Hariyo Ban Program. Handbook for Participatory Governance Assessment at Community Forest User Group Level

Transcription

1 Hariyo Ban Program Handbook for Participatory Governance Assessment at Community Forest User Group Level

2 Hariyo Ban Program Revised Version Handbook for Participatory Governance Assessment at Community Forest User Group Level

3 CARE Nepal 2012, All rights reserved Any reproduction of this publication in full or in part must mention the title and credit to CARE Nepal. Published by CARE Nepal Central Office 4/288, SAMATA Bhawan Dhobighat, Lalitpur P.O. Box 1661, Lalitpur, NEPAL Tel: , Fax: Web: This handbook was prepared by SAGUN and SAMARPAN Programs of the CARE Nepal with the financial support from USAID. Based on the learning and practices to date, this handbook has been further revised and updated in May 2012 by CARE Nepal, Hariyo Ban Program. Hariyo Ban Program is also USAID funded five years program being implemented by four consortium partners WWF Nepal (prime partner), CARE Nepal, FECOFUN and NTNC in different districts of Chitwan Annapurna Landscape and Terai Arc Landscape since Illustration and photo credit WWF Nepal, Hariyo Ban Program & CARE Nepal, Hariyo Ban Program Publication Service Design & Layout: Shashi Neupane Printed at : Munal Offset Printers, Tel , Disclaimer This handbook is made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents of this handbook are the responsibility of CARE Nepal and do not necessarily reflect the views of USAID or the United States Government.

4 About this handbook This handbook was prepared based on the previous experiences of CARE Nepal on capacity assessment of community based organizations (CBOs) using a spider model (A Trainers Guide to Monitoring Community Organizations Capacities, CARE Nepal, 1997). Based on this tool, USAID funded SAMARPAN Program ( ) and SAGUN Program ( first phase and extension phase) of CARE Nepal prepared the Participatory Governance Assessment (PGA) tool for different community groups, such as community forestry users groups, saving-credit groups, and drinking water users groups. It was massively applied in various groups as part for internal governance improvement. Primarily, this handbook has been designed to assess the governance status of the community forest users groups (CFUGs). All the parameters and indicators listed in this PGA tool may not be equally applicable to all types of groups located in different physiographic zones and with different management modalities. In every group, governance status may not be similar. Based on the specificity of the groups, their objectives, programs and practices may differ. Hence, the indicators illustrated in the matrix may need to be contextualized, explained and analyzed in detail as per the contexts of the groups. Thus, this book had been further reviewed and updated for application in the Hariyo Ban Program incorporating the program s core themes and cross cutting issues. This book is not a means to evaluate the groups by external agencies. Rather, it is used to assess good governance practices in community forest users groups following a participatory process. While doing PGA, a group of selected participants evaluates the extent to which the decision making and management practices comply with the four pillars of good governance: transparency, participation, accountability and predictability. The assessment is guided by a set of sixteen

5 governance indicators which participants rate as very good, good, moderate or poor. Responses are recorded on a matrix and later presented visually as a spider-web diagram. Finally, a Governance Improvement Action Plan is formulated. In addition to ensuring that monitoring and evaluation processes are participatory, use of this tool can help to improve the overall functioning of a community forest users group and its ability to manage natural resources in an equitable and sustainable manner. This tool has proved very useful to promote internal governance of community forest users groups by identifying their strengths and areas to be improved. There are lots of good examples that show that different groups have made adequate improvement in governance in a short period. As this tool presents group s status in a spider web, it is also simple to understand. Even a layman in community can see their present status and determine the expected status in future. This handbook can be further revised incorporating the learning and experiences during the course of program implementation. Dev Raj Gautam Team Leader CARE Nepal, Hariyo Ban Program

6 Table of Contents About this handbook Table of Contents Abbreviations and Acronyms 1. Background 1 2. Concept and meaning of good governance 2 3. Good Governance in Natural Resource Management 4 4. What is Participatory Governance Assessment? 4 5. Elements of good governance Transparency Indicators of transparency Participation Indicators of Participation Accountability Indicators of accountability Predictability Indicators of predictability The inter-relationship between the elements of pillars of good governance Participatory governance assessment matrix The Participatory Governance Assessment Process Categorization of CFUG as per the governance status Materials required for the analysis 22 Annexes 23

7 Abbreviations and Acronyms BZCFUG CBO CC CF FOP CFUG CSO DDC DFO DoF EC FECOFUN GLA GIP GoN GESI HHs IGA LIP LRP M&E NFDIN NGO NRM NTFP NTNC PGA Buffer Zone Community Forest Users Group Community Based Organization Climate Change Community Forest Forest Operation Plan Community Forest Users Group Civil Society Organization District Development Committee District Forest Office/Officer Department of Forests Executive Committee Federation of Community Forestry Users in Nepal Government Line Agency Governance Improvement Plan Government of Nepal Gender Equality and Social Inclusion Households Income Generating Activity Livelihood Improvement Plan Local Resource Person Monitoring and Evaluation National Foundation for Development of Indigenous Nationalities (Nepal) Non-Governmental Organizations Natural Resource Management Non-Timber Forest Product National Trust for Nature Conservation Participatory Governance Assessment

8 PHPA PM&E PVSE PWBR RIMS-Nepal S.N. SAGUN SAMARPAN UNDP USAID VDC Public Hearing and Public Auditing Participatory Monitoring & Evaluation Poor, Vulnerable and Socially Excluded Participatory Well-Being Ranking Resources Identification and Management Society- Nepal Serial Number Strengthened Action for Governance in Utilization of Natural Resources Strengthening the Role of Civil Society and Women in Democracy and Governance United Nations Development Program United States Agency for International Development Village Development Committee

