Cities Alliance Country Programme Eval 2017

Programme Evaluation of Cities Alliance Country Programmes Ghana, Uganda and Vietnam

February 2017 Contents

Executive summary 3 Vietnam 80 Introduction 4 Introduction 81 Methodology 4 Relevance 86 Recommendations 4 Effectiveness 90 Key Findings 5 Efficiency 98 Sustainability 102 Introduction 8 Partnership 104 Objectives And Scope of the Evaluation 10 Conclusion 106 Structure of the Report 10 Cities Alliance 11 Cross country findings 108 Relevance 110 Methodology 14 Effectiveness 111 Evaluation Framework 15 Efficiency 112 Primary and Secondary Data Collection 17 Sustainability 112 Synthesis and Analysis of Findings 19 Partnerships 113 Methodological limitations 19 Conclusion 114 Ghana 21 Introduction 22 Recommendations 116 Relevance 28 Effectiveness 33 Appendices 121 Efficiency 40 Appendix 1 - List of Abbreviations 122 Sustainability 44 Appendix 2 - Glossary 123 Partnerships 46 Appendix 3 - Satisfaction levels 124 Conclusion 48 Appendix 4 – The initial Evaluation Framework and Indicators 125 Uganda 50 Appendix 5 - Cities Alliance Tier Two Corporate Introduction 51 Scorecard Dashboard 128 Relevance 58 Appendix 6 - Ghana 129 Effectiveness 62 Appendix 7 - Vietnam 130 Efficiency 70 Appendix 8 - Reading List 131 Sustainability 74 Partnerships 76 Conclusion 78

2 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Executive summary

Vietnam 80 Introduction 81 Relevance 86 Effectiveness 90 Efficiency 98 Sustainability 102 Partnership 104 Conclusion 106

Cross country findings 108 Relevance 110 Effectiveness 111 Efficiency 112 Sustainability 112 Partnerships 113

Conclusion 114 Recommendations 116 Appendices 121 Appendix 1 - List of Abbreviations 122 Appendix 2 - Glossary 123 Appendix 3 - Satisfaction levels 124 Appendix 4 – The initial Evaluation Framework and Indicators 125 Appendix 5 - Cities Alliance Tier Two Corporate Scorecard Dashboard 128 Appendix 6 - Ghana 129 Appendix 7 - Vietnam 130 Appendix 8 - Reading List 131

Executive Summary | 3 Introduction Methodology Cities Alliance is a global partnership for The evaluation was conducted over poverty reduction and the promotion 16-weeks, from September 2016 to January of sustainable development in cities, 2017. An evaluation framework and hosted by the United Nations Office for indicators were determined leveraging the Project Services (UNOPS) (Cities Alliance, Organisation for Economic Co-operation 2016). Launched in 1999 jointly by the and Development’s (OECDs) pillars of World Bank and UN-Habitat, the Cities Relevance, Effectiveness, Efficiency Alliance provides technical and financial and Sustainability, in conjunction with assistance to address urban poverty Cities Alliance’s Results Framework in developing countries. To help gauge and input from key stakeholders. The the effectiveness—and highlight the report also includes a separate pillar success—of its efforts, Cities Alliance on Partnerships, a core indicator of the commissioned an independent evaluation of effectiveness of the programmes. Primary the first wave of its Country Programmes, data was collected through visits to each which included Ghana, Uganda and country, interviews and surveys, and was Vietnam. The evaluation sought to inform supplemented by secondary data from future strategies and programming by project documentation. All findings were investigating the existing processes and synthesized and analysed to produce their performance in the field. Additionally, recommendations per country and pillar. the evaluation could help promote a common understanding of the programmes, while fostering dialogue regarding their assumptions, modalities and achievements among both beneficiaries and a wider international audience.

Recommendations

The evaluation found that Cities Alliance Relevance • Perform detailed country reviews. has a viable opportunity to advance its • Sequence and connect projects in the programme design. Country Programmes by leveraging the momentum generated, and lessons learned, • Adapt the approach to address during the first wave in Ghana, Uganda and new challenges. Vietnam. Cities Alliance should continue to Effectiveness • Select best-for-purpose partners. work through partnerships to strengthen the urban agenda. Moreover, it should • Develop in-country capacity. continue with its Country Programmes to Efficiency • Ensure Cities Alliance presence on the ground. help improve programme management and • Improve grant mechanisms. sustainability in the countries in which it operates. Sustainability • Implement a long-term programmatic approach. • Streamline the monitoring and evaluation processes. Partnerships • Engage partners outside Cities Alliance. • Engage the private sector. • Increase knowledge sharing.

4 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Key Findings All three Country Programmes were found to respond to as having played a prominent role in encouraging a national and international priorities; and to align with the bottom-up approach to urban development, with its objectives defined in the Country Programme Framework. participatory approach helping enable grassroots community This was due in part to Cities Alliance working closely with organisations to collaborate with national governments local governments and partners to design the work. The and international donors, empowering communities, and Relevance Ghana Programme focused on advocacy-based initiatives providing them with a voice in the urban agenda. The Did the projects to develop public awareness of urban issues, whereas in evaluation also found that the key contributions from Cities respond to external Uganda and Vietnam, the focus was primarily on policy Alliance (other than funding), centred on the provision of priorities, and did they development. Although the programmes were tailored technical assistance, coordination support and international align to the Country to each country, they were all designed to foster active experience. Partner organisations agreed that the same Programme objectives? citizenship involvement, support access to services and help level of outputs, over the same timeline, could not have develop policies for cities. Cities Alliance was acknowledged been achieved without the support of Cities Alliance.

A total of 87 percent (122 out of 140) of all project to be heard at the political level. Local capacity has also activities were completed across four areas: National been developed through training, partnering, knowledge Policies, Local Strategies and Plans, Citizen’s Engagement production, sharing and exchange. and Capacity Development. All three countries are now in possession of an inclusive National Urban Policy. Effectiveness Uganda and Vietnam have developed effective Municipal Did the projects Development Strategies to plan and prepare their cities achieve the objectives for future urban development. Citizen’s engagement has defined in the Country increased through savings groups, forums and profiling Programme Framework? exercises, and the urban poor now have opportunities

All three Country Programmes were found to have one of coordination. Programme management support appropriate structure and management capabilities in was found to be most efficient where Cities Alliance had place to deliver objectives. Cities Alliance helped enable its own human resource in-country for the duration of a participatory approach in each country by initiating the programme, reducing the reliance on local partners governance mechanisms such as National Urban Forums, for coordination (for example in Vietnam). Funding and Efficiency Advisory Groups and Programme Steering Committees. proposal processes were seen as transparent by most. However, the extent to which these mechanisms were However, a shift from The World Bank to United Nations Did the projects have the appropriate effective was largely reliant upon coordinating partners. Office for Project Services (UNOPS) in 2013 may have structure and hindered proposal processes due to a transition to For example, in Ghana, the Steering Committee was management new procedures and the need to redevelop grant legal capabilities in place to found to be less effective and efficient than in the other arrangements. On average, across all three countries, the deliver their objectives? countries due to limited local partner capacities. In both time from proposal submission to the first disbursement Ghana and Uganda, Cities Alliance was perceived as of funds was 249 days. fulfilling more of expert role and facilitating role than

The evaluation found that the continuation of results leveraged and scaled the Municipal Development Forums; and outcomes may suffer from a lack of funding and and Ghana is rolling out the participatory National capabilities in-country. All partners would need additional Urban Forum to its municipalities. However, stakeholders funding and capacity development in order to sustain indicate that replication is reliant on in-country funding project outcomes. The projects found to be the most and capacity. Collaboration with Cities Alliance has Sustainability sustainable were those where follow-on funding and provided partner organisations and recipients with an synergies with other large international programmes had existing platform and strong credential that they can Will the results and outcomes of the already been secured. The replicability of mechanisms use to secure further work, thereby creating a multiplier projects continue and projects within the Country Programme is high. For effect external to the Country Programmes themselves. after funding or example, the World Bank Uganda Support to Municipal support ends? Infrastructure Development (USMID) programme has

In all countries, 100 percent of the stakeholders noted in Ghana as a result of project sequencing and Cities acknowledged that Cities Alliance helped establish a Alliance staff turnover, as well as delays in timelines or platform for partnership. Cities Alliance also helped to limited local partner capacity to coordinate initiatives. strengthen existing in-country relationships by enabling Knowledge sharing and learning exchange was found to collaborative and participatory ways of working. be a key outcome of the Country Programmes, with a total Partnership Stakeholders further acknowledged that the partnerships of 102 different learning initiatives having taken place at connected appropriate, complimenting capabilities all levels across the three countries. On an international Was there a focus on to the Country Programme; with the highest level of scale, learning exchange has also occurred across countries partnerships? interdependency and synchronization between projects (however, to a lesser extent in Vietnam). recorded in Uganda. Opportunities for improvement were

Executive Summary | 5 General Sustainability

USD USD Follow-on investment: Uganda Vietnam 23 partner Ghana the Municipal Development Forums Follow-on investment - 10.8m 2.6m organisations and forming the basis of the Leveraged an additional of investments through from partner co-ﬁnancing the Cities Alliance across US $2m the 3 country programmes 6 member organisations involved from Asian Development Bank and across the programmes US $150m The World Bank contributed Relevance from the World Bank for a US $150m US $292m sanitation programme World Bank USMID programme. in a Mekong Delta Region Urban Uganda Ghana Upgrading Project 12.3% average municipal expenditure increase decrease in city 30.5% per person per year of population living increase in the proportion Eciency Partnerships in slums from of households in slums 2009 to 2014 168% and/or low income areas between 2013 and 2016 with regular access to Average days from Proposal Submission to Vietnam’s National Urban forums’ portable water between 2013-2016 membership base grew from Uganda Vietnam Vietnam 1st Disbursement 23 in 100% 473.8% 29.9% 30% of funds = to increase in the average proportion of increase in the average increase in access to a 2003 households in slum and/or low-income proportion of household sewerage system 249 days of survey respondents stated that Cities areas with regular electricity connections in slum and/or low-income areas between 2013-2016 120 in 2016 Alliance helped establish a platform for between 2013-2016 with regular access to portable water building eective partnerships Eectiveness

3 National Urban Policies developed 16 Municipal strategies developed in Uganda and Vietnam Capacity Development

4,813 participants to training sessions

Ghana Uganda Vietnam Citizen’s Engagement Produced a suite of training materials Ghana Uganda Vietnam that helped 123 Community Upgrading Fund Projects 45 Community Development Fund in Uganda, benefiting about Projects benefitted 45 75% % savings groups 59 communities 100 federated and in 523,185 2,411 of projects contained at least one 14 local governments of survey respondents stated Cities 22 capacity-building initiative Alliance strengthened the institutional and communities inhabitants of urban poor communities. households community capabilities significantly or very significantly 6 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam General Sustainability

3 National Urban Policies developed 16 Municipal strategies developed in Uganda and Vietnam Capacity Development

4,813 participants to training sessions

Established in 1999, Cities Alliance is a global partnership for poverty reduction and the promotion of sustainable development in cities, hosted by the United Nations Office for Project Services (UNOPS) (Cities Alliance, 2016).

8 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Introduction | 9 Hosted by the United Nations Office for Learn from the field. Enable Cities The target audience for this evaluation Project Services (UNOPS), headquartered Alliance’s Secretariat, members and includes: in Brussels and supported by a Secretariat; partners to understand and interpret its members include international non- successes and challenges, as well • The alliance of members at large who governmental organisations, foundations, as how to improve both current and have financed and implemented some multi-lateral organisations, national future Country Programmes. of the programme activities; as well governments, local authorities, research as prospective members which may institutions and the private sector. Its Communicate Cities Alliance’s be interested in the organisation’s key objectives are to support cities in programmatic approach. Promote developmental impact. a common understanding and foster providing effective local government, an • National and local partners whose communication of the assumptions, active citizenship and a growing economy ownership of the programme was a modalities and achievements of characterised by both public and private major objective. investment. Since 2009, Cities Alliance’s the Country Programmes with the activities have helped leverage over programme beneficiaries and the • The Secretariat that has overseen and US$1.5 billion in additional funding1. wider international audience. coordinated the programmes. The organisations’ current Medium Term Strategy is focused on promoting equity in This evaluation will identify the Structure of cities through equitable economic growth, Relevance, Effectiveness, Efficiency, Sustainability and Partnership of the three gender equality and partnerships2. Country Programmes and recommend the Report improvements for future programmes. The report will consist of four chapters: one Objectives and Scope It is tied to the objectives set out in the per country, and a final chapter focused initial Country Programme Framework on conclusions and recommendations. of the Evaluation documents (2009) and therefore, does Each country will be evaluated individually not include analysis on the climate or against Relevance, Effectiveness, Efficiency As a global leader in strategic city planning, gender objectives that were defined in and Sustainability. slum upgrading and inclusive national Cities Alliance’s Business Plan (2011) or policy development, this evaluation is Mid-Term Strategy documents (2014). paramount to informing future strategy and programming, and is in accordance with Cities Alliance’s standard operating procedures which call for periodic Figure 1 Cities Alliance governance model independent assessments of selected programs and projects. Assembly Cities Alliance operates through four business lines: Country Programmes, the Catalytic Fund, Joint Work Programmes and Management board Communications and Advocacy Activities2. This evaluation covers the first (and most advanced) wave of Country Programmes in Secretariat Ghana, Uganda and Vietnam, with grants closed out by the 31st December 2016. Director

The objectives of this evaluation are Front o ce Finance & Programme three-fold: operations unit Investigate the process and the results. Task managers Analyse and determine, as systematically as possible, the mechanisms and early results of the Country Programmes.

Partners and members

Ghana Uganda Vietnam

10 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Cities Alliance UNOPS and Cities Alliance Country programme Prior to 2013, Cities Alliance was hosted Core principles Cities Alliance governance by the World Bank. Over the course of structure 2013, UNOPS worked with the World Bank The Country Programmes were designed to assume the trustee and Secretariat in 2009 as a new model of intervention Cities Alliance has a representative global function for Cities Alliance and successfully for Cities Alliance. The idea was to membership of 33 full and associate transitioned the partnership from the move away from shorter-term, one- members. The membership includes six World Bank into the UNOPS system. time initiatives towards a longer-term, constituencies3, which are represented This included relocating Cities Alliance’s programmatic approach to address the at the annual Cities Alliance Assembly secretariat from Washington, D.C. to specific development needs of a selected meeting. Cities Alliance activities are Brussels; opening a new account for Cities country, typically in the context of rapid overseen by a 12-member management Alliance funding with an initial roll-over of urbanisation and growing urban poverty. board representing the six constituencies. funds from the World Bank-administered The programmes seek to coordinate and The Secretariat implements Cities Alliance’s trust fund; and transferring key ongoing fund a series of projects in a coherent Work Programme and manages its day-to- projects and the World Bank’s database manner, to achieve a single broad vision day operations through several dedicated for Cities Alliance to UNOPS. Separately, and impact at scale. The Cities Alliance staff. All major programmes, including the UNOPS successfully set up a core multi- Country Programmes are tailored to a Country Programmes, have designated donor fund to support operations for the specific country’s context, to emphasize task managers to provide oversight to the Country Programmes, and established legal a collaborative design that engages programme, and administer the various templates for future contributions. This and mobilises members and partners grant-funded projects implemented by core fund is managed in close collaboration behind a jointly-designed programme partners and members. with Cities Alliance’s secretariat1. of support. The programmes typically link past and current initiatives of Cities Alliance members and partners, filling technical assistance gaps and/or scaling up strategic work, as well as fostering local partner ownership of initiatives.

Country Programmes are guided by a set of core principles that build on key lessons learned through years of global experience:

Long-term, pro-poor programming … in which urban programmes are strategically developed to ensure that city governments can address urban growth and poverty reduction more e ectively.

Collaborative programme design … that engages and mobilises partners behind a programme of support that they have designed together. The programme links past and current initiatives of Cities Alliance members and partners and also fosters client ownership.

Multi-sectoral, aligned approach … that seeks to bring national government policies, city development processes, and community activities across sectors into alignment in support of integrated urban development.

Building long-term institutional capacity … by engaging and investing in national, regional, local and community institutional structures, including universities. Helping ensure national capacity exists to implement the programmes in the long term.

Engaging for systemic change and impacts at scale … by supporting the emergence of an appropriate policy framework and the institutionalisation of dialogue between citizens and local and national governments, building on local knowledge and global good practice.

Creating conditions for follow-up investments … by aligning technical assistance activities to future investment programmes and providing a partnership platform where funding opportunities can be coherently identiﬁed.

Introduction | 11 Objectives Geographic focus Activities and outputs The Country Programmes aim to The geographic focus for developing Within the Country Programmes, create inclusive cities without Country Programmes is primarily on low- Cities Alliance primarily provides technical slums, maximising the potential of income countries, with priority given to assistance support (such as diagnostic, urbanisation by proactively managing countries in Sub-Saharan Africa. Cities planning, policy development and urban growth. Cities Alliance funds are Alliance prioritises the development of community work). Cities Alliance supports primarily used across projects for2: Country Programmes with governments long-term institutional strengthening that are committed to, or are in the process and capacity development4 by engaging National Policies: Supporting national of, proactively addressing urbanisation and investing in national, regional, policy dialogue and policy development to challenges and the needs of the urban poor. local and community institutional promote pro-poor urban systemic change. These governments are also aware that this structures, including universities. process must be undertaken in the context Additionally, Cities Alliance contributes Local Strategies and Plans: of citywide or nationwide reforms. The first to small infrastructure developments, Strengthening the capacity of local wave of Country Programmes was rolled typically delivered through community governments to inclusively plan and out in five countries (Burkina Faso, Ghana, engagement and dedicated funds. manage urban growth. Mozambique, Uganda and Vietnam) from 2010 with US$15 million funding from the The Country Programmes focus on four Citizen’s Engagement: Strengthening Bill and Melinda Gates Foundation under main intervention areas (see Figure 3 citizen’s engagement in addressing urban the theme “Land, Services and Citizenship below). Each output in these areas is development issues. for the Urban Poor (LSC).” The sample achieved through a series of activities determined by appropriate partners for Capacity Development: Strengthening Country Programmes for this evaluation each specific country, with a thematic and the capacity and resources available to (Ghana, Uganda and Vietnam) were funded geographic focus. Figure 3 highlights some the urban poor, better enabling them to to the total amount of US$13,372,263. sample outputs and activities for each enter development partnerships with intervention area. local government.

All Country Programmes operate across three levels of governance—national, municipal and community—and the multiple constituencies which operate at Figure 2. Cities Alliance tier three objectives and levels these levels. This collaborative approach, both horizontally across partners (that Local Governance - Active Citizenship - Access to Services is multi and bilateral agencies, NGOs and local stakeholders) and vertically between national governments, municipal governments and communities, allows the

Country Programmes to offer integrated National solutions that differ from traditional sectors and siloed approaches. Through the Country Programmes, Cities Alliance aims to encourage local ownership of development strategies, alignment with national strategies, harmonisation of development Municipal interventions, management for results, and the promotion of mutual accountability

and transparency. These actions reflect the National policies Citizen’s engagement Capacity development

global consensus on effective aid delivery Local strategies and plans attained in the 2005 Paris Declaration on Community Aid Effectiveness3.

12 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Gender mainstreaming in current policies and practices of Cities The diagnosis identified valuable insights the early Country Programmes Alliance Country Programmes with for future programmatic work by Cities regard to promotion of/attention to Alliance. Its results and final report are Designed in 2009 – 2011, the Ghana, gender equality, as well as guidance for publicly available online and, although Uganda and Vietnam Country a broad integration of women’s rights out of scope for this evaluation, will Programmes were conceptualised prior and gender equality policies in all Cities complement the findings presented here. to the incorporation of gender as an Alliance operations, based on synthesized organisational priority and programmatic recommendations and action plans”6. cross-cutting issue5. As such, gender is not Figure 4. Gender diagnosis report of the included in the early country programme The gender diagnosis serves the purpose Vietnam Country Programme framework documents. of assessing Cities Alliance and targeted Country Programmes and their partners In January 2016, through its Joint Work in terms of current practices and policies Programme on Gender Equality, Cities addressing gender equality. It provides an Alliance awarded a grant to the Swedish understanding of where Cities Alliance Association of Local Authorities and and its partners stand today in terms Regions (SALAR/SKL), to assess the of knowledge and appliance of gender gender-responsiveness of its Country equality principles in daily operations; Programmes (“Diagnosis of Gender Equality specific recommendations and guidance Integration in Cities Alliance Country to the respective Cities Alliance country Programmes”). The diagnosis intended programmes on how to better integrate to serve as the basis for, and guide the gender equality principles in their work; prioritisation, design and implementation and recommendations to Cities Alliance modalities of Cities Alliance’ operations as an organisation when it comes to on the subject. Specifically, the main mainstreaming gender in its internal and objective of the Gender Diagnosis was external operations. to promote ”increased awareness of

Figure 3. Cities Alliance primary intervention areas and sample outputs areas National Local strategies Citizen’s Capacity policies and plans engagement development Main intervention

• Advocacy and dialogue • City-level diagnostic • National, city and • Organisational on urban policy (enumeration, mapping and settlement level forums development of local rapid assessments) • Institutional strengthening • Establishment and authorities, urban of relevant Ministries • City development strengthening of urban institutions and city associations • Macro research and strategies (CDS), municipal poor organisations plans and slum upgrading • Training of local authorities analytical activities on • Civil society and plans and communities urbanisation and cities community engagement • Practitioner materials • National urban policies • Facilitation of linkages and mobilisation

Sample Outputs/Activities between planning and (toolkits, manuals, and frameworks • Community-led follow-up investments guidelines and learning development infrastructure platforms)

Introduction | 13 Methodology

14 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam The evaluation was conducted over • Tier One: Millennium Development a 16-week timeframe, from September Evaluation framework Goals7 (impact). 2016 to January 2017, corresponding Existing Cities Alliance Results • Tier Two: Partner results as supported with the close dates of the last grants. by Cities Alliance members (outcomes). The evaluation was comprised of Framework three key phases: Cities Alliance’s Country Programmes • Tier Three: Cities Alliance programmatic are monitored by a Results Framework results (intermediate outcomes). 1. Determination of an evaluation that centres around four tiers, tied to framework and indicators. • Tier Four: Secretariat performance objectives set out in Cities Alliance (outputs). 2. Collection of primary and Charter and Medium Term Strategy. The secondary data. tiers articulate the outputs, intermediate Evaluation framework outcomes, outcomes and impact expected 3. Synthesis and analysis of findings. The evaluation is structured around the by Cities Alliance interventions. The OECD/DAC recommended criteria of framework was approved by assembly Relevance, Effectiveness, Efficiency, and members for evaluating the organisation’s Sustainability8. In collaboration with overall performance, and was therefore members of the Secretariat (Country Task included in this evaluation. Where Managers, the Head of Programmes, and possible, tiers two and three of the the Senior Officer), a set of key questions framework were also addressed for and detailed indicators were identified. the countries under examination. Please refer to Appendix 4 for further information on the pillars and their corresponding indicators.

Figure 5. The four pillars in the Evaluation Framework

Relevance Did the projects respond to external priorities and did they align to Country Programme objectives?

E ectiveness Did the projects achieve their objectives as deﬁned in the Country Programme Framework?

Eciency Did the projects have the appropriate structure and management capabilities in place to deliver on their objectives?

Sustainability Will the results and outcomes of the projects continue after funding or support ends?

Methodology | 15 The indicators per pillar were created the New Urban Agenda, as well as the with a focus on the pre-existing Cities Sustainable Development Goals, highlight Alliance tier two and three outcome partnerships as a key driver of sustainable areas—Local Governance, Active development, for example to improve Citizenship, Access to Services, National financing, develop capacities, and improve Policies, Local Strategies and Plans, data and accountability9. Cities Alliance Citizen’s Engagement, and Capacity recognises partnerships as an instrument to Development—and encompass both the help implement strong governance through Country Programmes and the projects cooperation and knowledge exchange, and and grants within those programmes. they are the essence of how it operates in countries10. Due to its significance, In addition to the incorporation of tiers two a separate section has been created and three under the four OECD evaluation for Partnerships under each Country pillars, indicators around Partnerships were Programme’s evaluation. also included where relevant. The Country Programmes leverage partnerships as a key means of implementation, with Cities Alliance working across implementing partners on the ground to enhance, sustain and maximise impact. The 2030 Agenda for Sustainable Development and

Figure 6. The link between the Corporate Scorecard and The Evaluation Framework

Local Governance - Active Citizenship - Access to Services National

Tier II: Cities and Partner Results Eciency Relevance Eectiveness Sustainability

Municipal Tier III: Results in Programmes National policies

Citizen’s engagement Partnerships Capacity development Local strategies and plans Community

16 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Primary and secondary data collection 27 projects across 37 cities and districts where Cities Alliance operated in Ghana, Uganda and Vietnam were included in scope. All projects and partner organisations who played an active role were evaluated. However, due to the length and detail of the evaluation, a representative subsample of sites were chosen in each country:

• Ghana: Accra Metropolitan Assembly and Ashaiman Municipal District. • Uganda: Kampala and Jinja, Gulu. • Vietnam: Hanoi, Tam Ky and Quy Nhon.

Primary data collection: interviews

A total of 79 stakeholders (board members, secretariat, in-country partners, governments, municipalities, institutions and communities) were interviewed using a semi-structured guide based on the agreed upon indicators. 82 percent were held in-person, and 18 percent were conducted virtually.

Figure 7. 72 in-country interviews Figure 8. 79 interviews held

• Interviewed 79 key stakeholders from 27 projects across the three Country Programmes

• Travelled to Vietnam (Hanoi, Tam Ky, Quy Nhon); Ecuador (Quito); and Ghana (Accra, Ashaiman Vietnam municipality) to conduct 17 interviews; in-person assessments Site visits to Hanoi, Tam Ky, • Worked with Bosco Uganda to Quy Nhon collect data in Uganda (Kampala, Jinja, Gulu)

Ghana • Secondary municipal sites for Equador 19 interviews; evaluation were selected through Attended the Habitat III Site visits to consultation with task managers conference in Quito Central Accra to help ensure appropriate and Ashaiman coverage of projects Uganda CA Secretariat 29 interviews; 10 interviews Site visits to Kampala, Jinja and Gulu Board Members 4 interviews

Methodology | 17 Figure 9. Interviewed stakeholders Sept 28 – Nov 18 (6) oard Members (10) CA Secretariat (1) Cities Alliance (1) Director (2) SDI (1) Head of Programmes (1) SIDA (6) Task Managers (1) World Bank (1) Senior Programmer (1) GIZ *2 interviews (1) Partnerships Ocer outstanding In-country, the team interviewed 79 stakeholders from all 27 projects. Oct 10 – Nov 5

(17) Vietnam (29) Uganda (19) Ghana (1) Cities Alliance (1) World Bank (1) Channel Two Communications (2) World Bank (1) ACTogether Uganda (1) CitiFM (2) Ministry of Construction (1) Urban Authorities Association (1) Global Communities (2) Association of Cities of Vietnam of Uganda (UAAU) (1) People’s Dialogue (ACVN) (1) International City Management (1) Ghana Federation of the Urban Poor (1) UN Habitat Association (ICMA) (2) GIZ (1) Urban Development Agency (UDA) (5) Ministry of Land Housing (2) Ministry of Local Government and (8) Municipalities and Urban Development Rural Development (1) UN Habitat (2) Institute of Local Government Studies (2) Makerere University (1) African Center for Cities (2) National Slum Dwellers Federation (2) Cities Alliance (15) Municipalities (1) Ministry of Environment, Science, Technology and Innovation (2) Other (i.e. freelance) (2) Ashaiman Municipality

Primary data collection: surveys

A total of 70 surveys were distributed to partner organisations within the timeframe, a valuable source of quantitative data. The survey received a 58 percent response rate: Ghana (57 percent), Uganda (48 percent), Vietnam (58 percent), and 75 percent from respondents who did not identify with just one Country Programme). As identified in Figure 10, seven types of organisations were surveyed across the three countries.

