88244 EUROPEAN UNION GOVERNMENT OF ROMANIA MINISTRY OF REGIONAL DEVELOPMENT INSTRUMENTE STRUCTURALE AND PUBLIC ADMINISTRATION 2007 - 2013 Elaboration of Integration Strategies for Urban Marginalized Communities in Romania (Integrated Summary) For the 2014-2020 programming period, the Government of Romania (GoR) is considering a new approach proposed by the European Commission (EC) – COMMUNITY-LED LOCAL DEVELOPMENT (CLLD). Through CLLD, empowered communities have the opportunity to directly shape and own the process of local development, during all stages of EU-funded interventions, from concept design through implementation. As of April 2014, the GoR has decided to “activate” the CLLD option, at least for part of the funds available through the 2014-2020 Regional Operational Programme (ROP). The tentative allocation is significant – €100 million. CLLD comes with a unique set of challenges. These include making sure that the process is truly inclusive, community-led, transparent, and focused on peer-to-peer learning across communities and other stakeholders. The GoR should carefully weigh potential benefits and risks of applying the CLLD approach and put in place an adequate implementation framework with sufficient risk mitigating measures before pursuing CLLD. The World Bank undertook this advisory activity to help the GoR put in place an implementation framework for CLLD in Romania, should it want to go ahead with this approach. It includes a proposed definition of urban marginalized communities, the population group that the GoR wants to target by CLLD. The definition is based on a review of the Romanian literature on (urban) marginalization and on qualitative research in ten cities. It also includes guidelines for CLLD implementation based on EC guidance, extensive field work, and an assessment of lessons learned of similar programs in Romania and elsewhere. Moreover, detailed maps of urban marginalized areas across Romania are presented. These are based on a set of indicators, for which data are available in the 2011 Population and Housing Census dataset. Six conceptual pilots have been prepared that are based on simulated CLLD processes and can serve as examples for municipalities/NGOs that could be applying for EU funding through the CLLD approach, during the 2014-2020 programming period. This extensive summary brochure presents a synopsis of all findings and messages across the outputs produced under this activity. The work seeks to offer a practical handbook, primarily addressed to the GoR and, specifically, to the Managing Authority of the ROP (MA ROP), which will play a key role in the CLLD’s potential set-up and implementation. ROP’s Intermediate Bodies (IBs), the eight Regional Development Agencies around the country, will also find this work useful. Table of Contents 3ESTABLISH LAG & PREPARE LIS Preparatory phase: establish LAGs and prepare LISs ........ 26 Abbreviations .................................................................................................................... 6 MOBILIZATION OF URBAN MARGINALIZED COMMUNITIES AND FACILITATION ..................................................................................................... 28 What is Community-Led Local Development (CLLD)? ...................... 8 SETTING UP THE LOCAL ACTION GROUP (LAG) ........................................... 29 Key elements of the CLLD approach: the area, the partnership, THE LAG PLATFORM AND LEARNING ............................................................. 32 and the strategy ............................................................................. 8 PREPARING THE CALL FOR PROPOSALS ...................................................... 33 Risks of CLLD in Romania and potential mitigation measures ..... 10 PREPARATION OF THE LOCAL INTEGRATION STRATEGY (LIS) .................. 34 Definition of the target group: urban marginalized communities ..... 10 4 SELECTION Sub-types of urban marginalized communities ........................ 14 Selection of integration strategies and action plans ......... 36 Identification and mapping of urban marginalized communities . 17 5 IMPLEMENTATION Funding CLLD in Romania .............................................................. 18 Implementing the local integration strategies ................... 40 KEY ELEMENTS FOR SMOOTH IMPLEMENTATION OF LOCAL Operationalizing CLLD INTEGRATION STRATEGIES ............................................................................. 41 for urban marginalized communities in Romania .......................... 19 FINANCING THE IMPLEMENTATION OF LOCAL INTEGRATION STRATEGIES ...................................................................................................... 41 1LAUNCH SELECTION OF PROJECTS ............................................................................... 43 Raising awareness and putting in place the support MUTUAL LEARNING AND EXCHANGE OF GOOD PRACTICES ..................... 44 structures ............................................................................ 20 RAISING AWARENESS AND CAPACITY BUILDING ......................................... 20 6 PHASE OUT & EVALUATION ESTABLISH SUPPORT STRUCTURES AND CLARIFY PROCEDURES AND Monitoring and Evaluation (M&E) of community led DIVISION OF ROLES ........................................................................................... 21 development projects ......................................................... 46 2EXPRESSION OF INTEREST THE RESULTS CHAIN ........................................................................................ 47 COMMUNITY-BASED MONITORING ................................................................. 48 Call for expression of interest ............................................. 24 IMPACT EVALUATION ........................................................................................ 49 4 5 Abbreviations AJOFM County Agency for Employment CLLD Community-led local development CSF Cohesion and Structural Funds DGASPC General Directorate for Social Assistance and Child Protection DJS County Statistics Directorate DSP Directorate for Public Health EC European Commission ERDF European Regional Development Fund ESF European Social Fund ESIF European Structural and Investment Funds EU European Union GoR Government of Romania ICT Information and Communication Technology IB Intermediate Body IPJ County Police Inspectorate ISJ County School Inspectorate JMC Joint Monitoring Committee LAG Local Action Group LDS Local Development Strategy LEADER Liaisons Entre Actions de Développement de l’Economie Rurale, Priority Axis under the National Rural Development Program LIS Local Integration Strategy for one or more urban marginalized areas MA Managing Authority M&E Monitoring and evaluation MEF Ministry of European Funds MRDPA Ministry of Regional Development and Public Administration NGO Nongovernmental organization NIS National Institute of Statistics RDA Regional Development Agency ROP Regional Operational Program SOP HRD Sectoral Operational Program Human Resource Development 6 7 durable local structures and people with ample experience and expertise in community mobilization and promoting collective action. Additional lessons learned from the LEADER experience are that: 1 Implementation of a bottom-up approach in Romania requires a strong preparation What is Community-Led Local Development (CLLD)? process, which needs to include extended promotional and information campaigns at local level. Special budgets need to be earmarked for these campaigns and for running costs of Local Action Groups (LAGs) (local partnership structures, as further CLLD is a development approach that aims to help disadvantaged explained below) during the preparatory phase. communities take concrete steps toward their development in a manner that is smarter, more sustainable, and more inclusive, in line with the Europe 2 For implementing the participatory approach at local levels strong preparatory 2020 Strategy. CLLD is based on five principles. It promotes development efforts that: support is needed. This includes a toolkit that spells out the approach and (1) are focused on specific subregional areas; (2) are community-led through Local operational steps in clear and simple language. Managing authorities should have Action Groups; (3) are carried out through integrated and multisectoral, area-based sufficient professional and skilled staff, especially at the county level, where there is Local Development Strategies (LDSs) designed to take into consideration local needs direct contact with local actors. It is also important to prepare the legal and institutional and potential; (4) include innovative features; (5) emphasize networking. framework for providing advance payments to LAGs. Figure 1. Added value of CLLD Strategy The quality of local integration strategies approved for funding is of utmost importance for effective CLLD. The quality of the strategy CLLD Principles CLLD Advantages represents a major criterion for their selection for funding, management and control The local territorial approach Flexible tool for meeting the needs of different subregional areas. of implementation, and evaluation of results. The local integration strategies need to be aligned with the development strategy of the town and relevant programs of the Co-responsibility and ownership. The partnership mobilizes the CSF (Figure 2). Nonspecific objectives, a lack of clear intervention logic, and poor or Participatory and partnership approaches knowledge, energy, and resources of local actors. nonexistent provision for monitoring and evaluation (M&E) have been typical problems Linkages and synergies, horizontal and vertical. The actions of local strategies under the LEADER program. Integrated, multisectoral local strategies reinforce each other and build on the strengths of the area. Figure 2. Elaboration of local integration strategies The method generates new ways of thinking and doing, including Innovation Contribution to program objectives new services and social innovation. Coherence and consistency with Networking and cooperation Transfer of good practice, joint solutions to common problems. top-down or other strategies Source: European Commission, Guidance on CLLD, April 2013: 7. Key elements of the CLLD approach: Local needs identified through studies and SWOT analysis the area, the partnership, and the strategy. Bottom-up process Area Territorial cohesion was added as a specific goal to the Lisbon Treaty on the Functioning of the European Union (December 2009). This was a response to persistent geographically concentrated problems in cities Another important CLLD principle is the need for effective and subregions across European Union member states. The rules for facilitating integration – both as a goal of interventions and as a way of and strengthening CLLD that apply to all Cohesion and Structural Funds (CSF) were addressing complex, multifaceted issues. Past experience in Europe adopted by the European Commission in October 2011. These rules encourage better suggests that residential segregation should be avoided. Segregation implies that there coordination among all CSF funds and aim for connected and integrated use of these is an overrepresentation of one group and an underrepresentation of one or more other funds. groups in a certain space (or in schools, jobs, or public services). Claims of high petty crime rates have sometimes