

done

There is no internal

audit section,

however internal audit

has been done of

District Treasury

Controller Office

Internal audit section

was established,

and staff has been

recruited. And

complete all internal

audits before the

final audit

Internal audit section

was established, and

staff has been recruited.

And regular internal

audits are completed

Report of the

Internal audit.

6.5 Final audit No timely response to

audit arrear, as

indicated by the final

audit. And not

submitted any

evidences timely to

update it.

The pointed audit

arrear by final audit

has been forwarded

to FCGO within 35

days and audit arrear

data has been

updated.

The pointed audit

arrear by final audit

has been forwarded

to FCGO within 35

days, but the audit

arrear data has not

been updated.

The pointed audit arrear

by final audit has been

forwarded to FCGO

within time and audit

arrear data has been

updated regularly.

Documents of

FCGO, and Final

audit report and

update records

42

B.7 Thematic Area: Service Delivery Management

Indicator Condition -1 Condition -2 Condition -3 Condition -4 Means of Verification

7.1 Service Delivery of Economic Thematic Area services

Out of the total development cost of the last 2 years, less than three percent has been invested in the areas of economic development (agriculture, industry, trade, commerce, employment, etc.).

Out of the total development cost of the last 2 years, less than five percent has been invested in the areas of economic development (agriculture, industry, trade, commerce, employment, etc.).

Out of the total development investment of the last 2 years, less than ten percent has been invested in the areas of economic development (agriculture, industry, trade, commerce, employment, etc.).

Out of the total development investment of the last 2 years, more than three percent has been invested in the areas of economic development (agriculture, industry, trade, commerce, employment, etc.).

Records of development expenditures made in the last 2 years in the economic development Thematic Area .

7.2 Service Delivery of Social Thematic Area services

The social Thematic Area services could not be operated by targeting women, Dalits, endangered indigenous peoples, persons with disabilities, children and senior citizens and the poor.

The social Thematic Area services to some extend are operated by targeting women, Dalits, endangered indigenous peoples, persons with disabilities, children and senior citizens and the poor.

The targeted programs were launched through clustering of social services to women, Dalits, endangered indigenous peoples, persons with disabilities, children and senior citizens and the poor.

Based on poverty mapping the social Thematic Area services were delivered to women, Dalits, endangered indigenous peoples, persons with disabilities, children and senior citizens.

Copy of Poverty mapping documents, annual development program, and investment document

7.3 Infrastructure Service Delivery

Infrastructure Services were operated on the recommendation of the RM Chairperson and ward chairperson

Based on the recommendation of the RM Chairperson, ward chairperson, and executive board member, as well as the commitment to complete the past continuous planning, Services were operated.

In order to achieve the goals of Infrastructure Services, thematic Thematic Areaal demands, approved transport master plans, the commitment has been made to operate newly identified and past regular projects

In order to achieve the goals of Infrastructure Services, ward level demands, thematic Thematic Areal demands, approved transport master plans, energy, and other, building construction projects, and periodic plan, the commitment has been made to operate newly identified and past regular projects

Periodic and annual planning documents, infrastructure services demand and delivery related document

7.4 Institutional Service Delivery

Local government recommendations including Institutional development and other services are delivered on the recommendation of the RM chair, and ward chair.

Local government recommendations including Institutional development and other services are delivered through use of ICT on the recommendation of the RM chair, and ward chair, and executive board members.