9 1. Background Nepal is a very rich in natural resources. Water and forest resources are regarded as the main resources gifted to us. These resources have not been utilized properly to uplift the economy of the people and gain maximum productivity. The reasons behind this are inadequate awareness among the citizens, insufficient coordination among the key stakeholders, weak enforcement of policies, and poor monitoring and evaluation, even if there are lots of good policies in place. CARE Nepal has been implementing community development programs through different projects since In recent years, CARE Nepal has been implementing various programs in collaboration and partnership with the government and the civil society organizations. The programs include rights-based approach, social mobilization and women s empowerment aiming at capacity enhancement and community development focusing on poor, vulnerable and socially excluded groups. SAGUN program was one of them among others. SAGUN Program was implemented from November 2002 until December 2006 in 24 out of 75 districts of Nepal to i) ensure the democratic management of Nepal s natural resources, ii) improve the performance of selected institutions to meet the principles of good governance and iii) ensure the equitable distribution of benefits derived from natural resources management. Initially, the program had three components on Forestry and Buffer Zone; Irrigation; Partnership for Hydropower and a fourth component a Policy Advocacy Campaign (PAC) was added in September The two components on Irrigation and Partnership for Hydropower were phased out in December The program was further extended for 21 months in January 2007 in order to replicate and institutionalize the best practices and lessons learned in the Forestry and Buffer Zone Component to which a Livelihood Component was added. The program was implemented by the consortium of CARE Nepal as a prime and WWF Nepal, RIMS Nepal and Federation of Community Forestry Users in Nepal (FECOFUN). SAGUN Program worked to ensure that NRM groups were aware of their rights and responsibilities, and that they have access to information to enable them to make informed decisions about sustaining themselves. This program also strengthened communication systems for information sharing, monitoring, mediation and advocacy for district, regional and national level policy development. Underlying this, whole program aim was to increase the role of women and disadvantaged groups. During its first phase, SAGUN Program supported the formation and strengthening of more than 850 CFUGs and strengthened the governance system of more than 2000 CFUGs and BZCFUGs. It also 1

10 built the management capacity of Water Users Groups (WUGs) and their Associations (WUAs), CBOs, hydropower affected communities, local NGOs as well as the central and district chapters of FECOFUN. With governance strengthening as a core theme, SAGUN Program conducted PGA on a massive scale. Therefore, this Handbook for Participatory Governance Assessment was designed to assess the existing status of good governance, major strengths and areas for improvement in various community groups. This handbook should be used as a self-evaluation tool. It can also be used as a capacity assessment tool in good governance. This tool can be applied in the community groups before and after program implementation so as to monitor the major changes due to program interventions. The handbook includes the concept of governance, good governance, basic elements and major pillars, inter-linkage among the elements, indicators in each pillar, processes of PGA, PGA matrix, formats of scores, and an example of a spider model and action plan for governance improvement plan. 2. Concept and meaning of good governance Governance and Good Governance are used synonymously. On the basis of process and results, governance and good governance have been defined as a good for the people, through people s meaningful participation in decision making processes and improving people s livelihood through equitable distribution of the benefits. Therefore, governance should be analyzed to understand the concept of good governance. USAID defines governance as the manner in which power is exercised in the management of a country s economic, environment and social resources for development. It includes increasing democratic norms and practices within the groups. In governance, citizens use their rights, express their diverse interests and at the same time they also fulfill their obligations. Governance mainly focuses on exercise of power by an individual, organization or an entity, utilizing the power for making and executing the decision. UNDP (1997) defines governance as exercise of economic, political and administrative authority to manage a country s affairs at all levels. It comprises mechanisms, process and institutions, through which citizens and groups articulate their interests, exercise their legal rights, meet their obligations and mediate their differences Governance itself reveals a positive, independent and complete approach. Based on the quantity, quality, cost and time of responsive services delivered by any organizations, the governance could be termed as good or bad, powerful or powerless. In the long history of development and management, the inequitable distribution of the available public resources led to economic, social and cultural disparity between different groups and classes. The gap got even wider because of unfair and inequitable distribution of resources and benefits. For this reason, there was increasing understanding that poor governance is responsible for such disparity. So, if the ruling body is strong and good, it is termed 2

11 good governance and if the ruling body is bad and weak, it is called poor governance. The concept of good governance has evolved from the concepts of good, right and fair. Good governance is commonly referred to as popular government, participatory government and government liked by the people, strong government or government for the wellbeing for the citizens. The extent of satisfaction between the service providers (duty bearers) and the service receivers (right holders) is a measure of good governance. Good governance is that process where decisions are made following participatory approaches, making the decisions more accountable and transparent, where the benefits and revenues are distributed in a fair way, and where the norms and values are institutionalized, by winning the hearts of people. Good governance could be adopted everywhere and by every organization, country, group, family, and individual. However, it is more important in public sectors. Good Governance Good governance practices include: increasing public participation with a focus on the poor, the marginalized and women s well-being, transparency, accountability, predictability, capacity building of constituents, leadership development, coalition-building in civil society with NGOs, federations and with the private sector and conflict mitigation through negotiation and mediation, and advocacy (UNDP, 1997). Good governance could be best achieved if the organizations, groups or the agencies deliver the services in a way that recognizes that receiving services is valued as a basic right of the citizens. The citizens also need be responsive and should not disturb others while exercising their own rights. In the context of Nepal, where the state delivers the services and citizens receive the services, the state is not strong enough to provide the services in its fullest form. So, other civil society organizations are also complementing the government in providing different services to the citizens. The participatory governance assessment is based on how participatory and transparent the service provided to the citizen is? How accountable have the state and other service providers been to the citizens? How smooth has the delivery of services been? What is the monitoring and evaluation process and how it is done? Good governance could best be achieved if the service provided is accountable and transparent. 3