Figure 10. Participating organisations

Number of di erent organisation that participated in the survey Figure 11. 70 Surveys sent

6 • Surveyed 70 stakeholders, including secretariat members, partner organisations and 4 4 governments

• Board members who were not 2 2 directly involved in a Country 1 1 Programme were excluded, as well as community members without access to the survey Universities International Multidonor Municipal platform and institutes NGOs Fund (and Council consultants) Communications Local National corporations NGOs Ministry

18 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Secondary data collection

Over 190 Cities Alliance documents were reviewed over the evaluation. These consisted of project reports from the central Cities Alliance database and other general materials.

Document Analysis Project reports from the database: General Cities Alliance materials: 27 Projects Analysed • Project overview information • Country programme frameworks Analysed 190+ Cities Alliance proposal • Final Proposals • Cities Alliance corporate scorecard documents, project reports and financials • Grant agreements • Previous Cities Alliance evaluations (i.e. • Fiduciary assessments GHK, COWI, SKL) Analysed by an extended team of • Output documents • Partnership strategy Accenture consultants according to • Progress reports • Mid-term strategy documents evaluation indicators • Completion reports • Annual reports • Country programme factsheets

• Only attendance numbers were • A positive bias in project assessments Synthesis and analysis monitored for training and capacity may have occurred due to reliance on a development sessions (not names). Thus, pre-defined sample set of stakeholders of findings an aggregate total of all individuals and self-reported surveys. trained was unobtainable. All findings were triangulated and - All data was triangulated and cross- synthesised, per indicator, into the - Numbers of attendees are reflected checked against alternative sources, evaluation framework. The final report was per training session, but not at the for example, across interviews, then built upon this analysis. aggregate level. surveys and project documents. • Due to staff turnover during the • In Vietnam, translation via a Cities Methodological programmes, data regarding interviews Alliance focal point was required in with partner organisations was incomplete. interviews. This may have resulted in unintended positive bias. limitations - Further stakeholders were identified Limitations to the data collection and to bridge these gaps. All primary and - All data was triangulated with survey analysis were identified throughout the secondary data was triangulated with results and project documentation. An evaluation, with mitigation plans put in on-site assessments. independent translator was engaged place where possible: to interpret survey results. The • Wider outcomes from the Country evaluation report lists any assumptions Programmes and projects cannot • The project documentation reflected made during the field visits. variances in the quality and be determined due to challenges in completeness of the data available. attributing impact and outcomes directly • Information and opinions between to Cities Alliance. recipient and partner organisations may - Standard indicators from the have differed due to individual agendas. Evaluation Framework were used - Illustrative case studies were narrated to compare results over time, and to demonstrate impact. - These differences are shared feedback sessions with Cities Alliance throughout the report and Secretariat were completed. triangulated through interviews with in-country focal points and Secretariat Task Managers. Figure 12. Triangulation methodology

Corporate scorecard

Project Interviews Triangulation documents

Partner Survey documentation

Methodology | 19 20 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Ghana

Ghana | 21 Introduction

Country context Urban population growth Figure 13. Ghana - Population living in slum The Ghana Country Programme was In 2009, 40.1 percent of Ghana’s total initiated in 2011 and closed in December city population lived in slums12. Over 2016. It was designed under Cities the last three decades, Ghana’s urban Percentage of city population Alliance’s programme on Land, Services population has more than tripled, from living in slums and Citizenship (LSC) to enhance 4 million to 14 million people, outpacing rural population growth. Urbanization coordination between urban resilience 2009 efforts in the country. Cities Alliance has also enabled higher quality education sought to capitalise on its deep experience to reach a larger proportion of the to support the government of Ghana in population, and as a result, the quality of .1 tackling the significant challenges to urban life has improved for millions of Ghanaians development in the country. through greater access to urban services. . Migration to urban areas has led to a According to Cities Alliance, Ghana structural transformation away from 2014 was identified as a country with a subsistence agriculture and an increase challenging political environment, in industry and service jobs from 38 to . however, in 2010 it was chosen as a 59 percent between 1992 and 2010, priority for the following reasons: boosting Ghana’s economy13. This rapid urban population growth has led to side • An emerging policy process in need of effects such as congestion, unregulated support: after urbanisation had initially expansion and limited access to services been neglected in the country11, a and housing. There is therefore an healthy national debate was starting increasing need to manage urbanisation to take shape on urban growth and the and improve citizens’ inclusion. future of cities and slums. • The Cities Alliance membership Economic situation presence and interest in Ghana’s Ghana’s economy has seen sustained urban sector was responsive to the growth since 1984, with annual Gross relevant issues, including Agence Domestic Product (GDP) averaging 5.7 Française de Développement (AFD), percent, and an increasing service sector14. Deutsche Gesellschaft für Internationale Its economy grew by 4.9 percent during Zusammenarbeit (GIZ), Habitat for the first quarter of 2016, higher than 4.1 Humanity International (HFHI), Slum percent during the same period in 2015, Dwellers International (SDI), UN-HABITAT and supported by strong services sector and the World Bank. performance. Additionally, the inflation • A nascent government institutional rate fell to 16.7 percent in July 2016—the leadership, with the Ministry of Local lowest since March of 2015, reflecting the Government and Rural Development stable cedi (the currency of Ghana) and the (MLGRD) recognising the scope of maintenance of a tight monetary policy urbanisation challenges. As a response to stance. The GDP growth rate is expected to these challenges, the Ministry set up the reach around 7.5 percent by 2018, assuming Urban Development Unit (UDU) in 2009. that the fiscal consolidation programme remains on track and technical problems are resolved in the oil and gas sectors15.

22 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Political environment Objectives Project overview Since its return to a multi-party system of Objectives of the Country Cities Alliance Country Programme projects governance more than two decades ago, Programme and alignment with the focused on advocacy around urban issues Ghana has made major strides towards to change policies and mind-sets, promote consolidating its democratic achievements. Results Framework participatory mechanisms to involve Its judiciary for instance, has proven to The development objective of the the urban poor in planning, support the be independent and has generally gained Ghana Country Programme was to provision of basic infrastructure and the trust of Ghanaians even after the create inclusive and resilient cities services, develop national policy, and build dismissal of 22 justices implicated in a without slums, enabling the proactive capacity to enhance coordination between corruption scandal. Ghana constantly ranks management of urban growth. urban development efforts in the country. among the top three countries in Africa for freedom of the press and freedom of The Land Services and Citizenship There were a total of eight grants and three speech. The broadcast media is strong, with Programme has three broad objectives20: supporting activities in the Ghana Country radio being the most far-reaching medium Programme since its start in 2011, all of of communication. These democratic • Get at least 50,000 squatter and which were closed by the end of 2016. characteristics put Ghana in an enviable slum dweller households in Ghana to Each project was designed with partners political position, and equip the country actively engage in securing their rights to address certain Country Programme with formidable social capital16. and honouring their responsibilities objectives across national policies, local through improved urban governance and strategies and plans, citizen’s engagement, The Urban Development Unit formalization. and capacity development. Further details on the projects and the objectives they To consolidate Ghana’s urban growth, • Get at least 50,000 squatter and slum addressed can be found in Table 2. the Urban Development Unit (UDU) was dweller households in Ghana to improve their qualitative and quantitative access created in 2009, as an urban policy and The different projects were programmed to municipal services. coordination unit within the MLGRD, to as interventions at the national, municipal, serve as a secretariat of the National Urban • Help the Government of Ghana (national and community levels. National level Policy (NUP) and the inter-ministerial body and sub-national), in partnership with interventions primarily covered urban that has oversight over the coordination, interested stakeholders, to develop policies; municipal level interventions monitoring and review of the NUP. Its effective and efficient inclusive urban included governance mechanisms; and objective is to “spearhead the formulation, development policies and strategies community level interventions included coordination and monitoring of urban enabling the better management of community development mechanisms and development in Ghana”17. However, as the future urban growth to positively infrastructure projects. Full descriptions UDU was not given the mandate for direct affect the lives of 200,000 slum dweller can be found in Table 3. implementation, and only the mandate to households nationwide. play a coordination role, its effectiveness has been questioned. Currently, its scope does not give it a free hand to mobilize and Geographic scope release funds to the urban local authorities Cities Alliance Country Programme was or to monitor the proper utilisation of funds geographically focused on the Greater for implementation of schemes by relevant Accra Metropolitan Area (GAMA). GAMA bodies. This is a concern to the staff of consists of 11 metropolitan/municipal the unit. The UDU is in a bid to become assemblies and includes the city of Accra, a directorate to expand its mandate and the administrative, commercial and political resource-base, however, it is being hindered capital of Ghana. GAMA is a rapidly by a government net freeze on public sector growing and expanding metropolis with employment18. This freeze has withdrawn a large floating population that comes to government agencies’ licence to hire, the city to trade or work. The rapid growth which now requires clearance from the of GAMA, both in terms of population Ministry of Finance. The move forms part and area, has generally taken place amid of government measures to reinforce its planning constraints and inadequate strict expenditure control in order to ensure provision of basic services. that the wage bill remains within approved budget limits. The freeze will remain in place through 201719.

Ghana | 23 Table 2. Ghana - Projects mapped to intervention areas

Project Great Implementing National Local Citizen’s Capacity Recipient Partner Polices Strategies Engagement Development & Plans G1 Cities Alliance Channel Two Ghana Urban Voice - Secretariat Communications   Radio Program - Phase 1 All G2 Channel Two Fixing the Urban Mess - World Bank Communications   Radio Programme – Phase 2

G8 Support The Urban GIZ GIZ Development Policies &   Strategies - Phase 1

G9 Support The Urban National GIZ GIZ Development Policies &    Strategies - Phase 2

G12 ACC Preparation for the State of ACC MoLGRD, Kwame  Ghanaian Cities Project Nkrumah Uni

G3 Improving & Expanding World Bank World Bank Sanitation in Greater Accra  Workshop

G4 Integrated environmental World Bank World Bank    sanitation strategy for GAMA Municipal G10 Urban Local Government ILGS ILGS Capacity Building - An   Enabling Platform – Phase 1

G6 People’s Dialogue Building the Capacity of the SDI on Human   Urban Poor - SDI Phase 1 Settlements

G7 People’s Dialogue Building the Capacity of the SDI on Human   Urban Poor - SDI Phase 2 Settlements

Community G11 Building the Capacity of the Urban Poor for Inclusive ILGS ILGS    Urban Development in Ghana - Phase 2

24 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Table 3. Ghana - Project descriptions

Project Project descriptions

Elevating the urban agenda in Ghana required a change in attitude and political commitment. G1 To this end, Cities Alliance members and local partners developed a project focused on advocacy Ghana Urban Voice - and raising awareness regarding urban issues. Each radio programme aimed to expose all citizens Radio Program - Phase 1 to topics of importance to urban development. The idea was to level the playing field and include all social classes in the debate. All “Fixing The Urban Mess” was a communications advocacy campaign designed to address the G2 challenges of urbanisation; generate public awareness and debate; and provoke both public and Fixing the Urban Mess - local government action to make a positive impact on Ghanaian cities. The aim was to generate Radio Programme – Phase 2 public awareness and debate, and to provoke public and local government action aimed at making a positive impact on our cities.

G8 Support to Develop a This project sought to prepare the Urban Development Unit (which currently sits within the National Urban Agenda Ministry of Local Government and Rural Development) to assume the leadership in promoting Focused on Inclusive Policies the urban agenda in the country. Its aims were to strengthen the institutional capacity of the & Strategies - Phase 1 Urban Development Unit; support the development and institutionalization of the National Urban Forum to enhance policy dialogue; enhance the policy debate through research into G9 defined urban issues; increase public and political awareness of the importance of “inclusivity” Support to Develop a as a core principle; and to strengthen partnerships through the establishment of a Steering and National Urban Agenda Advisory Committee. Phase 1 focused on capacity development, and phase 2 focused on the Focused on Inclusive Policies establishment of the forums and a review of urban policy and plans. & Strategies - Phase 2

The goal of this project was to support the preparation of the State of Ghanaian Cities Project. National The State of Ghanaian Cities Project is a multi-phase project with three main objectives in the preparation phase. The first objective was to support the establishment of a coalition of urban stakeholders inclusive of national and local government, academia and civil society. Through a consultative process, this coalition would discuss and agree on the priorities and processes G12 for the launching of research on urban systems in contemporary Ghana. The second objective Preparation for the State of was to design a process to assess, and take stock of, contemporary urban trends in Ghanaian Ghanaian Cities Project cities in a systematic manner. This would enable policy makers and scholars to use the resulting analytical work to improve decision making and inform the training of the next generation of urban practitioners. The third and final objective was to build consensus through a national workshop on the structure of a project vehicle to drive the research and dissemination of the final products of the proposed State of Ghanaian Cities Project.

Ghana | 25 Project Project descriptions

The rapid growth of the greater Accra metropolitan area (GAMA) in terms of population and area, has generally taken place in the absence of planning and the necessary development of G3 basic services—particularly sanitation. This, combined with a lack of capacity to operate and Improving & Expanding maintain the few existing wastewater facilities, has created a situation that may have serious Sanitation in Greater Accra health and environmental consequences. The objectives of the workshop were to present the Workshop current situation with regard to accessing improved sanitation in the GAMA; identify what studies or interventions are ongoing or planned; and develop a realistic roadmap to improving and expanding the services.

The objective of this project was to start a dialogue among GAMA municipalities regarding the need to address environmental sanitation from a metropolitan perspective, rather than at an individual municipal jurisdiction level, as was the status quo. The end goal was to establish a G4 metropolitan sanitation entity that deals with cross-boundary sanitation issues so as to bring Support to an Integrated about efficiency gains and increase the capacity to plan, execute and manage these issues. Environmental Sanitation The support project was intended to contribute to this end goal by defining a set of sanitation Strategy for GAMA and water interventions for low-income communities in GAMA based on strong community consultation and participation. The project sought to conduct community and technical/social

Municipal assessments of the sanitation market; and to develop a strategy for effective community engagement in the design, implementation and management of water and sanitation services.

This project aimed to provide key stakeholders involved in urban service delivery with the G10 requisite knowledge and skills to enable them provide strategic leadership for sustainable and Urban Local Government equitable urban development. The project involved the eight municipalities comprising GAMA Capacity Building - An and sought to enhance the strategic planning, governance and resource mobilization capabilities Enabling Platform – ILGS in Ghana. This would strengthen local governments to strategically lead and manage inclusive Phase 1 cities, as well as to increase spatial and human settlement planning, financial management, governance and responsiveness skills.

G11 Building the Capacity of The main objective of this project was to build on phase 1, and enhance the strategic planning, the Urban Poor for Inclusive governance and resource mobilization capabilities of Ghana cities; as well as to strengthen and Urban Development in Ghana enlarge previously successful and on-going urban development interventions. – ILGS Phase 2

The main objectives of this project were to increase the public knowledge and information G6 available on the magnitude and characteristics of settlements of the urban poor in GAMA; to Building the Capacity of the strengthen the capacity of communities to actively engage in constructive, results-oriented Urban Poor - SDI Phase 1 public community dialogue: and to prepare for the establishment of a Community Social Investment Fund for GAMA.

This project sought to widen the experiences of the first project, and to deepen the relationships between slum dwellers and assemblies, as well as between slum dwellers and future

Community programmed national infrastructure investments. It aimed to develop city-wide settlement G7 Building the Capacity of the profiles and maps across GAMA including profiling markets and informal economic activities. Urban Poor - SDI Phase 2 Additionally, this project sought to create dialogue platforms within each of the assemblies to promote a more participatory local government system.

26 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Country Programme Management Timelines and support Figure 14. Ghana - Project timeline & programme management support The Country Programme kicked off in 2011 2012 2013 2014 2015 2016 2011, and closed in December 2016. The 11 projects were staggered across this the duration as shown in Figure 14. Cities G1 G2

Alliance supported the programme through s G3 G4 t its Secretariat, as well as in-country c G6 G7 j e o

r G8 G9

support from a part-time consultant P (2011 - 2013) and Future Cities Africa G10 G11 staff (2015 - 2016). G12 Andrea Zeman Marie-Alexandra Kurth Julian Baskin Mamadu Diagne support

Cities Alliance Ohene Sarfoh

World Bank UNOPS Cities Alliance

= In-country focal point = Cities Alliance task manager

Partners and members Figure 15. Ghana - Partners and members

Cities Alliance engaged several partners Partners Members and members for the Ghana Country • National Development Planning Commission • Ministry of Local Government and Programme. Partners are organisations • Municipal Assemblies Rural Development which are not members of Cities Alliance, • People’s Dialogue • World Bank but with whom Cities Alliance may • Ghana Federation of the Urban Poor • Gesellschaft für internationale work on specific projects. Members are • Global Communities Zusammenarbeit (GIZ) organisations formally affiliated to the • Channel Two Communications • Slum Dwellers International Cities Alliance, who participate to its • Citi FM governance, contribute financially to the • Institute of Local Government Studies organisation, and may implement some of • National University • Africa Centre for Cities its interventions21. • Community Land and Development Foundation (COLANDEF) • Nimba Community Support Services (NIMCOSS)

Governance mechanisms Programme financing Table 4 Ghana - Programme financing

The Country Programme implemented A total contribution of US$3,791,749 was Programme Financing USD three governance mechanisms as part of its allocated to the Country Programme, with activities in Ghana. US$3,022,905 from Cities Alliance, and Cities Alliance 3,022,905 US$768,844 from partner co-financing. • The National Urban Forum (NUF). Partner Co-Financing 768,844 • The Advisory Committee. A shift occurred in 2013 when Total 3,961,749 Cities Alliance transitioned from the • The Steering Committee. World Bank to UNOPS. This resulted in some projects going through a These mechanisms enabled a participatory restructuring, which led to slight delays and collaborative approach by promoting in the timeline. However, all implementing dialogue and interaction between the partners continued with the intended different levels of local stakeholders and programmed activities under UNOPS. the international development partners.

Ghana | 27 Relevance Did the projects respond to external priorities and did they align to Country Programme objectives?

In-country challenges and needs was aligned with existing priorities: 100 percent of respondents either agreed or Ghana was committed to tackle strongly agreed that the programme met Ghana was urbanising rapidly the challenges of urbanisation at priorities at a national and municipal level, but was not being proactive. the national, municipal and with 90 percent agreeing the same at the Cities Alliance’s interventions community levels community level. helped address this and the LSC Prior to 2010, the national government Interview results also support the fact that responded to the agenda on the of Ghana had discussed mid-term and projects within the Country Programmes neglected urban poor. long-term (40-year) development plans responded to in-country priorities: “The with a clear vision and indicators to spreading of slums is a big problem for Director of Policy, Planning, M & E, track urban and rural development. The most of Ghana’s bigger cities (especially Ghanaian Ministry government also had a framework in place in the GAMA area). So issues tackled by to address urban challenges with a focus the Country Programme, such as slum- on capacity development in this area. This upgrading and prevention, improvement provides some indication that the country of living conditions and participatory was already beginning to think through planning, are of high relevance for its urban agenda. Survey results further Ghana’s municipal authorities” (Bilateral support that the Country Programme Development Organisation).

Figure 16. Ghana - Programme aligned to priorities

Perception that the country programme was aligned with existing priorities

58% 50% 50%

33% 25% 25% 25% 17%17%

Strongly Disagree Neither disagree/ Agree Strongly agree disagree nor agree

National level Municipal level Community level

28 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam The Country Programme Harmonisation of urban efforts developed organically, responding to Cities Alliance played a harmonising Before Cities Alliance came in, in-country needs role, particularly in bridging the gap perception has been rural, rural, At the outset, the Country Programme between grassroots organisations rural development. It’s going to be set out to understand the needs and and local and national governments. priorities in Ghana by conducting a urban development now. partnership consultation to assess the One of Cities Alliance’s primary roles was Head of Unit, Ghanaian Ministry suitability of Ghana for the Programme. to support and help stabilise the work In 2010, the Ghanaian census found that that implementing partners were already 52 percent of the population lived in doing in-country. Cities Alliance therefore urban areas22. Interviews with national helped govern and provide structure around Not enough harmony. The ministry ministries suggested that although there currently siloed urban initiatives in Ghana. should be the master of the was a lack of recognition of urbanisation, The harmonisation between Country it was increasingly discussed at the Programme projects and the existing urban orchestra. national level, meriting a development actors was a critical success factor for Needs more coordination and policy thrust. The Country Programme the programme. The Programme brought was therefore responding to an increasing urban stakeholders together at all levels, harmonizing the urban agenda need: “Cities Alliance came in a time when including those that previously worked in the country. the country was starting to talk about independently. Cities Alliance established the urban challenges and the LSC was in strong relationships between implementing Ministry needs oversight and demand from the national government partners, Ghanaian institutions and responsibility. in Ghana.” (Bilateral Development organisations at all levels. Although Organisation). Despite the increasing Cities Alliance harmonised projects and Urban Development Planner, dialogue at the municipality level, local stakeholders to an extent, further support Ghanaian Ministry governments lacked direction from the was needed in-country due to capacity national government on how best to restraints at the Urban Development Unit. approach urban challenges and community The UDU has advocated that they need Figure 17. Ghana - Programme in demand engagement. Furthermore, the use of additional oversight and coordination participatory mechanisms was limited. support. In a report produced by the Perception that the country programme Organisational Development Institute, it was in demand Members and partners at all levels was noted that the UDU lacks expertise requested the Country Programmes, in urban project financing (a sector-wide and the concept for Ghana developed problem), geo-spatial and physical planning, organically from conversations between revenue mobilisation, and coordination members, partners and Cities Alliance. support. Moreover, the report states the 30% 100 percent of survey respondents and all level of coordination to be ineffective24. interviewees advocated that the Country Programme was in high, or very high demand. The collaborative project proposal 70% approach, which included an ongoing dialogue between Cities Alliance and the recipient organisations, also helped ensure that the projects were demand-driven.

All 11 projects indicated priorities to be addressed, defined target outputs and outcome statements, and were High demand Very high demand aligned to the objectives set out in the Country Programmes’ framework. “Everything we do are aligned with Cities Alliance’s objectives. There is always an overarching national programme that underlies anything Cities Alliance does with the media” (Radio Programme Moderator; Broadcasting Organisation).

Ghana | 29 Spotlight on City FM Radio Programmes

The City FM Radio Programmes were consequences. Episode three focused on the gravity of urban challenges. Citi FM is designed as part of the first two projects urban transportation and the traffic crisis the third most listened to radio station in in the Country Programme, supporting the in Accra; and the fourth episode argued the the GAMA region, offering an interactive need to change attitudes and the political case for accountability and autonomous approach that encourages listeners to call commitment in Ghana to elevate the urban local government. Each episode was in and voice their opinions. “In the past agenda. The two projects ran from 2010 to rebroadcast as a radio documentary on three year the public awareness on urban 2016, with Channel Two Communications, CitiFM, targeting the general public23. issues is very high. The rich content has CitiFM, the World Bank and Cities Alliance provided citizens with a better awareness Secretariat, and consisted of two series: Our City. Broadening the issues and taking of the issues and Accran citizens have “Fixing the Urban Mess” and “Our City.” them to a wider audience, CitiFM broadcast now moved into more whistleblowing Each radio programme aimed to expose all 26 weekly programs—radio documentaries and advocacy” (Radio Programme citizens to topics of importance to urban and studio debates. Furthermore, in phase Moderator; Broadcasting Organisation). development. The idea was to level the two in 2013, four forums were established People are calling in, sending pictures playing field and include all social classes to discuss issues with assembly members. of urban issues on WhatsApp (a mobile in the debate, and to improve public The documentaries were re-broadcast and messaging application) and tweeting about awareness around urban challenges. discussed on social media, and DVD copies the urban challenges. Hashtags such as and edited transcripts were disseminated to #ThisMustStop and #AccraFloods are just Fixing the Urban Mess. Broadcast the relevant ministries, stakeholders, civil some of the many that are trending as monthly, these four documentaries society organisations and the media. dialogue has increased on social media spearhead the advocacy campaign. fuelled by the radio initiatives. The first episode focused on sanitation Radio DJs have seen a shift in the mind- and the perennial flooding of Accra, sets of their listeners. Public opinion has seeking answers directly from the Mayor. moved away from slum evictions towards The second looked at town planning in-situ upgrading, and the public feel they and inappropriate land use, and their have a voice to engage in debate around

Figure 18. Ghana - Social media campaign on twitter

30 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Survey results showed that 90 percent Additionally, Country Programme Steering conduit of information” (Urban Researcher, of respondents either agreed or strongly Committee meetings were not held or Research Organisation). Thus, the necessity agreed that Cities Alliance played a role attended frequently. This was noted for projects to be built into the design of in harmonising and coordinating existing throughout interviews not to be a “failure the Country Programme, to have alignment efforts in country. Additionally, Cities of Cities Alliance but a structural issue. and interdependencies with other projects, Alliance has made the most progress in Everyone is working in silos and time is is seen to be fundamental for collaboration. breaking down vertical silos in-country. It needed to make institutions more aligned” was evident that communities, municipal (Bilateral Development Organisation). As Delivery and funding governments and national governments an example, the Africa Centre for Cities corresponded both informally and (ACC) State of Cities grant and World Bank Cities Alliance was the catalyst formally, for example, with slum dwellers WASH projects were found to have weaker for delivery of outputs, providing attending national urban forums, and interdependencies than other projects funding and technical assistance to local governments attending capacity that were part of the Country Programme. local partners development training and urban policy As aforementioned, responsibility for the workshops. At the community level, coordination of horizontal relationships Interviewees noted that the Cities Alliance although slum profiling projects were was placed in the hands of the UDU Country Programme provided much already occurring before Cities Alliance with limited success. The UDU was needed technical, financial and political involvement in Ghana, there had been no acknowledged by members and partners force at dealing with, and benefiting alignment with the national government. to have limited capacity, and suffered from, urbanisation. Survey results The national government and municipal from high staff turnover (for example a indicated that the strongest capability authorities had not worked with the senior official was moved to the Ministry provided by Cities Alliance (aside from organisation called ‘People’s Dialogue’ of Environment Science, Technology and funding), was its technical assistance and before Cities Alliance harmonised efforts Innovations)25, which led to interruptions international experience. 50 percent of and catalysed the impact of the projects: in the coordination of the Country survey respondents further advocated “Most assemblies don’t know anything Programme. The report published by the that members and partners could not have about profiling and GPS data collections. Organisation Development Institute noted independently delivered similar outputs We could absolutely not have done it this capacity gap, particularly in the UDU’s without Cities Alliance. without People’s Dialogue and SDI” (Chief lack of a mandate to implement, and play Executive, Ghanaian Municipality). an effective coordination role26. Respondents all indicated that what Cities Alliance provided in Ghana was its With regard to the horizontal relationships In addition, projects that were not coordination, for example in supporting the between partner organisations, interviews originally part of the design of the Country UDU with managing the National Urban reflected different opinions. Many partner Programme were noted to lack interactions Forum, coordinating the projects and relationships had existed before Cities with other partners or members. The aligning the different in-country initiatives. Alliance’s involvement in Ghana, for ACC grant was included in the Country example, between People’s Dialogue and Programme in 2013, to create a State of At the national level, interviewees and the Ghana Federation of the Urban Poor. Ghanaian Cities Report, to support the secondary sources agreed that the These relationships had sometimes lacked establishment of a coalition of urban UDU’s capacity was limited and that the structure and/or common objectives, which stakeholders to discuss and agree on organisation needs further resourcing and the Cities Alliance Country Programme priorities for urban research, take stock of technical knowledge to continue the work: provided to an extent. The UDU, with contemporary urban trends in Ghanaian “the capacity was simply not in the country help from Cities Alliance and GIZ, did cities to enable policy makers to improve and less would have happened without begin to pull in urban actors and to align decision making, and to disseminate the Cities Alliance” (Programme Manager, interventions for the first time. However, outputs. However, due to an incomplete Bilateral Development Organisation). in Ghana, it was found that there was first preparatory phase and the alignment Cities Alliance and GIZ supported the UDU limited coordination between partners, and of a World Bank urbanisation review into throughout the Country Programme to a lack of interdependency between certain the Country Programme, phase two of bring the expertise and finances required to projects. Partners and members were the project did not move forward. As this recruit urban development consultants to found to be carrying out activities without grant was not built into the design of the support the UDU in developing the policy, reference to each other, for example, the Programme and was not aligned, ACC and encouraged nationwide consultation. national urban policy monitoring and stakeholders stated that there was a lack of 60 percent of survey respondents stated evaluation plan developed in 2016 could information shared across the programme that Cities Alliance contributed significantly have been better coordinated with the and disagreed that Cities Alliance played or very significantly to informing the other parts of the Country Programme. a harmonising role across projects: “Cities national strategies or plans. Alliance could have been a much better

Ghana | 31 In cases where partners had already started partner organisations, and was never to produce outputs and develop answers to intended to support large infrastructure urban challenges, Cities Alliance provided projects. 50 percent of survey respondents Could not have done this without funding to enhance quality and improve stated that grant funds were not adequate the information, the structure, the timelines. For example, the Institute for to achieve objectives, with 30 percent discussion and the commitment Local Government Studies (ILGS) had agreeing that funding was adequate and already started to develop “Sustainable 20 percent declining to comment. Funding from Cities Alliance Urban Local Government Capacity Building” was found to be inadequate where there Radio Programme Moderator; courses, with in-house resources. However, was misalignment between project plans Broadcasting Organisation interviewees suggested that capacity was and partner capacities. This meant that initially limited, and that the financial and implementing partners co-financed some human resources provided as part of the projects, when there were initial resourcing Country Programme were the core catalysts constraints. For example, GIZ had to hire for the implementation of the project. ILGS a full-time local resource with expertise was enabled to provide courses such as in urban development to complete the Strategic Leadership, Citizen Participation national urban policy work with the UDU as and Policy Planning (See Appendix 6.1 for a the planned human and financial resource full list of ILGS training courses). capacities were not sufficient.