Local government recommendations including Institutional development and other services are delivered based on standard operation guidelines, and use of ICT

Local government recommendations including Institutional development and other services are delivered based on standard operation guidelines and use of ICT. If not that, mobile camps were organised palika, and ward to provide the services at the doorsteps of the citizen

Approved Standard guidelines and working procedure documents

7.5 Service Quality management

No activities were organised to manage the service quality

To maintain the quality of services, inspections and monitoring were implemented from time to time

To manage the quality of services, periodically inspection and review were implemented

To manage the quality of services according to the approved service standard, the consumer surveys, laboratory tests, inspections, monitoring and reviewing and improvement work plan were implemented. Based on the results, improvement plan was prepared implemented

Inspection, and Monitoring reports

43

B.8 Thematic Area: Internal & external coordination


8.1 Inter-relationships with Federal institutions

No working relationship were made with any federal agencies

Attempts were made to establish working relationships with the District Administration Office, Police Office, Courts and Educational Knowledge Center

The working relationships was established with the District Administration Office, Police Office, Courts and Educational Knowledge Center, and programmes were implemented

The working relationships was established with the District Administration Office, Police Office, Courts and Educational Knowledge Center, and other complementary and nurturing relationships were maintained to implement the projects and programmes

Copy of the dispatched letter and meeting minuets

8.2 Inter-relationships with Provincial institutions

No working relationship were made with any provincial agencies

Attempts were made to establish working relationships with provincial Thematic Areaal division offices, provincial planning commission, provincial ministries

Established working relationships with the provincial Division Offices, provincial planning commission, provincial ministries, and tried to streamline programs and services in the absence of duplication.

The working relationships was established with the provincial Division Offices, provincial planning commission, provincial ministries, and other complementary and nurturing relationships were maintained to implement the projects and programmes


8.3 Inter local government coordination

The working relationship has not been established with other RMs/ municipalities located in the nearby or in remote areas.

Attempts have been made to establish working relationships with other RMs/ municipalities in development infrastructure, service delivery, revenue mobilisation and other functions.

Attempts have been made to work with the joint committees by establishing working relationships with other RMs/ municipalities in development infrastructure, service delivery, revenue mobilisation, capacity development and other functions.

Establish working relationships with other RMs/ municipalities by establishing working relationships on development, service delivery, revenue mobilisation, capacity development and so on, and conducting programs in a collaborative manner through a joint committee.


8.4 Coordination with NGOs

Non-functional coordination with NGOs operating within RM

Invite all NGOs operating within RM to interact and share in each other's activities through interaction and co-ordinate to avoid duplications.

Inviting all non-governmental organizations operating within RM to participate in the activities through interaction and co-ordinate to avoid duplications. Also, included the budget plan and program of the NGO in RM plan and programme.

Inviting all non-governmental organizations operating within RM to participate in the activities through interaction and co-ordinate to avoid duplications. Also, included the budget plan and program of the NGO in RM plan and programme, and conducted RM's programme through NGOs.


8.5 Coordination with Private Thematic Area

No working relationships were

Encourage the private Thematic Area to work jointly in revenue

In coordination with the private Thematic Area, in addition to

In coordination with the private Thematic Area, in addition to revenue

Copy of the dispatched letter

44


made with the private Thematic Area.

mobilisation, establishment of industrial villages and social responsibility

revenue mobilisation, establishment of industrial villages and social responsibility; an agreement was made with private Thematic Area, including the Commerce and Industry Association, to follow and implement the creative and innovative models developed by the private Thematic Area

mobilisation, establishment of industrial villages, industrial infrastructure construction, agriculture product collection and refine, employment creation including social responsibility; an agreement was made with private Thematic Area, including the Commerce and Industry Association, to follow and implement the creative and innovative models developed by the private Thematic Area

and meeting minuets

B.9 Thematic Area: Public accountability Management


9.1 Interaction with Citizens on public concerned issues

Consultations were made only with civil society and some stakeholders in the issues of citizen concern, while formulating plans, implementation other very of services

Consultations were made with women, children, youth, professional organizations, endangered and marginalised communities, civil society and other stakeholders in the issues of citizen concern, while formulating plans, implementation and delivery of services

Consultations were made with civil society and other stakeholders including women, children, youth, professional organizations, endangered and marginalized communities in formulation of the plan and its implementing as well as dissemination of the services, Also, received suggestions were included in the policy, strategy and programs

Consultations were made with civil society and other stakeholders including women, children, youth, professional organizations, endangered and marginalized communities on issues of civic concern while formulating plans and its implementation and delivery of services, incorporating the suggestions received in the policy, strategy and programs and periodically revising it.