12 3. Good Governance in Natural Resource Management Natural resource management in Nepal is characterized by varying degrees of community involvement. The community forestry program has made a great deal of progress in the forestry sector. Government policy recognizes Forest Users Groups as independent and self-governing local organizations. Through users groups, local people are given the opportunity to participate in democratic decision-making processes that yield sustainable results for equitable community forest management. In order for user group members to use this opportunity, it is important that good governance is an integral part of local management practices. Above all, this requires equitable power sharing systems that function in a fair, transparent and participatory manner. With the application of good governance, natural resources can effectively contribute to successful poverty reduction and social inclusion initiatives in local communities. 4. What is Participatory Governance Assessment? The Participatory Governance Assessment tool is used to assess good governance practices in community groups. A group of selected participants evaluates the extent to which the decision making and management practices in a community group comply with the four pillars of good governance: transparency, participation, accountability and predictability. The assessment is guided by a set of sixteen governance indicators which participants rate as very good, good, moderate or poor. Responses are recorded on a matrix and later presented visually as a spider-web diagram. Finally, a Governance Improvement Plan is formulated. In addition to ensuring that monitoring and evaluation processes are participatory, use of this tool can help to improve the overall functioning of a community group and its ability to manage natural resources in an equitable and sustainable manner. 4

13 5. Elements of good governance Good Governance Transparency Accountability Participation Predictability Figure 1: Pillars of good governance Ending social discrimination and inequalities are major elements of basic pillars of good governance. Many groups and organizations working in development sectors and natural resource management have dealt with different elements of good governance. The elements of good governance are ultimately related to process and the result indicators. Governance involving a good process would yield good results thereby fostering further good governance and vice-versa. Good governance aims at ending lasting inequalities, discrimination and oppression through promoting equitable benefit sharing and sustainable development. It will eventually help establish an economically prosperous society along with positive thinking and innovative ideas. Different organizations have proposed different elements of good governance. Primarily, these elements are transparency, participation, accountability, rule of law, effectiveness, efficiency, responsiveness, consensus orientation, equity, strategic vision, equity, predictability, etc. Among these, transparency, participation, consensus orientation, accountability are process- oriented where as effectiveness, efficiency, justice, predictability are results-oriented. All the elements are closely inter-related and complement each other. We can only measure its result and effectiveness. However, implementation, influencing, and improvement are only possible in the process-oriented elements. So, SAGUN has mainly adopted process-oriented elements: transparency, participation, accountability and to some extent predictability as a result-based indicator as the fundamental pillars of good governance. A short description of each pillar and their indicators are provided in the following sections. 5

14 5.1 Transparency This refers to openness and public access to information of community forest user groups so that all the general members and stakeholders can understand the decision-making processes that affect them, and are knowledgeable about the standards to expect from executive committees (ECs) and other relevant officials (e.g. District Forest Offices). If the general members of CFUG have easy access to i) decisions made by the executive committees and general assembly, ii) annual program and iii) budget, then their mutual trust with the executive committee (EC) members will be further enhanced and support to EC would be increased. Transparency eventually supports strengthening the participation, accountability and predictability of the CFUG Indicators of transparency a. Transparency in CFUGs income and expenses, other records and office management Different documents should be well managed for transparency. Income and expenses should be documented correctly in a clear, simple and explicit language. Transparency increases when regular public hearing and public auditing is undertaken and discussed in a participatory way. Opening offices regularly, providing office hours and locating office within the reach of many CFUGs members is important for transparency. b. Sharing of major decisions and information Major decisions and information should be kept properly for transparency. These information and decisions should also be handled in such a way that they are accessible to women, poor Dalits 1, marginalized Janajaties 2. If public hearings and public auditing are scheduled routinely, people will have access to information and decisions. c. Sharing of major provisions laid in constitution, Forest Operational Plan and CFUGs annual work plan For the effectiveness of the group activities, the management of the forest with the community is necessary. There should be proper distribution and management of forest products. The constitution and policies listed in the operational plan should be shared. More it is shared; more the user group feels its ownership. Therefore, information and policies should be shared with the entire forest user group including women, underprivileged, marginalized and the Janajaties. Moreover, forest user group should also be aware of their rights to information. 1 Dalit is defined as those communities who by virtue of atrocities of caste-based discrimination and untouchability, are most backward in social, economic, educational, political and religious fields, and are deprived of human dignity and social justice. National Dalit Commission Janajaties, interchangeably termed as Indigenous Peoples, are those ethnic groups or communities who have their own mother tongue and traditional customs, distinct cultural identity, social structure and written of oral history of their own. National Foundation for Development of Indigenous Nationalities Act, SAGUN Program had recognized 57Janajaties as marginalized Janajaties except Thakali and Newar among 59 identified by NFDIN Act, and poor people. 6

15 d. Mechanisms of selling and distribution of the forest products A standard procedure for the distribution of forest products is required. Transparency could be achieved if the procedures and their implementation are shared with user groups and also procedures for selling and distribution of forest products are maintained. This creates an atmosphere of reliability. Hence, an appropriate procedure for forest product collection, selling and distribution should be implemented precisely. 5.2 Participation Participation refers to the meaningful and active engagement of general members of CFUGs and their representatives in CFUGs affairs. It includes their active role in decisionmaking and their rights and possibilities to effectively file complaints and be heard. It also implies that all stakeholders, including women, poor, Dalits and marginalized Janajaties, are meaningfully involved in deciding how the community forest and group fund is managed, protected and utilized or allocated. In good governance, participation stands for active and meaningful involvement and leadership of those people that the project aims to benefit. Participation focuses in the inclusion of women, Dalits, poor and marginalized Janajaties who really are far away from the mainstream of development. This process also enhances cooperation among users group and strengthens good governance. During the execution of different development activities, the real beneficiaries should themselves take responsibility in the project management cycle and its different steps namely, needs identification, planning and implementation of the project, monitoring, and evaluation. Active participation of CFUGs members involves bearing the responsibilities and performing accordingly. A significant progress could be noticed if real beneficiaries are involved in planning the projects for social transformation and creating a conductive environment for its implementation. This process helps to identify actual activities that would ultimately provide real benefits to the targeted groups Indicators of Participation a. Representation in Executive Committee: The Executive Committee should be inclusive of sex (male and female), wellbeing status (well-off, medium, poor and ultra poor), Dalits and Janajaties (indigenous and marginalized Janajaties). There should be proportionate representation of women, poor, and Dalits, not only in the executive committees and sub committees but also in the vital positions (in the 4 most senior positions of the EC). Such provisions should be clearly mentioned in the CFUGs constitution and practiced by each CFUG. b. Participation in decision-making process (drafting of constitution, Forest Operational Plan preparation and renewal, general assembly): In general, women, poor, Dalits and Janajaties do not participate in the decisionmaking process, neither in executive committees nor general assemblies. So, 7