prompted national or local governments to remove people Partnership CLLD builds on the LEADER approach, which is the longest lasting and most successful of all the local and integrated territorial from problematic areas, without providing them with adequate assistance to settle in places where they can access quality social services. The resulting displacement has had high social and human costs. initiatives launched by the European Commission that revolves around local partnerships. LEADER has shown that the community-led method is effective only if it develops trust among stakeholders and is supported by 8 9 Too often neighborhood regeneration projects focus narrowly on marginalization are met. Urban “disadvantaged” areas are, by our definition, areas that meet only one or two of the upgrading buildings and infrastructure rather than addressing the abovementioned criteria. broader causes of poverty and social exclusion. The resulting rising land values and house prices can force less affluent residents to relocate. An integrated We propose that these urban marginalized areas are the most appropriate to be targeted approach to segregation implies that sectoral (people-based) and spatial (area-based) by the urban community-led local development (CLLD) approach and program. They often interventions should be combined to successfully tackle urban marginalization. Many consist of socially isolated, poor areas within cities and towns in Romania and as such are not always well reflected problems affecting urban marginalized communities do not originate in the areas in average poverty statistics at the locality or county level. These are often pockets of social exclusion, which are where they live, but result from broader societal factors, such as unemployment, lack described by other urban residents as “hotbeds for infections,” and tend to be ignored by health care experts. They of opportunity, poverty, and lack of participation in decision making. Tackling these frequently have segregated schools where only poor households take their children to, and live in poor quality problems is as important as fixing local level infrastructure. blocks of flats or slums often marked by fear and petty crime. Risks of CLLD in Romania and Using data from the 2011 Population and Housing Census we find that 3.2% of the urban population, 2.6% of urban households, and 2.5% of urban dwellings are located in census potential mitigation measures sectors defined as marginalized areas. The proportions can also be aggregated at the level of each of the 42 counties. From this it can be seen that in each county a certain proportion of the urban population lives There are substantial risks that the CLLD agenda will be dominated in marginalized areas and that these tend to be the highest in the counties of Tulcea, Covasna, Hunedoara, by powerful local interest groups such as Mayor’s offices. While the Vrancea, and Botoșani. Map 1 shows the proportion of the urban population in each county that lives in urban involvement of all key stakeholders, including the Mayor’s office, is important, it will marginalized areas. The proportion of the urban population living in census sectors that are disadvantaged on be essential to ensure there is adequate space for a true participatory process where housing, employment or human capital is shown in Map 2. targeted communities are empowered and strongly involved in decision-making in partnership with others. Given the lack of experience with community-led development approaches, it will be important to put in place mechanisms that track the participatory Map 1. Proportion of urban population in urban marginalized areas by county process and apply sanctions when CLLD principles are not followed. Also, sufficient attention should be given to learning and showcasing good practices that have worked Share of urban population in marginalized areas well in terms of putting communities in the lead in decision making and in terms of Regions successfully designing and implementing integrated projects. 0.79 - 2.43 % County 2.56 - 3.21 % County residence city There should be clear mechanisms for marginalized communities 3.26 - 3.58 % Botoşani Maramureş or other stakeholders to launch complaints if they feel their voices 3.62 - 5.79 % Satu-Mare Suceava are insufficiently heard and one powerful actor is dominating the 5.79 - 8.58 % process. Monitoring the participatory process in the partnerships and within the Sălaj Bistriţa-Năsăud Iaşi marginalized communities will not be enough. Grievance redress mechanisms and Neamţ ways to take corrective action will need to be defined before CLLD is launched. It is Bihor important to spell out what happens and what sanctions are applied if the process goes Cluj Mureş astray, community involvement is weak, and CLLD principles are no longer followed. Harghita Vaslui Bacău Arad Alba Learning will be an important component of the approach. Best Covasna practices will be identified through the monitoring activities and will be disseminated on Timiş Sibiu Focşani Galaţi an online platform. The good practices will cover various fields—area-based activities, Hunedoara Braşov sectoral activities, successful urban regeneration, sound financial management, transparency and conflict of interest, innovative projects, and so on. Vâlcea Argeş Buzău Gorj Prahova Tulcea Caraş-Severin Brăila Mehedinţi Dâmboviţa Ialomiţa Definition of the target group: BUCUREŞTI Călăraşi urban marginalized communities Dolj Olt Giurgiu Constanţa Teleorman Urban marginalized areas are severely deprived areas that accumulate low human capital with low formal employment and The intervals represent quintles calculated at national urban level. inadequate housing. They refer to areas where all these three criteria of Data source: NIS, Population and Housing Census 2011 Cartography: ESRI, ArcGIS 10.1 10 11 Map 2. Proportion of the urban population living in each type of disadvantaged area or in marginalized areas aggregated at the level of each of 42 counties Botoşani Satu-Mare Maramureş Suceava Sălaj Bistriţa-Năsăud Iaşi Bihor Neamţ Cluj Mureş Harghita Vaslui Bacău Arad Alba Covasna Sibiu Timiş Vrancea Galaţi Hunedoara Braşov Buzău Caraş-Severin Argeş Typology of urban areas Vâlcea Prahova Brăila Tulcea Gorj Dâmboviţa Region Ilfov County Mehedinţi Ialomiţa BUCUREŞTI Călăraşi Olt Constanţa Resident population Dolj Teleorman Giurgiu % population in areas not disadvantaged % population in areas disadvantaged on housing % population in areas disadvantaged on employment % population in areas disadvantaged on human capital % population in marginalized area 0 50 100 150 km % population in areas with institutions or with less than 50 persons The intervals represent quintles calculated at national urban level. Data source: NIS, Population and Housing Census 2011 Cartography: ESRI, ArcGIS 10.1 12 13 Sub-types of urban marginalized communities The main problems for these areas, in addition to extreme poverty and miserable housing conditions, are the lack of identity papers and property documents, even if local authorities formally declare that this has been resolved. The problem of lack of Four subtypes for urban marginalized areas (which partially overlap) can be distinguished property and land documents is common to all slum areas. In the old neighborhoods, in Romania. These have been determined on the basis of qualitative research conducted people inherited their houses from parents or grandparents, but have no legal papers for this assignment. They cannot be distinguished on the basis of the census data. for the land. 1 ‘Ghetto’ areas of low-quality blocks of flats or in 3 Modernized social housing former workers colonies The third subtype of urban marginalized communities includes modernized social These are low quality housing facilities built before 1990 for the workers of former housing. The areas of modernized social housing are well endowed with infrastructure large socialist enterprises. Most often these are small to medium sized buildings and utility services (sometimes better than the rest of the urban areas) but accommodate (housing 150-500 inhabitants) concentrated in one or two low-quality blocks of flats poor people, in difficult social situations, who are eligible for these houses (Photo 3). with a desolate appearance. Main problems include massive overcrowding, leading Paying for utilities has remained a considerable challenge for the poor residents. When to serious pressure on the block installations, and overdue payments for utilities the monthly bill for only one utility (usually electricity, which is the most common) is (electricity, water, sewage, and garbage collection). larger than a family’s income, then the situation is unsustainable, as residents often cannot afford to live in them and maintain the house. Some of these ghettos are located in former worker colonies. In those cases, housing conditions and access to utility services are even worse. The dwellings are often like ruins with bricks falling from the walls. The roofs have cracks and rain enters the dwellings. This leads to poor housing conditions such as excessive humidity and dirt, Photo 1. ‘Ghetto’ in a low temperatures in winter, and excessive numbers of insects in the summer. As a former workers colony consequence, the health of the inhabitants of these areas is at serious risk. 2 Slum areas of houses and/or improvised shelters. The second subtype of urban marginalized communities includes old neighborhoods at the outskirts of towns and cities with very poor communities of both Roma and non-Roma. These often have extended in size since 1990. In addition to low-quality houses made of adobe, many additional improvised shelters were put together over time, either within the courtyards of old houses or on public areas. These shelters are Photo 3. Modernized often made of plastic and paperboard with some wooden frames. social housing In these slums the community tends to be spread over a large territory, which makes their problems much more difficult to tackle. In some slums, there is virtually no infrastructure, or, for example, only one tap that supplies water for the entire area. In 4 Social housing buildings in the historical city center other areas, the infrastructure is developed along the main street but is not available in The fourth subtype of urban marginalized communities identified through the qualitative the rest of the area (not even electricity) (see Photo 2). research includes social housing in buildings in “historical city centers” or “historical Photo 2. Slum area of city areas.” These refer to areas of individual houses - often in an advanced state of improvised shelters degradation - that were nationalized during the socialist period and after 1990 were used as social houses. These are old neighborhoods, where inhabitants have lived for more than 30 to 35 years. The living situation of these communities resembles slum areas to a large extent Photo 4. Social housing buildings in the historical city center 14 15 According to a survey conducted among Mayor’s offices in Romania, the most common subtypes of urban Identification and mapping marginalized areas are ghettos of blocks of flats and slums with houses. Together, these form over 60% of the 843 urban marginalized areas reported by Mayor’s offices. The number and characteristics of the subtypes of of urban marginalized communities marginalized areas are