Funding was inadequate due to Additional funding was allocated to lack of resources within partner international knowledge transfer, for example with Ghana’s attendance at organisations and due to poor the Habitat III Conference in Ecuador partner planning skills in October 2016. Support was provided Interviewees provided almost unanimous to the UDU and the MLGRD to lead a agreement that they could use more delegation of professionals from Ghana money and would have liked to have and for them to actively participate in the developed larger infrastructure projects. different preparatory meetings. The project This is common in evaluations, and is facilitated discussion regarding the Habitat seen as a more general sector-wide issue III country report and the definition of around entitlement which often occurs Ghana’s position, which was then conveyed in development contexts27. However, to the Habitat III secretariat in preparatory stakeholders also acknowledged that conferences and meetings. This funding Cities Alliance’s Country Programme allowed the UDU to contribute to the focused primarily on providing technical formulation of global agendas which will assistance and building capacities in influence the country’s policies.

Figure 19. Ghana - Cities Alliance’s capabilities

Most value Cities Alliance’s capabilities

42 33 25

Technical assistance Coordination International Experience

32 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Effectiveness Did the projects achieve their objectives as defined in the Country Programme Framework?

The Country Programme focused on As an example, the aforementioned delivering outputs in four different case study on Cities Alliance’s work areas: National Policies, Local Strategies with the media on television and In the past three years the public and Plans, Citizen’s Engagement radio campaigns created awareness awareness on urban has risen and and Community Development. of urban issues (for example, drainage is now very high. and waste disposal) amongst the both In Ghana, 47 out of 59 project outputs (79 the population and politicians. People are more aware of the percent) were delivered as part of the grant issues agreement28. The remaining 12 (21 percent) 60 percent of survey respondents reported outputs include a grant withdrawal from that Cities Alliance had a significant to very Radio Programme Moderator; Africa Centre of Cities. Following internal significant contribution in informing the Broadcasting Organisation discussions, a decision was then made to national strategies and plans. shift funding to the World Bank-supported Urbanisation Review project, which covered The government is now collaborating with similar outputs. The delivered outputs are the hosts of radio shows, inviting them Figure 20. Ghana - Informed strategies or being used and have been disseminated. to ministerial meetings to discuss their plans feedback and their views regarding public The 11 projects showcased many outputs Cities Alliance informed national perception. This knowledge has been used by type, ranging from urban policies strategies or plans to television and radio documentaries, to inform new governmental strategies, workshops, reports, assessments for example, the Mining Strategy and the and strategic recommendations and Flooding Strategy. participatory strategies. 10% There has been a fundamental turnaround in Ghana around urban issues. President National policies John Mahama openly championed the continental urban agenda and 20% Ghana now has a National Urban 50% Policy that has been disseminated appointed a Minister of Local Government and Rural Development with a long locally and internationally history of involvement in urban policy The Country Programme placed a strong and management issues29. An Urban focus on advocacy campaigns, creating Development Unit was established in 20% awareness of urban challenges and 2009 to coordinate urban resilience contributing to a change in the public initiatives, acknowledging that the narrative to increasingly encourage in-situ government was taking the right steps slum upgrading. to address issues of urbanisation in the country. In addition, several Very signiﬁcant contribution interviewees noted that public awareness Signiﬁcant contribution of urban issues has increased and it was recognised that the radio programmes Moderate contribution helped to influence urban policies. Limited contribution

Ghana | 33 GIZ was brought on to the Country institutionalizing the National Urban Forum Programme as an implementing partner, as a regular mechanism for national level mainly responsible for the National dialogue on urban issues. In addition, it Urban Policy. Through its Support to played the role of Secretariat of a Steering Decentralization Reform program, GIZ had and Advisory Committee for the LSC already worked with various stakeholders programme to be convened by the MLGRD. in Ghana’s urban sector for a number of years, including the staff in the newly While progress is being made, there is set-up Urban Development Unit (UDU) and further room for improvement to fully the Institute for Local Government Studies recognize the range and challenge of (ILGS)30. As GIZ had already supported urban issues, shown in the UDU’s attempts the drafting of a National Urban Policy to gain directorate status: “the Urban by the MLGRD, the activities that were Development Unit still sits under the implemented under the Country Programme Ministry of Local Government and Rural were a logical extension and augmentation Development, and only has a handful of this groundwork. of staff. The growth of this unit would enhance its ability to play a coordination Specifically, GIZ was responsible role in country, and improved ownership for providing support to the Urban and financial backing would further Development Unit to increase its capacity catalyse outputs” (Independent Consultant). to drive a national urban agenda centred on inclusive, sustainable cities, including

Figure 21. Ghana - Newspaper clip on slum prevention

34 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Spotlight on: The National Urban Policy

The National Urban Policy projects sought more focus needs to be placed on policy to develop participatory Water, Sanitation to strengthen the institutional capacity training with municipalities, local NGOs and Hygiene (WASH) strategies and District of the UDU, support the development and communities in order to supplement its Environmental Sanitation Strategic Action and institutionalization of the National dissemination. Plans at the metropolitan level. Urban Forum to enhance policy dialogue, enhance the policy debate through research Local strategies and plans As part of the overall objective to support into defined urban issues, strengthen the development of local strategies Ghana’s Country Programme Framework partnerships through the establishment of and plans to promote pro-poor urban included an objective to develop an a Steering and Advisory Committee, and systemic change, Cities Alliance sought institutional framework and coordinate review and build on Ghana’s National Urban to improve existing municipal sanitation a Metropolitan Development Strategy Policy and Plans . Cities Alliance worked plans. The WASH project was initiated to 31 for the Greater Accra Metropolitan Area with GIZ and the UDU to build capacity, support the development of an integrated (GAMA) region. Due to a disconnect engage citizens and deliver an inclusive environmental sanitation strategy for between the municipalities that make national policy and action plans (refer to GAMA; to promote dialogue among up the GAMA region, it was concluded Appendix 6.3 or all the objectives in the the eight MMAs that constitute it; to there was a need to set an overarching policy). The policy has been disseminated understand the needs and challenges of framework that promoted integration both nationally and internationally (at providing sanitation and water services and coordination across municipalities. industry conferences). to low income communities and develop The aim was to create a partnership of a strategy for community participation; The policy has been ratified by the cabinet, municipalities and stakeholders across the and to promote donor coordination and is a working document. Evidence of region to adopt a proactive approach to around environmental sanitation. The municipalities readily using the policy to regional growth and planning issues, while project delivered an assessment of WASH form strategies and priorities was noted, recognizing a need for implementation needs in nine selected low income urban and their focus has shifted from rural at the local level. The aim was to develop communities (LIUCs) and developed to urban. For example, in the Ashaiman a strategic plan for managing change participatory strategic WASH services in municipality, the Chief Executive has: in the urban region of Greater Accra32. GAMA. District Environmental Sanitation “started to roll it out already. Policies are However, due to the national approach to Strategic Action Plans were also delivered guides, you start using them… we use it decentralization—which favoured a district- for three new municipal assemblies in for everything we do”. The municipality based approach—and the opportunity to GAMA, as well as a Rapid Results Initiative: has used the policy to inform its vision support the emerging Word Bank sanitation Coordination and Environmental Sanitation and “city blueprint,” as well as to set its programme on a Country Programme Initiatives for MMAs in GAMA. priorities. Other interviews suggested that priority area, the programme opted instead

Figure 22. Ghana - National Urban Policy Figure 23. Ghana - Newspaper clip on the National Development Plan

Ghana | 35 Citizen’s engagement and developmental tools, creating Figure 24. Ghana - Urban poor accountability, self-reliance and financial participating in voting Community participation has and human resource management skills contributed to valuable data for amongst the urban poor34. SDI’s key role city upgrading was to mobilise the urban poor through Participation in local election “learning by doing”35, and to work closely by voting population A key priority for Cities Alliance is with municipal staff to ensure coordination promoting community participation around and cooperation on the ground. 2012 urban issues and policy development. Furthermore, a central pinnacle of the With the involvement of People’s Country Programme was recognising that Dialogue, SDI and Ghana Federation of . slum dwellers were a significant part of The Urban Poor, citizens living in slum the solution to long-term incremental areas have been involved and engaged . upgrading of slum areas. A partnership in the Country Programme, particularly between slum dwellers and municipal with the enumeration and profiling. 2008 and national governments would help The projects focused on training the ensure success in long-term incremental community and community leaders to . upgrading of slum areas. To enable the produce city-wide slum profiles and maps, effective partnering of slum dwellers it was establishing local facilities to incentivise (Source: International Institute for Democracy and important to mobilise and empower them. community involvement, and to produce Electoral Assistance) To this end, Cities Alliance brought in Slum and disseminate the profiles. Community Dwellers International (SDI), a transnational capacity was also strengthened through network of slum dweller organisations various initiatives including identifying and united at city, national and international training community leaders on effective levels to form federations of the urban engagement methods; knowledge- poor33. SDI has intensive networks in the sharing and network set-up across the East African region and internationally. municipalities; informing key decision Through its active federations and makers through seminars; and by engaging affiliate NGO People’s Dialogue, it had communities in a forum for community- gained experience from working in Ghana government dialogue36. since 2003. SDI uses exchanges, saving schemes and enumerations as mobilising

Figure 25. Ghana - Community capacity development Figure 26. Ghana - Community attendance The “Building capacity for the urban poor” project delivered the following outputs: Total community attendance in training activities across 11 MMAs Community leaders Communities federating trained in SDI rituals into new savings groups 284 1 Monthly reports and 851 consolidated reports on Training manual focus group discussions in produced saving groups

Community members Municipal & Communityleaders

36 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Community members were trained on in Ayawaso East, Osu Klottey, the Ga SDI rituals (such as savings groups, East and Ga South Municipal Assemblies profiling, enumeration) and municipal and and in the La Dadekotopon Municipal This is the first time community groups community leaders were taught savings; Assembly. Furthermore, nine groups was going to the local authorities. This group formation; profiling and enumeration; were established in GA West, GA Central, couldn’t have happened without Cities exchanges; and effective engagement with and La Nkwantanang Madina Municipal government and other urban stakeholders. Assemblies. The increase in community Alliance’s input Municipal authority officials were also participation and active citizenship over the Independent Consultant trained on how to use and update the length of the Country Programme is evident database of slum profiles. In addition to at all levels. Figure 27. Ghana - Governance the training activities, 42 exchanges were mechanisms organized for savings groups. Today, there are more slum dwellers attending the National Urban Forum than any other organisation. At a recent forum, more than 60 slum dwellers attended and, in interviews, agreed that their voices are being heard. Prior to the Country Savings Groups Programme, the government did not engage All with its citizens: “We realised we had to municipalities within the scope of Another part of the enablement and talk to the urban poor and include them the Country Programme now have empowerment was to teach communities in the planning. The urban poor had been about the power of savings groups through neglected. We are now celebrating the regularly functioning governance SDI and People’s Dialogue. 24 new savings urban poor” (Director of Policy, Planning, M mechanisms at the city level to groups were mobilized by the Federation & E, Ghanaian Ministry). engage citizens in urban governance. in LEKMA, Ashaiman, Adentan and Tema as well as an additional 12 Savings Groups (Cities Alliance Corporate Scorecard, 2016)

Spotlight on: Enumeration in Ashaiman

In Ashaiman municipality, the Municipal and toilets, and has been leveraged as part Assembly worked closely with People’s of a winning proposal to UNICEF to secure Dialogue to engage the community on slum funding to provide select households with Profiling is more than a mobilizing profiling and enumerations. According to toilets. From a leadership perspective, tool. It’s the fundamental tool. the planning officer, the local governments it was noted that the Chief Executive The tool is an advocacy weapon have used the enumeration and profiling welcomed community participation and data as baseline data to prepare the city a close relationship with the community to prevent eviction development plan for the next four years. groups and local NGOs. Executive Director, Grassroots NGO

The data has given the urban poor a voice and direct access to their decision Figure 28. Ghana - Sanitation programme in Ashaiman makers. As a result, the slum dwellers feel It’s important to know your empowered and have used the data to highlight their issues when addressing their city and the history of your local government. community. I now know how many toilets we have and need. The data has also been used to help understand where the municipality should That is power provide services such as access to water President and Community Leader, Grassroots Federation

Ghana | 37 Capacity development Knowledge and learning activities have increased partner awareness of As part of the Country Programme, Cities 1 Alliance contributed to several capacity urban challenges Participants at development initiatives across the national, Cities Alliance knowledge and learning training sessions municipal and community levels. There activities contributed to building awareness was also a focus on bringing international amongst partners, helping them understand experience to the county and exposing the implications of urbanisation and the UDU to international stakeholders. potential policy instruments to manage 75 percent of Country Programme projects the growing shift from rural to urban contained at least one capacity-building development. In total, 2,183 people have activity, indicating the importance of this in attended training sessions in Ghana, the country37. with the vast majority trained by SDI and People’s Dialogue.

Figure 29. Ghana - Capacity development activities

• South-South exchange to Brazil and regular exchanges with Brazilian counterparts on urban development issues. • Participation of UDU at PrepCom2 of Habitat III in Nairobi, participation of UDU at GIZ Sector Days Conference in Berlin. International • South-South exchange of UDU and ILGS to South Africa and participation at Africities 2015, Dakar, Senegal. • International Trainer of Trainers (Tot) Programme in Strategic Leadership and Inclusive City Management.

• Mentorship Initiative at UDU for new graduate students. • Programme for MMAs in GAMA for the GAMA Sanitation and Water Project. National • Workshops for chief executives and coordinating directors on GAMA project; using Rapid Results Approach to solve adaptive challenges. • Orientation/coordination meetings for Rapid Results Initiative.

• A suite of training material that helped improve the ability of 59 target communities and two local governments to work productively together with exchange visits.

Municipal • Workshops and training sessions for municipal leaders on guidelines, policies, citizen mobilisation for planning, budgeting, and monitoring city performance. • Enumerators trained to carry out the Consultative Citizens’ Report Card (CRC) – an important diagnostic tool.

• Community leaders trained on SDI savings methodology, methods of proﬁling and mapping, and methods of eective engagement with government and other stakeholders. Community • Ocials trained on how to use and update the database containing slum proﬁles. • Monthly leadership meetings organised for the community leaders to discuss the urban upgrading.

38 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Cities Alliance invested in activities Training to support capacity development ranging from national government and was implemented, particularly at the municipal leader-based training courses, local city level. The ILGS courses on I am now able to speak to the to community training in mapping and Social Accountability and Participatory issue because I have gone through infrastructure maintenance in slum areas. Budgeting are being implemented in so much training. These initiatives have contributed to some municipalities where the local increased awareness and understanding authorities involve the community in I use the training and learning for of urban issues. 70 percent of survey preparing the budget, and where the everything I do respondents stated that Cities Alliance communities can provide feedback to provided a significant to very significant the authorities. A range of toolkits and Chief Executive, Ghanaian Municipality contribution to members/partner knowledge plans to help enable organisations and and learning, with 60 percent stating city leaders access data and strategize that that they always share knowledge for the way forward were developed. Figure 30. Ghana - Attendance across with partners/members outside their own training activities organisation. 80 percent stated that Cities The focus on capacity development has Alliance provided a moderate to significant enabled both partners and recipients to Total attendance across four contribution around strengthening speak publicly about urban issues (such training activities institutional and community capabilities. as water and sanitation) and urban policy development at all levels. Recipients report 56 Capacity building was a key area of focus that they now see themselves as global for Cities Alliance. As part of two ILGS- spokespeople for urban development led projects to build capacity of local (through their participation in international 193 governments, the institute was responsible knowledge sharing with missions and for developing training courses such as: conferences around the world). “Sustainable Urban Local Government Capacity Building - An Enabling Platform for Effective Governance and 758 Enhancement of Service Delivery” and 1176 for “Building the Capacity of the Urban Poor for Inclusive Urban Development.” The developed content, including course materials, workshops, and train-the trainer materials were used throughout the Country Programme with municipal and national government leaders. SDI training of the communities Cities Alliance funding to support these ILGS training of local government projects enhanced the capacity of ILGS Sanitation strategy to deliver quality outputs in all required subjects. For example, social accountability and social profiling were areas outside their expertise which meant they had to hire an external consultant. Through the interviews and survey responses, it was evident that Cities Alliance has made an impact on the recipients of these courses, and has built confidence in stakeholders and decision makers.

Ghana | 39 Efficiency Did the projects have the appropriate structure and management capabilities in place to deliver on their objectives?

Governance mechanisms The National Urban Forum: The Urban Advisory Committee: This forum brings together the government, This committee emerged organically from Cities Alliance created a local government, research institutes, the Country Programme as a governance participatory approach in- academia, community groups and mechanism to encourage information country, with forums and steering more, and is coordinated by the Urban sharing amongst partners and a wider committees across all levels Development Unit. High turnout and group of experts within the urban field. engagement were noted in all sessions. A It includes representatives from public Interviews showed that Country total of six forums have been organized, and private sectors, and from academia, Programme forums created a participatory with 150 - 225 people attending each to discuss the urban issues that had been approach for projects, allowing for session. In 2015, 217 participants submitted to the Urban Development discussion and collaboration across attended38. The forum had existed before Unit. The objective of the committee is all partners. Cities Alliance was aware the Country Programme, however, it was to support the UDU with coordinating of the benefits and drawbacks of reinforced by Cities Alliance, with updated and steering urban initiatives in the creating a participatory approach, and membership, coordination and renewed country. Interviews and analysis found all stakeholders acknowledged that the content. The knowledge shared at this that the committee is participatory, with collaboration and knowledge-sharing forum has supported Ghana’s participation a flat structure. However, an observed created value, which was worth the at PrepCom III and Habitat III international shortcoming is that they do not have the time taken to reach decisions and conferences. However, interview analysis mandate to make decisions and follow overcome coordination challenges. pointed to a lack of clear follow-on actions through on recommendations. from the forums, for example concrete The Country Programme measures and assigned tasks. included three forums:

Figure 31. Ghana - National Urban Forum Figure 32. Ghana – Members of the Urban Advisory Group

Urban Advisory Group Members

• Ministry of Local Government • Housing the Masses and Rural Development (UDU) • National Development • Ministry of Water Resources, Planning Commission Works and Housing • Local Governance Service • Ministry of Environment, Secretariat Science, Technology and • Ghana Institute of Engineers Innovation • Ministry of Roads and Highways • Institute of Local • Ministry of Finance Government Studies • Greater Regional Circles • Town and Country Planning • Agence Française de Department Développement (AFD) • Environmental Protection • SECO Agency • African Development Bank • Oce of the President • GIZ • Peoples Dialogue • UN Habitat • Ghana Statistical Service • Global Communities

40 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam The Steering Committee: Perceptions Programme management and necessary. Interviewees advocated that of the Steering Committee fluctuated, close relationships with Cities Alliance and differences were noted between the grant making processes staff enabled adequate communication and first and second phases of the Country Cities Alliance provided reactive support, and that programme management Programme, from 2010 to 2013, and then programme management improved while a Cities Alliance mission 2013 to 2016. The Steering Committee was was in Ghana. responsible for coordinating the different Cities Alliance was perceived by partners Country Programme activities and grants to have provided a moderate to significant Proposal and approval processes to ensure a harmonized approach, overall contribution to programme management were perceived to be mostly programme understanding, and to support in Ghana. Interviews indicated that Cities transparent the MLGRD. In the second phase, the size Alliance provided reactive programme of the committee dwindled to include only management support. As part of the Survey responses indicated that the Country Programme partners. It was noted programme, many of the coordination proposal and approval processes were in interviews that some implementing activities were transferred to the UDU, perceived to be mostly transparent. partners were unaware of the Steering which was unable to fulfil an effective This was largely because Cities Committee. The intention was to create coordination role due to limited capacity40. Alliance secretariat supported proposal alignment and coordination between The Programme’s Steering Committee development. “Cities Alliance helped and partners, however, it was noted that met infrequently and to varying effect; assisted to make sure the documents were committee meetings only took place on an it was noted in interviews that some right. It was open and transparent.” (Dean, informal basis in the second phase. From implementing partners were unaware that Academic Institute). The processes were 2013, the committee met only once or the Steering Committee existed. seen to be relatively smooth and “Relatively twice, and there has been no commitment easy going. Don’t remember any difficulty. from the ministry to continue the Although proactive in-country coordination Setting up the structure and agreeing on committee. The UDU, as owners, were slow was lacking, it was noted that the the concept – smooth and easy” (Bilateral to act and there was limited contribution secretariat and in-country focal points Development Organisation). and participation. This could be due to the did support programme management capacity restraints faced by the UDU39. (with the latter to a lesser extent) where

Figure 33. Ghana - Programme management Perception that Cities Alliance provided programme management

30% 30%

20% 20%

0% No contribution Limited contribution Moderate contribution Signiﬁcant contribution Very signiﬁcant contribution

Figure 34. Ghana - Funding and proposal processes Perception that funding and proposal processes were transparent 30% 30% 30%

20%

10% 10% 10%

0% 0% 0% Very small Small extent Moderate extent Large extent Very large extent extent

Funding processes Proposal processes

Ghana | 41 Grant making processes timing Figure 35. Ghana - Grant making processes The grant making processes took an Days to process grant average of 213 days from the proposal submission to the first disbursement of 129 funds. The submission to approval, and approval to grant agreement, phases were noted to take the longest time, 69 with disbursement occurring very shortly after agreement. Reasons for the delays in the grant-making process are partly to be found in the organisational’s 4 transition from The World Bank to Submission Approval to Grant start to UNOPS, in mid-2013 which required to approval grant agreement 1st disbursement adjustments to the new procedures and amended legal arrangements. Total from submission to 1st Disbursement 213 days

Figure 36. Ghana - Project grant processes

Projects total days from proposal submission to 1st disbursement

605

270 266 227 198 197 194 177 140 4 2 G1 G12 G6 G10 G4 G3 Ghana urban Preparation for the Building the capacity Urban local Support to an Improving & voice - radio state of Ghanaian of the urban poor - government integrated expanding program phase 1 cities project SDI phase 1 capacity building - environmental sanitation in an enabling sanitation strategy greater Accra platform – for GAMA workshop ILGS phase 1

G8 G9 G7 G11 G2 Support to develop Support to develop Building the capacity Building the capacity Fixing the urban mess - a national urban a national urban of the urban poor - of the urban poor radio programme – agenda focused on agenda focused on SDI phase 2 for inclusive urban phase 2 inclusive policies & inclusive policies & development in strategies - phase 1 strategies - phase 2 Ghana – ILGS phase 2

42 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Ghana | 43 Sustainability Will the results and outcomes of the projects continue after funding or the end of support?

Continuation of projects television documentaries will not continue block in Ashaiman municipality, and as a dedicated series, however urban issues the construction of alley pavements in and outcomes have been embedded in the radio station’s Ledzokoku-Kwokor municipality. People’s The legacy and ability of projects to discourse for future programming. Dialogue will continue to engage with continue may suffer from a lack of the urban poor and interact with slum The ILGS has developed a new curriculum dwellers as part of its ongoing programmes, funding and capabilities focused on the urban agenda, showing however, it requires funding and new 57 percent of survey respondents indicated continuation of Country Programme partnerships to continue with projects and outcomes. Local authorities now subsidise that they had plans41 to continue beyond on-going city-wide profiling. the Country Programme. However, only the course rather than the government, 40 percent had secured additional funding. creating a demand-driven approach Capabilities developed in- When survey findings were triangulated that requires continued follow-up and country have not yet been fully with interviews, most partner organisations advocacy. This approach has increased the sustainability of the curriculum. Further institutionalised, and are at risk of advocated that they would like to continue being dissipated the work, and most had partners identified to this, the materials produced under to continue work, however additional the Country Programme, such as social It was noted that to sustain capabilities funding had not been gained. accountability and social profiling, are developed in-country, more focus needs actively being used by students. to be placed on embedding knowledge (for At the national level, mind-sets have example, around mechanisms to address At the local authority level, the shifted away from promoting evictions of urban issues) institutionally. Training was municipalities advocated that they will slum communities and towards allowing made available to those who joined the continue to engage with the community for the development of urban spaces, and sessions (such as via ILGS), however, a and use community data, however, there to in-situ slum upgrading. The public have focus on the “train-the-trainer” aspect was is also a need to maintain the data quality. become aware of, and increasingly vocal found to be lacking. Local councils need For this upkeep, the municipalities and about, issues of urbanisation and the further training and capacity development communities need additional funding. Ghanaian President is now an international to sustain knowledge transfer, as it was Within communities, direct investments spokesperson for urban development. indicated that the knowledge stays at for community upgrading projects will However, there is still a way to go for the the municipal level: “it is important to continue until they have been completed. UDU to obtain directorate status and be disseminate the learnings and continue the For example, the construction of a biofilm allocated a portion of the national budget. workshops” (Dean, Academic Institute). The UDU has limited capacity to continue system for Amui Dzor communal sanitation the coordinating forums in the country, however it has advocated to continue Figure 37. Ghana - Project continuation to lobby for the implementation of the Perception on project continuation National Urban Policy. However, although the policy is supported by an action plan, 29% investment plan and a monitoring and 43% evaluation plan, no funds or resources 57% for implementation have been secured. While the action plan has been approved 57% 71% at a national level, with concrete tasks 43% and activities, it therefore remains to be rolled out due to funding and resourcing Projects with concrete Project with further Project with identiﬁed constraints. With regards to the advocacy plans to continue after investment to continue members/partners to projects, the radio programme and the grant ends the work after Cities continue work Alliance funding ends No Yes

44 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Additionally, there is a risk of capacity and Without the funding, local governments • Planning, improvement and knowledge being lost through national outside Accra would most likely not have the expansion of GAMA-wide organisational shifts. The UDU is only a unit capacity to engage in similar programmes. environmental sanitation services. within the Ministry of Local Government and • Institutional strengthening through Rural Development and has yet to obtain Forums introduced under the Country technical assistance to municipal directorate status to gain funds from the Programme show a high level of replicability. authorities and national institutions. national budget. Interviews with stakeholders According to local partners, the National from other ministries found a perception that Urban Forum is being replicated at the sub- The Department for International UDU is not growing as planned and that the national level as the Municipal Urban Forum Development (DfID) also invested US$4.8 ministry had been weakened. The trained, (MUF). All cities will have their own respective million to support the provision of sustainable dedicated resources are being moved out of urban forums whereby stakeholders within toilet facilities in low-income areas of GAMA the unit to other ministerial agencies and they each jurisdiction would engage in dialogue to through the World Bank-administered Global are struggling to hire qualified, experienced improve governance. This forum has not been Partnership for Output-Based Aid (GPOBA). staff. The knowledge is therefore at risk of formally launched yet, but was discussed and The GPOBA investment pilots an output- being moved out of the organisation. agreed to at the last National Urban Forum based approach that provides targeted, meeting in Sunyani in July 2016. partial subsidies that encourage households Replicability to construct facilities and service providers Reputation and credentials to serve low-income neighbourhoods. The Projects have the potential to be GPOBA project started in 2015 and leverages replicated or transferred Working with Cities Alliance the information and network base set up as provides partner organisations part of the Country Programme43. 90 percent of survey responses stated and recipients with an existing that their project has the potential to be At the community level, the profiling data replicated or transferred to other areas. It platform and strong credential that was gathered as part of the “Building was found that the strengthening of the they can use for further work Capacity of the Urban Poor” SDI-led project urban policy has made an impact and that Cities Alliance has supported members/ enabled Ashaiman’s municipal government similar strengthening of other related policies partners to secure additional funding for and People’s Dialogue to build new could benefit the country. Partners advocate future urban development work. At the partnerships, for example, a new project with that if the urban policy is disseminated to international level, although the grant UNICEF. With Cities Alliance’s partnership other government ministries, such as Housing, with Africa Centre for Cities was not as a credential, and the diagnostic work Finance and Environment, and incorporated taken into second phase of the Country fulfilled as part of the Country Programme, into other national agendas, it would further Programme, the ACC acknowledged People’s Dialogue and Ashaiman’s municipal ensure its sustainability. that its work with Cities Alliance helped government could prove their baseline data and request targeted support. Local partners have visions to scale and enable it to procure funding for a separate replicate projects to other cities, however, it State of the Cities project in Malawi. was noted that the smaller cities still have To produce a roadmap to further analyse strong rural agendas, and therefore it may be Figure 38. Ghana - Households with options or implement actions to address difficult to gain traction for these initiatives. potable water the need to improve and extend sanitation, Partners spoke of the success of the radio a workshop to understand the current campaigns, and advocated that similar sanitation status in the GAMA region was campaigns could help to raise awareness held42. Additionally, a strategy for community Ghana has seen a of urban challenges. Further to this, it was participation and donor coordination was acknowledged that existing materials could developed. This WASH initiative within be leveraged by local media partners. The the Country Programme led to follow-up same is true for the learning and training investment of US$150 million from the materials produced by ILGS. ILGS has 31% World Bank to fund a new WASH project established relationships with the partners in Ghana. This programme started in 2013 and governments required to raise urban increase in the proportion of and is expected to run through 2018. The issues such as infrastructure development, four components of the programme are: households in slum and/or low- water and the environment, as well as to income areas* with regular access create responses to these issues, such as • Provision of environmental sanitation social accountability courses. ILGS has the and water supply services to priority to potable water, between 2013 ambition to scale these courses, however, low-income areas of the GAMA, and 2016. it lacks the funding necessary to continue: including targeted campaigns for “We would really like to see it expand and WASH behaviour change. (Cities Alliance Corporate Scorecard, 2016) disseminate to other cities in Ghana. We * study completed only in the low-income areas in believe if replication happened, it would be • Improvement and expansion of the which the Country Programme intervened in the GAMA region. appreciated” (Dean, Academic Institute). water network in the GAMA.