16 a special strategy should be made to ensure their active participation in such meetings where decisions are made which affect them. Decisions should be made on consensus of general members of that CFUG. The decisions should be based on the interests, concerns and welfare of the CFUG s members focusing on the favor of women, poor, Dalits and Janajaties. It is important to involve these groups in the decision-making process while preparing their constitutions, forest operational plans and its renewal process, as well as general assemblies and other important meetings of CFUGs so as to give due consideration on their rights, interests and concerns. c. Preparation of annual work plan and its implementation monitoring and evaluation: The executive committees need to ensure the active participation of the users groups as well as women, poor, Dalits, and marginalized should be included in all steps i.e. needs identification, planning, implementation, evaluation/monitoring of project cycle. This helps build their capacity and confidence in project cycle management and ownership in CFUG s overall affairs. d. Benefit sharing (capacity building opportunity, forest products and CFUG s fund) mechanism and practices: Once the CFUG is registered and handed over, CFUG gets various opportunities and benefits, like capacity building opportunities, increased availability of forest products and accumulation of the group fund. From the beginning, there should be clear mechanisms in place in order to manage and distribute such benefits and opportunities on an equitable basis to the women, poor, Dalits, poor and marginalized groups. The extent of providing benefits to women, poor, Dalits and marginalized Janajaties is determined by the groups to which the priority for opportunities have been given by executive committee. Thus, it is important to ensure the participation of and equitable benefit sharing to these groups while setting norms and provisions. CFUG also needs to ensure its effective implementation and practices. This eventually supports governance strengthening processes of the group. 5.3 Accountability Accountability denotes the democratic principle that elected executive members of CFUGs and officials from District Forest Offices and those in public service can be held accountable for their actions and answer to CUFGs and those they serve. This includes political, administrative, and financial dimensions. Good governance and sound institutions of CFUGs play an important role to promote accountability. Accountability requires that citizens, civil society organizations and the private sector are able to scrutinize actions taken and decisions made by executive committees, the general assembly, public institutions and governments and hold them answerable for what they have, or have not, done. 8

17 5.3.1 Indicators of accountability a. Accountable towards the roles and responsibilities as mentioned in the constitution: In order to perform the CFUG affairs effectively and efficiently, all the EC members, general members and key stakeholders of the CFUG should internalize their responsibilities and act accordingly, following the agreed rules and regulations. It is not only important to assume responsibility, but also to ensure that roles and responsibilities are maintained through time. Therefore, it is important to monitor and review how far the responsibilities have been fulfilled, which ultimately enhances the accountability. b. Implementation of constitution and forest operational plan (FOP): The constitution and the forest operational plan should be prepared and properly implemented through consensus and with the active participation of all general members of the CFUG. Otherwise, the objectives of community forestry could not be achieved and some groups may be deprived of benefits. The constitution and FOP must not only be implemented but also need periodical amendments to reflect good governance, rights and pro-poor livelihood perspectives. c. Pro-poor livelihood program (equitable distribution of forest products and allocation of 35% of group funds to the poorer households): An objective of community forestry is to fulfill the daily needs of the forest products of CFUGs members, developing their capacity and support on livelihood improvement of poor users. Unless the benefits derived from community forests (e.g. forest products: timber, fodder, fuelwood, branches, and group funds) are not distributed considering the needs of poor users, they will not realize that community forests are benefiting them. Therefore, the CFUG should establish clear policies for equitable distribution of forest products and allocation of group funds to the poorer users. These policies should ensure the accountability of EC members and general members towards women, the poor, Dalits and marginalized Janajaties. If the CFUG could include such provisions in their FOP, it will help with institutionalizing the processes. d. Implementation of decisions and commitments made in general assemblies, public hearings and public auditing (PHPA): General meetings, public hearings and public auditing are the major forums where important decisions are made. Such forums make important decisions and commitments on CFUG affairs and also make decisions targeting the women, poor, Dalits and Janajaties. Lasting change is impossible unless the decisions on paper turn into real actions. Therefore, the execution of the decisions should be scrutinized time and again to improve results with respect to the goal. Demonstrating the implementation of decisions and commitments will contribute to the accountability of the CFUG. This ultimately helps in good governance and promotes social justice. 9