presented in Table 1. The data from 2011 Population and Housing Census enable a mapping of urban marginalized and disadvantaged communities, based on the criteria that are associated with each of these. For eight cities /towns census sector shape files are available that enable that the generation of maps, as included here. For some of these, data on the Table 1. Data about urban marginalized areas declared by mayoralties spatial location of urban marginalized areas from the survey of Mayor’s offices are also available. Ghetto Ghetto Slums Slums Modernized Degraded Map 3. Map of Slobozia showing the spatial location of urban marginalized areas and different types of of blocks in former with with social social workers improvised housing ‘disadvantaged’ areas, according to data from the 2011 Population and Housing Census (colored areas) and the data of flats houses housing colonies shelters in city centers on urban marginalized areas only, obtained from Mayor’s offices (circles). Possible targeted territory is also shown. County: Ialomița Number of cities reporting City: Slobozia these subtypes exist 115 48 126 46 64 17 Marginalized area reported by the local authority Typology of urban areas (estimated number of inhabitants) Total number of each subtype 170 258 100 254 87 114 30 reported 200 Number of inhabitants per marginalized area - average 658 273 393 135 194 57 Non-disadvantaged area - minimum 16 3 9 1 8 4 Area disadvantaged on housing - maximum 9005 9005 9000 1000 800 200 Area disadvantaged on employment Proportion of Roma people Area disadvantaged on human capital per marginalized area Marginalized area UGIRA and disadvantaged Marginalized area - average 46% 59% 82% 85% 48% 81% area Zona 500 selected in Slobozia Area with institutions or with less than 50 persons - minimum 0% 0% 1% 0% 0% 10% (Conceptual Pilot 4) No data (shapefile with no data) - maximum 100% 100% 100% 100% 100% 100% Data source: NIS, Population and Housing Census (2011) and data reported by Slobozia municipality 0 500 1,000 1,500 Meters Number of dwellings Shapefiles source: Slobozia municipality per marginalized area Cartography: ESRI, ArcGIS 10.1 - average 238 96 83 26 64 11 Map 4. Map of Baia Mare showing the spatial location of urban marginalized areas and different types of - minimum 5 1 1 1 2 1 ‘disadvantaged’ areas according to data from the 2011 Population and Housing Census (colored areas) and the - maximum 4255 3116 1500 200 363 40 data obtained from Mayor’s offices on urban marginalized areas only (circles) Share of social dwellings per marginalized area County: Maramureș 22% City: Baia Mare - average 36% 9% Typology of urban areas - minimum 0% 0% 1% - maximum 100% 100% 100% Marginalized area reported Data: MA ROP, Survey on urban marginalized areas within the cities from Romania, November 2013. Note: In total, 176 Mayors’ by the local authority offices (including three sectors of Bucharest) reported and provided information about 843 marginalized areas within their city. (estimated number of inhabitants) 37 - 131 Many Mayors’ offices appeared to have difficulties in providing an estimate, not to mention precise numbers, on the 132 - 351 number of dwellings in urban marginalized areas that are within the municipality’s administrative boundaries, and 352 - 670 related to how many of these are part of social housing. Regarding Roma, the Mayors’ offices’ estimates indicate that, on average, the proportion of Roma residents is around 45-60% in ghettos, while it reaches over 80% in slums and in social houses in city centers. Data source: NIS, Population and Housing Census (2011) and data reported by Baia Mare municipality Shapefiles source: Baia Mare municipality 0 500 1,000 1,500 Meters Cartography: ESRI, ArcGIS 10.1 16 17 Operationalizing CLLD The approach that we propose for defining and identifying urban marginalized communities using the 2011 Population and Housing Census and thus the city and town maps based on them needs further testing and verification. The analytical work conducted should be seen as the result of a first step in a research process that needs to be continued after this assignment. for urban marginalized communities in Romania However, it is important to keep in mind that the census-based method will never be perfect. For the identification of urban marginalized areas at the town and city level it is important that additional information is collected from The proposed timeline for the implementation of the CLLD Program in Romania is shown in Figure 3. The LEADER key informants at the local level and through on the ground verification. experience tells us that a preparatory period of at least two years is needed before the actual implementation of CLLD interventions can start. Funding CLLD in Romania Figure 3. Proposed implementation phases and timeline for delivering CLLD in Romania, 2014–2022 1 The draft Romania Partnership Agreement 2014-2020 proposes to apply the CLLD LAUNCH approach to urban areas as a multifund priority axis. The estimated total ERDF budget for CLLD is about €100 million. No information is yet available on the ESF budget allocated to CLLD. Setting a minimum budget will be important to prevent spreading resources too thinly (Box 1). July 2014 – December 2014 Put in place the support structures for delivering CLLD, develop joint capacity-building of administration, and raise awareness 2 BOX 1 The need for a minimum budget Although there are risks of inappropriate spending if the budgets are too large, experience has shown that the main danger is that Managing Authorities will spread the budget too thinly as a result of political pressure from applicants. EXPRESSION OF INTEREST The experience of LEADER has shown that the minimum size of a budget for a fully-fledged Local Development/ January 2015 – June 2015 Integration Strategy is around €3 million of public funding for the entire period. Below this level it seems difficult to Launch the call for expression of interest and identify the future CLLD applicants 3 go beyond small-scale “soft” investments in specific fields and to support the running costs of the partnerships and the animation of the local community. Source: European Commission, Guidance on CLLD, April 2013: 24. ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 Implement the preparatory phase for 100-115 applicants, including the establishment of To achieve its goals, an integrated, multisectoral, area-based strategy for urban LAGs and the development of Local Integration Strategies (LIS) 4 marginalized areas in Romania needs a budget that varies from €6.3 million to €10.6 million in a “maximum scenario,” and €4.1 million to €7.5 million in a “minimum scenario.” Of the total budget, a share of 50-80 percent could be covered by ERDF, while the rest could come from ESF. This implies that with a total ERDF budget of €100 million, complemented by a corresponding €50 million from ESF, SELECTION July 2016 – December 2016 Romania should be able to properly finance a total of 17-18 local CLLD strategies during 2014–2022. Issue the call for proposals for Local Integration Strategies and evaluate and select 17-18 strategies (depending on the total available budget) 5 IMPLEMENTATION January 2017 – December 2020 Selected beneficiaries implement the Local Integration Strategies in urban marginalized areas 18 6 PHASE OUT & EVALUATION January 2020 – December 2022 Conduct phase out activities and evaluate the performance of the CLLD interventions 19 1 1 2 3 4 5 6 LAUNCH LAUNCH July 2014 – December 2014 EXPRESSION OF INTEREST January 2015 – June 2015 ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 SELECTION July – December 2016 IMPLEMENTATION January 2017 – December 2020 PHASE OUT & EVALUATION January 2020 – December 2022 July 2014 – December 2014 RAISING AWARENESS AND CAPACITY BUILDING A nationwide awareness-raising campaign on urban marginalized areas should be conducted by the Managing Authorities. It should inform all stakeholders on the new Raising financing opportunities for integration of such areas. Before launching the CLLD priority axis, the Managing Authorities should make sure capacity for the CLLD method is strengthened at the central and regional levels. awareness and ESTABLISH SUPPORT STRUCTURES AND CLARIFY PROCEDURES AND DIVISION OF ROLES A Joint Monitoring Committee at the national level should be set up as a specific putting in place coordination structure for urban CLLD for both ERDF and ESF funds. This could be coordinated by the Ministry of European Funds. The MA ROP (MRDPA) and MA SOP HRD (MEF) should be represented. This is to be established specifically for the CLLD program and it would be different from the already existing monitoring committees under ROP or SOP HRD the support (Figure 4). Management of the urban CLLD Priority Axis as a whole should be delegated to a joint intermediate body for both ROP and SOP HRD. The Regional Development Agencies (RDAs) have the experience and the capacity to play this role. Establishing such a body simplifies structures procedures, since a single body would coordinate the application process, reporting of progress on Local Strategy implementation, and strategy revision. A support structure of eight RDAs-IBs with two deidcated CLLD staff each is proposed: one specialist for ERDF and one for ESF. This dedicated CLLD staff at regional levels should also have good knowledge of mobilization and activation (animation) of urban marginalized communities. This staff may seem oversized in relation to a total of 17-18 CLLD strategies that the report estimates will be selected and implemented in the country between 2014 and 2020. However, based on the survey conducted among mayors, a much larger number of applicants (100 to The first six months of the Program should be dedicated to (1) a nationwide information campaign 115) is anticipated, all of whom will need support in preparing their local CLLD strategies.. To regarding CLLD in urban areas, (2) capacity building, and (3) the development of the support implement CLLD over the long run (beyond the 2014–2020 programming period), institutional structures for CLLD delivery and for finalizing the rules and procedures. capacity needs building at regional and local levels, and the issue of urban marginalized areas should be brought to the public agenda. So, the proposed size of the support mechanism should be seen as an investment in the future. 