Ghana | 45 Partnerships

Partner capabilities and within the UDU or ILGS). Cities Alliance provided technical assistance aimed at collaboration capacity and institutional development for People are bringing valuable Most stakeholders advocated that organisations that suffered from a lack of things to the table. Good the right partner capabilities were in expertise and resourcing. Staff attrition in technical discussion ILGS was also noted, with three different place, however, increased technical directors observed between 2015 and Urban Researcher, Research Organisation assistance and resourcing were 2016. Replacement of staff where there needed in certain cases were skill gaps was incomplete. Partner organisations advocated that where 90 percent of respondents stated that capabilities were an issue, ILGS could have Everyone was good in their own the right member/partner capabilities outsourced training sessions and course area of expertise were in place to deliver the Country development. They were noted not to have Programme objectives and that Cities realised the lack of capability in-house, Independent Consultant Alliance played a catalytic role in which may have led to difficulties with partnership selection. This finding was the quality of outputs and timelines. also generally supported by interviewees: In the interviews, members and partners However, there were variations in findings, agreed that urbanisation cannot be with some interviewees stating that managed in isolation. Survey responses they were unsatisfied with other partner showed that 60 percent of stakeholders capabilities. Struggles with capacity always shared knowledge with in-country were noted in small organisations with stakeholders, thereby providing a vehicle resource constraints, or where certain for partnership. technical skills did not exist (for example,

Figure 39. Ghana - Knowledge sharing outside project Perception that partners/members share knowledge with others outside their own project

60%

10% 10% 10% 10%

Never share Rarely Sometimes Often Always share knowledge knowledge

46 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Cities Alliance’s role as facilitator of Platform for partnership collaboration divided the partners Cities Alliance was found to be Cities Alliance has created a 50 percent of survey respondents stated a platform for building effective platform for partnership and that Cities Alliance contributed limited or partnerships platform for international moderate collaboration facilitation with stakeholders, with the other 50 percent All survey respondents stated that networking. The national indicating that Cities Alliance contributed Cities Alliance is a platform for building partnerships were already there significant or very significant facilitation. effective partnerships, a finding echoed but the funding strengthened the Some noted that Cities Alliance “pressed” in interviews. Cities Alliance strengthened the collaboration, while others advocated existing partnerships in Ghana. Existing collaboration that collaboration “wasn’t difficult” and urban actors were convened; however, it Dean, Academic Institute that partners were easily coming together is unclear how many new partnerships to share success stories and challenges. were brokered. Most stakeholders stated Meetings and touchpoints happened on an that while they knew their partners before, irregular basis, and not as often as partners the main contribution from Cities Alliance would have liked. Clear agendas, action was in strengthening these relationships. items, and regular attendance were also One area in which Cities Alliance played often found to be lacking. a catalytic role was in academia: “The government and local authorities are Although collaboration levels were much more open to research. Now local high, differences in ways of working authorities change their processes to led to inefficiencies within projects include new research instead of just updating their four-year plan based on 90 percent of survey respondents stated previous years” (Dean, Academic Institute). that the level of collaboration within their Aside from ILGS, the University of Ghana projects was high to very high, and in most (the Department of Geography and the cases, high consultation and validation took Regional Institute for Population Studies) place. However, in certain cases, differences became an integrated Cities Alliance in ways of working led to inefficiencies. partner, enabling a wider ecosystem of For example, in terms of documentation actors focused on urban development. In review, some partners noted that “no one 2016, research on rural/urban linkages was ever reviewed the outputs and getting the supported as part of the ILGS grant. final comments was so hard. Meeting and verbal discussions are much better than the One interviewee described the Country written feedback” (Bilateral Development Programme as a “Learning Alliance” (Chief Organisation). Additionally, it was found Executive, Ghanaian Municipality), where that transparency and information sharing various partners, NGOs, governments, was unevenly distributed “Our partners institutions and citizens convene to discuss were hiding information a bit strong from the progress of the urban initiatives. us and were not sharing information” (Bilateral Development Organisation). The Cities Alliance created synergies with evaluation found that this difficulty in other large international programmes collaboration, and resulting inefficiencies, could have been due to clashes in the Cities Alliance created synergies between organisational culture between certain in-country partners and its other large partner organisations. Different ways of international programmes. For example, working and the varying importance of the DFID and Cities Alliance-funded hierarchy within organisations may have “Future Cities Africa programme” (FCA). made collaboration difficult. FCA funds and plans were used within the Country Programme to introduce a Resilience Plan and an MDTP (Medium- Term Development Plan)44. Refer to “Uganda: Country Context” for further information on the FCA programme.

Ghana | 47 Conclusion

Relevance Effectiveness

• The Country Programme in Ghana had • Ghana now has a functioning • With the involvement of People’s a strong focus on advocacy and raising Urban Development Unit (UDU) Dialogue, SDI and Ghana Federation awareness of general public opinion. and a National Urban Policy that of The Urban Poor, citizens living has been disseminated both locally in slum areas have been widely • It developed organically, responding to and internationally. Although the involved and engaged in the the needs in the country. Ghana was UDU still sits within the Ministry Country Programme. Twenty-two committed to tackling the challenges of Rural Development and Local communities have been federated of urbanisation at the national, Government, it is taking steps into 45 savings groups; communities municipal and community levels. towards becoming a directorate. have been involved in creating city-wide slum profiles and maps to • Cities Alliance played a harmonising • The Country Programme enabled enhance municipal infrastructure role, particularly in bridging the gap dialogue around the importance of decisions; and communities have between grassroots organisations and metropolitan planning. However, been involved in the governance local and national governments. due to the national approach to forums of the Country Programmes. decentralization—which favoured • Cities Alliance provided funding and a district-based approach—and the • Cities Alliance contributed to several technical assistance to local partners, opportunity to support the emerging capacity development initiatives however, some of the grant amounts Word Bank sanitation programme on across the national, municipal and were deemed inadequate by partner a Country Programme priority area, community levels. Seventy-five organisations that suffered from the programme opted for a practical percent of projects contained at resource constraints. approach and developed participatory least one capacity-building initiative. WASH Strategies and District Projects focused on building local Environmental Sanitation Strategic capacity and developing academic Action Plans at the metropolitan level. courses with the ILGS. Knowledge sharing and learning activities have increased partner awareness regarding urban challenges—2,183 people have participated in training sessions. There was a focus on bringing international experience to the county and exposing the UDU to international stakeholders.

48 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Efficiency Sustainability Partnerships

• Cities Alliance created a participatory • The legacy and sustainability of • Ninety percent of stakeholders approach in-country, with forums that projects may suffer from a lack of advocated that the right member/ cut across all levels: funding and capabilities. It was partner capabilities were in place noted that all partners would need to deliver on outputs; and that - National Urban Forum additional funding and capacity Cities Alliance played a catalytic - Urban Advisory Committee development activities to be able to role in partnership selection. sustain project outcomes; with only However, increased technical - Steering Committee a few that had already secured this assistance and resourcing were funding. Capabilities developed have needed in certain cases. • Inefficiencies occurred where the UDU, not yet been fully institutionalised responsible for the coordination of and are at risk of being dissipated • Ninety percent of survey respondents these groups, had limited capacity to through organisational shifts. stated that the level of collaboration run the forums (such as the Steering within their projects was high to very Committee). • Most projects have the potential high. Although collaboration was high, to be replicated or transferred, for differences in organisational culture • Cities Alliance was perceived by example, with ILGS courses and and ways of working are a challenge partners to have provided a moderate the National Urban Forum being and caused in some cases inefficiencies to significant contribution to replicated at the municipal level. within projects (for example, within programme management in Ghana. However, funding is required for the the National Urban Agenda projects). This was more reactive than proactive; implementation of these activities. provided when partners reached out • All survey respondents indicated for support or a Cities Alliance mission • Working with Cities Alliance that Cities Alliance is a platform was in-country. provides partner organisations and for building effective partnerships; recipients with an existing platform a finding echoed in interviews. • Proposal and approval processes and strong credential that they Cities Alliance strengthened were perceived to be mostly can use for further work. Follow- existing partnerships in Ghana, transparent, with support from on investments have occurred, convening existing urban actors Secretariat members. The average for example, the metropolitan and including academic institutions. time from proposal submission to first planning process resulted in the Cities Alliance has been described disbursement of funds was 213 days. design of a sanitation and water as a “Learning Alliance.” programme, funded by a US$150 million loan from the World Bank. • Cities Alliance created synergies between in-country partners and its other large international programmes. For example with the DFID, Cities Alliance-funded Future Cities Africa programme (FCA) and the World Bank WASH programme.

Ghana | 49 Uganda

50 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Introduction

Country context Urban population growth Figure 40. Uganda - Population living in slum The Uganda Country Programme was Uganda’s urban population has been the first Land, Services and Citizenship increasing rapidly, from 6.7 percent Uganda has seen an average programme, which began in 2010 and of Uganda’s population in 1980 to an municipal expenditure increase ended in October 2016. The Country estimated 14.8 percent in 2010. Population Programme was designed under the growth rates for urban areas over the (per person per year) of Cities Alliance Country Programme to past 30 years have been almost double enhance coordination between urban those of rural areas46, with 60.1 percent development efforts in the country of city populations living in slums in and is also known as the Transforming 200947. With almost half of its people Settlements for the Urban Poor in Uganda under the age of 15 years, Uganda has a 168% (TSUPU) programme. Uganda was chosen high dependency ratio48 and population as it had a national government that was growth that generates 700,000 new labour between 2013 and 2016 already actively engaged in addressing market entrants every year49. Between the challenges of rapid urbanisation, 2011 and 2012, Uganda’s Gross Domestic (Cities Alliance Corporate Scorecard, 2016) particularly in slum upgrading. Since the Product (GDP) fell to 3.2 percent due to * study completed in the 14 municipalities of County early 1990s, Uganda has been undergoing a combination of internal and external Programme. a process of decentralization, which has factors including high population growth, Figure 41. Uganda - Population living contributed to the creation of legal and a decrease in export performance and in slum institutional mandates that empower high inflation, affecting the country local governments to make decisions on and reducing economic activity50. issues that fall within their jurisdictions, Percentage of city population promote popular participation and improve Economic situation living in slums service delivery. While this decentralization Starting in the late 1980s, the Ugandan laid a foundation for effective urban government has pursued a series of 2009 management, the cities were faced with stabilization and pro-market structural several critical challenges that, if left reforms. The resultant macroeconomic unchecked, could result in increasingly stability, post-conflict rebound, and .1 marginalized urban poor communities and investment response generated a sustained slum growth45. period of high growth between 1987- 1. 2010 . GDP grew at an average annual rate 51 2014 of 7.1 percent from 1992 to 201152. Going forward, a public investment program and private sector economic activity in . the post-election era is expected to drive growth. However, the effects of a volatile global economy on demand for Uganda’s exports, and timing of key infrastructure projects in the country’s oil sector, could offset the benefits of improved terms of trade due to low oil prices. Under these circumstances, the Ugandan economy is forecast to grow at a rate of approximately 5.9 percent in FY16/17 and increase to 6.8 percent in FY17/1853.

Uganda | 51 Donor landscape to the on-going World Bank’s Uganda Support to Municipal Infrastructure From the mid-2000’s, the Government of Development (USMID) programme. Uganda recognized the need to capture the positive impacts of urbanisation, and Additionally, the UK’s Department for sought to devise a strategy to enhance International Development (DFID) and the competitiveness of the urban Cities Alliance-funded Future Cities Africa sector in order to harness its potential (FCA) programme supported the business as a driver of economic growth. The case for the Country Programme, offering interest of the government of Uganda sustainability and continuity to Cities in urban development is evident in its Alliance’s initial investment in 2010. decentralisation reforms and commitment

Figure 42. Uganda - USMID programme What is the USMID programme? The World Bank-funded USMID programme was developed around the same time as the Cities Alliance Country Programme. It started in March 2013 and has an end-date of December 2018. ts objective: ow does this programme lin with the • To enhance the institutional performance of local governments Cities Alliance Country Programme to improve urban service delivery. The Country Programme scaled up its activities to ow it will achieve this: include 14 secondary cities where Municipal Develop- • Provision of funds to municipalities for investment in urban ment Forums (MDFs) were developed. infrastructure to improve the institutional and delivery The USMID programme leverages these MDFs for performance of these bodies decision making regarding infrastructure investments. • Provision of resources to access capacity-building inputs

Figure 43. The Future Cities Africa programme

What is the FCA programme? Initiated in 2015, FCA is a Cities Alliance and DFID-funded programme to build on long-standing partnerships with African governments and cities. ts objective: • To support cities with future development and provide them ow does this programme lin with the with the information and tools they need to undertake more Cities Alliance Country Programme focused, participatory urban action plans. Cities Alliance’s initial vision saw the Country ow it will achieve this: Programmes as a long-term engagement, with FCA being part of the design of a next phase to • Capturing nowledge: Develop a framework and support supplement longer-term funding (Cities Alliance toolkit with best practices to help partners improve their Secretariat, 2016). Cities Alliance and DFID understanding of the risks to growth, inclusiveness partnered to carry out business case and diagnostic and resilience. work to identify this next, broader phase, looking at • Sharing nowledge: Create a knowledge-sharing platform how local countries could develop and grow their that will connect stakeholders and track progress within and own economies to sustain urban development. The across cities; as well as a new planning and investment proposal for a second phase is currently undergoing decision-making support tool. DFID review. • Creating forums: Bring together all relevant stakeholders Additionally, information was shared between FCA for dialogue, priority setting and implementation. and the Country Programme, for example the baseline data gathered for MDS development. (Cities Alliance Future Cities Africa, 2015)

52 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Objectives Municipal Development Strategy (MDS) implementation municipalities: Objectives of the Country Arua, Jinja, Gulu, Kabale, Hoima, Lira, Programme and alignment with the Mbarara, Masaka, Tororo, Soroti, Mbale, Results Framework Moroto, Entebbe and Fort Portal. The MDS implementation municipalities consist The Land Services and Citizenship of the initial five TSUPU municipalities programme has three broad in which infrastructure projects were objectives defined in the Country implemented, plus the additional nine Programme’s Framework: municipalities in which MDFs were established in the groundwork for the • At least 50,000 slum dwellers living USMID programme. within the five selected municipalities actively engage in both securing The primary research was conducted in their rights and honouring their a subsample of Gulu, Jinja, and at the responsibilities through improved national level in Kampala with interviews. urban governance and formalisation. • At least 50,000 slum dwellers living Project overview within the five selected municipalities The Uganda Country Programme consisted improve their qualitative and of eight grants and one support activity, all quantitative access to municipal services. of which were closed by the end of 2016. • The Government of Uganda (national Further details regarding the projects and and sub national), in partnership their objectives are in Table 6. with interested stakeholders, develop effective, efficient and inclusive urban The different projects were programmed development policies and strategies as interventions at the national, municipal enabling the better management of and community levels. National-level future urban growth positively affecting interventions covered urban policies; the lives of 200,000 slum dweller municipal-level interventions included local households nationwide. strategy development; and community- level interventions included community Geographic scope development mechanisms, infrastructure projects and community profiling. All levels The Cities Alliance Country Programme had capacity development components. In offered nation-wide coverage with a Uganda, one grant addressed the national specific focus on the following cities: level, with three at the municipal level and community levels. Table 7 outlines all TSUPU implementation cities: Jinja, projects and their objectives in detail. Mbarara, Mbale, Kabale and Arua. The choice of these five cities was informed by regional spread, previous slum upgrading initiatives, political commitment of the local leadership, and the scale of informal settlements. Cities Alliance also leveraged additional support (US$ 1.5 million) from the Bill and Melinda Gates Foundation to scale up Municipal Development Forums to nine additional municipalities and prepare infrastructure project plans.

Uganda | 53 Table 6. Uganda - Projects mapped to intervention areasoutlines all projects and their objectives in detail

Project Great Implementing National Local Citizen’s Capacity Recipient Partner Polices Strategies Engagement Development & Plans U1 Implementation of project set-up activities MLHUD, SDI, World Bank for A Strategy for SPARC  National Transforming Settlements of the Urban Poor

U3 Strengthening urban local governments in Uganda to ICMA UAAU   achieve the goals of the TSUPU project

U5 Leveraging municipal improvement infrastructure MLHUD 14 MCs  investment in support of Transforming Settlements Municipal Makerere U8 University Preparation of Municipal Development Strategies MLHUD MLG (MDS) for fourteen    municipalities/ UAAA secondary cities SDI

U2 Transforming Settlements of the Urban Poor in Uganda: SDI SPARC   A secondary cities support programme – SDI (TSUPU)

U4 Transforming Settlements of MLG, WB the Urban Poor in Uganda: MLHUD A secondary cities support MUK, ACTogether    programme - MLHUD & 5 MCs (TSUPU)

Community U6 Phase I: Piloting of the UN-Habitat SDI Social Tenure Domain Model  (STDM)

U7 Phase 2: Scaling up the use and application of the UN-Habitat SDI   Social Tenure Domain Model (STDM)

54 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Table 7. Uganda - Project descriptions

Project Project descriptions

This project focused on the preparatory activities required to meet the overarching objective of U1 the Transforming Settlements of the Urban Poor(TSUPU) programme: to create inclusive cities Implementation of Project without slums in order to maximise the potential of urbanisation by proactively managing urban Set-up Activities for A growth. This preparatory work sought to define clear roles and responsibilities and seamless Strategy for Transforming

National cooperation and coordination between partners; to empower citizen organizations with high- Settlements of the Urban level female participation to effectively promote the realization of their community rights; and Poor provide a clear definition of problems and the establishment of an urban policy agenda.

U3 This project focused on improving the capacity and effectiveness of local urban governments Strengthening Urban Local by devising (or revising) urban management and planning systems. The project provided urban Governments in Uganda to management technical assistance and training to the five pilot municipalities, as well as Achieve the Goals of the providing local governments with a strong and effective voice in the development of national TSUPU project urban policies and programmes.

This project set out to ensure that ongoing government schemes integrate participatory capacity G5 and prioritize pro-poor infrastructure projects for investment of available financial resources; Leveraging Municipal and to improve the municipal budgeting and planning capacity of Ugandan local governments. Improvement Infrastructure This involved training and establishing a forum; a city-wide plan of infrastructure improvement Investment in support of the projects; an agreed resettlement framework; engineering plans; social and environmental Transforming Settlements mitigation plans; and contractor selection. Municipal This project aimed to promote visionary, long-term, participatory and pro-active planning, G8 to prepare 14 secondary cities/municipalities to sustainably accommodate future urban Preparation of Municipal development. This would be accomplished through broad-based stakeholders participation and Development Strategies consensus building on negotiated priorities. Objectives included urban development planning; (MDS) for Fourteen increased stakeholder engagement; a Municipal Development Strategy proposal; a strategic Municipalities / Secondary municipal planning framework to attract public and private investment: and the creation of Cities a linkage between municipal development plans and incoming potential municipal funding/ resources (such as USMID).

Uganda | 55 Project Project descriptions

This project focused on using multi-lateral partnerships to cultivate a sense of citizenship and U2 identity among slum dwellers by providing them with the power to collaboratively improve their Transforming Settlements of conditions through policy, governance and strategy re-formulation. It included raising awareness the Urban Poor in Uganda: regarding SDI learning via an approach to rights and responsibilities; reports on proposals A Secondary Cities Support submitted to community upgrade funds; settlement profiles; enumeration reports; and cadastral Programme – SDI (TSUPU) maps for each of the five municipalities involved.

This project sought to assess and analyze the performance of urban centres in Uganda in terms of service delivery, environmental sustainability, land use and infrastructure, housing, social development, urban economy, and financing of urban development and management, as well U4 as urban governance. It engaged key stakeholders in a participatory planning manner to build Transforming Settlements of consensus in the preparation and adoption of a national urban policy, as well as a strategic the Urban Poor in Uganda: urban development plan (2010 – 2025) for Uganda; and developed an Education, Information A Secondary Cities Support and Communication (EIC) Strategy to increase awareness amongst stakeholders. It also sought Programme - MLHUD to develop geographic information systems (GIS) capabilities, and to institutionalize and (TSUPU) maintain the national urban Indicators as effective tools for monitoring and managing urban development, as well as to promote partnerships among various actors in the urban sector and explore various sources of financing for urban development. Community UN-Habitat, in collaboration with the Global Land Tool Network (GLTN), International Federation of Surveyors (FIG), International Institute for Geo-Information Science and Earth Observation U6 Management (ITC) (University of Twente), and the World Bank developed a Social Tenure Domain Phase I: Piloting of the Model (STDM) as a land information management framework with the capacity to integrate Social Tenure Domain Model formal, informal, and customary land rights—reflecting the realities on the ground in many (STDM) communities. The specific objective of this first phase of activities was to pilot the STDM, and to document the process and capacity-building requirements around its use and application in a selected city in Uganda for wider learning and application.

Building on the lessons learned and experience gained in Phase 1 of the project, UN-Habitat and U7 SDI, with other key implementing partners, committed to implement a second phase. This phase Phase 2: Scaling Up the focused on scaling up capacity development initiatives with regard to the use and application Use and Application of the of the Social Tenure Domain Model (STDM) in Uganda and in other select cities/countries. Phase Social Tenure Domain Model 2 activities included interventions around lessons learned; technical assistance and capacity (STDM) development for slum dwellers; and international advocacy.

56 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Country Programme Management Timelines and support Figure 44. Uganda - Project timeline & programme management support The Uganda Country Programme took place 2011 2012 2013 2014 2015 2016 from 2010 to 2016. Figure 44 depicts the project timelines and dependencies, as well as Cities Alliance staff members such as U1 in-country focal points and Cities Alliance U2

s U3

task managers. It also shows Cities Alliance’s t c U4 shift from the World Bank to UNOPS. j e o r U5 P U6 U7 U8 Julian Baskin Serge Allou t r

o Adele Hosken p

p Tewodros s u Tigabu Alemu

Cities Alliance Samuel Mabala

World Bank UNOPS Cities Alliance = In-country focal point = Cities Alliance task manager

Partners and members Figure 45. Uganda - Partners and members

Cities Alliance engaged several partners Partners Members and members for the Ghana Country • Ministry of Land, Housing and • UN-Habitat Programme. Partners are organisations Urban Development • World Bank which are not members of Cities Alliance, • Ministry of Local Government • Slum Dwellers International but with whom Cities Alliance may • ICMA work on specific projects. Members are • UAAU organisations formally affiliated to the • Makerere University Cities Alliance, who participate to its • ACTogether governance, contribute financially to the • 14 Municipality Governments. organisation, and may implement some of its interventions54.

Governance mechanisms Programme financing Table 8. Uganda - Programme financing

The Country Programme implemented A total of US$ 6,206,400 was financed Programme Financing USD three governance mechanisms as part of its across the Country Programme, 9.1 percent activities in Uganda. of which came from partner co-financing. Cities Alliance 5,641,400

• Uganda National Urban Forum (UNUF). Partner Co-Financing 565,000

• Municipal Development Forum (MDF). Total 6,206,400 • Country Programme Steering Committee. These mechanisms contributed to, and enabled, a participatory and collaborative approach. For more information, please refer to Efficiency - Governance mechanisms.

Uganda | 57 Relevance Did the projects respond to external priorities and did they align to Country Programme objectives?