18 5.4 Predictability Predictability derives from sound policies and the procedures, norms and values for smooth operation of the CFUG in the long run. It is also supported by a sound and predictable CFUG institution that possesses the vision, leadership and capacity to bring about a positive transformation of the community and forest use within a stipulated period of time. Predictability requires the executive committees and its sub-committees to be bound by and answerable to the legal system in the same way as general members. The CFUG must prepare good plans and ensure their proper implementation. Similarly, the CFUG should develop functional relations with other like-minded organizations to build a constituency to conduct advocacy functions on pertinent issues. Affiliation with the relevant networks and federations would also help to amplify their voices in favor of women, the poor, Dalits and Janajaties. The predictability increases if the CFUG as an institution will execute their plans with legal frameworks fairly and consistently over time Indicators of predictability a. Implementation of strategies and plans as per goal and objectives of CFUG: In general, the CFUG implements different activities benefitting its user members focusing on women, poor Dalits and Janajaties. In addition, it also aims to achieve the bigger goal and objectives of conservation, management and utilization of forest resources. However, the CFUG would be predictable if and only if it could prepare and implement a program as per its vision and goal and revisit/update its program and policies with the changing contexts and time. At the same time, a robust mechanism of monitoring and evaluation is needed to ensure that the program has been implemented smoothly and effectively. Once the CFUG accomplishes its desired goal, a new goal should be set by scoping current situation. b. Linkage development and networking: Any group, organization or institution can be successful if they join their hands developing linkages and collaboration with like-minded organizations. Such linkages and collaboration may be both formal and informal. The more linkages and collaboration that the CFUG can make with other organizations (like village development committees, district development committees, national and international organizations), the more predictable it can be. Besides, it is equally important to join hands within their federation and networks. c. Advocacy functions to address the identified issues: To achieve the intended goals, the CFUG needs to review its already determined goal. Accordingly, CFUG also needs to identify the major issues of forest management, good governance, rights and discrimination, and conduct advocacy functions continuously. This approach helps CFUG to be sustainable and predictable. Regular advocacy campaigns and interactions with concerned government agencies help 10

19 in finding sustainable solutions on pertinent issues identified by CFUG. At the same time, regular interaction in meso- and macro-level issues in federations and in like-minded organizations would benefit the targeted groups including women, poor, Dalits and Janajaties. d. Human resources development (for group and forest management): To run the CFUG smoothly and successfully requires adequate financial, physical and human resources. There should be a clear plan for developing alternative leadership and a mechanism that engages appropriate skills for sustainable management of the group. The group also requires trained and skilled human resources for sustainable management of forest, biodiversity conservation and climate change adaptation. To maintain the diversity in a group, women, poor, Dalits and Janajaties should be capacitated in organizational, institutional and technical aspects of CFUG. If all the members, including those with different wellbeing status, caste, ethnicity and sex are trained and capacitated equitably and properly as per their interest, they can contribute equally to the development of CFUG. This, in turn, would help to establish social justice and good governance of the group. 6. The inter-relationship between the elements of pillars of good governance Transparency can be taken as the first element or pillar of good governance. Transparency makes the process, decisions, activities and financial transactions crystal clear among the stakeholders. Transparency also helps to ensure a flow of information among the stakeholders. Transparency is within one s control and doesn t need the support of others. If an organization, group or a body practices transparency in their decisions, activities and financial transactions, it paves a way for participation, another pillar of good governance. Participation promotes transparency among stakeholders. The meaningful participation of all stakeholders in decision-making processes, in implementation execution and in monitoring will ensure equitable and inclusive norms and values. Thus, transparency and participation promote accountability among all executive committee members. Transparency in decisionmaking processes, financial transactions, and flow of information among concerned members, and proportionate and adequate representation of relevant members/ stakeholders at the time of decision making and in the implementation of decisions help to strengthen an equitable, fair and inclusive society. These processes help strengthen the CFUG s effectiveness and efficiency too. Eventually, all these factors support increased 11 Predictability Transparency Good Governance Accountability Participation

20 predictability of any sound institution. As a result, they help to forecast the reliability and consistency of the organization in the long run. In this way, the elements of good governance are inter-related and inter-dependent with each other. 7. Participatory governance assessment matrix To enhance the practice of good governance in an organization, we should identify the existing status of the CFUG. This, in turn, helps with developing a democratic method for governance, planning a governance assessment and timely monitoring and evaluation to improve the conditions of good governance. For this, the following matrix tables have been developed with different levels under each indicator with respective scores in each pillar to facilitate the assessment process. The PGA matrix is given in Table (1). As has been described above, this PGA matrix comprises four basic pillars of governance: transparency, participation, accountability and predictability. Each pillar has four indicators. Each indicator has four levels from 1 to 4. Level 1 is the lowest rating and Level 4 is the highest rating. Altogether, each pillar has a highest score of 16 and a lowest score of 4. The full score of this PGA is 64. Based on the nature of community groups, these indicators and the levels can be modified. 12

21 Table 1: PGA Matrix 1. Transparency S.N. Indicators 1.1 Transparency in CFUGs income and expenses, other records and office management 1.2 Sharing of major decisions and information 1.3 Sharing of major provisions laid out in constitution and FOP and CFUGs annual work plan Score The records of income and expenses of the group have not been documented properly, and at most 4 persons at vital positions of executive committee (in the 4 most senior positions of the EC) are informed about the status of CFUGs income and expenses - vital posts are mainly three chairperson, secretary, treasures and also include more one is vice chairperson Records of income, expenses are properly documented, the inventory list of goods is well maintained and all members of the executive committee are informed and aware. Records of income, expenses are properly documented; the inventory list of goods is well maintained. The audit of group is held regularly. Public auditing takes place in the presence of more than 51% of the general members of CFUGs including few women, poor, Dalits, Janajaties. All the records are well documented, auditing is regularly done, public auditing also taken place and the provision of public auditing has been mentioned in the constitution and FOP. Public auditing takes place in the presence of more than 75% of the general members of CFUGs ensuring proportionate participation of women, poor, Dalits, Janajaties. Only 4 or less members of the EC are aware and/or informed about the decisions Only EC members and some of the leaders are informed of the decisions. There is a provision in constitution to inform all the members of the CFUG but this has not happened. There is a clear provision that the EC should inform all members of CFUG. Public hearing takes place in the presence of more than 51% of the general members. There is mandatory provision of public hearing in constitution and FOP. Public hearing takes place in the presence of more than 75% of the general members of CFUGs ensuring proportionate participation of women, poor, Dalits, Janajaties at least once a year. Information is shared with only 4 persons of vital positions or less. There is no rule to share such information to others. There is a mandatory provision to share the information to all the members of CFUG, although at present the information is shared only with EC members. There is a mandatory provision to share the information with all the members of CFUG and is done so. At present, the information is shared with all EC and more than 51% general members of CFUG. The mandatory provision to share information to all members is laid in the constitution and FOP and is done so. More than 75% of the general members of CFUGs are aware on it. 13