20 21 1 LAUNCH July 2014 – December 2014 2 EXPRESSION OF INTEREST January 2015 – June 2015 3 ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 4 SELECTION July – December 2016 5 IMPLEMENTATION January 2017 – December 2020 6 PHASE OUT & EVALUATION January 2020 – December 2022 Figure 4. Mechanisms for ensuring the coordination between funds Joint Monitoring Committee (JMC) Ministry of European Funds (MEF) If both ERDF and ESF finance the implementation of CLLD strategies in cities and urban areas, a lead fund could be identified. The ERDF should be designated as the lead fund to MA ROP-MRDPA MA SOP HRD-MEF support all running and animation costs of preparing and implementing the local CLLD strategies. (ERDF) Lead fund (ESF) Joint controls could be performed by the Audit Units established under the ROP and SOP HRD. A situation where a project beneficiary faces a high number of duplicative audits from multiple programs should be avoided at all cost. We propose that, as part of putting in place the support structures, Managing Authorities Joint Intermediate Bodies should select a team of four to six experts to offer constant support to the Joint Monitoring (RDAs) Committee (JMC). These experts will primarily assist in selection, monitoring, evaluation, and impact-assessment activities. These consultants should have expertise and sound experience in local development, poverty and social inclusion, Roma integration and urban regeneration, in addition to extensive knowledge of monitoring and evaluation (M&E), data analysis (both Local Action Groups quantitative and qualitative), and participatory methods. The delivery mechanism plays a key (LAGs) role in determining the impact of CLLD. Consequently, the JMC should ensure that the efficiency of the delivery system is assessed during the life of the Program. Cities and urban marginalized areas 22 23 2 1 LAUNCH 2 EXPRESSION OF INTEREST 3 ESTABLISH LAG & PREPARE LIS 4 SELECTION 5 IMPLEMENTATION 6 PHASE OUT & EVALUATION EXPRESSION OF July 2014 – December 2014 January 2015 – June 2015 July 2015 – June 2016 July – December 2016 January 2017 – December 2020 January 2020 – December 2022 INTEREST January 2015 – June 2015 Call for expression of interest After the awareness campaign is completed and the support structures have been put in place, a call for expression of interest should be organized, possibly during the period between January and June 2015. The call should be issued jointly by MA ROP and MA SOP HRD. A pool of experts selected by the Managing Authorities and endorsed by the RDAs should be formed to undertake this task under the Joint Monitoring Committee. All applicants responding to the call for expression of interest should receive support for the next phase. The Intermediate Bodies (RDAs through their dedicated CLLD staff) should offer support to applicants in preparing their expressions of interest. 24 25 3 1 LAUNCH 2 EXPRESSION OF INTEREST 3 ESTABLISH LAG & PREPARE LIS 4 SELECTION 5 IMPLEMENTATION 6 PHASE OUT & EVALUATION ESTABLISH LAG July 2014 – December 2014 January 2015 – June 2015 July 2015 – June 2016 July – December 2016 January 2017 – December 2020 January 2020 – December 2022 & PREPARE LIS wages for one year for a facilitator and for the two to three specialists employed for the LAG formation process, (iii) cost of animation in the territory, (iv) cost of public meetings and publicity July 2015 – June 2016 for LAG formation, (v) cost for consultancies for drafting the strategy, and (vi) the running costs of the LAG during the preparatory year. The grant will be available for each beneficiary body that responds to the call for expression of interest. Strict oversight on how these funds will be spent will be needed, in accordance with EU rules and regulations. A major component of the preparatory phase is training all actors involved in CLLD Preparatory interventions. This training needs to be focused on how to apply CLLD in actual practice (making sure it does not just happen on paper). In keeping with the lessons learnt from past experience, the main activities during the preparatory phase are described in Table 2. phase: establish Table 2. Main activities and responsible stakeholders during the preparatory phase Responsible stakeholders Main activities LAGs and Local authorities in cooperation with the IBs Employ staff for determined period for the LAG (RDAs through the dedicated CLLD staff) formation process (one to two persons per LAG) Local authorities in collaboration with the IBs Employ facilitators (coaches or mediators) prepare LISs (RDAs through their dedicated CLLD staff) and for mobilization and activation of the urban communities. Experienced facilitators from the marginalized communities (one facilitator per city/ Romanian Social Development Fund could be LAG) valuable trainers Local authorities with the support of IBs (RDAs Initially assess potential stakeholders, engage through their dedicated CLLD staff) potential stakeholders to become LAG members Perform animation activities at local level The preparatory phase serves to help local actors who have responded to the expression Local authorities, other local stakeholders, local Select the urban marginalized area(s) to be of interest set up their Local Action Group (LAG) and define their Local Integration facilitator included in the Program Strategy (LIS). This phase includes capacity building to support the forming of a LAG and preparation of the LIS. These capacity-building measures can be funded through preparatory Develop baseline study in the urban marginalized area(s) selected for CLLD intervention support. Local authorities, local facilitator Mobilize the marginalized community Preparatory support should be offered as a coherent set of actions that MA ROP and MA SOP HRD coordinate. The two Managing Authorities should design one scheme for All local stakeholders Set up the LAG CLLD preparatory support in their respective Programs, earmarking a specific part of the CLLD budget for this purpose. This report proposes to make available a grant of up to €100,000 to Train all local actors hire community mobilisers/ facilitators/ animators, conduct training and consultations among a range of stakeholders, establish the LAG, and prepare the local integration strategy. The Consult stakeholders about strategy preparation amount of €100,000 for the preparatory grant is based on field interviews and discussions with experts. It should cover: (i) cost of surveys and qualitative studies in marginalized areas, (ii) 26 27 1 LAUNCH 2 EXPRESSION OF INTEREST 3 ESTABLISH LAG & PREPARE LIS 4 SELECTION 5 IMPLEMENTATION 6 PHASE OUT & EVALUATION MOBILIZATION OF URBAN MARGINALIZED COMMUNITIES July 2014 – December 2014 January 2015 – June 2015 July 2015 – June 2016 July – December 2016 January 2017 – December 2020 January 2020 – December 2022 AND FACILITATION Urban development CLLD-style is done with the people, not for the people. Inhabitants of marginalized communities often consist of highly deprived groups that require continuous facilitation and coaching. Poor education and dialogue skills prevent many of the community BOX 2 Principles for community mobilization members from contacting authorities. They also lack confidence in their fellow city inhabitants. Successful action in a marginalized community also has a beneficial impact on the broader area. The overall goal of community mobilization within the context of CLLD is to build the capacity of communities and local authorities to successfully assess their needs and resources and then to prioritize, plan, implement, and maintain People from marginalized communities see the world through a survivalist lens, and so community project investments. Specifically, the aim of community mobilization is to ensure that: their priorities may significantly deviate from what scientific planning would recommend. However, through perseverance and continuous communication, they may become an effective • the community is committed to a project, and all community members are informed and aware and are given a partner in processes that aim to change their living conditions. The only way to make an chance to be involved from the start; effective and sustainable impact on the lives of marginalized communities is to talk to them, • no person or group dominates or forces its personal agenda on the community; listen to them, motivate them through incentives, and work with them and not for them. This • all groups—such as women, youth and the socially vulnerable—play an important part in the process; way, marginalized people’s human agency may be enhanced and they can further change their • participation, transparency, and accountability are integrated into the community’s way of thinking; lives for the better, on their own. • with appropriate support, the community can solve problems, assess and prioritize needs, develop a community project plan, write a proposal, procure needed resources, implement objectives, provide oversight to implementation, Urban marginalized communities are often regarded as isolated islands of poverty (isolated and monitor and evaluate; in terms of space, but also socially and culturally). So, addressing their situation requires not • communities and municipalities will have a clearer idea of their roles and responsibilities, using the same principles only actions within the community, but also changing the way other local stakeholders perceive and procedures; those communities. These stakeholders include the mayor’s office, schoolteachers, civil society, • the community and the municipality will begin working together using the same principles and procedures; and employers. • the community, in collaboration with the municipality, feels responsible for maintaining the infrastructure investments throughout their life cycle. Since local authorities are most likely to be the beneficiaries of the preparatory support, the relationship between mayors’ offices and the marginalized community is of critical importance for understanding the role that the facilitator (coach or mediator) should play within a CLLD intervention. Communication between urban marginalized communities and local authorities is often casual, usually linked to a crisis situation or elections. Instead, there SETTING UP THE LOCAL ACTION GROUP (LAG) is a need for a proactive mechanism in which to discuss plans for the future, priorities, rules, or changes of behavior. This requires that the prevalent discriminatory attitude disappears, so The formation of the LAG partnership is initiated by the organization that submitted an that local authorities can build a partnership with a marginalized community. This is important expression of interest. In most cities, local authorities are expected to be the initiator. especially when a large number of Roma are involved. However, the existing Intercommunity Development Associations or the local support groups (established under the URBACT II Program) may also initiate a LAG formation process by The mobilization and inclusion of the urban marginalized communities, as well as the responding to the call for expression of interest. establishment of a functional relationship with the local authorities, require a specialized external facilitator. This facilitator will work with the leaders of the communities located in the Our research shows that many urban marginalized areas have experienced a history of same territory. Facilitation quality will be critical to success, and facilitators need strong technical interventions with minimal results, which has caused the relationship among authorities, skills in addition to empathy, trust, and communication abilities. In Romania, the participation of civil society, and the community itself to deteriorate. In this context, all local actors agreed the population in community development projects depends largely on inhabitants’ trust in the that developing a multisectoral, integrated project is not possible in the absence of a real mayor’s office. partnership among all key stakeholders. By consensus, establishing a LAG is seen as necessary but challenging. The mayor’s office is considered the key player in the area of infrastructure Five elements are key to a successful mobilization of marginalized communities. In development, while NGOs are considered experts in social and community development. addition to involving an external facilitator (or coach or mediator), these are: mobilizing resource- people and leaders from