Demand and priorities Cities Alliance was approached by the Figure 46. Uganda - Programme in demand government of Uganda (through the Perception that the country programme The Country Programme was MLHUD) to conceptualise the programme was in demand demanded and relevant to due to limited capacity within the existing priorities organisation: “an appetite for using partnership as a vehicle to implement In Uganda, the Country Programme was the government’s urban development found to be relevant, with members ambitions” (Head of Programmes, and partners requesting Cities Alliance Multilateral Development Organisation). 17% involvement. 83 percent of survey As a result, the programme had the respondents advocated that the programme government’s commitment throughout, was in high or very high demand at the and was aligned to existing priorities time of inception. The government of in country. As survey results indicate, 50% Uganda had started to identify the issues 100 percent of respondents either 33% around urbanisation from mid 2000s, agreed or strongly agreed that the and it was increasingly becoming a topic programme met priorities at the national, of focus. It had previously attempted to municipal and community level. upgrade slums in Namuwongo-Kampala, Masese-Jinja, Maluku-Mbale and Oli- Arua, however, these initiatives were not participatory, nor sustainably replicated to High demand mitigate the growth of slums and informal Very high demand settlements55. Moderate demand

Figure 47. Uganda - Programme aligned to priorities Perception that the country programme was aligned with existing priorities

58% 50% 50% 50% 50% 42%

Strongly Disagree Neither disagree/ Agree Strongly agree disagree nor agree

National level Municipal level Community level

58 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Harmonisation of urban efforts One partner further stated that: “Initially government had failed to involve Cities Alliance’s Country people in different programmes because Cities Alliance’s funds created Programme was the first time urban areas and the inhabitants were the opportunities for engagement all partners worked on a single disorganised … therefore National Slum with local councils programme across the national, Dwellers Federation took the lead role of organising the community into saving Slum Dweller, Ugandan Municipality municipal and community levels groups as a mobilisation tool and point to look at systemic changes of contact for different programmes” 83 percent of survey respondents noted (Grassroots Federation). Coordination that the Country Programme played a role between all levels had a systemic impact. Cities Alliance was catalysing the in harmonising and coordinating existing For example, harmonisation between local efforts of all of us efforts and interventions. The Country governments and universities meant that Grassroots NGO Programme brought partners from various local governments could improve human sectors together under one coherent capacities in the fields of planning and framework and the harmonisation of settlement upgrading. The knowledge partners was notable, for example between acquired through cross-organisational partners at the national government, collaboration not only helped to improve municipal and community level. Five out of decision making at the municipal level (for eight projects engaged citizens and built example councillors’ improved ability to capacity at all three levels. The Country plan at the municipal budget conference), Programme was recognised by the Ministry but also improved personal development. of Lands, Housing and Urban Development Across partners, Cities Alliance catalysed to have enhanced participatory planning efforts that were already starting to take and grassroots contribution, for example, shape, for example the World Bank’s USMID in developing the Municipal Development programme, a pipeline of investments for Strategies. As part of the MDS approach, municipalities outside Kampala. Alignment citizens and slum dwellers gained the at the operational level was strong, opportunity to engage with their local however it was recommended that Cities councils and build consensus on matters Alliance should work with additional pertaining to the MDS preparation process. partners at the strategic level to create The process is also linked to the Municipal greater impact, provide additional funding Development Fund framework, where and enhance comparative advantage. “dialogue on key issues will take place and all project steps and results of the Importantly, Cities Alliance bridged working groups shall be discussed … to divides within institutions themselves, for build consensus on key strategic objectives example, within ACTogether. When the as well as priority areas”56. Through Country Programme was first initiated, ACTogether—an affiliate of Slum Dwellers ACTogether experienced fragmentation and International (SDI)—slum dwellers worked organisational misalignment. Cities Alliance with municipal authorities to participate played a pivotal role in negotiations with in public dialogue and support the city ACTogether over a period of one and a half profile baseline study, as well as in the years, from 2009 - 2010. Playing a strong sensitisation and awareness programmes. advisory role through its Task Manager, Cities Alliance facilitated a new board structure and, as a result, the organisation is now much stronger, and has opened up space for dialogue and understanding (Cities Alliance).

Uganda | 59 Delivery and funding Federation representative suggested that cities with US$1,499,900 funds from a without Cities Alliance, the same speed BMGF Intermediation, and then further Cities Alliance’s most valued and effectiveness would not have been supplemented in 2014 with US$450,000 for capability was its technical achieved: “… may be difficult due to the MDS in 14 cities. assistance and international laxities of some people from the municipal For most projects, grant funds were experience authorities in helping us lobby or implement our activities in the project” (Slum noted to be adequate to address Members and partners all indicated that Dwellers Federation). It was stated that objectives. However, within the MDS what Cities Alliance provided most in delivering the outputs would not have been project, there was a strong perception Uganda was technical assistance, for possible without Cities Alliance’s efforts that there was a lack of funding. example, in supporting governments, to bring people together and to implement communities, and local NGOs with appropriate processes. It was indicated in survey responses and guidelines, technical support advice, interviews that for the scaling up from five financial resourcing and vision-setting. The 14 Municipal Councils that were helped to 14 secondary cities, more resources were by Cities Alliance have all now created needed. It was found that local partners Partners could not have Municipal Development Strategies. The did not always prepare or plan adequately for the amount of funding needed, with delivered the same outputs remaining 10 that were out of scope for the Country Programme do not yet have proposals requesting insufficient funding. without Cities Alliance the Municipal Development Strategies This may have been due to a lack of All eight projects indicated priorities to in place and are behind lagging in this capacity or detailed planning. Within the be addressed, defined target outputs area (Ugandan Ministry). Please refer to MDS project, low budgets for transport and and target outcome statements, and Effectiveness: Local Strategies and Plans for logistics were found to delay the delivery of were aligned to the objectives set out further information on the MDS. project outputs. For example, one vehicle in the Country Programmes’ framework. was to be shared by all levels, including the Without Cities Alliance’s catalytic presence Grant funds were adequate to Commissioner from the MLHUD, and eight structuring efforts and bringing parties address the objectives other officers who were responsible for the together, the same outputs would not 14 municipalities (and travel in-between) have been delivered. 83 percent of survey The Uganda Country Programme started (Ugandan Ministry). It was also mentioned respondents shared that partners could in 2010 with US$3,7691,500 for TSUPU that funding was insufficient for the not have delivered the same outputs projects in five cities; and was scaled up research and internship projects. without Cities Alliance. A Slum Dweller’s in July 2012 to include an additional nine

Figure 48. Uganda - Cities Alliance’s capabilities Figure 49. Uganda - Grant funds

Most value Cities Alliance’s capabilities Perception that grant funds were adequate to address the objectives as deﬁned in the country programme framework 45%

17% 25%

50%

10% 33%

5% 5% 5% 5%

Convening Vision Financial Technical power setting resourcing assistance Yes Coordination Capacity International building experience No Neither yes/no

60 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Regarding the partners’ capabilities without Cities Alliance, I believe it is not strong enough yet due to low local revenue collection, low support for urban areas from the Central Government and NGOs, who prefer majorly to provide in the rural areas Ugandan Municipal Council

Initiatives like the municipal development strategy could not be up scaled to the level where the entire government planning machinery would appreciate it. For instance, I’m not sure whether Ministry of Finance and National Planning Authority which is mandated to coordinate development planning in the country are aware and understand this concept – MDS Ugandan Ministry

Uganda | 61 Effectiveness Did the projects achieve their objectives as defined in the Country Programme Framework?

The Country Programme focused on The National Urban Policy (NUP) Prior to Cities Alliance’s delivering outputs in four different was implemented as a component of involvement in Uganda, areas: National Policies, Local Strategies the TSUPU project, funded by Cities and Plans, Citizen’s Engagement, and Alliance. The national ministry secured a the country was lacking a Community Development. consultant in October 2012 to execute the comprehensive national policy on development of the policy and a strategic urban development: 89 percent (52 out of 58) of outputs urban development plan58. It sought to were delivered as part of the Uganda guide the urbanisation process, ensure Country Programme , with three more in 57 orderly development and enhance urban .. and now stands to benefit from the process of finalisation. The projects management, through a participatory delivered many different outputs types, process facilitated through the National clear guidance, regulation, ranging from institutional capacity needs Urban Forum and other forms of assessments, guidelines for action plans, consultations. The Policy aimed to address and management of urban operational manuals, media products, issues on urban poverty, urban service development enumeration reports, cadastral maps, delivery, rural-urban migration, economic Ugandan Ministry training plans, technical support activities, growth, and regional balance. social environmental mitigation plans and handbooks, to training manuals and more. The draft NUP was subjected to regional consultations across the country with Figure 50. Uganda - Informed strategies National policies several consultative workshops in the West or plans Nile region (Arua), Eastern region (Jinja) Cities Alliance informed national According to the survey, 92 percent of and Far Eastern region (Mbale); Central strategies or plans respondents perceived that Cities Alliance region, (Mukono), Kabarole (Mid-West), informed the national strategies or plans Masaka (Southern Buganda/Central II); in Uganda. At the national level, Cities and Kampala, with special interest groups Alliance contributed to one project and and sector-specific consultations with 8% several forums. Project “Implementation various MDAs. Through various forums of Project Set-up Activities for A Strategy and participatory mechanisms such for TSUPU” focused on the preparatory as the Uganda National Urban Forum, activities required to meet the overarching communities and local governments could objective of creating inclusive cities provide input into the policy, enhancing without slums, and to maximise the 50% the ability to promote pro-poor urban 42% potential of urbanisation by proactively systemic change. Consultations included managing urban growth. This preparatory representation from ACTogether and the work sought to define clear roles and National Slum Dweller’s Federation to responsibilities, as well as to encourage champion the views and interests of the cooperation and coordination between urban poor. Partnership with Makerere partners, to empower citizen organisations University further enabled research and to effectively promote the realisation of policy briefs to be contributed to the their community rights, and to provide National Urban policy discussions and a clear definition of problems and the development, for example, access to Moderate contribution establishment of an urban policy agenda. housing and urban planning. A National Signiﬁcant contribution Validation Conference was presided over Very signiﬁcant contribution by H.E the Vice president of Uganda for the stakeholders to validate the NUP document59.

62 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam In interviews, it was mentioned that the The MDS project was intended to promote The Municipal Development Strategy draft National Urban Policy was undergoing a visionary, long-term, participatory and (MDS) project between Cities final review and was soon be tabled proactive plan with the aim of preparing Alliance and the Ministry of Lands, before Cabinet for approval (Independent 14 secondary cities/municipalities to Consultant). To date, key partners such sustainably accommodate future urban Housing and Urban Development was as the GGGI have also incorporated development through broad-based found to be: green growth initiatives in the policy stakeholder participation and consensus (which were initially lacking) and The building around negotiated priorities. The United Nations Economic Commission for outputs delivered included the Municipal relevant because the Municipality Africa (UNECA) has addressed the policy Development Strategies (MDSs), training and the community needs a priority areas around urban economy, manuals on the strategy, capacity productivity and competitiveness. development and training on MDS reports concrete framework for managing at national and local levels, and city and its urban developments International audiences have questioned the profile reports for each of the 14 cities. Ugandan Municipality NUUP’s effectiveness in areas such as urban Combined reports were also developed for food security and gender. However, they the established thematic working groups have acknowledged that it may improve under the MDFs on the development of “living conditions for some urban residents MDS in each of the 14 secondary cities. Figure 52. Uganda - Urban poor and create greater efficiency in the Local governments have noted that the participating in voting administration of urban areas, particularly MDS has enhanced capabilities, and is in cities at early stages of growth”60. being used to work on annual budgets. Participation in local election Local strategies and plans Stakeholders acknowledged that existing by voting population efforts such as the internal development As part of the overall objective to support plans of the municipality, the work of the 2012 national and local policy dialogue to Works and Physical Planning Committee, promote pro-poor urban systemic change, Central Government grants, and community Cities Alliance sought to improve existing volunteer initiatives (including the “Keep . municipal planning frameworks in Uganda. Gulu Clean” drive) were harmonised in At the local level, urban governments are the development of the MDS. This helped . mandated to prepare physical development ensure alignment across other initiatives plans and expenditure plans every five within the municipalities. By the end of 2011 years61. However, the existing frameworks 2016, the MDSs are in the process of being did not engage stakeholders and the urban submitted to and endorsed by the municipal . poor, and suffered from limited resources councils in each of the 14 cities. and reactive approaches to planning.

Figure 51. Uganda - Enumeration report

Uganda | 63 Spotlight on: Community upgrading funds and community contracting

Cities Alliance funds were leveraged to This activity entailed the establishment Figure 53. Uganda - develop Community Upgrading Funds (CUF). of a CUF operational manual which Community Upgrading Funds This activity spanned three phases of the describes how the fund will function. It overall Country Programme, with two includes procedures to apply, criteria for CUF projects were implemented in five overarching objectives64: evaluating applications, and a safeguards municipalities. framework, as well as monitoring and • Enable settlement-based community supervision. The manual was agreed organisations to access grants to finance on by the municipalities, SDI and Cities A total investment of initiatives that meet certain clearly- Alliance. The CUF sought to improve defined criteria. Access to small grants access to basic health and infrastructure no larger than US$15,000 enables rapid services such as proper solid waste UGX and visible progress to occur while larger management, environmental conservation policy debates are taking place. and beautification, a safe water supply, 2,843,494,867 • Enable constructive partnerships improved accessibility and connectivity (especially in the informal settlements), and between local government and (approximately US$848,395) has been settlement-level Urban Poor street lighting for improved security, among other home-grown and localised initiatives. made on 123 CUF projects in Uganda, Organisations. benefiting about 523,185 inhabitants of urban poor communities. The gender distribution of CUF beneficiaries is 46 percent female and 54 per cent male.

Figure 54. Uganda - Community Upgrading Funds projects in Mbarara municipality

Construction of box culverts at Agip drainage Installation/extension of electricity to Lubiri cell Opening of Bishop Kakubi lane II 15,595,650/= channel in Buchunku 29,229,690/= 46,954,469/=

64 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam The number of projects implemented The shift to, and recognition of, in each phase ranged between community contracting as part of seven and 12 per municipality, with the Country Programme has led If community contracting is to Arua and Jinja recording the most to a change in the mind-set of the continue, there is going to be community-based projects65. government. It has shown governments sustainability in the projects that communities can responsibly own The CUF took place in low income procurement processes, receive funds, unlike when the community is not areas. As part of the CUF initiative in purchase services and monitor delivery involved Jinja, Walukuba savings group proposed appropriately to reduce costs. the building of a community hall. This Grassroots NGO proposal was approved, and as part of Community Contracting in Walukuba: the agreement, community contracting Community Hall. The community hall in was adopted. Communities organised the image above was built with engineers themselves into associations and money from ACTogether and MLHUD. It is used Among the Key Lessons Learnt was transferred into their accounts to for watching football as well as training from the TSUPU Program was the enable them to procure contractors, or women and youth. The community has been build the infrastructure themselves. The able to sustain its ongoing costs. operationalisation of Community communities established management Procurement and Community committees and were empowered to Contracting which was used deliver the projects faster. For example, with community contracting, a toilet was under the CUF Projects Phase II & constructed with 47 million Ugandan III. Municipal Local Governments shillings. It would have cost 54 million appreciated this method and plans shillings if the government-run Public are under way to carry it forward Procurement Disposal of Public Assets (PPDA) procurement process was used66. in most of the Community Projects TSUPU Coordinator, Ugandan Ministry

Figure 55. Uganda - Figure 56. Uganda - Community hall in Walukub Household with electricity

Uganda has seen a 474% increase in the average proportion of households in slum and/or low-income areas with regular electricity connections, between 2013 and 2016. (Cities Alliance Corporate Scorecard, 2016)

Uganda | 65 Citizen’s engagement to prioritise their needs and empowered them to approach the local government Citizens were empowered to via open dialogue. In turn, municipal Cities Alliance funds triggered engage in the public debate and governments valued community opinions citizens to realise what they were participation increased and data. Additionally, the information was missing useful for the USMID programme and is The Country Programme increased evidence of the programmatic approach Slum Dweller participation in urban planning discussions integrating projects. and empowered the community, allowing them to better articulate and communicate Capacity development their needs, concerns, interests and views to local and national governments. As Cities Alliance acted as a shown in the project descriptions, four Participants at capacity builder in Uganda, training sessions projects addressed the community level, working with the university and looking to build awareness around SDI’s “Learning-by-Doing approach” to rights and strengthening the communities responsibilities62, enhance slum dwellers’ Cities Alliance contributed to several knowledge of proposals submitted to capacity development initiatives across the community upgrading funds, and encourage national, municipal and community levels, participatory planning (for example with as depicted in Figure 58, 62 percent of the the MDS projects). Additionally, two projects focused on capacity development. projects which focused on applying the Social Tenure Domain Model63(STDM) Several toolkits, learning events and in Uganda, provided communities with training manuals were produced through their own city profiling data and with the capacity development initiatives at each information on the levels of basic service level. Some examples include those below. delivery. The projects enabled communities

Figure 57. Uganda - Capacity development activities

• Empowerment of national and municipal technical o cers with skills to prepare Municipal Development Strategies National • Increased collaboration and partnerships among the key actors in municipal governance, planning and management

• Slum dweller organisations supported in engaging with integrated local development processes • Municipal Development Forums established within the 14 cities as platforms for stakeholder Municipal participation in urban planning and management • University internship with municipal councils

• Formation of local community savings groups • Formation and capacity development of settlement-level urban poor organisations Community • Support with proﬁling; UN-Habitat/GLTN conducted a mission to Uganda to build capacity of the enumeration and mapping teams, including processing of the data within the STDM

66 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam High-level assessments of existing Capacity development at the community capacities took place across several level focused primarily on building an functions at the municipal level before understanding about participation and the We can write proposals, lobby for any of the activities were implemented, basics of community project management projects, advocate for change, including electricity, water systems, roads, (Ugandan Savings Group). Despite a high and demand developments in our education, health, waste, finance, IT and number of people trained and an increase so on. The assessment was then used to in knowledge and learning, interviewees areas”. However, we will still need plan the training sessions. Cities Alliance suggested that there needs to be further more refresher trainings… estimates the total number of in-country capacity development efforts to ensure Grassroots Federation stakeholders trained in Uganda over the sustainability at the community level: six-year programme to be 53067. This is a conservative estimate as Cities Alliance Cities Alliance acted as a knowledge have thus far only been able to track the broker on an international scale My team here are now experts number of people trained for about half the in municipal development training activities. On an international scale, Cities Alliance was seen as a knowledge broker. For strategy formulation. example, a learning event on settlement 91 percent of survey respondents They are the best because the perceived an increase in member/ profiling using Social Tenure Domain partner knowledge and learning due to Models (STDM) in Africa was conducted capacity we have built cuts across Cities Alliance’s contribution, with 75 in August 2013, and another event the continent percent indicating that Cities Alliance was held in Manila in October 2013, as has strengthened the institutional and well as a session held by ACTogether Ugandan Ministry community capabilities in-country. Uganda at The Habitat III conference in Quito, Ecuador in October 2016.

Figure 58. Uganda - Toolkits

Uganda | 67 Spotlight on: Municipal capacity development through partnership with Makerere University

Makerere University was invited to included identifying key planning issues participate in the development of the and providing key prototype solutions in Municipal Development Strategies (MDSs). areas such as drainage, road opening and We’re beginning to have By linking its teaching with practical architectural designs. For example, the understanding with the different experience on the ground, the university students participated in determining a road universities to see if they can as supplemented the preparation of the opening in Mbale. methodology and guidelines for the MDS. well contribute students and or The university was also able to provide By leveraging its research for public knowledge on urbanisation debates, the university informed student internships in municipalities for Ugandan University hands-on experience. The municipalities both the policy development and involved were Kabale, Mbarara, Arua, improved the outcomes of the Mbale and Jinja. The students were Country Programme projects. assigned to the Municipal Physical Planning Department and their main tasks were to provide technical support to the municipal officials and the community. Core work

Case Study: Jinja’s Bamu savings group’s toilet

Cities Alliance funds through the government, in the form of co-funding, The Bamu Savings Group constructed four Country Programme supported several land and labour68. These savings groups toilets in 2014 with community savings municipalities and savings groups with were then able to build infrastructure as funds supplemented by funds from the infrastructure development projects. The needed in the community. Five savings local government (as part of the CUF). The Community Upgrading Fund (CUF) was groups were formed in the Ambercourt construction of the toilets was completed implemented across five municipalities market in Jinja due to Cities Alliance and through community contracting and the in phase one of the Country Programme ACTogether’s focus on empowering the work was carried out by the community (Jinja, Arua, Mbale, Kabale and Mbarara). urban poor: Bamu savings group; Green itself. According to the group, the Savings groups pooled funds which were farmers savings group; Ambercourt youth construction processes were successful and then supplemented by Cities Alliance, group; Mukene savings group; and Twanise the toilets were well built. the municipalities, and the national Obwavu women’s group.

68 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam The toilets cost 200 Ugandan shillings • Increase awareness and visibility. The per use, and 500 Ugandan shillings for a Bamu savings group members noted that bath. The average monthly collection is Cities Alliance involvement strengthened 200,000 shillings a month, which covers their projects and certain members of the attendant, septic tank emptying, and the group regained interest. Involvement most of the water bill. However, when the in the Municipal Development Forum water bill is extremely high, the community has also increased the visibility of the finds it difficult to cover the full costs. The community to municipal authorities and savings group intends to lobby for future donors, enabling individuals to contribute funds from ACTogether. to investment decisions.

Cities Alliance worked with implementing • Build capacity through the implementing partners to: partner ACTogether.

• Co-finance the toilet construction ACTogether has taught the community (through the local government and CUF). how to save and use loans. It has also empowered them and lobbied to receive • Encourage collaboration between the funds for projects from local and national Municipal Development Forum and governments. The savings group has slum dwellers. For example, there obtained an additional loan of 40-50 was a toilet which was to be built for million shillings from Pearl (a local NGO). the community around the market, Furthermore, individual loans used to boost however it was noted that a health individual business capital have been paid centre nearby lacked a toilet. Funds back with interest within six months. The were diverted so a toilet could be savings groups are also working with Post built for Kimaka Health Center II. Bank on future plans—showing that a • Provide funds for a temporary savings group can scale a project through office space. effective resource management.

Figure 59. Uganda - The Bamu savings group

Uganda | 69 Efficiency Did the projects have the appropriate structure and management capabilities in place to deliver on their objectives?

Governance mechanisms: Municipal Development Forum (MDF). USMID programme, and were empowered The forums were convened and supported to monitor the construction of civil works forums by the municipal local authorities and were in their respective municipalities. The MDF The Country Programme enabled intended to take place twice every three also helped enable knowledge sharing vertical and horizontal cross- months69. However, evidence shows that practices, for example, in June 2013, Jinja’s the initial five municipalities were found MDF demonstrated ways of working to a collaboration to catalyse efforts to have met an average of eight times delegation from Eastern African countries The Country Programme implemented between 2010 and 201470. The forums (the Eastern Hub). several governance mechanisms as part enabled a participatory and community- of its activities in Uganda—across partner based approach for recommending National Urban Forum (UNUF). organisations and the national, municipality infrastructure projects for approval, as This forum meets to discuss key and community levels. These three well as monitoring the preparatory and urban issues in Uganda as well as the mechanisms helped enable a participatory implementation arrangements under the National Urban Policy. The participatory and collaborative approach, for example, USMID Programme. For example, the MDFs approach with partners at the national connecting communities with ministries, reviewed the engineering designs for two level enabled the prioritisation of and universities with municipalities. years of infrastructure projects under the the urban agenda within Uganda.

Figure 60. Uganda - Forums and commitees Figure 61. Uganda - Municipal Development Forum

What is the MDF?

hat is it National The Municipal Development Forum (MDF) seeks to formalise municipal-wide development forums where organised urban poor, local government, service providers, private sector, and other Uganda Country stakeholders could meet on a regular basis to exchange views, debate Municipal National Programme priorities and agree on common actions. The forum is a basic institution Development Urban Steering that will inform pro-poor approaches to urban development at the Municipal Forum (MDF) Forum Committee municipal level; and implies signiﬁcant representation from the (UNUF) communities of the urban poor (Cities Alliance, 2014). Participation of women and youth in the forum is essential. Sample deliverables: • MDF Charter Community • Municipal-wide Strategic Infrastructure Investment Plans • Terms of reference to guide working relationships and operations between municipal councils and municipal development forums • Detailed work plans for the forums

70 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam For example, Makerere University’s lowered efficiency in some cases due to research into urban topics such as increased participation and timelines, urban sprawl, constraints to urban the collaborative approach has allowed The steering committee … has planning, and access to housing were communities to be more engaged. not been very active. We only discussed during the forum, with the inform them on how we are research then fed back into the National Programme management and Urban Policy and recommendations. implementing grant making processes Ugandan Ministry Country Programme Steering Strong programme management and Committee. The Uganda Country Programme was facilitated by a Steering structure contributed to success Figure 62. Uganda National Urban Forum Committee that provided oversight and The Country Programme was supported by hat is the UNUF programme management. Over the course a project coordinator and secretariat for of the programme, attendees expanded to the entire duration, as outlined in Figure 45. This activity aimed at facilitating debate on urban include MLHUD, Future Cities Africa and This was recognised as a strong approach, issues to inﬂuence policy and legal reforms. The other partners. However, it was noted that forum was a platform for structured dialogue, with 75 percent of survey respondents focusing on the need to develop policy to resolve the Steering Committee did not play the advocating that Cities Alliance provided real problems experienced by poor, heterogeneous intended active role over the full course of programme management to a significant or urban communities. UNUF was intended to ﬁnd a the Country Programme. very significant extent. way to enable input from communities and local authorities into the national urban debate, for Together, the MDF and UNUF have enabled example with input from the MDFs. a collaborative environment across Sample deliverables: the Country Programme, facilitating open discussion and debate on urban • UNUF Draft Strategic Plan issues. Although these forums may have • Executive Committee in place • UNUF charter • A prioritised research agenda

Figure 63. Uganda – Programme management

Perception that Cities Alliance provided programme management 67%

17%

8% 8%

No contribution Limited contribution Moderate contribution Signiﬁcant contribution Very signiﬁcant contribution

Uganda | 71 The Country Programme structure helped Funding and proposal processes However, certain stakeholders advocated enable strong programme management: were noted to be transparent, that more information could have been however in initial phases, a shared as part of the creation of the • At the national level a project MDS. Those involved in the MDS stated coordinator and a secretariat tracked greater sharing of information that the ministry withheld objectives, the implementation of the activities. may have allowed communities outputs, requirements, total budget Other staff in the Directorate of Physical to hold each other accountable and roles. If this information had been Planning and Urban Development were shared, the communities could have taken also part of the implementation team. 92 percent of survey respondents found greater levels of project ownership and proposal processes to be transparent and thereby become accountable (Ugandan • At the municipal level a project that Cities Alliance often communicated coordinator and the Municipal Municipality). The initial phases of the throughout the proposal process. The work could therefore have benefitted from Development Forum members, heads “transparency of the funds was very clear of department and sector working greater transparency, where trust needed to and the motivation to bring in MDF was be built between the vertical levels. groups participated actively in the to enhance transparency and dialogue implementation process. This helped in the community programmes. Even the emphasise teamwork and collaboration contracts were done in a transparent to ensure work is done and monitored for enough manner” (Senior Urban Specialist, good progression. Multilateral Development Organisation).

Figure 64. Uganda - Funding and proposal processes

Perception that funding and proposal processes were transparent

50% 42% 42% 42%

8% 8% 8%

0% 0% 0% Very small Small extent Moderate extent Large extent Very large extent extent

Funding processes Proposal processes

72 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam The grant-making processes took Figure 65. Uganda - Grant making processes an average of 287 days Days to process grant The grant-making processes took an 158 average of 287 days from the proposal submission to first disbursement of funds. 119 The submission to approval and approval to grant agreement phases were noted to take the longest time.

Delays in the grant-making process were also experienced due to the organisation’s 19 transition from The World Bank to UNOPS, in mid-2013. Procedure changes and Submission Approval to Grant start to updated templates resulted in it taking to approval grant agreement 1st disbursement longer to obtain grant. Project U8 in Figure 66 shows evidence of this. Total from submission to 1st Disbursement 287 days

Figure 66. Uganda - Project grant processes

Projects total days from proposal submission to 1st disbursement

690

505

250 245 184

76 41

U8 preparation U2 transforming U3 strengthening U4 transforming U7 Phase 2: U1 implementation U6 pase 1: of municipal settlements of urban local settlements of scaling up the of project set-up piloting of the development the urban poor governments in the urban poor use and activities for social tenure strategies (MSD) in Uganda: a Uganda to in Uganda: a application of a strategy for domain model for fourteen secondary cities achieve the goals secondary cities the social tenure transforming (STDM) municipalities/ support of the TSUPU support domain model settlements of secondary cities programme - SDI project programme - (STDM) the urban poor (TSUPU) MLHUD (TSUPU)

Uganda | 73 Sustainability Will the results and outcomes of the projects continue after funding or support end?