22 S.N. Indicators 1.4 Procedures for selling and distribution of the forest products and its execution. Score There are no concrete procedures for the selling and distribution of the forest products. Four persons or less in vital positions fix the procedures. Some procedures for the selling and distribution of the forest products are decided by the EC. At present this takes place in the presence of EC members. Well defined procedures have been developed for the selling and distribution of the forest products. This work takes place in presence of 51% general members of CFUG. There are well defined procedures for the selling and distribution of forest products. This work takes place in participation of 75% or more general members of CFUG. 14

23 2. Participation S.N. Indicators Score Representation in Executive Committee The representation of women in the executive committee is less than 33%. At present, there is no representation of the poor, Dalits and Janajaties. The representation of women in the executive committee is at least 33%. At present, the representation of poor, Dalits and Janajaties is ensured to some extent. The executive committee consists of 50% women and there is representation and proportionate representation of the poor, Dalits, Janajaties. The executive committee consists of 50% women s representation in vital 4 positions 3 including other members. There is proportionate representation of the poor, Dalits, Janajaties in the EC. 2.2 Participation in decision making process (drafting of constitution, Forest Operational Plan preparation and renewal, general assembly) All the decisions are made by 4 top most vital position members or less members of the EC. All the decisions are made in the presence of majority of EC members and some active members of CFUG. Important decisions are made by general assembly in the presence of more than 51% of the general members of CFUG. Important decisions are made by general assembly in the presence of more than 75% of the general members including proportionate participation of women, poor, Dalits and Janajaties of CFUG. 2.3 Preparation of annual work plan and its implementation monitoring and evaluation No tendency of preparing the annual work plan and program in the CFUG. All the members of the executive committee involve themselves in preparing the annual work plan and program in the CFUG and its implementation. There is no system of monitoring and evaluation. The annual work plan and program is prepared by the EC and is endorsed by the general assembly. The responsibility of implementing annual work plan is given to the members of EC including well-off and medium class members of CFUG, and the monitoring and evaluation process is not systematic and effective. The annual work plan and program is prepared by the EC and endorsed through general assembly of CFUG as per the constitution and FOP. The responsibility of the implementing annual work plan is given to all members, including proportionate participation of women, poor, Dalits and Janajaties of CFUG, and the monitoring and evaluation process is systematic and effective. 3 Vital positions include chairperson, vice chairperson, secretary and treasurer 15

24 S.N. Indicators 2.4 Benefits sharing (capacity building opportunity, forest products and CFUG s fund) mechanism and practices Score Capacity development opportunities exist for CFUG members but benefits derived from community forests (CF) are enjoyed only by the EC members. Capacity development opportunities exist for CFUG members but benefits derived from community forests (CF) are enjoyed only by the EC members and few active members of CFUG. Capacity development opportunities exist for CFUG members and benefits derived from community forests (CF) are distributed in equitable basis and decision is taken in the presence of more than 51% general members including proportionate participation of women, poor, Dalits and Janajaties of CFUG. Capacity development opportunities and benefits derived from community forests (CF) are distributed in equitable basis and decision is taken in the presence of more than 75% general members including proportionate participation of women, poor, Dalits and Janajaties of CFUG. This provision has clearly earmarked in constitution and FOP and accordingly practiced. 16

25 3. Accountability S.N. Indicators 3.1 Accountability towards the roles and responsibilities as mentioned in the constitution 3.2 Implementation of constitution and forest operational plan (FOP) Score Only 50% of the EC members are aware of their roles and responsibilities. However, only 25% of the members are accountable towards them. All the members of EC are aware on their roles and responsibilities. However, only 50% of the members are accountable towards it. All the members of EC and more than 50% of CFUG members are aware on their roles and responsibilities. However, all the EC members and more than 50% of the members are accountable towards it. All the members of EC and most of general members of CFUG are aware on their roles and responsibilities and fully accountable towards it. There is system of including provisions if the EC members and general members have to work more. CFUG s constitution and FOP do not include the issues of good governance, livelihood, bio diversity, landscape management and climate change adaptation as well as the rights of women, poor, Dalits, Janajaties have not been mentioned in the constitution. Even if they have been mentioned, they are not implemented properly. Constitution and FOP include the issues of good governance as well as rights of women, poor, Dalits, Janajaties. However, only 25% of provisions mentioned in the constitution and FOP are implemented. Constitution and FOP include the issues of good governance as well as rights of women, poor, Dalits, Janajaties. Only 50% of provisions mentioned in the constitution and FOP are implemented. However, the issues of biodiversity, landscape management, and climate change adaptation are hardly discussed and not mentioned in the constitution and FOP. Constitution and FOP include the issues of good governance, livelihood, bio diversity, landscape management and climate change adaptation as well as the rights of the women, poor, Dalits, Janajaties.; and all the provisions are completely implemented. The constitution and FOPs are revised and practiced according to the felt needs of the women, poor, Dalits, Janajaties. The CFUG members have been receiving all the services on a regular basis. 17