the community, carrying out community-building activities, involving The LAG partnership plays a central role in the CLLD approach. It is a decision-making the media as an active and responsible partner, and community-based monitoring. body that includes representatives from all key stakeholders including the marginalized community. The LAG mobilizes all important players and provides guidance and assistance, in 28 29 1 LAUNCH July 2014 – December 2014 2 EXPRESSION OF INTEREST January 2015 – June 2015 3 ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 4 SELECTION July – December 2016 5 IMPLEMENTATION January 2017 – December 2020 6 PHASE OUT & EVALUATION January 2020 – December 2022 particular to potential beneficiaries from urban marginalized areas, to ensure the development of a pipeline of projects that contribute to its action plan. An appropriate balance is needed between enabling local decision making and control. LAGs should not be overloaded with too much administration, particularly if existing capacity is below what is required. This is especially 2 The Steering Committee, which is the decision body within LAG and is elected by the General Assembly; and relevant for the newly established LAGs. Based on a rigorous study, the LAG identifies the main features, problems, and potential 3 LAG staff, in charge of the daily functioning and operations. of the selected urban marginalized area(s). Beginning with the city strategy or the urban In line with European best practices, the report proposes that the LAG Steering Committee (LAG development plan, the LAG determines the main specific objectives and investment priorities SC) should include about 10-30 members (Figure 6). This will make it possible to accommodate for integrating the selected marginalized area(s) and addressing the social exclusion of its the large diversity of stakeholders from four different levels: the urban marginalized areas, cities inhabitants, based on the CLLD methodology. The LAG also develops activities aimed at (sometimes also adjoining communes), counties, and regions. informing and mobilizing relevant local actors. The process of LAG formation is depicted in Figure 5. Figure 6. Example of a possible LAG Steering Committee (from Conceptual Pilot 1, with a total of 27 members) Figure 5. The process of LAG formation Expression of interest Facilitation and support LAG formation Mayoralty and Public Local business Civil society, Marginalized 4 7 2 6 8 Local Council Institutions environment city residents community LAG Steering Local authority Intermediate Bodies – Local authority Elected Elected Elected Elected Elected Commitee (RDAs) members members members members members – Public institutions – Private sector Private Sector – Civil society 1. LAG Staff Civil Society – Marginalized community BOX 3 Aspects of the LAG Steering Committee Marginalized area – Neighboring 2. Facilitator Structure – Local authorities Neoghbouring area(s) communities – Public institutions (AJOFM, ISJ, DGASPC, DSP, IPJ, DJS) – Local business environment Public institutions – Civil society – Urban marginalized area(s) selected for intervention LAG membership is open to every individual and organization within its boundaries as defined by Selection Members are elected by the General Assembly through secret ballot the local people. A LAG territory typically consists of 10,000-150,000 inhabitants. In accordance Responsibility Decision-making body for selecting projects and allocating funding with EC guidelines and Romanian legislation governing NGOs, this report proposes that the structure of a LAG should include three different operational levels: Meeting Monthly 1 The General Assembly, comprising all LAG members; Compensation 5 percent of the mayor’s monthly wage 30 31 1 LAUNCH July 2014 – December 2014 2 EXPRESSION OF INTEREST January 2015 – June 2015 3 ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 4 SELECTION July – December 2016 5 IMPLEMENTATION January 2017 – December 2020 6 PHASE OUT & EVALUATION January 2020 – December 2022 The territory targeted by a local action group (LAG) should be economically, socially, and physically coherent. Here, coherence is understood in relation to the “functionality” of the area in supporting the aims of the Local Development Strategy. In this sense, the territory should Advanced online platforms based on modern ICT systems are essential for knowledge cover one or more urban marginalized areas (such as a ghetto formed by a block of flats), along exchange and learning across communities and LAGs. In addition to sharing good practices with the functional urban area that incorporates these areas. and toolkits, these should enable an online exchange of questions and comments among marginalized communities and LAGs. Deciding the precise boundaries of the local areas is the future LAGs’ responsibility. This will help to ensure that these boundaries are consistent with the scope of the local strategy. In addition to the online platform, processes should be established where stakeholders at Thus, the shape and boundaries may vary from just one marginalized area in a city to several different levels benefit from tailored and targeted learning activities. such areas or to the border and periurban fringe of a larger city. Boundaries may sometimes also cross administrative units. Figure 7 provides one illustration. At the community level, learning is at the core of any community driven development program. World Bank experience has shown that this implies that community-level mobilization and capacity building should be emphasized from the start, using Figure 7. Possible targeted territory by a future LAG Brăila-Chiscani-Tichilești community-friendly training manuals for each of a series of key topics. Neighborhoods at the entrace to the city of Brăila At the local government level, training programs on monitoring, supervision, and City of Brăila KM 10 transparency in community driven local development are important too. Such training programs hold an important role in ensuring subprojects are being implemented under full transparency and with technical rigor (in terms of infrastructure quality, etc.). At the national level, it is also important to get strong buy-in at the level of the national- level counterpart ministry/agency. Cross country exchange can help learn from good practices elsewhere. Commune Chiscani Village Albina PREPARING THE CALL FOR PROPOSALS As part of the preparation phase, the Managing Authorities should issue a call for proposals. In this they specify the requirements of the Local Integration Strategies. These include: what information is required from the applicants and in which format it should be submitted; Note: The boundaries indicated on the left map show the possible boundaries of the territory covered by the LAG. The map at right shows the urban marginalized community within that territory. The marginalized area KM 10 is a ghetto in a former workers’ the deadline for submission and the size of budget allocation per LIS (maximum €10 million), colony, found in the periurban area of Brăila city (over 180,000 inhabitants). The land on which the ghetto is situated belongs to Chiscani commune, neighboring Brăila city. A large number of children from KM 10 ghetto attend school in a nearby village information provided at the moment of signing the contract for the preparatory phase; (Albina) that belongs to commune Tichilești, while others go to schools in a neighborhood situated at the entrance of city Brăila. Conceptual Pilot 5 shows a possible Local Integration Strategy for KM 10 developed by a possible future LAG Brăila-Chiscani- the selection criteria against which the proposals will be assessed; Tichilești. eligibility criteria and selection procedure, together with the number of potential applicant; the level of funding available for CLLD from each of the funds; and THE LAG PLATFORM AND LEARNING the maximum number of strategies that can be selected for financing. Learning and networking should be conducted continuously throughout the program. The JMC secretariat should develop a LAG platform from the outset. In cooperation with the IBs (RDAs), and with support from the team of experts, it will identify good practices by monitoring activities and documenting and disseminating them through an accessible online platform. Initiatives should be taken to identify good practices early on and use these to promote community to community as well as LAG to LAG learning across the country. 32 33 1 LAUNCH July 2014 – December 2014 2 EXPRESSION OF INTEREST January 2015 – June 2015 3 ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 4 SELECTION July – December 2016 5 IMPLEMENTATION January 2017 – December 2020 6 PHASE OUT & EVALUATION January 2020 – December 2022 PREPARATION OF THE LOCAL INTEGRATION STRATEGY (LIS) also monitor how much participation the preparatory process involves. Cooperation should not be viewed as an impediment to a fair evaluation within the competitive call. The solution is not As soon as the LAGs are formed, they should start drafting the Local Integration Strategy to refrain from support activities for fear of biasing the results, but to make relevant information of marginalized communities. The Guidance on CLLD issued by the EC uses the term Local and solid support available to all LAGs participating in the preparatory phase. In this way, the Development Strategy. We have introduced the name “Local Integration Strategy’” or “CLLD principle of equal treatment is fulfilled at all times. strategy.” As the Conceptual Pilots show, we propose that the Local Integration Strategy (LIS) is a chapter of the broader LDS, as it is focuses primarily on the specific development needs of IBs (RDAs) through the dedicated CLLD staff (both for ERDF and ESF) will play the role one or more urban marginalized areas in a larger city or town. of “one-stop-shops” for all questions related to the LIS selection procedure that LAGs or others may have during the preparatory phase. It will be important to ensure that the strategy Experience with the LEADER program during 2007–2013 showed that to ensure high preparation process takes the form of an ongoing dialogue between IBs and LAGs. IBs support quality LISs, it is critical to provide a template of the LIS preparation process. Lessons LAGs in strengthening their LISs and action plans, especially helping them to avoid becoming learned from the LEADER program also showed that on the ground technical assistance to unrealistic and overambitious. Close interaction between LAGs and IBs is also needed to LAGs is crucial for drafting the local development strategies and making sure they are based on minimize the risk of projects creating new segregated areas. As stated, the IBs will also closely a truly participatory process. This is important to prevent the production of fund-driven proposals monitor the quality of the participatory process to make sure it is real and does not only exist on produced by external consultants or expert firms. paper. LISs should be consistent with the Local Development Strategy and should include (1) the results of a baseline study, (2) process and results of consultations with stakeholders, (3) concrete action plan with proposed interventions and a financial plan. All these activities should be eligible for funding under the program. Once the General Assembly and the Steering Committee of LAG are functional, the results