Continuation of projects and is due to be adopted and turned into The World Bank USMID programme, a grant an act. This urban policy includes the size of US$150 million, was implemented and outcomes MDS which, if approved, will become across the five municipalities originally There is likely to be some working documents for the municipality in the scope of the Country Programme, institutionalisation of outcomes, for the next 20 years (Ugandan Ministry). and scaled up to include 14 municipalities. Although the funding is available for the Grant amounts were provided to the however additional capacity is UNUP and MDS, interviewees and survey municipalities based on an allocation required at the national level, and respondents noted a lack of capacity in formula that considers the population additional funding is required at the the municipalities to embed this outcome: size, area and poverty head count. These municipal and community levels “MDS concept is yet to be appreciated funds are being used for improvement by government. I’m not sure whether the of infrastructure that would contribute Although all survey respondents identified capacity is available to roll this forward” to economic growth in the city. Cities partners to continue the work, and noted (Survey Respondent). Additionally, Alliance, and its partnership with the World the replicability potential of projects, only interviewees believe that the National Bank, has enabled synergies to be created 33 percent indicated concrete plans to Urban Forum can continue without external between the two programmes since 2013, continue after their grants end. funding, however, there is a question and therefore, a continuation of projects around the capability and commitment post-Country Programme. However, it At the national level, the draft National of the ministry to drive it forward. It was must be noted that for the MDF process to Urban Policy is going through parliament suggested that they may need support continue once the World Bank grant has reviews at the end of 2016, to incorporate in the form of capacity, staffing and a ended, funding would be required. additional topics (such as green spaces), dedicated person to run the forum.

Figure 67. Uganda - Project continuation

Perception on project continuation

33% 66% 100% 66% 33%

Projects with concrete Project with further Project with identiﬁed plans to continue after investment to continue members/partners to the grant ends the work after Cities continue work Alliance funding ends

No Yes

74 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam ACTogether Uganda, with support from SDI, Some challenges arose in the earlier stages has continued to support the slum dwellers when awareness and clarity of the roles in the Country Programme municipalities, of the MDF were not well appreciated and We sell our five-year development engaging them in participatory governance local councillors felt that their roles were plan to the various partners and activities. These have included support being usurped. This has since waned with now we have a training with the to settlement and municipal forums; increased understanding and awareness organising slum dwellers to save daily and of the distinct roles and the MDF has been Japan government and German consolidate their community funds; and embraced across all 14 municipalities. The government who both have slum upgrade interventions in sanitation, MDFs are also present in the final draft of good plans for developing our water, housing, renewable energy and the National Urban Policy, and are therefore municipality. We have a project solid waste management; among others. moving towards institutionalisation. They The Community Upgrading Fund has also are the fundamental building blocks for with Japan… street lights [due to established strong systems which can good governance and the creation of on- the roads that have already been be built upon. Community savings also going public community partnerships71. done] increased as a result of the mobilisation of the communities in slums to create savings The networks established in the country Ugandan Municipality groups and commit to save on a daily have provided an enabling environment for basis. It was noted that the church, private future partnering across organisations. For businesses, and government agencies such example, the University has been enabled as the Uganda National Roads Authority to approach other partners and donors such The MDFs and Municipalities are as the Ministry of Local Government and are working with communities and exploring ways of mobilizing more contributing to community upgrading via the Arab Bank for funding to replicate and the CUF. However, prolonged commitment scale its activities. resources to sustain the activities. from the community and the municipal There is a high potential for authorities is needed to raise further funds Partner credibility replication with adjustments and to provide for maintenance, repairs and reputation and general resource utilisation (Ugandan Survey Respondent Ministry). It was also noted that certain Cities Alliance’s involvement in communities have become dependent on Uganda has led to improved partner the funds, and savings contributions have credibility and reputation not been encouraged. It was advocated When working with Cities Alliance that strong management of growing Involvement with Cities Alliance has you look much better. savings groups is needed in country. been leveraged by partner organisations The implementation of the Social Tenure as credentials to gain additional funding Ugandan Ministry Domain Model tool to enhance the use of and investment for future work. In Gulu, pro-poor land management systems and additional partners such as JICA, the improve inclusive land management and World Bank and GIZ have been identified security of tenure is also on-going. to continue work, for example, with the World Bank utilising the municipal Replicability and scalability development forums to make infrastructure investment decisions. The Public-Private The mechanisms of the Country Infrastructure Advisory Facility provided a Programme are scalable and have grant of US$390,000 for an “Own Source been re-utilised in Uganda Revenue and Expenditure Management Enhancement” programme (OSREME). This Although not set out as objectives in the was implemented in Gulu, Lira, Fort Portal, Country Programme framework, Cities Entebbe and Mbale and is being expanded Alliance’s involvement in Uganda has led to to other municipalities. The programme increased follow-on work and replication. focuses on improving municipal records Cities Alliance’s platform and governmental management, updating property registers, mechanisms set up in country have been valuation, rate assessment, billing, and leveraged for additional projects outside revenue collection. It also addresses of the Country Programme, for example, improvement of procurement management in the World Bank USMID project (refer to in municipalities. The University is also Figure 42). The five initial MDFs have been working with local governments to acquire extended to 14, and are being leveraged as new projects, for example, with UN-Habitat decision-making mechanisms for their own to design roads. municipal investment strategies.

Uganda | 75 Partnerships

Partner capabilities Uganda was found to be a success. For example, SDI’s role in the project was key to and collaboration providing technical support to ACTogether The program was really Partner capabilities were in place to and to the National Slum Dwellers transparent and citizens were deliver on objectives Federation of Uganda to effectively execute involved in all the processes. the Country Programme. 83 percent of survey respondents indicated Our decisions were honoured that the right partner capabilities were The Country Programmes enabled a during meetings and other in place to deliver the objectives. For collaborative approach example, the MLHUD played a role in forums Cities Alliance set out to implement a connecting the communities with municipal Ugandan Ministry councils; ACTogether developed capacity participatory approach with collaborative in slum dwellers; and municipalities mechanisms in its Country Programmes. provided guidance and technical support As seen in Figure 68, 83 percent of survey to communities (Survey Response, 2016). respondents signalled that the level of The selection of partner organisations in collaboration within their projects was either high or very high.

Figure 68. Uganda - Collaboration within projects

Perception of collaboration within projects 67%

17% 8% 8% 0%

No collaboration Limited collaboration Moderate collaboration High collaboration Very high collaboration

Figure 69. Uganda - Uganda - Knowledge sharing outside projects Perception that partners/members share knowledge with others outside their own project 50%

33%

8% 8% 0%

Never share knowledge Rarely Sometimes Often Always share knowledge

76 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam The Uganda programme consisted of but also from other potential partners. several working groups (such as the Partners helped build the communities’ national urban policy working group, capacities, challenged their leaders to Through our SDI Network, national housing policy working group, and account for their actions, and questioned Cities Alliance’s platform has land policies) and forums (including the the status quo of service delivery within strengthened our networks Municipal Development Forums and the municipalities. There is also evidence that Uganda National Urban Forum). 75 percent the working relationship between the with UCLGA, Habitat for of members and partners felt that their community and the municipalities improved Humanity, UN-Habitat, and input was valued for decision making at from one of mistrust to one of partnership. UNDP among others. project levels. However, due to the size and For instance, the MDF in Jinja now has its range of partnerships involved, efficiency in office within Jinja’s municipal offices and Survey Respondent terms of timelines did decrease. has access to any office for consultation.

92 percent of stakeholders either agreed All survey respondents acknowledged or strongly agreed that Cities Alliance Cities Alliance as platform for partnership: We still need Cities Alliance facilitated knowledge sharing with in- “a facilitator of coherent strategic country stakeholders, thereby providing a interventions, backed by innovative, because they opened our eyes and vehicle for partnership. collaborative projects and programmes the ears of the government within and external to its membership National Slum Dwellers Federation, 2016 In certain cases, gaps in communication, to promote poverty reduction, and therefore collaboration and knowledge sustainable development and resilience transfer, were noted at the national level. within cities”72. Through partnership For example, between the MLHUD and the strengthening and providing a means Ministry of Local Government. However, for dialogue on urban issues, Cities There is high collaboration this has now been acknowledged and there Alliance has changed mind-sets around among the member partners is discussion around holding a caucus “partnership, citizenship and governance” between these two ministries for future (Grassroots NGO) in Uganda. It is clear as you can see from the knowledge and leading practice sharing. from interview findings that members composition of our members so Communication and collaboration at the and partners agree that urbanisation that it can be possible for us community level was found to improve cannot be managed in isolation. post-2013, which can be attributed to to knock at any door we come specific community-engagement initiatives Cities Alliance has coordinated a across to enhance development such as the MDF and MDSs. wide range of partners both locally in Gulu municipality and internationally Platform for partnerships Municipal Development Forum Member The wide reach of Cities Alliance’s partner Cities Alliance has strengthened selection has been an important aspect of existing partnerships, and is facilitating collaboration within countries: recognized as a platform for “The collaboration level among partners partnership in Uganda has greatly been improved from the awareness that was created by the different Cities Alliance has strengthened existing actors” (Grassroots Federation). Through partnerships and provided structure around the implementation of several forums and aligned objectives to create a catalytic participatory mechanisms, Cities Alliance’s effect: “Cities Alliance played a very key partnership approach has provided a bridge role as a development catalyst in this for citizens to interact with their local and programme” (Senior Urban Specialist, national governments, as well as with other Multilateral Development Organisation). NGOs and donor organisations. The success of Cities Alliance’s collaboration efforts Cities Alliance was able to coordinate can also be seen at an international level, members and partners, and integrate them as Ugandan participants at the Habitat III with the grassroots communities, dispersing conference in Quito represented several funding where “institutions have low different organisations. financial envelopes to engage in outreach programmes” (Survey Respondent). Through its implementing partners, Cities Alliance integrated the community into the programme and trained them to lobby for service delivery—not only from government,

Uganda | 77 Conclusion

Relevance Effectiveness

• The Country Programme was required • Funded by Cities Alliance, the National • Citizens were empowered to engage and relevant to existing priorities Urban Policy was implemented as one in the public debate and participation in Uganda. The government had of the components under the TSUPU was increased. Four projects addressed previously attempted to upgrade project. Ninety-two percent of survey the community level, looking to build slums, however, these initiatives were respondents perceived that Cities Alliance awareness around SDI’s “Learning- not participatory, nor sustainably informed the national strategies and/or by-Doing” approach to rights and replicated. This was the first time plans in Uganda. responsibilities, enhancing slum dwellers’ all partners worked on a single knowledge of proposals submitted programme to look at systemic • As part of the overall objective to to community upgrading funds, and changes across the national, municipal support national and local policy dialogue encouraging participatory planning. and community levels. to promote pro-poor urban systemic Savings groups and community change, Cities Alliance improved existing contracting was introduced to provide • Cities Alliance bridged divides within municipal planning frameworks in the communities with increased oversight institutions themselves, playing Uganda. By the end of 2016, the MDSs regarding their infrastructure projects. a strong advisory role with local were in the process of being submitted partners. Stakeholders noted that the to, and endorsed by, the municipal • Cities Alliance acted as a capacity Country Programme opened up space councils in each of the 14 cities involved. builder in Uganda, working with for dialogue and understanding. the University and strengthening municipalities (for example, promoting • Partners could not have delivered the university internships). Capacity same outputs without Cities Alliance, development at the community levels whose most valued capability was its focused primarily on building an technical assistance and international understanding amongst the community experience (aside from funding). Grant regarding participation and the basics funds were adequate to address the of community project management. objectives as defined in the Country Programme Framework.

78 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Efficiency Sustainability Partnerships

• Cities Alliance created a participatory • There is likely to be some • Funding and proposal processes were approach in-country, with forums that institutionalisation of outcomes, for noted to be transparent. However, cut across all levels: example with the UNUP and MDF. in initial phases, a greater sharing - National Urban Forum Local capacities have also been built of information may have allowed and sustained, for example within communities to hold greater levels - Municipal Development Forum ACTogether. However, to sustain the of ownership. The average time - Steering Committee continuation of project outcomes, from proposal submission to first additional funding is required at the disbursement of funds was 287 days. • The MDFs were replicated, scaled and municipal and community levels; and further leveraged in the World Bank’s additional capacity is required at the • The Country Programme enabled USMID programme. Such a collaborative national level. vertical and horizontal cross- approach improved transparency and collaboration to catalyse efforts. ownership, although this had an impact • The mechanisms of the Country Ninety-two percent of stakeholders on efficiency, as dialogue between Programme are scalable and either agreed or strongly agreed that slum dwellers, municipal governments, have been re-utilised in Uganda. Cities Alliance facilitated knowledge universities and national governments Certain mechanisms that have been sharing with in-country stakeholders. takes coordination and time. implemented as part of the Country Programme have further been • Cities Alliance is widely recognised • Cities Alliance and its partners provided leveraged in projects, and expanded as a platform for partnership. Cities strong programme management and to 14 secondary cities. For example, Alliance coordinated members structure which contributed to the the Municipal Development Forums and partners, and integrated them success of the Country Programme. forming the basis of the USD$150 with grassroots communities. For Project coordinators were in place across million USMID programme. example, the working relationship the length of the programme at the between the community and the national and municipal levels. Seventy- • Cities Alliance’s involvement in municipalities has moved from one five percent of survey respondents Uganda has led to improved partner of mistrust to one of partnership. advocated that Cities Alliance provided credibility and reputation. Additional programme management to a significant partners such as JICA, the World • Cities Alliance strengthened existing or very significant extent. Bank and GIZ have been identified partnerships and coordinated a wide to continue work. The University is range of partners internationally, • Funding and proposal processes were also working with local governments acting as a knowledge broker and noted to be transparent. However, to acquire new projects, for example connector on an international scale. in initial phases, a greater sharing with UN-Habitat to design roads. of information may have allowed communities to hold greater levels of ownership. The average time from proposal submission to first disbursement of funds was 287 days.

Uganda | 79 Vietnam

80 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Introduction

Country context Economic and social situation Figure 70. Vietnam - Population living in slum The Vietnam Country Programme started Since 1990, Vietnam’s gross domestic in 2010 after about 10 years of Cities product (GDP) per capita growth has Alliance technical assistance and policy been among the fastest in the world, Percentage of city population advice activities in the country. The averaging 6.4 percent per year in the living in slums preparatory studies carried out by Cities 2000s76. Vietnam’s economy continued to Alliance contributed to the National Urban strengthen in 2015, with an estimated GDP 2009 Upgrading Strategy and Overall Investment growth rate of 6.7 percent. Plan for Urban Upgrading (NUUP) which was signed and adopted by the government Social indicators, such as education .1 of Vietnam as an official approach to urban levels and life expectancy, have improved upgrading and poverty alleviation73. substantially over the last decades and . are greater than other countries with 2014 To support the government of Vietnam’s similar per capita income. Access to commitment to maximize the benefits of basic infrastructure has also improved urbanisation and to design clear synergies significantly: electricity is available to . between these efforts, the Vietnam almost all households, up from less than Country Programme was initiated in 2010, half in 1993; and access to clean water and project activities were completed in and modern sanitation has risen from September 2016. The Country Programme less than 50 percent of all households to focused on improving relationships and more than 75 percent77. However, poverty the coherence of efforts among national gains are fragile, as a significant share of government agencies and urban local the population is still vulnerable, living governments, urban poor communities, close to the poverty line (one third of Cities Alliance members and other the population—equivalent to about 30 partners—all in support of a more effective million people—fall into the “poor” or “near urban agenda74. A large emphasis was also poor” groups). The poor and extreme poor placed on partnership and government are concentrated among ethnic minority ownership throughout the programme. groups. Although the government has recognised urbanisation as a positive Urban population growth process, for example, cities today account for 70 percent of economic output78, With its urban population forecast to Vietnam lags behind in providing adequate double to 52 million between 2010 and housing and basic infrastructure to its 2025, Vietnam is one of the fastest growing urban poor, resulting in the proliferation countries in the East Asia and Pacific of informal settlements and poor living region. Half of the country’s population is conditions in its cities. This points to a need projected to live in urban areas by 2030. for national strategies and government With urban areas growing at an annual rate commitments to be operationalized at the of 3.4 percent from 1999-2009, Vietnam local level and, in partnership with urban is confronting challenges in managing its poor communities, to address the country’s urban transformation75. Despite a rapid challenges at scale. growing population, the percentage of its city population living in slums has only decreased by eight percent between 2009 and 2014.

Vietnam | 81 Political environment • Increase active citizenship. Project overview For many years, Vietnam’s one-party • Improve access for the urban poor to There have been a total of six grants in the government has taken a long-term municipal services. Vietnam Country Programme since its start strategic view of development, fostered by • Support the development of effective in 2010. The table below outlines these the country’s central planning system79. policies for managing urban growth. six projects and their tier-three outcomes The reform agenda has gradually become delivered by Cities Alliance and its partners more comprehensive, with an increasing The Programme was designed to function to influence national policies, policy emphasis on private sector development, as an integrated urban initiative across frameworks, local planning, institutional the global integration of Vietnam’s national, municipal and community levels, participation and community engagement, economy, and specific policies to combat providing support for a mutually-supportive and capacity development. poverty. Vietnam’s 2011 – 2020 Socio- range of priorities. Economic Development Strategy (SEDS) Project activities were designed to be gives attention to structural reforms, This support served as a vehicle for stronger interdependent and to operate at the environmental sustainability, social equity national and donor partnerships across national, city, and community levels. and emerging issues of macroeconomic government, private commercial and NGO National-level interventions covered urban instability such as declining Foreign spheres, thereby promoting more coherent policies and governance mechanisms; Direct Investment, a devalued local and inclusive sector development. It municipal-level interventions included city also served as a stimulus for innovative, currency and weak financial sector80. development strategies; and community- The strategy defines three “breakthrough leveraging of co-financing and downstream level interventions included community areas”: promoting human resources/ technical assistance and investment. development funds, forums, and skills development (particularly skills for infrastructure projects. There was strong modern industry and innovation); improving Geographic scope focus on capacity building at the municipal market institutions; and infrastructure The Country Programme included six and community levels, with 36 training development. grants and support for the Vietnam Urban events and over 2,100 people trained. Full Forum (VUF). There were several initiatives descriptions can be found in Table 10 below. Vietnam’s future growth will depend underway in Vietnam at the time the on its ability to harness the benefits of Country Programme was designed in 2009, urbanisation. For example, access to and Cities Alliance sought to support services, social integration and job creation, the most successful of these initiatives. as well as its capacity to tackle the The Country Programme had nationwide challenges associated with it, such as slum coverage with the following city-specific growth and environmental degradation81. components:

Objectives • Community Development Fund (CDF) The overarching objective of the Vietnam implementation cities: Country Programme was to support a Dong Hoi, Lao Cai, Tam Ky, Bac Kan, Bim more effective urban agenda centred on Son, Dong Ha, Ninh Hoa, Song Cao, Bien sustainable82, inclusive83 cities. Hoa and Dong Xoai.

The Country Programme also focused on • City Development Strategies (CDS) improving relationships and the coherence implementation cities: of effort among national government Quy Nhon and Tam Ky. agencies and urban local governments, urban poor communities, Cities Alliance • City Development Strategies (CDS) members and other partners. Specifically, learning cities: the intent was to provide technical Viet Tri, Hai Duong, Ben Tre, Ha Tinh and assistance and policy advice to the national Hung Yen. government, municipalities and local communities to:

82 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Table 9. Vietnam - Projects mapped to intervention areas

Project Great Implementing National Local Citizen’s Capacity Recipient Partner Polices Strategies Engagement Development & Plans

V1 World Bank World Bank Vietnam Urbanisation Review  

V2 Strengthening the Vietnam Urban Forum UDA/MOC World Bank andoperationalising the  

National National Urban Upgrading Programme

UN-Habitat V6 National Urban Development UDA / MOC ACVN   Strategy Foundation Phase AMCC

V5 City Development Strategy UN –Habitat ACVN    in seven Cities Municipal

V3 Consolidating the ACVN ACHR Community Development   Fund network

V4 Community City-wide upgrading process ACVN ACHR (CDF) in 20 small and    medium cities

Vietnam | 83 Table 10. Vietnam - Project descriptions

Project Project descriptions

Although a one-off exercise, this project aimed at developing an analytical urban knowledge base, indicating trends, that would be followed up with supplementary notes. Its primary target V1 was the ministerial level alongside the donor community, and through it, the full array of urban Vietnam Urbanisation Review projects and planning/management services at the city level. An information-sharing platform was also needed for broader dissemination, interpretation and open discourse. This function is primarily served by the Vietnam Urban Forum (VUF).

The VUF acts as the central clearing house/exchange instrument for the connections with V2 the ministerial and city levels, together with the other programme activities. It is also the Strengthening the mechanism for donors to connect with the private and NGO sectors. The National Urban Vietnam Urban Forum Upgrading Programme (NUUP) will demonstrate the ability of city-wide pro-poor upgrading in &Operationalising the Vietnam on a national scale, by establishing a feasible national program framework for urban

National National Urban Upgrading upgrading and slum prevention that considers the institutional, legal, regulatory, financing, and Programme advocacy role of the national government with regard to local governments and communities.

The overall objective of the National Urban Development Strategy (NUDS) is to contribute towards major advances in the equity and effectiveness of urban development, and in the V6 process, to reduce urban poverty and generally raise the living conditions of all citizens National Urban Development throughout the towns and cities of Vietnam. This will entail the further development of the Strategy Foundation Phase generalised policy statements within the National Urban Development Programme (NUDP) into evidence-based guidelines; working through the provinces to the local urban levels, and employing a fully integrated, multi-sectoral planning approach.

This project works at the city level (the other two levels of intervention are national government with MoC/UDA, and the urban poor communities with ACVN) and, in accordance with the CA-CP framework, aims to “strengthen the capacity of local government to inclusively plan and manage urban growth.” Its objective was to directly support two focus cities (Quy Nhon and Tam Ky) and, V5 through a learning and networking process, five subsidiary partner cities (Ben Tre, Ha Tinh, Hai City Development Duong, Hung Yen and Viet Tri), in developing community-based participatory city development Strategy in 7 Cities Municipal strategies. It sought to foster a participatory approach to urban planning (opening up room for dialogue and consultation among communities and public and private partners), in order to build coherence between diverse existing plans at city level, determine priorities, and agree on common actions.

The Community Development Fund (CDF) is a financing mechanism that promotes a community- driven approach to pro-poor urban development, planning and management in partnership with government agencies and other stakeholders. The CDF mechanism was initiated in Vietnam in the 1990s and a national CDF network was created in 2007, with the Association of Cities of V3 Vietnam (ACVN) as the designated secretariat for the network. The objective of this project Consolidating the was to support ACVN in achieving its goals of scaling up the community-driven upgrading Community Development approach of the CDF network, building on the foundation and lessons of the last two decades Fund Network of experience. During this preparatory phase, ACVN aimed to develop a CDF operations manual that would support the creation, management and implementation of CDFs in member cities. This preparatory work would lay the foundation for engagement of the CDF network, and build capacity for management and implementation of the CDF through ACVN. Community This project sought to address urban poverty by strengthening new development options for the urban poor in a way that will influence approaches to urban poverty reduction in Vietnam, V4 thereby improving the governance of Vietnam cities by consolidating emerging practices of City-Wide Upgrading Process participation and civic engagement around urban management issues. Specific objectives (CDF) in 20 Small and included strengthening the practices of community participation and civic engagement; Medium Cities institutionalizing and scaling up the CDF Network; and promoting a community-driven approach to city-wide upgrading.

84 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Country Programme Management Timelines and support Figure 71. Vietnam - Project timeline & programme management support The Country Programme kicked off in 2011 2012 2013 2014 2015 2016 2010 and closed in September 2016. The six projects were staggered across this s duration supported by Cities Alliance’s t V1 V4 c

Secretariat and in-country consultants. j e V2 V5 o r

P V3 V6

Andrea Zeman Dhiraj Ajay Suri

t Jean Christoph Andrian r

o Ahn Le Dieu p p

s u Terry Standley Cities Alliance

World Bank UNOPS Cities Alliance

= In-country focal point = Cities Alliance task manager

Partners and members Figure 72. Vietnam - Partners and members

Cities Alliance engaged several partners Partners Members and members for the Ghana Country • Ministry of Construction (MoC) • UN Habitat Vietnam Programme. Partners are organisations through the Urban Development • World Bank (WB)/ which are not members of Cities Alliance, Agency (UDA) World Bank Institute (WBI) but with whom Cities Alliance may • Academy of Managers for • Deutche Gesellschaft for Internationale work on specific projects. Members are Construction and Cities (AMCC) Zusammenarbeit (GIZ) organisations formally affiliated to the • Association of Cities of Vietnam • United Cities and Local Government Cities Alliance, who participate to its (ACVN), VIUP through ACVN. governance, contribute financially to the • Asian Coalition for Housing Right organisation, and may implement some of (ACHR)/Asian Coalition for its interventions84. Community Action (ACCA)

Governance mechanisms Programme financing Table 11. Vietnam - Programme financing The Country Programme implemented A total contribution of US$3,374,214 was Programme Financing USD three governance mechanisms as part of its allocated to the Country Programme, with activities in Vietnam: US$2,106,723 from Cities Alliance, and Cities Alliance 2,106,723 US$1,267,491 from partner co-financing. • Vietnam Urban Forum (VUF) – national Partner Co-Financing 1,267,491 and municipal A shift came about in 2013 when Cities Alliance transitioned from the Total 3,374,214 • The Vietnam - Cities Alliance Partnership World Bank to UNOPS. This resulted (VNCAP) - Country Programme Committee. in some projects going through a • The Advisory Group, specifically for NUDS. restructuring, which led to slight delays in the timeline. However, all implementing These mechanisms helped enable a partners continued the intended participatory and collaborative approach. programme activities under UNOPS. For more information, please refer to Efficiency - Governance mechanisms.

Vietnam | 85 Relevance Did the projects respond to external priorities and did they align to Country Programme objectives?

Needs and priorities Although the government had taken steps towards achieving a responsive urban Cities Alliance worked closely with upgrading approach, it was not yet able to This Programme excellently Vietnamese stakeholders to design a effectively move the programme from the responded to the national Country Programme that addressed planning to implementation stage due to agenda! the needs of the country a lack of technical knowledge, experience and human resources. Cities Alliance and Grassroots NGO The Government of Vietnam has been its partners helped develop an operational taking steps to address challenges framework for the national programme, Figure 73. Vietnam - Programme in stemming from its rapid urbanisation since its institutional, procedural, and financial demand 2008. It had begun to develop a National specifications, and identified the necessary Urban Strategy, Orientation Master Plan enabling policies needed for a successful Perception that the country programme and Urban Development Plans towards implementation on a national scale. In was in demand 2025, with a Vision toward 2050. The response to the government’s focus on strategy focused on the “mega urban urban issues, Cities Alliance members areas” and on development of basic urban and their national and local government areas . In 2008, the National Urban partners jointly shaped a package of 85 8% Upgrading Strategy and Overall Investment interventions that collectively responded to Plan for Urban Upgrading to 2020 (NUUP) the challenges that had been identified. was developed with sustained support from the donor community. The NUUP The Country Programme was initiated in 2010 and started in 2012. However, aimed to promote a more responsive and 33% 58% community-based participatory planning even before this point, Cities Alliance approach to urban issues. Its objective had worked with partners and recipient was to develop a Detailed Implementation organisations to identify the country’s Strategy and to carry out a rapid needs and strategize how to design and assessment of existing mechanisms for build programing that leveraged existing the NUUP implementation86. In 2008, the work. According to survey results, government outlined the first elements all stakeholders felt that the Country Programme was in demand at the time it of an overall implementation strategy for High demand the NUUP, and in 2009 the Government was designed, with 91 percent believing Moderate demand approved it. In addition to encouraging it was in high to very high demand. physical urban upgrading, the NUUP Very high demand aimed at promoting participatory planning methods in the upgrading process to make it more responsive to citizens’ needs.

86 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam The Country Programme responded to Cities Alliance appeared to be one of the the needs of the country, particularly by few organisations attempting to bridge the building the technical and human capacities vertical gap (between national, municipal At the national level, we really of the government, municipal staff and the and community levels), and the horizontal needed it. We did not have urban poor community to help manage gap (between projects at the same level) much urban experience for the complex challenges that accompany within the country. The Vietnam Country rapid urban growth such as an increased Programme’s success can be attributed development number of people living in slums, a lack of in part to Cities Alliance’s in-country Ministry of Construction access to services, growing environmental coordinator, who coordinated and acted disasters, increased poverty in cities and as a champion for these partnerships. so on. 100 percent of survey respondents Horizontally, there was a lot of emphasis on agreed or strongly agreed that the Country scale and replicability of projects, especially Programme was aligned with existing the Community Development Strategies priorities at the national, municipal and (CDS). The CDS projects incorporated community levels. city-to-city learnings through Association of Cities Vietnam (ACVN) and the CDS Harmonisation of urban efforts network laboured to ensure that those participants receiving direct support could in Vietnam across national, act as mentors for others to undertake municipal and community levels similar planning processes. The CDS activities were also directly linked to the Cities Alliance played a role in Association of Managers for Construction harmonising the urbanisation efforts and Cities (AMCC) training programme, in the country across projects and thereby providing a parallel demonstration stakeholders tool for improved city planning and the associated governance advancement. Cities Alliance’s role was to align and coordinate various initiatives and projects Another example of Cities Alliance playing in Vietnam by bringing urban stakeholders a harmonizing role was the work supporting together. The Country Programme intended both the NUUP and Vietnam Urban Forum to engage and mobilise partners behind a (VUF). This link between NUUP and VUF programme that was designed together and was strengthened and Cities Alliance helped linked to both past and current initiatives of broker the relationship and manage both Cities Alliance’s members and partners, as parties’ requirements. well as to existing priorities and projects in the country87.