Correspondence document and meeting minuets.

9.2 Publicise of executive board decisions and other executive major decisions

No other main documents and decisions were made public through Gazette, except those Acts, which were passed by the assembly

Only the Acts, regulations, procedures, and directories approved by executive board were made public through Gazette, except these, other decisions were not made public

All approved Acts, regulations, procedures, and directories by the executive board were made public through Gazette and website. In addition, other important documents were also publicised for federal level concerned stakeholders

All approved Acts, regulations, procedures, and directories by the executive board were made public through Gazette and website. Further, the details of the important decisions of the Executive board, the expenditure details, audit report and other important documents, including arrear, are made public on the website and information is made public for all concerned stakeholders.

Published local gazettes, webpages and documents in the information center

45


9.3 Documentation and apply of constitutional bodies' direction and instruction

Following the directions given by Constitutional Bodies, including the FCGO and the Commission for Investigation of Abuse of Authority, did not respond in a timely manner.

Following the directions given by Constitutional Bodies, including the FCGO and the Commission for Investigation of Abuse of Authority, and respond in a timely manner.

Following the directions given by the Constitutional Bodies, including the FCGO and the Commission for Investigation of Abuse of Authority, and prepare the files and data of each instruction and send periodic respond

Following the directions given by the Constitutional Bodies, including the FCGO and the Commission for Investigation of Abuse of Authority, and prepare the different files and data base of each body, send periodic replies and keep up to date with constant contact.

Records of related to correspondence and files

9.4 Relationships with Media

No interactions and discussions were made with local media, F.M. Radio and television channels about the effectiveness of the service delivery

Interactions and discussions were made with few of the local media, F.M. Radio and television channels about the effectiveness of the service delivery

Interactions and discussions were made with few of the local media, F.M. Radio and television channels about the effectiveness of the service delivery. Also, a systematic record keeping system was maintained about the comments on media regarding the effectiveness of the service delivery

Interactions and discussions were made with available local media, F.M. Radio and television channels about the effectiveness of the service delivery. Also, a systematic record keeping system was maintained about the comments on media regarding the effectiveness of the service for further improvements.

Records of related to correspondence and Meeting minuet Book of Palika Executive Board

9.5 Use / Implementation of the public accountability tools

Only one of two tools of public accountability, such as service satisfaction surveys, public audit, public hearings, social audit, regular media meetings, third-party monitoring and information publicisation, was adopted.

Most of the tools of public accountability, such as service satisfaction surveys, public audit, public hearings, social audit, regular media meetings, third-party monitoring and information publicisation, was adopted.

Most of the tools of public accountability, such as service satisfaction surveys, public audit, public hearings, social audit, regular media meetings, third-party monitoring and information publicisation, were adopted periodically and results made public.

Most of the tools of public accountability, such as service satisfaction surveys, public audit, public hearings, social audit, regular media meetings, third-party monitoring and information publicisation, were adopted periodically and results made public. To improve the service delivery, a systematic action plan was prepared and implemented

Reports and records

B.10 Thematic Area: Knowledge management


10.1 Documentation and publication of the Acts and Legal documents

Only some of the laws, passed by the assembly in the past have been codified.

Every law, passed by the assembly were coded and recorded

Every law, passed by the assembly were coded and recorded are published for public information

Every law passed by the assembly were coded and recorded are published for public information. Additionally, it has been accessed to website and available in palkia's library

Published local guzzets, and palika's website

46


10.2 Documentation of learning

As of the local government, the learnings are not codifying and recorded at the palika

As of the local government, decisions were made to codify and record the major learnings, but codification and recording yet to implement

As of the local government, decisions were made to form a task force team to collect the major learnings, and decided to publish the records

As of the local government, decisions were made to form a task force team to collect the major learnings and published the records. Additionally, it has accessed on website and available in library

Published books and record, Palika website

10.3 Documentation of the major achievements

Significant achievements are not recorded mainly in the infrastructure, economic, social and physical Thematic Areas

Decisions were made to record the significant achievements mainly cost of construction, builders, construction period, and the age of construction of infrastructure, economic, social and physical Thematic Areas

Records were maintained of the significant achievements mainly cost of construction, builders, construction period, and the age of construction of infrastructure, economic, social and physical Thematic Areas

Records were maintained of the significant achievements mainly cost of construction, builders, construction period, and the age of construction of infrastructure, economic, social and physical Thematic Areas. Additionally, it has accessed on website and copies were available in library


10.4 Documentation of the best practices

Unable to record and codify the best practices

It has been decided to inform other local government as well as upper level governments by recording and codifying best practices.

Record and codification of the best practices were made and published it to inform other local level and upper level governments

Record and other of the best practices were made and published it to inform other local level and upper level governments. Additionally, it has accessed on website and available in library


10.5 Management of the Library and Information Centre

Unable to manage and establish the library and information centre

Decision was made to establish the library and information centre

Resources was managed to establish the library and information centre, whereby information, books and newspaper are available

Resources was managed to establish the library and information centre, whereby information, books and newspaper are available. Through this, website was managed, and information were updated

Records, Palika website

Mott MacDonald | Local Government Institutional Self-Assessment (LISA): Experience and Lessons Learned from ten Gaunpalikas

| | | | September 2020

C. Working schedule of LISA process

Day Activities

1st Day ● Introductory meeting.

● Facilitation to Gaunpalika in order to send a letter to the Ministry of Federal Affairs and General Administration

for permission to online entry of the self-assessment’s results.

● Orientation in the concept, importance, method and process of institutional self-assessment (Participants:

Chairperson, Vice-Chairperson, Executive Committee Members, available Ward Committee Members, Ward

Secretaries, Chief Administrative Officer, Section Heads, political parties’ representatives, and other

stakeholders).

● Focus Group discussion with executive committee’s female members on how the executive functions.

2nd Day ● Field trip to some Ward Committee Offices (2-3). Group discussions and information collection with service

seekers and service providers.

● Collection of information through different focus group discussions with Officials of Consumer Committees

available in the Wards, former teacher’s representative, women's network representative etc. in the areas of

service delivery, development activities, ways of people's representatives work, hearing and management of

complaints of service seekers etc.

● Discussions and collection of information with Thematic Areaal Unit Heads and Section Heads regarding

decision making process, leadership style of the chief administrative officer, inter-section communication,

method of internal communication between people's representatives and staff, process of performance

appraisal etc.

3rd Day ● Analysis in group about the strengths and weaknesses, and the opportunities and threats (SWOT) of the

organization in the 12 thematic areas of the institutional self-assessment, then presentation, discussion, and

finalization in a large group.

● Detailed discussion on 150 indicators under 12 thematic areas, selection of current status in each indicator of

the Gaunpalika with the consensus of all with a clear basis (evidence) for verification. During the discussion, the

facilitators assist to bring the discussion to a logical conclusion by presenting the information obtained from the

various group discussions and field observation. The discussion was held in a large group at the beginning,

various small mixed groups in the middle, and a large group discussion with conclusion at the end.

(Participants: Chairperson, Vice-Chairperson, Executive Committee Members, available Ward Committee

Members, Ward Secretaries, Chief Administrative Officer, Section Heads, political parties’ representatives, and

other stakeholders).

4th Day ● Collection of official evidence as mentioned in the Institutional Self-Assessment Procedure, 2075 by confirming

the current status identified in all indicators.

● In order to attain the expected outcome of indicators as identified in each indicator by considering the specific

location, what activities need to be done and can be done in the following days.

(Participants: Chairperson, Vice-Chairperson, Executive Committee Members, available Ward Committee

Members, Ward Secretaries, Chief Administrative Officer, Section Heads, political parties’ representatives, and

other stakeholders).