of the study and consultations will form the basis for designing the Local Integration Strategy. A solid knowledge base on the current situation is essential for development of the Local Integration Strategy. Local authorities often have very little data regarding urban marginalized communities that are within their jurisdiction. Thus, in the preparatory phase, one of the first collaborative activities (activities that combine different funds) to be undertaken should be a study of the urban marginalized area selected for CLLD intervention and its neighboring area. Consulting with stakeholders about strategy preparation is mandatory. The IBs (RDAs) will provide technical assistance but will also monitor the quality of the facilitation process. Consultation with all local stakeholders should focus on identifying possible measures for solving the problems revealed by the research. The consultation should be carried out by the community facilitator (the expert in community mobilization), together with the permanent LAG staff (already employed within the program), and possibly with the assistance of other specialists. Activities related to all thematic objectives listed within the scope of the ESF and ERDF can be included. Thus, the eligible activities are expected to combine infrastructure with provision of services (educational, employment, community-building, ICT, etc.). Such collaborative projects, combining different funds and different partners, aim to strengthen horizontal integration of programs. Ensuring that the LISs developed by the LAGs are of sufficient quality goes beyond providing information about the preparation process and quality criteria. It requires constant support from the CLLD experts employed by each of the IBs (RDAs), who should 34 35 4 1 LAUNCH 2 EXPRESSION OF INTEREST 3 ESTABLISH LAG & PREPARE LIS 4 SELECTION 5 IMPLEMENTATION 6 PHASE OUT & EVALUATION SELECTION July 2014 – December 2014 January 2015 – June 2015 July 2015 – June 2016 July – December 2016 January 2017 – December 2020 January 2020 – December 2022 July – December 2016 the LISs through a written document. Although the actual selection will occur between July and December 2016, preparations for the LIS selection process should start from the moment the CLLD program is initiated. The preparation process for the selection, as well as the procedure, actors, and responsibilities involved are detailed in Figure 8. Figure 8. Role of the five experts who will support the Joint Monitoring Committee within the overall CLLD process July-December 2014 LAUNCH & SUPPORT MA ROP and MA SOP HRD select five Selection of STRUCTURES experts to support the JMC January-June 2015 CALL FOR The five experts offer technical support to the EXPRESION OF JMC secretariat in analyzing the expressions integration of interest and in developing the M&E plan INTEREST July-December 2015 PREPARATION The five experts offer technical support to PHASE OF LISs the JMC secretariat in defining the criteria for strategies and selection of LAGs and LISs te) ebsi G sw January-June 2016 m (LA In for Inform action plans LAGs Setting up process Support & feedback Preparing LISs Intermediate Bodies (baseline study and (RDAs - dedicated CLLD staff) consultations with Inform & submit LIS stakeholders) Eligibility check July-December 2016 SELECTION OF LISs The five experts offer technical support to the Common Selection Committee After communities have been mobilized, the LAGs formed, and the local integration strategies (LISs) drafted through a participatory process, the preparatory process is complete. The following phase is the “selection” phase, during which the LISs and the LAGs are assessed and selected. In the CLLD guidance issued by the EC this process is referred to January 2017 IMPLEMENTATION OF Selected LAGs enter precontracting period with the MA ROP and MA SOP HRD as the “call for proposals.” SELECTED LISs Rejected LAGs are informed The LEADER experience has shown the importance of organizing the selection process in an efficient and effective way to prevent unnecessary delays. The five experts offer technical support to the JMC secretariat for starting preparing the The report proposes that the selection of the LISs for urban marginalized areas is impact evaluation performed by a Common Selection Committee created under the Joint Monitoring Committee (JMC), in the Ministry of European Funds (MEF). Both MA ROP and MA SOP HRD should be involved. The Common Selection Committee will issue the formal approval of 36 37 The quality of the strategy and the proposed LAG partnership are thus central components 1 LAUNCH July 2014 – December 2014 2 EXPRESSION OF INTEREST January 2015 – June 2015 3 ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 4 SELECTION July – December 2016 5 IMPLEMENTATION January 2017 – December 2020 6 PHASE OUT & EVALUATION January 2020 – December 2022 of the selection criteria for funding. The main points to be considered in selecting the LISs are that the LIS: (1) responds to local needs; (2) is consistent with existing national, regional, or subregional strategies, including sectoral ones; (3) undertakes development in a participative BOX 5 Example of selection criteria and scoring mechanism manner; (4) promotes links between local development actions; (5) is integrated and multisectoral; (6) has an innovative character; (7) encompasses cooperation and networking; (8) is based on Weight Score Total viable budgets. Box 4 presents the suggested eligibility criteria for the LISs. Box 5 presents an SELECTION CRITERIA (1 to 10) Score example of a set of selection criteria for LISs. (A) (B) (=A*B) Is there evidence that the local community was involved in the elaboration of the 2 7 14 strategy? Criteria for score (out of 10): BOX 4 Criteria of eligibility for the LISs (call for proposals) e.g. List of consulted persons, list of meetings, supporting statements, participative techniques (e.g. participative SWOT analysis, other community planning techniques used) Does the strategy reflect the development needs of the territory? 2 The LAG is a registered organization in which different segments of local community are represented: Criteria for score (out of10): A clear and logical link between strategy and actions and the SWOT analysis (1) The public sector (local authorities, public institutions) (2) The private sector Is the strategy relevant in terms of its priorities and objectives? 2 Criteria for score (out of 10): (3) The civil society (teachers, doctors, nurses, church, NGOs) Structured in priorities, each priority has objective, actions, indicators (4) The urban marginalized area(s) selected for intervention Is the action plan coherent? 2 The targeted groups are correctly represented: youth, women, Roma, people with disabilities, low- skilled, The LAG Criteria for score (out of 10): inactive, and unemployed people. An organized list of activities, each of which is described in broad terms Public authorities and any other group of interest do not hold more than 49 percent of the votes. Is the budget logically distributed among the main actions, and does it reflect the At least 20 percent of the Steering Committee members are representatives of the marginalized community. 1 strategy? Rural area representatives who become partners in LAGs do not have more than 25 percent of the votes. Criteria for score (out of 10): Budget broken down into relevant headings in the work Program Are the financial resources provided sufficient to implement the action plan? (i.e., 1 is it feasible?) The Local Integration Strategy includes the following elements: Criteria for score (out of 10): Financial resources estimated for each action heading (1) The definition of the territory and population covered by the strategy, as well as of the urban marginalized area(s) included Does the strategy complement other interventions in the area, especially other Local 1 Development Strategies? (2) An analysis of the development needs and potential of the area, including a strengths, weaknesses, opportunities, threats (SWOT) analysis Criteria for score (out of 10): Strategy notes other interventions (they are listed, mapped, and related to) (3) A description of the objectives, as well as the integrated and innovative character of the strategy, and a hierarchy of objectives, including clear and measurable targets for outputs or results What is the relationship with other partnerships? Are there methods and systems of 1 coordination that ensure synergy with other funds intervening in the area? (4) A description of the process of community involvement in the development of the strategy Criteria for score (out of 10): The LIS (5) An action plan demonstrating how objectives are translated into concrete projects Other partnerships identified and mapped in relation to the partnership (6) Descriptions of the management and monitoring arrangements, demonstrating the capacity of the LAG Systems of coordination set up (e.g. regular meetings with other LAGs) to implement the strategy and a description of specific arrangements for evaluation What is the experience and capacity of the partnership and lead partner in terms of 2 (7) A financial plan, including the planned allocation both for ERDF and ESF administrative and financial management? Criteria for score (out of 10): Lead partner has previous experience with running local development partnership. Lead partner has designated and dedicated people to organize administrative and The TERRITORY The targeted population covered by a local partnership is not fewer than 10,000 and not more than 150,000 financial management. inhabitants. The rural population included in the targeted population (if it is the case) does not exceed 25 percent. Does the partnership reflect the priorities of the strategy, especially in the case of 1 The targeted territory refers to an urban or periurban area. funding from several ESI Funds? The targeted territory includes at least one marginalized community. Criteria for score (out of 10): Resources set aside for activation work The targeted territory is coherent in economic, social, and physical terms, where coherence is understood Are working and decision-making procedures clear and transparent? 2 in relation to “functionality” in supporting the aims of the Local Development Strategy. Criteria for score (out of 10): Governance structure explained Cities with 10,000–20,000 inhabitants should be verified as nonparticipants in the LEADER Program. Is the area sufficiently coherent with sufficient critical mass? 1 Criteria for score (out of 10): Size of area in sq. km. and population, geographical nature, and coherence Source: European Commission, Guidance on CLLD, April 2013: 59. 38 39 5 1 LAUNCH 2 EXPRESSION OF INTEREST 3 ESTABLISH LAG & PREPARE LIS 4 SELECTION 5 IMPLEMENTATION 6 PHASE OUT & EVALUATION IMPLEMENTATION July 2014 – December 2014 January 2015 – June 2015 July 2015 – June 2016 July – December 2016 January 2017 – December 2020 January 2020 – December 2022 KEY ELEMENTS FOR SMOOTH IMPLEMENTATION OF January 2017 – December 2020 LOCAL INTEGRATION STRATEGIES The field work conducted for this assignment suggested a number of key elements for a successful implementation of LIS projects in Romania. These are: making available documentation that is as simple as possible and elaborate easy-to- use applicant guides; preserve the (pre)financing rules/conditions during the entire project cycle; Implementing make advance payments available; include the archiving costs among eligible costs; provide reimbursement installments in a timely manner by reducing the processing time of payment requests; the local offer permanent assistance and support through the Intermediate Bodies (Regional Development Agencies through dedicated CLLD staff); establish a resource center for the NGOs implementing EU-financed projects or a mechanism of cooperation between them and the local authorities. integration FINANCING THE IMPLEMENTATION OF LOCAL INTEGRATION STRATEGIES strategies The LIS as proposed by the LAG will identify the needs of support from the different funds and programs in order to implement all aspects of the strategy. This will include an indicative budget allocation. The allocation will depend on the needs and projects identified in the LIS. The selection committee when approving the LIS will also set out the allocations of each CSF fund by program and LIS priority. In addition, the decision will set out the respective roles of the LAG and the authorities responsible for the management and control tasks under each Program (ROP, SOP HRD) for all implementation tasks related to the strategy. Once LISs are selected for financing, the LAGs that have produced a LIS that has been selected The Managing Authorities should issue a list of clearly ineligible activities within the for funding undertake the next step: identify, select, and propose projects for financing. The scope of each Program. Examples of negative lists or ineligible projects for financing could implementation phase consists of the implementation of these projects. include: rehabilitation of town halls, rehabilitation of political parties offices, any project which does not conform to national legislation or regional development planning or trends, and any action that encourages segregation of certain social or ethnic groups. To achieve its goals, an integrated, multisectoral, area-based strategy for an urban marginalized area in Romania needs a budget that varies from €6.3 million to 10.6 million in a “maximum scenario,” and €4.1 million to 7.5 million in a “minimum scenario.” Of the total budget, a share of 50-80 percent could be covered by ERDF, while the rest could come from ESF. This implies that with a total ERDF budget of €100 million, complemented by a corresponding €50 million from ESF, Romania should be able to properly finance a total of 17-18 local CLLD strategies during 2014–2022. 40 41 1 LAUNCH July 2014 – December 2014 2 EXPRESSION OF INTEREST January 2015 – June 2015 3 ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 4 SELECTION July – December 2016 5 IMPLEMENTATION January 2017 – December 2020 6 PHASE OUT & EVALUATION January 2020 – December 2022 Table 3. Appropriate budget for local CLLD strategies: a maximum and a minimum scenario SELECTION OF PROJECTS REGION: Centre South-East South South-East Project applications are qualified or disqualified by the LAG Steering Committee (LAG CITY: Târgu-Mureș Brăila Slobozia Brăila SC). The LAG Steering Committee makes the decision on the basis of the merit of projects Valea Rece UGIRA and Historical proposed by local actors, weighed against objective criteria assessing the possible impact on MARGINALIZED AREA: Lacu Dulce the integration of urban marginalized area and the local economy. The LAG submits the project Improvised shelters Zona 500 Centre to the Intermediate Body (RDA), which then performs the eligibility check. The RDA should Slum of then hand it on to the MA ROP, MA SOP HRD, or both (as some projects can be financed Slum of Ghetto in Historical TYPE OF MARGINALIZED AREA: improvised houses blocks of flats area simultaneously by different funds). The Managing Authorities issue the formal approval. shelters In the ideal case, after the project is submitted to the LAG, the LAG Steering Committee should communicate a decision within two months at most, the Intermediate Body and MAXIMUM SCENARIO (payments for 7 years) the Managing Authorities should provide the formal decision within a maximum of six months, and in case of a positive response, should transfer the funds to the beneficiary within three Estimated total budget: additional months. That way, project implementation could start about one year after application. EURO 10,555,000 6,256,000 9,443,000 8,051,000 If approval and funding take more than a year or even several years, the value added of the percent, of which: 100 100 100 100 project (and of the CLLD approach) risk being wiped out or seriously limited. ERDF 48.3 31.3 49.7 65.9 In general, the projects are carried out by the private or public project promoters who ERDF cross-financing (max 10 percent) 4.6 3.5 4.0 0.5 apply to the LAG for funding. The LAG itself or one of LAG members can also be project Running costs of LAG (under ERDF) 9.5 16.0 10.6 12.6 promoters. Either way, the rules for transparency in decision-making and conflict of interest ERDF Total 62.3 50.8 64.3 79.0 should be respected: those involved in project development will not be involved in project selection or approval; likewise, those involved in project selection or approval will not be involved ESF 37.2 49.2 35.4 21.0 in verifying payment requests. ESF cross-financing (max 10 percent) 0.5 0.0 0.3 0.0 ESF Total 37.7 49.2 35.7 21.0 A selected project is carried out in several distinct steps (Figure 9) and begins with the identification of a problem or of a clearly defined need. Then, it is developed into a project plan and application including objectives, partners, calendar, and proposed budget. MINIMUM SCENARIO (payments for 3 years) Figure 9. The life cycle of a development project Estimated total budget: EURO 7,741,000 4,070,000 7,023,000 6,625,000 MA ROP and IBs (RDAs) eligibility check & funding Implementation percent, of which: 100 100 100 100 MA SOP HRD ERDF formal approval 63.2 43.2 64.0 76.3 ERDF cross-financing (max 10 percent) LAG 3.0 2.7 2.6 0.6 Running costs of LAG (under ERDF) 9.2 17.6 10.2 10.9 & funding Steering Committee approval Project outputs ERDF Total 75.4 63.5 76.8 87.8 ESF Project plan and application Project results 23.9 36.5 22.7 12.2 ESF cross-financing (max 10 percent) 0.7 0.0 0.4 0.0 ESF Total 24.6 36.5 23.2 12.2 Initial problem or a need for the project Project impact Source: Conceptual Pilots 1, 2, 4 and 6. See Annex 4 of the Integrated Intervention Tool on Analysis of Budgets for examples of Local Integration Strategies for different types of urban marginalized areas. 42 43 1 LAUNCH July 2014 – December 2014 2 EXPRESSION OF INTEREST January 2015 – June 2015 3 ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 4 SELECTION July – December 2016 5 IMPLEMENTATION January 2017 – December 2020 6 PHASE OUT & EVALUATION January 2020 – December 2022 The LAGs should develop clear selection criteria for projects in cooperation with the IBs (RDAs). The selection criteria are recommended to be in line with the general selection criteria for the projects financed under ERDF and ESF. BOX 6 Possible strategic communication interventions at different stages of the project cycle MUTUAL LEARNING AND EXCHANGE OF GOOD PRACTICES PROJECT CYCLE STAGE POSSIBLE STRATEGIC COMMUNICATIONS INTERVENTION Preparation/ facilitation This is the most important intervention to ensure that all stakeholders have clarity on Cooperation and networking should be conducted continuously throughout the CLLD the “rules of the game”: Who can participate? What are the timeframes? What are program. The LAG platform developed by the JMC secretariat will include an online the requirements and conditions? presentation of all relevant information: the rules, procedures, legislation, calls, selection Application process Reminders of deadlines and procedures to be followed must be disseminated results, useful data and tools, the Atlas of Urban Marginalized Areas, the Conceptual Pilots, frequently. Q&A, etc. In addition, the JMC Secretariat in cooperation with the IBs (RDAs) and with the support of the team of experts will identify best practices through the monitoring activities and Field appraisal Communities should be consulted during this process. There must be clarity on the process, roles, responsibilities, and rationale for this exercise. will document and disseminate them on the online platform. The good practices will cover various fields—area-based activities, sectoral activities, successful urban regeneration, sound Approval Subproject approvals must be communicated openly and transparently so there is financial management, transparency and conflict of interest, innovative projects, and so on. no doubt about the merits of the selected proposals. Implementation and Preparation and implementation of communication campaigns must be accomplished: The LAGs should be encouraged to create their own websites (linked to the LAGs platform) supervision provide and communicate simplified bidding documents; provide simplified technical for disseminating their experience. Through the Point of Public Access to Information (located standards, material production, training, stakeholder networking, management in the multi-functional center located in the urban marginalized area) the Program could offer information system and other monitoring and evaluation tools. the opportunity to vulnerable groups to share their views and opinions. They could map their Monitoring and evaluation Lead participatory monitoring and evaluation exercises communicated by local community and link it to an OpenStreetMap virtual community. They could upload their content facilitators. for promoting their culture, activities, multifunctional center, social enterprise, etc. In this sense, Maintenance and Communicate a single set of requirements for developing community-level operations they can work with local media together with their partners—local authorities, private sector, sustainability and maintenance plan across projects; plan for periodic supervision after project and civil society. completion and communicate requirements, methods, standards, etc. Strategic communications should ensure that all community members and stakeholders have equal opportunity to access and understand the information. An inclusive communication strategy promotes education and learning, fosters relationships and coalition building, encourages social mobilization, and builds capacity for sustainable communication Highly valuable components of dynamic structured learning in community-driven systems and practices. Strategic communication plays a key role in community empowerment. development projects are peer learning, peer-to-peer exchanges, and community Communications interventions can be incorporated at specific entry points in operations to networking, where active communities are given the opportunity to present their improve project outcomes. A list of possible strategic communication interventions at different achievements and challenges, and learn from others. Learning processes and outcomes stages of the project cycle is summarized in Box 6. need to be built into the project management information system and linked to program decision- making. Adaptive designs and flexibility in implementation are important characteristics of a program that can incorporate lessons from ongoing implementation experience on a continuous basis. 