Figure 74. Vietnam - Programme aligned to priorities

Perception that the country programme was aligned with existing priorities

50%50% 50% 50%50% 40%

10% 0% 0% Strongly Disagree Neither disagree/ Agree Strongly agree disagree nor agree

National level Municipal level Community level

Vietnam | 87 For effective operationalisation of the NUUP, Cities Alliance was acknowledged to the government continuously fed into the be a platform for partnership, both AMCC training, and consulted the ministries horizontally and vertically. However, it The country programme plays and donors through the VUF. The objective was noted that the connection could a role as channel to transfer with the VUF was to bring together existing have been stronger: “But just because the message from grassroots and new member organizations from seven representatives from all levels talk to to top deciders and facilitates different member groups, and provide a each, it doesn’t mean the actual projects platform for member representatives to are linked.” (International NGO). the policy making process from raise perspectives and ideas, as well as to bottom up in harmonizing with mobilize active engagement of members in Integration between the municipal and top down approach the forum’s operations. The VUF focused community levels was strong, however, on developing the new organizational the integration between the national and International NGO structure, identifying sustainable finance, the city (CDS) levels was weaker. This can and the future strategic activities of the be partly explained by the intermediate VUF. The VUF also fostered collaboration provincial level that adds another layer and coordination between member of bureaucracy and political processes. Communities now feel that they organizations, as well as among member For example, the CDS has to go through are being heard. groups, to improve sharing of information/ the provincial system before it can go to experience and the promotion of joint the national level and become statutorily For example the community can initiatives (such as thematic working groups, binding. One of the most evident gaps in the now pick up the phone and call Vietnam Country Programme is the lack of workshops and seminars, policy advice and the municipality directly training). focus on the provincial level. This may be an opportunity and area of focus to consider in Community Leader Vertically, a strong push was made to future country programming. connect grassroots organisations to donors such as the World Bank. ACVN was selected Capabilities and funding to be a Cities Alliance implementing partner, representing 96 cities, crossing Cities Alliance acted as a catalyst ministerial sectoral lines and operating in providing coordination and at both city-wide and community levels. technical assistance ACVN had both the track record and a participatory development philosophy Survey respondents indicated that Cities well-suited to the Country Programme Alliance mainly contributed to coordination Framework. Additionally, ACVN’s track- and technical assistance. It was also record showed that it had experience in acknowledged for bringing international reporting to the government and relevant experience to the country. Cities Alliance ministries regarding urgent urban issues played a catalytic role, linking Vietnamese in building, management and development stakeholders to valuable international progress, as well as participating in linking experience to learn how to achieve more construction regulations to the Urbanisation sustainable urban growth. Review, the NUUP and National Urban Development Strategy (NUDS).

Figure 75. Vietnam - Cities Alliance capabilities Most value Cities Alliance’s capabilities

36 36

Convening Technical Coordination International power assistance experience

88 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Cities Alliance also facilitated a North- Alliance support is quite large.” (Deputy South cooperation and knowledge Director, Vietnamese Ministry). One exchange between the two regions. In reason why funding was primarily seen If we have more money we addition, Cities Alliance was recognised as sufficient may be due to Cities Alliance can develop more documents for having improved partner learning working closely with its implementing and learning activities to the and organisation capabilities, as well as partners to define the objectives and costs for acting as a knowledge carrier. Cities of projects prior to proposal approval. communities Alliance shared experience from working “When we prepare the project, we do the Vietnamese Ministry with other development countries on cost estimation and prepare the budget urban planning, resilient strategy planning, for co-financing. Depending on the and financial planning that in-country amount of funding, we get from Cities partners and recipients lacked. By bringing Alliance, we can reduce the counterpart Figure 76. Vietnam - Grant funds in a consultant with technical expertise funding, and then invest in more projects” in urban planning, Cities Alliance further (People’s Committee Chairman, Vietnamese Perception that grant funds were adequate helped to write strategies and provide Municipality). Regardless of stakeholder to address the objectives as deﬁned in the international expertise. grant funds satisfaction, all interviewees country programme framework reported that with additional funding, more Cities Alliance helped deliver higher progress could have been achieved. For quality outputs example, the Urban Development Agency said that it would have spent additional 15% Partners perceived that they have achieved funding on drafting policy documents and better quality and faster results through upskilling communities to implement policy. Cities Alliance than they would have had alone. Funds were also recognized as a key contribution and enabler. “Vietnam was a very capable government, but without the 38% 46% financial support from Cities Alliance it would have been difficult to things done” (Independent Consultant).

Most projects managed to address the agreed objectives within the allocated budget Yes Although grants were relatively small, most No projects managed to successfully address Neither yes/no the objectives of the Country Programme. 46 percent of survey respondents agreed that projects had adequate funding and through interviews, it was found that most partners perceived that they received adequate funding. “In fact, honestly, the amount was quite small against the demands of the project, however Cities

Vietnam | 89 Effectiveness Did the projects achieve their objectives as defined in the Country Programme Framework?

The Country Programme focused on activity. At this point in time, stakeholders Figure 77. Vietnam - Informed strategies delivering outputs in four different have strongly welcomed the government’s or plans areas: National Policies, Local Strategies decree on grassroots democracy as a step Cities Alliance informed national and Plans, Citizen’s Engagement in broadening participation and ownership strategies or plans and Community Development. in development processes. 75 percent of survey respondents reported that Cities 100 percent of project outputs (23 out Alliance had a significant to very significant of 23) were delivered as part of the contribution in informing the national Vietnam Country Programme, and all were strategies and plans. Interviewees also completed and closed by September 201688. stated that Cities Alliance was one of Key outputs included: the donor organisations that supported 25% 25% policy formulation in an organised and • The Urbanisation Review. cooperative manner. • National Urban Development Strategy (NUDS). Cities Alliance also contributed to creating an environment that brings the voice • Assessment Reports. of the urban poor to the highest levels 50% • Strategy and Operating Plan for the of policy, and helping the urban poor Vietnam Urban Forum. influence national and local decision- makers. By providing direct financial • Functional structure for project support to ACVN to manage and execute implementation and a supervision development projects, the organisation assessment report for the National Urban built the institutional capacity and was Moderate contribution Upgrading Policy. acknowledged for its role as the main Signiﬁcant contribution convener and representative of local • Participatory City Development Very signiﬁcant contribution Strategies. authorities’ and the urban poor’s interests. The ACVN is now among the select • Community Development Fund organisations invited to public hearings operational manual. on the policies organised by the national assemblies. NGOs and private sector National policies representatives also stated that they Vietnam has made major changes in how now have better access to government it sets long-term strategies. For the first information on urban development, which time, it invites a broad range of NGOs includes participation in state-led meetings and donors to review drafts of plans and and workshops. NGOs and private sector strategies (such as the recent 10-year representatives are now, for example, plan and the National Urban Upgrading invited to Consultative Group meetings. The Policy and National Urban Development consultation in policy making has become Strategy). Shaping long-term national more inclusive, contributing to a shift from strategy (including a development strategy) government ownership of national policies was, until recently, strictly a party-led to national ownership.

90 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Local strategies and plans United Nations Millennium Goals. UN- The training materials related to specific Habitat had also established a working themes such as eco- and community-based Despite an array of initiatives over the relationship with ACVN and the Community tourism development, are disseminated years, broad stakeholder involvement Development Fund network, which was to focal points and leaders in other (particularly from the urban poor) was essential for the implementation. Moreover, communes. The goal is to integrate these uncommon in Vietnam’s city planning it could draw on its global experience strategies into the Socio-Economic processes when the Country Programme (in city development strategies and Development Plan annually, or in five-year was initiated. The programme provided an participatory, community-based planning and 10-year plans for approval at the opportunity to apply a more inclusive and processes) and technical expertise. provincial and city levels. participatory approach to creating city development strategies, with communities City Development Strategies were created supported to organise and mobilise in two cities in Vietnam with five learning themselves to participate. The CDS projects cities which may carry out the CDS. The provided a foundation for participatory project outputs are now mainly used by city engagement between communities, local governments and a local task force team. urban authorities and the private sector in order to exchange views, determine priorities and agree on common actions. Figure 78. Vietnam - Municipality Development Strategies UN-Habitat was identified as the most appropriate agency to help implement the community-based CDS activities, in partnership with ACVN and the Vietnam Institute of Architects and Planners (VIAP). This was partly due to UN-Habitat having an office in Vietnam with a proven track record of working across partners on housing and urban development issues, including cities and climate change, provincial and city strategic planning, and localizing actions related to The

Case Study: Mural art revitalises central fishing village

In early June 2016, Trung Thanh Village in visit the city and explore the art. Through Figure 79. Vietnam - Trung Thanh Village Tam Thanh Commune was chosen for an art artistic expression, families have been able project as part of the CDS programme—a to share their personal stories, and are joint effort by the Korea Foundation and able to support themselves by selling water UN-Habitat. The objective was to brighten and trinkets to the increased number of the local living environment and bring art in tourists. Along with the wall painting to the public. Under the project, 11 artists project at Tam Thanh, Tam Ky has upgraded and volunteers from the Republic of Korea, an embankment road from the city centre and many Vietnamese students, gave the to the village. Part of efforts to develop walls of approximately 100 houses a new eco-cultural tourism, it enables citizens face. More than 70 paintings were created and tourists to walk, run and bike along to reflect the lives of the local people. The the beach, something that was not possible mural village project is expected to help before due to a lack of sidewalks. boost local tourism by inviting people to

Vietnam | 91 Citizen’s engagement Figure 80. Vietnam - Community Development Fund Cities Alliance encouraged a participatory approach in all elements of the Country What is the Community Development Fund? Programme. For example, the National Urban Upgrading Policy shifted from a The Community Development Fund (CDF) is top-down, to a more bottom-up approach, a ﬁnancing mechanism that promotes a including donors and communities. At community-driven approach to pro-poor the community level, the participatory urban development planning and approach was incorporated throughout the management in partnership with CDS, and disseminated as good practice government agencies and other for all CDS projects going forward. The stakeholders. The main characteristics of approach was designed to be participatory CDF are: and inclusive, however cross-sector • Voluntary participation of urban poor collaboration was noted to be complex and communities in community-managed time-intensive to manage. saving groups

The concept of community savings and • Coordination between dierent community-led development was initiated organisations and dierent sources of with the CDF project in Vietnam in the funding for urban poverty reduction by early 1990s through a project supported establishing and managing the CDF with by UNDP/UN-HABITAT and ACHR/ENDA89. community participation at city level with city government support • Community-led processes (initiation, implementation, management) across all CDF activities

Figure 81. Vietnam - The Community Development Fund phased approach

6 cities 30 Cities 50 Cities

Preparatory First Phase Second Phase Third Phase

• Operational Manual • Consolidation of existing CDF • Extended to an additional 20 cities network of 30 cities • Financial management regulations • Signiﬁcant scale up of CDF • City-wide mapping • Applications procedures • The lessons and experiences fed • Criteria for evaluating applications • Learning exchanges into the national dialogue • Safeguards framework • Mobilising participation • Inform the roll out of the National though forums Urban Upgrading Program • Monitoring and supervision • Policy advocacy through multi-media interventions • Legal and ﬁnancial provisions • Closer integration with development partners across ACVN programmes

92 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam However, these initiatives largely Through its implementing partners, Figure 82. Vietnam – Community remained separate pilot activities. In Cities Alliance sought to expand the Development Forum Funding Sources an effort to consolidate and scale up reach of the CDF by encouraging the CDF funding sources the community-led approach, ACHR development of savings groups. To spur and ENDA facilitated the creation of nation-wide promotion of the CDF the national Community Development methodology, contracts were signed Fund (CDF) network in 200790. with the rapporteur of Vietnam News Agency Television to broadcast the launch The CDF was designed to support several workshop in Hai Duong and the National small community infrastructure projects CDF Forum in Da Nang. As a result throughout Vietnam. These projects were of these efforts, savings groups were 31.5% 30.7% selected through a participatory approach established in 10 Vietnamese cities12. by the communities themselves according to their infrastructure priorities, and Community Development Fund projects aligned with municipal plans. From Cities have had a total investment of US$424,439, Alliance’s perspective, the objective was to of which Cities Alliance funded 37.8 percent provide support to ACHR to build capacity and the communities themselves funded 37.8% for management and implementation of the 31.5 percent. The remainder of the funds CDF. The CDF network in Vietnam consisted came from the cities and wards. of 30 member cities, with plans to expand to 20 new cities from 2010 to 2016. Cities Alliance Community A total of 45 CDF projects were Cities selected and implemented using the community participatory process, with 11 a total estimated 2,411 beneficiary Households households. The projects improved access to basic services, including: • Water supply. • Community halls for gathering CDF Projects Figure 83. Vietnam - Households with and community meetings. portable water • Road construction/maintenance. • Toilet construction. • Electricity connections. Vietnam has seen a 30% increase in the average proportion of households in slum and/or low- income areas with regular access to potable water; and a 30% increase in access to a sewerage system between 2013 and 2016.

(Cities Alliance Corporate Scorecard, 2016) * study completed only in the low-income areas in which the Country Programme intervened in Vietnam.

Vietnam | 93 Case Study: Citizen’s engagement and savings groups have led to a community centre and the installation of street lights

The Dong Tra commune in Tam Ky In addition to street lamps, the community Figure 84. Vietnam - Community Centre consists of 106 households, 36 of which also desired a centre to meet and discuss in Dong Tra commune are classified as poor or near poor. The their priorities. With co-investment from inhabitants are farmers with irregular Cities Alliance, the People’s Committee, incomes and no formal education. In and the Ward, the community successfully 2011, the ACVN profiled the commune saved and invested enough to build a to map the city’s constituents and their functioning community centre. needs. At the time, there was limited urban infrastructure in the commune The constituents meet monthly, with over (roads, streetlights, sewage, or sanitation). 100 people on average in attendance. The From 2012 onwards, ACVN supported the time is used to discuss key issues, and commune with establishing a participatory current development projects. There is a process. Citizens began to meet on a management team responsible for running more regular basis to discuss their needs. the overall centre and dedicated teams These were prioritised by the group and are responsible for targeted infrastructure a community centre and street lights development areas such as roads, lights, were identified as the most important. To drainage, water et cetera. Decisions are secure 55 street lamps, the community voted on to ensure that all people have an had to raise 60 million dong, around equal say. The centre is also being used by 15,000 dong per month. ACVN supported The Women’s’ Union, Savings Groups and representatives from the commune other organisations. The next planned step to approach a local utility provider to is to install a toilet in the centre. ask them to co-fund the project. With support from The People’s Committee, the Ward and Cities Alliance, and with co-investment from the local utility company, the commune now has 65 street lamps, surpassing their original target.

94 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Capacity development expertise that in-country partners did not Figure 86. Vietnam - Cities Alliance’s have in topics such as urban planning, contribution As part of the Country Programme, Cities resilient strategies and financial planning. Alliance contributed to several capacity Perception that Cities Alliance contributed development initiatives across the national, Most stakeholders stated that they to increased members/partners’ knowledge municipal and community levels, as had learned much by participating and learning depicted in Figure 85. in the Country Programme, and that the VNCAP has been one of the Cities Alliance has strengthened primary reasons for strengthening the institutional and community the involved partner’s capacity. capabilities in Vietnam through 33% targeted training 17% All survey respondents stated Cities Alliance strengthened institutional and community capabilities either significantly or very significantly. They did this by providing knowledge and technical 50%

Very signiﬁcant contribution Signiﬁcant contribution Moderate contribution

Figure 85. Vietnam - Capacity development activities

• National Forum with the participation of 105 persons representing 29 cities and national agencies • Urbanisation Review was shared with government counterparts and selected National development partners • Regional launch of the Urban Knowledge platform • Workshop with approximately 100 participants representing related ministries, municipal members and professionals.

• Operational Manual for CDF was prepared to provide local authorities and communities with a basic toolkit to support community-driven initiatives for urban poverty reduction and community development • Workshops and training on the CDF Manual as well as “City-wide Mapping with Municipal Community Participation” • Training courses for young professionals in the Universities of Da Nang and Tam Ky were organised in Tam Ky to promote the knowledge and use of CDF for community and city development

• Capacity building exchanges (city-to-city and community-to-community) organised between 13 CDF implementation and learning cities to share experiences on project implementation Community and learn from each other • Intra-community and inter-community forums for community leaders

Vietnam | 95 Learning examples include time identify the challenges of urban growth, management and prioritization, financial how best to address these, and how to management, participatory approaches and plan for them. Partners learned to prioritise 1 citizen’s engagement. It was also evident projects, the importance of participatory Participants at that participating in forums strengthened processes, community engagement and training sessions the capabilities of participants. “Upgrading basic financial management. CDS training through the capacity building via the sessions included eco-tourism, planning for network. Participating in network gives resilience and smart city development (for a an opportunity to learn more and better full list, see Appendix 7.1) about the issues of cities“- Project lead. Furthermore, the forums helped build Three CDF training sessions were held capacity at all levels—from leaders, to local with about 86 participants, and 14 staff and communities. training sessions focused on supporting the city-wide upgrading process in the Most people were trained during the VUF 20 small and medium cities, training training session (943 participants). All 811 people with an average attendance respondents stated that they had gained of 68 (see Figure 87 below). A total of knowledge and learning, and 33 percent 2,100 attendees to Country Programme cited Cities Alliance’s contribution as training sessions were recorded. being very significant to this learning and knowledge. Training and learning activities taught participants how to

Figure 87. Vietnam – Participants at learning events

Participants at learning events as part of the support city-wide upgrading process in 20 small and medium cities in Vietnam

Workshop “Development of Community based biocultural tourism" 11

Conference on CDF ﬁnancial management 62

Training course an ﬁnancial management software for CDF members 75

National workshop on CDF Experience 110

International workshop on Drafting of the Planning Bill 113

CDF National worshop intergrating with national community workshop 120

City-to-city Exchange 320

96 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Cities Alliance has been a huge support. We’ve learned a lot from Cities Alliance’s knowledge and experience. We can now share management capacity related to our job. Vietnamese Ministry

The more you understand, the more challenges you see and the more help you need Vietnamese Ministry

Vietnam | 97 Efficiency Did the projects have the appropriate structure and management capabilities in place to deliver on their objectives?

Governance mechanisms The Vietnam Urban Forum (VUF) takes Figure 88. Vietnam – VUF Membership base place on annual basis and is designed to The participatory approach was new be led on a rotational basis. It follows 2003 2016 to most Vietnamese stakeholders; Cities Alliance’s principles on participation, the Country Programme created a including on cadence and leadership. 1 space for collaboration Initially, the Ministry of Construction took the lead as the chair of the forum, with the VUF membership base The Country Programme implemented World Bank acting as the co-chair. Lately, three primary governance mechanisms however, the World Bank has pulled out of in Vietnam. These mechanisms enabled a the role. The Country Programme has been participatory and collaborative approach, successful in attracting new participants for example, integrating communities with to the VUF membership base, increasing it ministries, and municipalities with the from 23 members in 2003 to 120 members government. These mechanisms served as in 2016, and to seven different institutions accessible information hubs for participants including bilaterals, multilaterals, NGOs, and a place to openly exchange ideas. universities, associations and cities. International players also participate in the VUF. Despite having strong participation, respondents indicated that participation is not equal.

Figure 89. Vietnam - VUF Participants

National Members Stakeholder International conference of VUF Workshop for Consultative for the preparation kick-o of National Urban Meeting to Conference on for the activity of “Community of Conference: launch the Urban Law and “Community of Practice on “Vietnam Cities work plan of VUF’s Member Practice on Urban Urban Climate Tomorrow - VUF Vietnam Conference Climate Resilience Resilience” Actions Today” Urban Forum

Participants March ‘11 Dec ‘11 July ‘12 October ‘12 February ‘13 1 1

98 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Often the same people dominate The Advisory Group was established UN-Habitat also provided programme the meetings and there is little for the NUDS project to manage the management by helping recipients follow transparency into what happens at the transition from the first Cities Alliance- the agreed timelines. A key success factor meetings. For example, the agenda phase to the second ADB-phase. Each was the allocation of in-country Cities and follow up minutes are often not report (inception, intermediate and Alliance consultants through duration of circulated to the broader group. draft final) created was shared with the the programme (as seen in Figure 71). Advisory Group members for comments Vietnam Cities Alliance Partners before UDA approved the deliverables. (VNCAP) was the steering committee established specifically for Country Programme management Programme partners as a platform for information sharing and project alignment. support and grant-making Cities Alliance provided the Participants met on a quarterly basis and processes programme management - it the core members determined the chair was quite good. They not only agency on a rotational basis. The main With strong Cities Alliance presence participants were the Country Programme in the country, Vietnamese provided programme management partners, but the forum was later joined stakeholders had consistent the first year but they also follow by other parties, including the ADB and programme management support up and implement AMCC. The seven CDS cities that were part of the learning and collaboration The survey results demonstrated that Cities People’s Committee Vice Chairman, network were also invited to the VNCAP Alliance provided appropriate programme Vietnamese Municipality meetings. 27 percent of survey respondents management support. For the CDS project stated that their input within the steering Cities Alliance and UN-Habitat helped to committee was only valued to a small plan workshops, form discussion groups, extent. This may have been due to unequal and facilitated and moderated workshops, representation and/or because VNCAP did following up on timelines and helping to not hold a decision-making function. write project reports.

Figure 90. Vietnam - Programme management

Perception that Cities Alliance provided programme management

42%

33%

17%

0% No contribution Limited contribution Moderate contribution Signiﬁcant contribution Very signiﬁcant contribution

Vietnam | 99 Funding and proposal processes submission to first disbursement of funds. agreements to secure the grant funding. were mostly seen as transparent The submission to approval and approval Work efforts were therefore sometimes to grant agreement phases were noted duplicated due to the organisational Although funding and proposal processes to take the longest time. Participatory transition: “Moving… had become more were viewed as transparent, interviewees processes can take longer than anticipated complicated” (Vietnamese Ministry and stated that the processes were repetitive, and should therefore be forecasted International NGO). Project V4 in Figure 93 slow and frustrating. and built into proposal contingency shows evidence of this. periods to allocate sufficient time. Project starts were delayed due to lengthy approval processes. “Bureaucracy in Significant delays were felt in the government slows down the processes organisation’s transition from the World and sometimes the plan just doesn’t Bank to UNOPS. With Cities Alliance’s move work” (International NGO). As shown out of the Bank in 2013, the grant process in Figure 91, grant processes took an took longer as many recipients had to draft average of 247 days from the proposal a new proposal and undergo a new legal

Figure 91. Vietnam - Grant making processes Days to process grant

117 122

Submission Approval to Grant start to to approval grant agreement 1st disbursement

Total from submission to 1st Disbursement 247 days

Figure 92. Vietnam - Funding and proposal processes

Perception that funding and proposal processes were transparent 46% 38% 38% 38%

15% 15% 8% 0% 0% 10% Very small Small extent Moderate extent Large extent Very large extent extent

Funding processes Proposal processes

100 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Figure 93. Vietnam - Project Grant Processes

Projects total days from proposal submission to 1st disbursement

572

376 284

123 61 51

V4 V6 V5 V3 V2 V1 City-Wide Upgrading National Urban City Development Consolidating Strengthening Vietnam Process (CDF) in Development Strategy in 7 Cities the Community the Vietnam Urbanisation 20 Small and Strategy Foundation Development Urban Forum & Review Medium Cities Phase Fund Network Operationalising the National Urban Upgrading Programme

Vietnam | 101 Sustainability Will the results and outcomes of the projects continue after funding or support ends?