26 S.N. Indicators 3.3 Pro-poor livelihood program (equitable distribution of the forest products and allocation of 35% of group fund to the poor HHs) 3.4 Implementation of decisions and commitments made on general assemblies, public hearing and public auditing (PHPA) Score CFUG yet to conduct the participatory well being ranking (PWBR) to identify the poor and ultra poor members in the CFUG. CFUG has no program to focus on poor users. All classes of the users group have treated on equal basis while distributing of forest products. CFUG has completed PWBR. The equitable price of the forest products is determined based on the well being status of members based on PWBR. The climate vulnerable members of CFUG receive the forest products free of cost. At least 10% of CFUG fund is allocated to pro-poor activities. CFUG has completed PWBR. The general assembly has decided to fix equitable prices of the forest products based on the well being status and 25% of group fund for activities targeted at pro poor livelihoods. These decisions are implemented accordingly. Decision is made through general assembly regarding allocation of some parts of community forest to poor users for livelihood improvement. At least 10% of CFUG fund is allocated for biodiversity conservation and CC mitigation and adaptation related activities and implemented accordingly There are clear provisions regarding equitable price of the forest products based on the well being status, allocation of 35% of group fund and allocation of CF land to ultra poor users based on the PWBR status. These provisions are properly executed by the CFUG. At least 20% of CFUG fund is allocated for biodiversity conservation, CC mitigation and adaptation related activities but implemented. The decisions made in the general assemblies are not implemented, and the EC members including general members of CFUG are not aware on PHPA. Only 25% of the decisions made in the general assemblies are implemented; the EC members including general members of CFUG are aware on PHPA but they have not practiced it. At least 50% of the decisions made in the general assemblies are implemented and 25% of commitments made during the PHPA are implemented. More than75% of the decisions of the general assembly and PHPA are implemented. 18

27 4. Predictability S.N. Indicators 4.1 Implementation of working strategy and plans as per goal and objectives of CFUG 4.2 Linkage development and networking Score The CFUG has no working strategies and guidelines for implementation of the plan and program. Executive committee has prepared the strategies and guidelines for implementation of the plan and program and these are implemented accordingly. The CFUG has financial, administrative policies and guidelines passed through EC meetings with the participation of general members including priority target groups (women, poor, Dalits and Janajaties). The CFUG is heading forward as per its set goal and objectives. The CFUG has financial, administrative policies and guidelines passed through general assembly with the participation of general members including priority target groups (women, poor, Dalits and Janajaties). These policies and guidelines are fully implemented. Goals and objectives set for one term/ interval are accomplished and the CFUG has reformulated its goal and objectives for next term following a participatory process. The CFUG has no linkage with other agencies and it is also not affiliated in other networks (e.g. FECOFUN). Only limited numbers of programs have been organized in collaboration with other groups and other organizations. The group is also affiliated with their networks (e.g. FECOFUN). Programs are implemented in coordination and collaboration with local and district based organizations regularly. The group is also affiliated with their networks (e.g. FECOFUN) and is also in contact with other networks. Programs are conducted formally in collaboration with local and district based stakeholders (e.g. village development committee, district development committee, municipalities and other governmental/non governmental organizations) seeking for the financial and technical support. The group is also affiliated with their networks (e.g. FECOFUN) and other networks and the process is well institutionalized. 19

28 S.N. Indicators 4.3 Advocacy functions to address the identified issues 4.4 Human resources development (for group management and forest management) Score The CFUG has no practice at all to conduct issues based advocacy interactions. The advocacy issues have been identified at CFUG level to strengthen the internal governance and to ensure the rights of women, poor, Dalits, Janajaties and other vulnerable groups are established. However, issues of climate change adaptation, sustainable landscape management and biodiversity conservation have not been identified. The issues regarding rights of women, poor, Dalits, Janajaties and other vulnerable groups, governance, forest management and social discrimination have been identified and are being addressed through continued advocacy functions. Advocacy on meso level issues are conducted collaborating with their networks and federations. In addition to this, issues of climate change adaptation; sustainable landscape management and biodiversity conservation are identified but are not addressed through advocacy. The issues regarding rights of women, poor, Dalits, Janajaties and other vulnerable groups, governance, forest management and social discrimination have been identified and are being addressed through continued interactions and advocacy functions. The CFUG has been regularly participating in issue-based interaction and advocacy functions to address meso level issues collaborating with their networks and federations. In addition to this, issues of climate change adaptation; sustainable landscape management and biodiversity conservation have been identified and advocacy initiatives are being conducted to address the issues. CFUG members are only participating in capacity building programs organized by other organization. Proper planning for human resources development of CFUG members is being done, encompassing women, poor, Dalits and Janajaties, but is not yet executed. Poper planning for human resource development of CFUG members is done encompassing women, poor, Dalits and Janajaties,, and it is being executed. The plan has been executed for human resources development targeting the women, poor, Dalits and Janajaties and the plan is included in the annual work plan of the CFUG. Second line leaders have been selected unanimously from the women, poor, Dalits, Janajaties and the group has been implementing the plan properly and regularly. 20

29 8. The Participatory Governance Assessment Process i) Preparatory Phase Program staff and local resource partners initiate preliminary discussions with community forest users groups to identify who will take part in the assessment. A time and date for the assessment meeting are agreed; executive committee members from the user group send out invitations and prepare the necessary documentation. Ideally, at least 75% of user group members should take part. Different categories of forest user should be proportionally represented with a particular focus on women, marginalized groups, and disadvantaged caste and ethnic groups. External stakeholders such as District Forest Officers, Village Development Committee Secretaries, representatives from political parties, and members of other community groups are also invited to attend the event. Members of user groups in neighboring localities could also be invited in order to build their capacity to run similar assessments. ii) The Assessment Phase The facilitator explains the purpose of the Participatory Governance Assessment and the contents of the matrix. The participants discuss their evaluation of the user group s performance based on the indicators mentioned above. The facilitator records responses on the matrix. Particular note is taken of the views of women, the poor and marginalized, and people from disadvantaged caste and ethnic groups. Final ratings for each indicator should be agreed by consensus. Results are then transferred to a spider-web diagram and displayed for all to see. Participants go on to identify what the group must do in order to improve performance against each indicator. Finally, agreed action is recorded in a Governance Improvement Plan. iii) Follow Up Following the assessment, the community forest users group should produce a report and begin discussions about possible areas of governance improvement collaboration with relevant stakeholders. In the coming months, the executive committee should monitor implementation of the Governance Improvement Plan and ensure that regular interactions with general members take place to assess progress. A year after the assessment, a formal review is carried out. The review meeting is attended by all user group members. 9. Categorization of CFUG as per the governance status The assessment is guided by a set of sixteen indicators each with four options (very good, good, moderate and poor) as illustrated in Table (2). Responses to each of the indicators are recorded in a matrix and later accumulated to classify the governance status (Table 3). Then, the score is transferred to a spider diagram for visual presentation (see annex 1 for example). Finally, a Governance Improvement Plan (GIP) is developed specifying key activities for the way ahead (PGA Guideline, 2008). 21