44 45 6 1 LAUNCH 2 EXPRESSION OF INTEREST 3 ESTABLISH LAG & PREPARE LIS 4 SELECTION 5 IMPLEMENTATION 6 PHASE OUT & EVALUATION PHASE OUT & July 2014 – December 2014 January 2015 – June 2015 July 2015 – June 2016 July – December 2016 January 2017 – December 2020 January 2020 – December 2022 EVALUATION M&E activities will be carried out at three levels—JMC, IB, and LAG. The main M&E responsibility lies with the secretariat of the Joint Monitoring Committee, supported by the team January 2020 – December 2022 of experts contracted during the first phase of setting up the support structure (July–December 2014). During the first part of 2015, the JMC secretariat should develop a monitoring and evaluation plan including a set of key indicators and responsibilities for both the IBs and LAGs. Data collection will mainly be the responsibility of the LAGs (which should collect information on each project that is selected for funding) and the Joint IBs (RDAs). The IBs will centralize the data from LAGs and will report to the JMC secretariat, as well as to the Managing Authorities. Monitoring and All data should be transmitted via electronic means. THE RESULTS CHAIN Evaluation (M&E) Each LIS should have a theory of how it will reduce marginalization/ deprivation/ poverty. This can be represented as a results chain that sets out a logical sequence of how the project will turn inputs (resources allocated to project activities) into outputs and intermediate outcomes (more assets and more responsive institutions) that will in turn lead to achievement of the final of community outcomes as reflected in the project objectives, such as increased access to services and better livelihood options for the marginalized. A successful project will then ultimately have an impact in terms of an improvement in the quality of life of the marginalized groups. For each level of the results chain, indicators should be identified that can be tracked. See Table 4 for a generic results chain for community-led development. led development Table 4. Generic results chain for community led development: where to focus M&E Hierarchy of Possible areas of emphasis for M&E Objectives projects Final Outcome Improved well-being for target group Program Objectives: Sustained, higher and less volatile income Desired outcomes Better services that directly affect well-being (including time saving) Increased empowerment (agency and collective action) Program Outputs & Individual/household/community control over more and better-allocated assets (endowments) Intermediate Outcomes: Physical, financial, human, natural, and social capital Assets and Institutions Better functioning and more equitable institutions Monitoring and evaluation (M&E) enables managers to track progress and get better results by Program Activities: Institution-building (organisations, markets, legal rights & social norms) learning what works, what does not work, and why this is the case. It should be integrated with What is done? Asset creation the implementation of the LIS projects. Investment in human, financial, physical, natural and social capital Program Processes Targeting Lessons learned from the LEADER program showed that it is critical to have a strong How is the program By geography/community characteristics monitoring and evaluation system and conduct periodical assessments of the performance implemented? By personal household characteristics of LAGs, with the possibility of upgrading or downgrading the original planned budget. Who is involved M&E arrangements should be established from the onset of the program. All actions related to Who does what: the CLLD interventions must be monitored and evaluated both in terms of effectiveness (the Identification, planning of project activities Implementation extent to which they reach their goals) and finances (disbursement). Indicators and targets must Channeling or management of funds be set and agreed upon upfront by all stakeholders. Also, the quality of the delivery mechanism Monitoring and evaluation of the CLLD program should be monitored during its lifetime. Source: World Bank 2011. 46 47 Annual evaluations, midterm reviews, and the impact evaluation should be based 1 LAUNCH July 2014 – December 2014 2 EXPRESSION OF INTEREST January 2015 – June 2015 3 ESTABLISH LAG & PREPARE LIS July 2015 – June 2016 4 SELECTION July – December 2016 5 IMPLEMENTATION January 2017 – December 2020 6 PHASE OUT & EVALUATION January 2020 – December 2022 on studies done by external professionals (consultants or consultancy firms). These should be based on representative samples of projects to validate the estimates made by final beneficiaries, or of residents from the urban marginalized areas, and for assessing the benefits Community based monitoring can help ensure active involvement of urban disadvantaged of the CLLD intervention at individual, household and community levels. The evaluation surveys communities in project supervision, increase their awareness of their rights to quality should be financed from the preparatory support budget or, during the implementation phase, services, and make them direct participants in assessing and recommending improvements from running costs. in the quality and accessibility of existing services. It can also collect data directly from the community level about the effectiveness of implementation of the project and policy measures The monitoring activities should track the achievement of the output indicators that and assess the actual coverage, accessibility and affordability of services. Steps for conducting reflect the extent to which project activities have been realized in a timely and effective participatory monitoring are presented in Box 7 manner. Once the projects are under implementation, a comprehensive results-monitoring report should be issued every six months that should reflect the extent to which the specific objectives at the sector level have been achieved. Consolidated Annual Reports should be BOX 7 Steps in conducting participatory community monitoring issued every year at all levels defined above. A midterm review of the LIS and of the CLLD Program as a whole should be carried out The following steps can be taken to assist with independent monitoring included between December 2018 and January 2019, two years after starting the implementation in marginalized communities: of the strategies selected for financing. All findings must be widely disseminated (at least on the LAGs platform and the LAGs’ websites) and discussed by all stakeholders to decide on 1 Call a general meeting to ask who would be interested in participating in the monitoring exercise. It is important to check if community members actually have the time to participate in this activity. project adjustments and next steps. Once the community decides who wishes to join the participatory monitoring, the facilitator meets with the group Quality Control can be performed through the mechanism of direct visits and through 2 at a time convenient to them. reporting, monitoring, inspection, audit, and evaluation of activity implementation. The facilitator builds consensus on the purpose of the exercise, clarifies his/her role, expectations and reviews Quality control over the implementation of all processes and activities has the following 3 the schedule. objectives: Community members then identify the monitoring and evaluation questions they want answered related to the Ensure that each process is in line with rules, principles, and policies; 4 project activity. Questions come solely from the community; there are no predetermined questions or forms from the facilitators. The group then brainstorms on ways to collect the data and who is responsible for data collection. Ensure that the results obtained during the planning stage are obtained through the Once the data is gathered, the group meets again to analyze it and reach consensus on findings, correct process and mechanism; 5 conclusions, and recommendations. Control activity implementation so that it is aligns with the established plan; The group then reports to the larger community and together they prepare a plan of action to improve performance 6 if needed. Control funds utilization to ensure correspondence with plan and transparent management; Ensure the quality of implemented activities in addressing determined criteria; Source: Susan Wong 2004. Ensure that actors can perform their tasks and responsibilities in accordance with their function. IMPACT EVALUATION COMMUNITY-BASED MONITORING At the LAG level, the impact evaluation will measure the extent to which the objectives All local partners, including the marginalized community, should actively take part in the and targets established in the beginning of the LIS project are reached. For this purpose, monitoring and evaluation activities. Community-based monitoring is both a form of public a baseline study will be done at the start of the program or project. At the end of the program, supervision of the way in which the project was implemented, and an efficient way to mobilize the the same study will be repeated, measuring the same set of indicators, to observe the extent community. Community members can identify errors, make suggestions of improvement, and to which the situation has improved and the objectives were reached. For this purpose, the give feedback to the project coordinators. In addition to increase the efficiency of the decision- result indicators should be measured based on a representative household survey in the making process, it will also help people to be better informed and more aware of their rights as beneficiaries, citizens, and human beings. 48 49 marginalized community. The population census could be used to validate some of the findings of the baseline survey. The impact evaluation should be external, performed by a specialized company or consultants. We propose to explore the option of conducting an impact evaluation of the selected LISs that will also include one or more comparator groups. A baseline survey should be conducted for the same set of indicators in both the marginalized community selected for the program and a different community with similar characteristics. After three years, the same survey can be administered to both groups and the changes observed can then be attributed to the interventions. This way, external changes that affect the target groups but are not induced by the intervention (caused by, say, an improvement of the overall economic situation) are eliminated from the comparison. The nature of the projects and programs included in the LIS makes it difficult to observe a change in outcomes in a short period of time (e.g., on poverty or on employment rates). A long enough time span is required to assess the quality of the Program and its possible various spillover effects. At the Program level, the impact evaluation will be based on two surveys conducted by specialists in January 2017 (after the selection of LAGs and Local Integration Strategies) and in January 2022 (at the end of the implementation phase for the programming period 2014–2020). The evaluation framework will measure indicators that are linked to the hierarchical results framework that is developed in each LIS and by each project. It should thus measure change at input, output, and outcome level, including behavioral change. In addition to the quantitative impact assessment, qualitative information should be conducted at the end of the program to identify reasons for the good or poor performance and determine what worked best and why. 50