● To enter the result of self-assessment on online along with the proof under the initiative of the Information and

Technology Officer of the concerned Gaunpalika to provide essential technical support by the consultants in

this work.

5th Day ● In order to develop the Institutional Capacity Development Strategic Action Plan by mentioning the

implementation responsibilities, necessary time frame, required additional financial resources regarding the

activities identified to improve the current situation and reach the expected situation in day-4, under the

leadership of the Chairperson, Vice-Chairperson, Chief Administrative Officer, Section Heads, and Advisor of

planning and governance of Purnima project. It was agreed to set a time limit of 1 to 2 years while preparing the

action plan.

● Concluding the self-assessment programme with the commitment of the Chairperson and Chief Administrative

Officer to effectively implement the action plan.



D. Modified (Revised) Schedule for 5

working days of LISA as proposal

Day Activities

1st Day Introductory meeting at the Executive Office.

Facilitation to respective LG in order to send a letter to the Ministry of Federal Affairs and General

Administration to get permission for online entry of self-assessment’s results.

Field visit (2-3) to some Ward Committee Offices. Group discussions and information collection with

service seekers and service providers.

Collection of information through different group discussions with Officials of User Committees available in

the Wards, former teacher’s representative, women's network representative etc. in the areas of service

delivery, development activities, ways of people's representatives work, hearing and management of

complaints of service seekers etc.

2nd Day ● Orientation about the concept, importance, method and process of institutional self-assessment.

● SWOT analysis of the organization in the thematic areas of institutional self-assessment.

(Participants for both activities: Mayor/Chairperson, Dy.Mayor/Vice-Chairperson, Executive Committee

Members, available Ward Committee Members, Ward Secretaries, Chief Administrative Officer, Section

Heads, some selected staff, and some stakeholders’ representatives).

Formation of Self-Assessment Support Group (Administrative, Financial, Women and Children,

Information Technology Officers)

● Working group formation (composition: Admin, Finance, Women and Children & information Section

Chiefs) for collection of the evidence based on the indicators of Guideline.

● Focus group discussions and collection of information with female members of executive committee and

section heads.

Interval of 7 to 10 days

In the interval, working group will responsible for collection of information about the status of own organization based on the

indicators of self-assessment and the required evidence for it.

3rd Day ● In-depth discussion on self-assessment indicators, selection or rating of current status/situation on each

indicator by agreement with a clear basis of verification.

● Discussion on identification of major required activities to minimize the identified gaps

(Participants for both activities: Mayor/Chairperson, Dy.Mayor/Vice-Chairperson, Executive Committee

Members, available Ward Committee Members, Ward Secretaries, Chief Administrative Officer, Section

Heads, some selected staff, some stakeholders’ representatives).

4th Day ● Finalise the collection of official evidence to confirm the current status identified by participants in all

indicators as mentioned.

● Organize in-depth discussion led by the Chief Administrative Officer, Section Heads and working Group

for preparation of draft on Institutional Capacity Development Strategic Action Plan on the basis of

identified major activities.

● Online entry of self-assessment’s results with proof under the initiative of the Information and Technology

Officer, and provide essential technical support by the consultants in this work.

5th Day ● If required, modification and finalization of draft of Action Plan by discussing with Mayor/ Chairperson, Dy-

Mayor or Vice-Chairperson in the presence of Chief Administrative Officer and Section Heads.

● Completion of online entry of self-assessment’s results with means of verification.

● Closing of self-assessment programme with the commitment of Mayor/Chairperson, Dy-Mayor/Vice-

Chairperson and Chief Administrative Officer for effective implementation of Action Plan.



E. Gaunpalika Scores



E.1 LISA Indicator Scores

Gaunpalika

Governance

System

Organization

and

Administrn.

Annual

Budget and

Plan Form.