30 Table 2: Level of score in each indicator Level of each indicators Poor Moderate Good Score Very good Average full mark of this assessment is 16. The governance status of that particular CFUG is classified based on the following categories. Table 3: Category of participatory governance status Score obtained/class 4 or less 4 to 8 8 to to 16 Governance status Poor Moderate Good Very good 10. Materials required for the analysis Basic information of the group to be assessed Attendance formats Register to note meeting minutes Formats and reference book for assessment and analysis Newsprint Meta cards of different colors Markers (boards, permanent) Color sign pens Scale Some chocolates for refreshment 22

31 Annexes Annex 1: An example of Spider web diagram Annex 2: Brief information of the CFUG Annex 3: Reports of Participatory Governance Assessment Annex 4: Format for the governance improvement plan (GIP) Annex 5: Formats for participants list 23

32 Annex 1: An example of Spider web diagram 24

33 Annex 2: Brief information on the CFUG 1. General information Name of the CFUG: Contact person: Phone no: Registered date of the group: Date of renewal of the program of the group: Forest area of the group: 2. Goal of the group: (as per mentioned in the constitution) Address: Ward no:. 3. Objectives of the group (as per mentioned in the constitution) 4. Major progress accomplished till date by the groups in last two years i) ii) iii) 5. Details of Executive committee of the CFUG Caste and ethnicity/well being status Total Male Female Brahmin/Chhetri/Thakuri Dalits Janajaties Madhesi Others Poor 6. Details of CFUG household and population Caste and ethnicity/ well being status Brahmin/Chhetri/ Thakuri Dalits Janajaties Madhesi Others Poor Total HHs Wellbeing status Population Well-off Medium Poor Ultra-poor Male Female 25

34 Annex 3: Reports of Participatory Governance Assessment 1. Objectives of this assessment 2. Process (short description of the participants at the time of PGA and major steps followed) 3. Status participatory governance assessment of the CFUG (see below table) S.N. Indicators Present situation Causes for being at present situation Score obtained (now) Expected score (after one or two years) 3.1 Transparency Sharing of major provisions laid in constitution and FOP and CFUGs annual work plan Mechanism on selling and distribution of the forest products and its execution Sharing of major provisions laid in constitution and FOP and CFUGs annual work plan Mechanism on selling and distribution of the forest products and its execution Sub-total 3.2 Participation Representation in Executive Committee Participation in decision making process (drafting of constitution, Forest Operational Plan preparation and renewal, general assembly) Preparation of annual work plan and its implementation monitoring and evaluation Benefits sharing (capacity building opportunity, forest products and CFUG s fund) mechanism and practices Sub-total 3.3 Accountability Accountable towards the roles and responsibilities as mentioned in the constitution 26

35 S.N. Indicators Present situation Causes for being at present situation Score obtained (now) Expected score (after one or two years) Implementation of constitution and FOP Pro-poor livelihood program (equitable distribution of the forest products and allocation of 35% of group fund to the poor HHs) Implementation of decisions and commitments made on general assemblies and PHPA Sub-total 3.4 Predictability Implementation of working strategy and plans as per goal and objectives of CFUG Linkage development and networking Advocacy functions to address the identified issues Human resources development (for group management and forest management) Sub-total Total Average 4. Strengths of the CFUG in different parameters 4.1 Transparency: 4.2 Participation: 4.3 Accountability: 4.4 Predictability: 5. Areas for improvement 5.1 Transparency: 5.2 Participation: 5.3 Accountability: 5.4 Predictability: 27

36 6. Action plan (format is given in annex 4) 7. Conclusions and recommendations (Writing the things that the facilitator faced during assessment of good governance as well as the things the groups need to improve) Annex 4: Format for the governance improvement plan (GIP) Pillars of good governance Activities/Plan for improvement (What?) Process (How?) Major responsibilities (Who?) Time (When?) 28

37 Annex 5: Formats for participants list Participatory Governance Assessment (PGA) Name of the CFUG: Date : GPS Location : Longitude: Latitude: Elevation: Affiliation: District : VDC/Municipality : Ward : Corridor/Bottleneck/PA : Reporting Period : Year : S.N. Name of participants Address Sex Caste/Ethnicity WB Status Village Ward M F BCT Janajati Dalits Madhesi Others * Youth (15-24) Remarks Total Please write (A) Well-off (B) Medium, (C) Poor, (D) Ultra Poor 29

38 Hariyo Ban Program is named after the famous nepali saying Hariyo Ban Nepal ko Dhan (Healthy green forests are the wealth of Nepal). Thus the Program emphasizes the links between people and forests and is designed to benefit nature and people in Nepal. At the heart of Hariyo Ban Program lie three interwoven components biodiversity conservation, sustainable landscape management and climate change adaptation. These are supported by livelihoods, governance, and gender equality and social inclusion (GESI) as cross-cutting themes. A consortium of four non-governmental organizations is implementing the Hariyo Ban Program with WWF Nepal leading the consortium alongside CARE Nepal, FECOFUN and NTNC. CARE Nepal Central Office 4/288, SAMATA Bhawan, Dhobighat, Lalitpur P.O. Box 1661, Lalitpur, NEPAL Tel: , Fax: carenepal@care.org Web: