Annex 2: 2PR:
The Cooperative Governance Improvement and Technical Assistance Project: Functional Audit of the Department of Social Affairs of the
1. Project description
Project number |
2PR |
Project title |
The Cooperative Governance Improvement and Technical Assistance Project: Functional Audit of the Department of Social Affairs of the |
Responsible institution |
Municipal training center at Kaunas University of Technology, Lithuania, Ausra Suopyte |
NASPAA partner |
|
NISPAcee partner |
Secretariat of Public Administration |
Budget: planned |
$11,250 USD |
Budget: resources really used |
$9,519.62 USD |
Project period: |
1.10.2001 – 30.9.2004 |
2. Project purposes and goals
The purpose of the project was to promote good governance practices in
q The use of functional audit as a tool for the introduction of good governance practices in pilot municipalities;
q Streamlining decision-making systems in local government administrative structures;
q Introducing anti-corruption measures into city management systems.
The main objectives of the project included the following:
q Adaptation (if necessary) and application of the functional audit methodology in the pilot municipality;
q Assistance to local government administrations in streamlining their functions and procedures based on the results of functional audit;
q Raising awareness of the benefits of functional audit and opportunities for the introduction of good governance practices in local governments;
q Dissemination of the results of the project among the key actors in the field of public administration in
Primary target groups were city managers and heads of divisions. Secondary target groups were internal and external consultants on various public management issues, in particular on functional streamlining, rationalization of accountability mechanisms and introduction of anti-corruption measures in public decision-making.
The main activities of the project were as follows: application of functional audit methodology in practice; education of reviewers and recipients on opportunities and benefits of functional audit; dissemination and implementation of the results and recommendations.
3. Project realization
Certain problems occurred during the project realization. The visit of NISPAcee partner Mrs. Proskurovska was cancelled and all communication was occurring via e-mail. Personnel changes in MTC caused delay in the preparation of the final report.
While carrying out the audit, one important issue was faced by the team. Internal resistance to carrying out the audit—the main problem found in the Social Affairs department—by employees accrued straight after selecting the pilot department. The pilot audit was seen as a kind of controlling device or evaluation initiated from above, a tool for firing employees and similar. The resistance was also influenced by the fear of incontinence of the research data; the small number of respondents made it easy to identify the personalities. And also such things as “we are used to what and how we do” are difficult to overcome. The resistance mentioned above was removed using several techniques:
· Round table discussion with the department staff and individual discussions prior starting the audit were held. During the discussions, the goals and techniques of functional audit were explained.
· It was decided to use the participative approach as the main project technique during the project course. Such an approach was used in order to involve employees in the process of the development of the department, and in that way to elude a shortage of information, avoid resistance and train employees.
4. Project outputs, outcomes and impacts
Following the outlines of the methodology, the pilot functional audit in the Social Affairs Department (Marijampole municipality) was organized. The audit has been carried out in three stages:
1. Initial survey. During the meetings with the municipal administrator, Social Affairs department director, the heads of divisions and department employees, the main problems in the department were outlined. At the same time, the annual research (prepared by department) on clients, in the context of their satisfaction for the services produced by the department, was reviewed. The research results showed that customers are satisfied by the service. For such reasons it was decided to focus on internal problems of the department.
2. Data and information analyses. The required information was gathered by analyzing the documentation of the department (annual reports, annual plans, department’s regulations, etc.), and the questionnaires and interview with the director of the department and the heads of the divisions. After the information analyses, the main problems (concerning time management, performance evaluation, controlling, human resource management, planning) were outlined and presented during the department meeting. During the brainstorming session and voting, the employees decided to focus on two main problems in the department: 1) the performance evaluation (controlling) system improvement, and 2) the improvement of time management. They were divided into six working groups. The task of the groups was to evaluate possible steps and prepare action plans for problem solving. During this stage, several meetings and consultations were organized. LC (continually) and Dr. R. Bruce (during his visit in
3. The preparation of the recommendations. The recommendations for the department’s development are based on the information that was gotten during stage two. The recommendations are grouped as the Recommendations for Municipality and the Recommendations for the Department. But some of the recommendations could not be implemented without causing changes in the whole managerial system of the municipality. The recommendations were introduced to municipal administrator and the employees of the department.
The pilot audit was organized in such a way, that some training during the Phase Two of the audit was organized. The employees participating in the evaluation sessions were trained to work in teams, to handle “brain storming” sessions, and to prepare action planes as well as be introduced to the main effective managerial principles (controlling, planning, evaluation, motivating, work load analyses). Employees were also initiated into the main principles of using the methodology.
The functional audit methodology was introduced to Lithuanian municipalities before starting the project which occurred during the annual meeting of municipality administrators of