Fiscal and

Financial

Management

Service

Delivery

Judiciary Physical

Infra-

structure

Social

Inclusion

Environ-mental

Conservation and

Disaster Mgt

Coopn.

and

Coord.

Total

Marks

Thakre 7.00 5.35 8.89 8.58 12.33 6.41 7.38 7.05 6.16 4.22 73.37

Jwalamukhi 7.00 5.91 8.18 8.72 10.73 5.91 8.58 5.05 5.66 4.56 70.30

Ajirkot 6.90 4.95 8.86 8.15 7.88 7.14 8.10 6.12 7.48 4.47 70.05

Tadi 6.20 5.09 9.52 7.75 10.21 7.62 6.39 4.59 7.79 3.50 68.66

Siranchowk 6.50 4.87 7.43 7.16 8.60 7.14 6.30 5.70 6.22 3.06 62.98

Dupcheshwar 6.40 4.39 6.55 6.39 8.94 6.57 6.30 5.24 6.76 5.03 62.57

Kispang 3.89 4.73 7.37 8.825 9.34 6.953 7.091 5.09 4.486 3.08 60.85

Naukunda 4.90 4.97 6.94 8.03 9.41 6.97 5.13 4.87 4.62 3.88 59.72

Dharche 5.20 4.47 6.72 7.64 8.10 6.11 5.34 4.26 4.29 3.81 55.94

Khaniyabas 6.40 4.19 7.63 8.15 7.25 4.80 4.94 3.75 4.40 3.44 54.95



0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Thakre Jwalamukhi Khaniyabas Ajirkot Siranchowk Dharche Tadi Dupcheshwar Kispang Naukunda

Dhading Gorkha Nuwakot Rasuwa

Governance System Organization and Administrn. Annual Budget and Plan Formulation

Fiscal and Financial Management Service Delivery Judiciary

Physical Infra-structure Social Inclusion Environ-mental Conservation and Disaster Management

Cooperation and Coord-ination



E.2 Additional (INSA) Indicators

Gaunpalika

Clarity on

Job Respon-

sibility, Long

Term Vision

Organization

and

Management

Human

Resource

Management

Planning

Management

Revenue

Management

Financial

Administrati

on

Service

Delivery

Management

Internal and

External

Coordination

Public

Accountability

Management

Knowledge

Management

Total

Marks

Ajirkot 6.4 5.6 6.4 7.0 6.5 8.5 8.4 5.6 10.8 4.5 69.7

Tadi 6.8 4.0 6.8 8.0 9.5 7.0 11.9 3.6 6.6 3.5 67.7

Jwalamukhi 7.2 4.4 7.2 5.0 7.5 7.0 9.8 6.4 7.8 4.0 66.3

Thakre 5.2 3.6 5.0 7.5 8.0 7.0 10.5 5.6 7.2 3.5 63.1

Dupcheshwar 6.4 2.8 6.4 4.5 5.5 7.5 8.4 6.0 6.6 3.0 57.1

Khaniyabas 5.2 4.0 5.2 6.0 8.5 3.0 7.0 3.6 6.0 3.0 51.5

Siranchowk 4.8 3.6 4.8 6.0 5.0 5.5 8.4 4.8 5.4 3.0 51.3

Dharche 6.4 3.2 4.5 5.5 5.5 6.0 5.6 4.8 6.0 3.0 50.5

Naukunda 4.4 4.0 4.4 3.5 6.0 4.0 8.4 3.2 4.8 3.0 45.7

Kispang 3.6 5.6 3.5 4.5 5.5 5.5 5.6 2.8 6.0 3.0 45.6



0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Thakre Jwalamukhi Khaniyabas Ajirkot Siranchowk Dharche Tadi Dupcheshwar Kispang Naukunda

Dhading Gorkha Nuwakot Rasuwa

Clarity on Job Respon-sibility, Long Term Vision Organization and Management

Human Resource Management Planning Management

Revenue Management Financial Administration

Service Delivery Management Internal and External Coordination

Public Accountability Management Knowledge Management



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