Continuation of projects will be comprised of a broad-based needs in selected cities in the Mekong Delta assessment, and outputs will include a Region by improving urban management and outcomes National Urban Resilience Strategy and capacity and planning in those same cities; The national level initiatives programme. The goal is to improve national and strengthening knowledge and urban have seen the greatest level urban planning capacity, and to enhance management capacity at the national capacity at national and city levels for level95. of sustainability implementing climate change resilience. The National Urban Upgrading Policy There is also evidence that the forums— has been approved for five years, and Investment was also secured based on the both VUF and VNCAP—will continue. is being consolidated with the National Detailed Implementation Strategy output However, the extent to which these forums Urban Development Strategy into the for the NUUP. The World Bank contributed were effective remains questionable as government’s strategy for 2020. Cities US$292 million in a Mekong Delta Region it was found that the forum suffers from Alliance’s investment to develop the NUDS Urban Upgrading Project (MDR-UUP93), a lack of clear direction and ownership. leveraged an additional US$2 million for infrastructure projects in low income To improve effectiveness and sustain from Asian Development Bank (ADB) and areas. The programme has invested in progress and strategic planning, the USAID. What began as a Cities Alliance activities that support upgrading primary, forums require continuous funding and process, has grown into a broader policy secondary and tertiary infrastructure in the identification of dedicated resources. dialogue that is expected to culminate in a low-income urban areas of Vietnam, as well Cities Alliance has helped to secure Prime Ministerial decree in support of the as the development of resettlement areas this necessary support with the World for affected persons . The project builds Bank, GGI and Belgian Cooperation, urban development policy by 201892. The 94 second phase of the NUDS development on the NUUP and will focus on improving procuring a consultant for 18 months. the living conditions of the urban poor

Case Study: Policy dialogue on housing rights

On 13 May 2014, the policy dialogue, “Right from different organisations, institutes and Figure 94. Vietnam – Housing policy to Adequate Housing: Roles of Communities associations, as well as representatives dialogue in Housing Process,” was organised by from local communities attended the UN-Habitat, Associations of Cities of sessions. The policy dialogue focused on Vietnam (ACVN) and Asian Coalition for how to enable communities, especially Housing Rights (ACHR), in cooperation with the urban poor and vulnerable groups the committees of the National Assembly (including women, young people, migrants of the Socialist Republic of Vietnam and disadvantaged people), in the housing and Cities Alliance. Many participants process. The Constitution 2013 was made from the National Assembly, Central effective and the right to have a house was Steering Committee for the Ministry of made legal. Construction’s Housing and Real Estate Market, national and international experts

102 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam At the municipal and community Replicability more expertise and more human resources” levels, Cities Alliance’s outputs are (Vietnamese Ministry). All respondents Projects showed a potential for being used to drive further outcomes reported that Cities Alliance contributed at high replicability, however funding some level to securing additional funding At the municipal level, the CDS was is required to scale outputs or staffing, with 59 percent and 58 percent formulated in two cities. Throughout citing a significant to very significant the project, Cities Alliance facilitated Interviews and project documentation contribution, respectively. introductions to additional organisations, found that at the national level, the leading to a policy dialogue with ACHR NUDS and NUUP were advocated to Vietnamese stakeholders have also secured which resulted in funding for a public be internationally replicable; while additional funding and partnerships with housing dialogue. at the municipal level, the CDS and the private sector for upgrading urban CDF were mentioned to have high infrastructure. For example, the Quy Nhon In certain cases, projects require replicability potential across the country. port industry supported the building additional capacity and funding The CDF Network established by the of community centres; the local utility Country Programme has had success company co-funded street lamps; and a to continue with knowledge sharing activities Korean organisation supported the painting At the municipal and community levels, across the county. Relationships have of wall murals to attract tourists. partners often lack the funding and been established, partnerships are capabilities required to drive existing taking place, and there is still an open outcomes. With regard to the CDS, there dialogue. The network was recognised are no concrete implementation plans with as an important initiative by the local We don’t want money - we want secured funding or resources for follow-on municipalities, wards and national help! So Cities Alliance’s approach work. Nor are there meetings planned or government, with a commitment to co- was very effective action plans for the future. fund projects going forward. However, without further financial support to Vietnamese Ministry However, the strategy does have the ACVN, it is unlikely that new cities will potential to be recognised as binding by be able to join the existing network. the government if it passes the Economic and Planning Board at the provincial level. Partner credibility and The cities do not know how to Currently, the government sees the CDSs as non-statutory documents. reputation realise the CDS Working with Cities Alliance has improved Vietnamese Ministry stakeholders’ credibility and supported them with attracting additional funding and technical expertise. “We can now get

Figure 95. Vietnam - Additional funding and staffing Perception that Cities Alliance helped secure additional ﬁnding and sta ng

42%

33% 33%

25% 25%

17% 17%

0% 0% No contribution Limited contribution Moderate contribution Signiﬁcant contribution Very signiﬁcant contribution

Additional funding Additional sta ng

Vietnam | 103 Partnerships

Partner capabilities and internal organisational changes, including a lack of sufficient handovers and clear collaboration ownership (for example, within ACVN Through the forum, cities voice Country Programme stakeholders and the Ministry of Construction). and share what they’ve learned perceived that partners’ Projects further suffered from significant and that they will continue leadership turnover which caused delays, capabilities were in place to specifically within the CDS projects. to work on. There is much deliver high quality outputs more knowledge sharing and Cities Alliance played a role in selecting Sharing knowledge was common exchange now practice among partners and implementation partners based on their Grassroots NGO expertise, on-the-ground capabilities members in Vietnam, however, and previous experience. 100 percent cross-project collaboration at the of survey respondents stated that the city level was more limited right member/partner capabilities were in place to deliver the objectives: “Partners 85 percent of survey respondents said that and members had the capacity to deliver they often or always shared knowledge quality output and also advocacy for with in-country stakeholders. Most project outcomes” (Survey Respondent). members and partners reported that The only exception was a grant for a they shared information and transferred training project by AMC and WBI. knowledge through workshops and forums. The VNCAP and The VUF were prime Although the right partner capabilities examples of forums where knowledge was were in place to deliver high-quality shared with participating stakeholders. outputs, some projects suffered from

Figure 96. Vietnam - Knowledge sharing outside project

Perception that partners/members share knowledge with others outside their own project

67%

17% 18% 0% 0%

Never share Rarely Sometimes Often Always share knowledge knowledge

104 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam As part of the new CDF network, Platform for partnerships community members were also exposed to knowledge and experience through There was evidence that the Country Cities Alliance has helped exchange visits in-country and elsewhere, Programme provided a space for open strengthen my capacity. I’ve on participatory processes and savings dialogue where partnerships could be built personal confidence. groups. Cities Alliance, UN-Habitat and fostered, such as through the Vietnam ACVN helped build confidence in and Urban Forum, The VNCAP and CDF We’ve learned a lot but new empower community members. networks. Cities Alliance’s promotion of multi-stakeholder participation contributed challenges come in. The more Overall, projects took an inclusive and to the effectiveness of interventions at you understand, the more participatory community-based approach the national, municipal and community challenges you see and the more which helped to improve collaboration levels. It also helped strengthen cross- help you need and community ownership. However, level collaboration and emphasized the a stakeholder said that knowledge importance of participatory mechanisms in Vietnamese Ministry sharing was not always synonymous sustainable urban development. with effective collaboration, “It’s not all about just sharing information it’s One of the key achievements with the Country Programme was an increased about collaboration” (International NGO). If we were more active, we Particularly at the municipal level, city understanding of the importance of leaders were encouraged to come together networking and partnership collaboration. could have been more efficient. and coordinate their efforts as part of Most partners knew each other before the The engagement takes a long Country Programme, however it added the CDS project. Cities were encouraged time but gives better chance for to review existing plans with peers. For value by bringing structure and a common example, the Economic and Social Plan and objective to the partnership. implementations. The Masterplan. However, despite efforts At the municipal level, partnerships already Vietnamese Ministry to bring the CDS cities together, it was existed between the business sector found that there was limited collaboration and the wards however, Cities Alliance between CDS participants in different cities, and the Country Programme helped resulting in inefficiencies in developing facilitate discussions with the business similar outputs. Some perceived working sector about job creation programmes Actually we knew all the groups as being too busy to participate and local environmental issues. Bringing in the collaboration processes. “They are organisations already. But via the private sector closer to the cities’ so busy and it’s not always so efficient” urban challenges was perceived as this project and through Cities (People’s Committee Vice Chairman, important to solving challenges more Alliance, the partnership is Vietnamese Municipality). systematically and sustainably. becoming closer and stronger. The high level of collaboration and Despite Cities Alliance being recognised as Development Director, knowledge sharing may have come at the an international knowledge carrier, there Vietnamese Ministry cost of efficiency. Efficiency was reduced was limited sharing of learning with African in terms of both timelines and decision- Country Programmes. This may be due to making due to increased participation the countries having different collaboration which required additional coordination. platforms (such as different forums, conferences, meetings, general ecosystems), but could also be partly due to language barriers and logistical complexities (for example, visas and travel costs).

Vietnam | 105 Conclusion

Relevance Effectiveness Efficiency

• Cities Alliance worked closely • Vietnam has made major changes in • Cities Alliance created a participatory with Vietnamese stakeholders to how it sets long-term strategies—for approach in-country, with forums that design a Country Programme that the first time inviting a broad range cut across all levels: addressed the needs of the country. of NGOs and donors to review drafts - Vietnam Urban Forum (grew from For example, the Government had of its plans and strategies. Inclusive 23 – 120 members) begun to develop a “National Urban consultation in policy development has Strategy” and “Urban Development resulted in a shift from government - Vietnam Cities Alliance Partners Plans Towards 2025.” However, ownership of national policies to (VNCAP) these needed technical support and national ownership. - Steering Committee resources to move from the planning to implementation stage. • City Development Strategies CDSs) • However, it was noted that inclusive were created in two cities through participation and community • Cities Alliance played a role in community-based, participatory ownership often took longer than harmonising the urbanisation efforts approaches. The CDS will be integrated government-controlled activities. across projects. For example, the into Vietnam’s Socio-Economic NUDS was synchronised with related Development Plan annually, or in five- • With a strong Cities Alliance World Bank activities, and with the year and 10-year plans, when approved presence in the country, Vietnamese subsequent follow-up for the NUDS at the provincial and city levels. CDSs stakeholders had consistent development, funded by the Asian are already being used for upgrading programme management support. Development Bank and USAID . projects. Partnership with UN-Habitat provided capacity for support, planning • Overall, the Country Programme • Cities Alliance provided support to workshops, forming discussion groups, achieved greater collaboration and build capacity for management and facilitating workshops, and following interdependency across the national, implementation of the Community up on timelines. municipal and community levels; Development Fund in 20 new cities. as well as among development Over the Country Programme, 45 • Funding and proposal processes were partners. Strong connections between community infrastructure projects mostly seen as transparent, however, communities and municipalities were were selected and implemented using project starts were delayed due to acknowledged. a participatory approach, with an lengthy approval processes. The estimated total of 2,411 beneficiary average time from proposal submission • Cities Alliance acted as a catalyst, households. to first disbursement of funds was providing funding, coordination 247 days. Significant delays were and technical assistance. Partners • All survey respondents stated that Cities experienced during the organizational perceived that they had achieved Alliance strengthened the institutional transition from the World Bank to better quality and faster results and community capabilities either UNOPS. through the Cities Alliance than they significantly or very significantly. A would have had alone. total of 2,100 people attended Country Programme training sessions.

106 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Sustainability Partnerships

• National-level initiatives saw the • All survey respondents stated greatest level of sustainability, with that the right member/partner the World Bank, and ADB and USAID capabilities were in place to deliver continuing with second phases of on the objectives. However, projects work on the NUDS and Mekong Delta suffered from internal organisational Region Urban Upgrading Projects changes including a lack of sufficient respectively. Both of these projects handovers and significant leadership build upon the work completed as part turnover. of the NUUP project. • The projects took an inclusive and • At the municipal and community participatory community-based levels, the City Development Strategies approach which helped to improve are seen as non-statutory documents collaboration and community by the government. Although funding ownership. Eighty-five percent of and capabilities are often lacking for survey respondent stakeholders said partners to drive existing outcomes that Cities Alliance often or always forward, they have succeeded in shared knowledge with in-country attracting additional funding and stakeholders. staff. For example, partnerships with the private sector to upgrade urban • The Country Programme provided a infrastructure. space for dialogue where partnerships could be fostered, and was recognised • Projects showed a potential for as a platform for partnership. Within high replicability. However, no the Programme, the CDF network implementation plans have been was created, enabling cross-country established, and replication would be partnership. Ten small and medium entirely dependent on funding. cities agreed to implement city-wide slum upgrading programmes. Cities Alliance also facilitated engagement with the private sector.

• The Vietnam Country Programme was less linked on an international scale than the African Programmes. No exchanges were organised by Cities Alliance with the other Country Programmes.

Vietnam | 107 Cross Country Findings

108 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Cross Country Findings | 109 a voice in the urban agenda. This Of the 27 projects, grant funds were Relevance approach was a new one in the selected found to mostly be adequate. Where The Country Programmes countries. Significant success has been this was not the case, it was due to seen between the communities and partner resourcing constraints in Ghana, were found to be relevant, municipal governments, where mistrust and the scaling up of the Municipal responding to country has been overcome and communities Development Strategy in Uganda. feel empowered to advocate for change priorities and demands with their local governments. Although each Country Programme followed similar programming models, In-country partners’ they were tailored to the context of perception of Cities each country. Cities Alliance worked closely with the national governments in Alliance’s support: technical Ghana, Uganda and Vietnam to design assistance, coordination and programmes that addressed the needs of each country where issues of urbanisation international experience were acknowledged. For example, Ghana Cities Alliance played a catalytic role had a much more advocacy-based in all countries. At an aggregate level, Country Programme, whereas the Uganda survey respondents indicated that the and Vietnam programmes were focused key areas of contribution—aside from more on policy development. Cities funding—were the provision of technical Alliance funds were primarily used across assistance, coordination and international projects to support national policies, experience. An important differentiator local strategies and plans, citizen’s in Ghana was the role that Cities Alliance engagement and capacity development. played in facilitating advocacy programmes and therefore a shift in public mind-set All governments requested the Country and increased focus on urban issues. All Programmes and showed some level partners in the three countries agreed of commitment to the urban agenda. that the same level of outputs over For example, Ghana and Uganda were the same timeline could not have been undergoing decentralisation reforms delivered without Cities Alliance. from 2010 and onwards, meaning that local authorities had increased power to implement policy, but were struggling with All projects were designed the management of rapid urban population to achieve active citizenship, growth. They therefore requested support access to services and from Cities Alliance. policy development Cities Alliance played a notable All projects were aligned to the three role in bringing a bottom-up Cities Alliance objectives as set out in the Country Programme Frameworks. approach to urban development Slum dweller households in the impacted In implementing the Country Programmes, city areas were actively engaged in Cities Alliance played a harmonising role securing their rights and honouring their across existing urbanisation efforts in the responsibilities through improved citizen’s countries. The Country Programmes were engagement and capacity development. The found to bridge the divides between the creation of effective and efficient inclusive vertical levels: communities, municipal urban development policies and strategies and national governments. Cities Alliances’ has helped improve the management of participatory approach helped enable future urban growth, positively affecting grassroots community organisations to the lives of slum dweller households collaborate with national governments, nationwide. Furthermore, slum dweller empowering and providing them with households have improved qualitative and quantitative access to municipal services.

110 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Vietnam and Uganda have Uganda, where it has been sustained, Effectiveness scaled, and is regularly used in other effectively developed Municipal projects (for example in the World Bank Projects achieved objectives Development Strategies and USMID programme). Conversely, in Vietnam, as defined in the Country forums in 16 municipalities although communities felt that there was open communication with municipal Programme Framework City/Municipal Development Strategies officials, community profiling was led A total of 87 percent (122 out of 140) (CDSs/MDSs) have been developed in and run by ACHR, meaning that complete of project activities were completed Vietnam and Uganda to proactively community ownership of their data was across four areas: National Policies, plan and prepare cities to sustainably not facilitated. Community Upgrading Local Strategies and Plans, Citizen’s accommodate future urban development, Funds (CUFs and CDFs) were established Engagement and Community Development. plan strategically, profile communities, and in all three countries. In Vietnam, the build priorities based on the enumeration CDF and municipal strategy were found All countries have developed processes. In Vietnam, the creation of to be closely linked and operationalised. the “City Development Strategy” in Tam inclusive National Urban Policies Ky and Quy Nhon, led by UN-Habitat in All the Country Programmes have All three countries now have a National partnership with municipal authorities, was contributed to fostering public awareness around urban resilience. In Ghana, in Urban Policy96. In all cases, national facilitated as a bottom-up approach, with policy projects incorporated participatory close community and municipal authority particular, there has been increased approaches, grassroots involvement and links. This varied slightly in Uganda, where dialogue as a direct result of the radio government ownership. Urban organisations the “Municipal Development Strategy” programmes, “Fixing the Urban Mess” now have greater access to some was coordinated directly by the Ministry and “Our City”. With CitiFM being the government information, and the involved of Local Government. Furthermore, the third most listened to radio station in the governments have access to community approach in Uganda was found to be GAMA region, radio presenters have seen data. In Uganda, regional and sector- more reactive, and engagement with a shift in the mind-sets of their listeners. specific consultative workshops took place communities was less significant than Public opinion has shifted away from while building the National Urban Policy in Vietnam. In both cases, the strategies slum evictions towards in-situ upgrading, (NUP). As a result, the NUP addresses key are being used by local governments and the public feel they have a voice to issues faced by all levels such as urban and taskforce teams. In Vietnam, the engage in debate around the gravity of poverty, urban service delivery, rural-urban aim is to integrate the strategies into urban challenges. However, in all three migration, economic growth and regional a five- to 10-year plan, however this countries there is still work to be done to prevent evictions of slum areas occurring. balance97. Furthermore, there is room for has not yet been institutionalised. continuous improvement of the policies, for example, to include food security Increased citizen’s engagement Cities Alliance has strengthened and gender issues98. In all instances, the has contributed to a shift capabilities, and has encouraged NUP has been disseminated both locally and internationally. For example, Ghana’s in public mind-sets knowledge exchange at a NUP influenced the preparatory work for Cities Alliance helped create an local and international level the 2016 UN Habitat III conference in environment where the urban poor have Through forums and learning initiatives, Quito, Ecuador. The processes developing opportunities to be heard by some of the Cities Alliance has increased capacities the policies varied to different extents national and local political authorities. In in-country. In Uganda, a highlight was the per country, and the capacities of local addition, it leveraged and supplemented university exchange programmes between partners was found to be a key determining on-going partner initiatives to increase Makerere University and selected municipal success factor. For example, in Ghana, the citizen’s engagement and scale impact. governments. In Ghana, the Institute of UDU suffers from technical and resource At the community level, projects (with Local Government Studies initiated courses constraints, and lacks a mandate from the implementing partners) initiated additional and curricula to increase local partners’ government to implement the policy as it savings groups in slum areas, and awareness of urban challenges. Leaders at has not obtained a directory status yet. established networks both within, and all levels were able to become spokespeople across, municipalities. Participation and for urban development, for example, empowerment increased, with citizens with President Manama championing able to engage in other areas of urban the African continental urban agenda. In development, such as municipal and Vietnam, a total of 2,100 attendees to national forums. With support from Cities Country Programme training sessions was Alliance and SDI, communities were able to recorded, and when surveyed, all indicated profile themselves and report on their own that the institutional and community data. Effective community contracting was capacities had been strengthened also encouraged as part of the programmes, significantly to very significantly. and saw the highest level of success in

Cross Country Findings | 111 more than US$500 million in planned Efficiency Sustainability infrastructure investment from the World The Country Programmes were participative The legacy and ability of projects to Bank100. Furthermore, building on the and created space for dialogue, however, they continue may suffer from a lack of funding technical groundwork laid by the Country were dependent on partner resources and capabilities Programmes, there have been some direct follow-up investments by Country Cities Alliance encouraged inclusive Without a plan for securing funding, Programme partners in the countries. participation and dialogue creating a space building additional capacities or identifying for dialogue. This participatory approach appropriate partners to work with, the Cities Alliance Country has been readily adopted and disseminated momentum generated by Cities Alliance within the countries—except in Ghana where (at the municipal and community levels) is Programmes and projects the steering committee was found to be likely to fade. are replicable ineffective. Each Country Programme created three governance mechanisms: National level. Outputs are in the process Many elements of the Country Programme of being institutionalised. Further funding is approach are replicable, for example, • National Urban Forums. not required (for example, the continuation the National Urban Policies, Municipal of forums). However, ministries need Development Strategies, Forums and Funds, • Country Programme Steering Committees. additional capacity development support training materials, and community profiling • Advisory Groups. (such as the MOC and the UDU). In and saving processes. 87 percent of survey Vietnam, further raising of awareness is respondents stated that their projects have Programme management needed at the provincial level (as it was the potential to be replicated or transferred support was most efficient where not included in the scope of the Country to other areas. In some cases, this has Programme). already been done. For example, the Cities Alliance had in-country Municipal Development Forums in Uganda consultants and focal points Municipal level. At the municipal level were scaled up from five cities to 14, and funding and capabilities are often lacking used directly as part of the World Bank Cities Alliance played a strong in-country for partners to drive outcomes forward. USMID project, to allow for community coordination role in Vietnam to support While the municipal development strategy participation in investment decisions. In programme management; something the has been institutionalised in Ghana, addition, Ghana has initiated a Municipal Ghana and Uganda Country Programmes funding is needed for the strategy to be Urban Forum similar to the MDF in Uganda. did not receive until 2013. In Ghana and implemented. In Vietnam and Uganda, the Uganda, Cities Alliance was perceived municipal/city development strategies are Cities Alliance has to be an expert and facilitator, rather going through statutory reviews (as of the than coordination, organisation. In end of 2016). increased partner reputation Vietnam, however, the presence of a Cities and credibility Alliance resource in-country led to more Community level. Strong systems and streamlined programme management mechanisms have been implemented, but Working with Cities Alliance provided and facilitated improved collaboration. local partner organisations need funding partner organisations and recipients with to scale and continue. The Community strong credentials they can use to take Transparent, but long funding and Upgrading Funds in each country need the work forward. At the international level, partners leveraged experience proposal processes additional funding from international organisations and/or the private sector to from the Country Programmes to initiate Funding and proposal processes were mostly continue in the long-term. For example, projects in other countries. For example, seen as transparent, however, the shift from interviewees in Ghana had no plans to ACC used Cities Alliance’s work as a The World Bank to UNOPS may have slowed refresh profiling data, which means that the credential to initiate its “State of Cities proposal processes due to having to learn data will soon be outdated and insufficient. Report” project in Malawi. At the municipal new systems and the need to redevelop In Vietnam, there is no available funding level, the profiling data and reputation grant legal arrangements. In the initial for new cities to join and thereby scale the built within People’s Dialogue in Ghana, phases of the Country Programmes, when network and impact. has enabled People’s Dialogue to secure the collaborative approaches were not yet funding and partnership for a new UNICEF mature, it was found that a greater sharing of Overall, capabilities developed in-country WASH programme. Similarly, in Uganda, information may have allowed communities have not yet been fully institutionalised. Makerere University is working with local to hold municipal authorities accountable. This has been noted in Ghana, where high governments to start new projects, for For example, in Uganda the communities staff turnover in the UDU has contributed example, with UN-Habitat. could perhaps have taken greater levels of to institutional weakening. ownership if more information around the MDF objectives and budgets had been shared In Ghana, Uganda and Vietnam, Cities in the initial phases99. Alliance-funded initiatives have directly informed and provided support to

112 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Partnerships delays in timelines or limited local partner Collaboration and capacity to coordinate initiatives. Within knowledge sharing Partner relationships organisations themselves, Cities Alliance also helped strengthen implementing Through participatory initiatives and were strengthened partner capacities. forums, there was evidence of knowledge Although in-country partners had sharing. On an international scale, learning already worked together or knew of Cities Alliance is largely viewed exchange occurred across countries. Figure each other, Cities Alliance strengthened as a platform for partnership 97 shows how stakeholders interacted and these relationships by introducing a new collaborated internationally, attending collaborative approach. This was evidenced Cities Alliance helped strengthen conferences, organising exchange visits, in the 673 forum meetings that were partnerships in-country, with the largest going on field trips and so on. Moreover, held across the three countries. Cities successes seen at the vertical level between the exchanges were not only with countries Alliance attempted to link in-country grassroots communities and governments. that are part of the Cities Alliance Country projects and partners together, for In Vietnam, there was notably less Programmes, but also to a broader extent. example, the NUUP and NUDS projects horizontal-collaboration between partner in Vietnam. The separate projects that organisations than in Ghana or Uganda, for As the above picture shows, formed the Country Programme were also example, between cities and universities. At Vietnam remained siloed without designed in a sequential manner to help the city level, different municipal agencies any international exchanges. catalyse outputs. This was successful to were also found to be siloed, however, these Overall, it is evident that Cities varying degrees, with the highest level of silos broke down over the course of the Alliance has a global footprint and interdependency between projects found programmes due to the cross-silo thinking leverages its international knowledge in Uganda, and areas of improvement also and alignment nature of urban challenges. during the Country Programme to noted in Ghana. This interdependency support programme stakeholders. may have been attributable to programme design, Cities Alliance staff turnover, and

Figure 97. International exchanges

Germany Italy

Vietnam

Columbia Philippines Liberia Ghana

Ecuador Uganda Kenya Brazil

South Africa

Cross Country Findings | 113 Conclusion

114 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam The Cities Alliance Country Programmes found where a local partner was selected responded to country priorities and to play a coordination role, and did not demands; achieved their objectives always have the capacity to deliver, for We realised we had to talk to to improve active citizenship, access example, in the Ghana Country Programme. the urban poor and include them to services and develop national and Funding and proposal processes were in the planning. The urban poor local policy; enabled participatory mostly seen as transparent, however the ways of working through mechanisms shift from The World Bank to UNOPS had been neglected. We are now and forums; provided programme in 2013 may have hindered proposal celebrating the urban poor management support; and in some processes. In general, the proposal Director of Policy, Planning, M & E, cases, linked countries and projects with processes were lengthy, with the average Ghanaian Ministry international funding to continue. time from proposal submission to the first disbursement of funds taking 249 days. In all three programmes, Cities Alliance worked closely with local governments With regards to sustainability, it was We still need Cities Alliance and partners to design the work. found that the continuation of results The evaluation found that the key and outcomes may suffer from a lack of because they opened our eyes and contributions from Cities Alliance (other funding and capabilities in-country. In the ears of the government than funding) centred on the provision many cases, stakeholders had not secured Grassroots Federation of technical assistance, coordination partners or additional funding to continue. support and international experience. Projects were found to be most sustainable Partner organisations agreed that the where follow-on funding and synergies same level of outputs, over the same with other large international programmes timeline, could not have been achieved had already been secured in the duration without the support of Cities Alliance. of the Programme. The replicability of the mechanisms and projects in the 87 percent of all project activities were Country Programme is high. However, completed and achieved the objectives stakeholders indicated that replication in defined in the Country Programme all cases is reliant on in-country funding Framework. All three countries are now in and capacities. Collaboration with Cities possession of an inclusive National Urban Alliance has provided partner organisations Policy. Uganda and Vietnam have developed and recipients with an existing platform effective Municipal Development Strategies and strong credential that they can that are undergoing institutionalisation. use to secure further work, thereby Municipal Resilience Plans for the creating a multiplier effect external to metropolitan areas in GAMA are being the Country Programmes themselves. finalised; citizen’s engagement has increased through savings groups, urban In all countries, 100 percent of forums and slum profiling exercises; and the stakeholders acknowledged that Cities urban poor now have opportunities to be Alliance helped establish a platform heard at the political level. Local capacity for partnership. Cities Alliance also has also been enhanced through partnering, helped strengthen existing in-country knowledge sharing and exchange; relationships by enabling collaborative with a total of 102 different learning and participatory ways of working. Cities initiatives having occurred at all levels. Alliance played a significant role in connecting communities and grassroots All Country Programmes were found organisations to municipal and national to have appropriate structure and governments, encouraging community management capabilities in place to contribution and empowerment, as well deliver objectives. Cities Alliance helped as developing trust. Cities Alliance further enable a participatory approach in each facilitated partnerships and exchanges country by initiating several governance on an international scale (although mechanisms and forums that spanned Vietnam has remained siloed from this community, municipal and national levels. interaction). In Ghana, Uganda and Programme management support and Vietnam, Cities Alliance is acknowledged coordination was also provided, and found as a global leader in urban development, to be most efficient where Cities Alliance poverty reduction and the promotion hired a local consultant for the duration of sustainable development in cities. of the programme. Inefficiencies were

Conclusion | 115 Recommendations

As the Bill and Melinda Gates Foundation funding closes, Cities Alliance should to take concrete steps to sustain the groundwork, momentum, knowledge, and leading practices established during the Country Programme in Ghana, Uganda and Vietnam.

116 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Recommendations | 117 There is more to be done to capitalise and the path ahead for funding is unclear. build upon Cities Alliance’s catalytic role in Cities Alliance should take a leading role the countries. in encouraging donors and in-country stakeholders to prioritise and co-fund Cities Alliance has an opportunity to additional phases to address further urban advance its Country Programmes after challenges that arise. Cities Alliance should completion of the first phases at the end of also provide guidance for its local partners 2016. There is evidence that once a country and members on how to secure additional has benefited from a Cities Alliance Country funding and how to further develop Programme, the local and international knowledge by leveraging the momentum community tends to value its urban agenda, generated during the Country Programmes. advocate for it, and invest in it. However,

Table 12. Context and recommendations

Context/challenges raised by final evaluation Recommendations/actions

Relevance

Cities Alliance performs a needs analysis, portfolio mapping, • Strengthen the detailed country review ahead of Country and diagnostic assessment before developing a Country Programme design and implementation. Programme. However, Cities Alliance could approach the • Continue to build on successful projects and relationships country review more systematically to ensure a consistent already in place in the selected countries. methodology and regular updates. Further structure

review could also be added to ensure the inclusion of all relevant • Ensure all relevant institutional levels are included levels. For example, in Vietnam, the provincial level was in the design of a Country Programme (for example, originally out of scope, which may have hindered the the provincial level).

Perform country detailed institutionalisation of municipal strategies.

Creating and delivering well-sequenced, interlinked • Conduct detailed programme design ahead of implementation. projects within the Country Programmes was proven to • Ensure detailed sequencing of projects before implementing. be challenging due to an ever-changing environment with new stakeholders and country issues. In Uganda, strong • Strengthen interdependency of projects. programme design and sequencing led to benefits in project • Enforce quality assurance measures and risk mitigation effectiveness and efficiency. For example, communication strategies throughout the programmes. and collaboration at the community level was found to have improved, which can be attributed to specific community • Plan for strong programme management, including engagement initiatives such as the MDF and MDS. These communication strategies. projects were initiated once the municipal capacity development projects had taken place. Alternatively, in programme design Ghana, the programme suffered from a lack of sequencing and preparation. As an example, there were delays in the Country Programmes as radio programmes had to come first Sequence connect and projects the in to build awareness of urban challenges before the other projects were implemented.

Cities Alliance tried to maintain its flexibility to address • Address new challenges that may arise on an ongoing basis. arising urban challenges by working closely with partners • Work with partners to brainstorm new approaches to urban to adapt projects continually. However, in future, increased challenges; and incorporate these into the Country Programme earmarking of funds may hinder organisations’ agility to on an ad-hoc basis. tackle new issues. Environmental and gender-based issues that came to the forefront through the Country Programmes • Allocate budget lines to new challenges, for example, to could have been incorporated more coherently into project improve capacity development and secretariat support and programme designs and outcomes to increase the functions. Adapt the approach to address challenges new reliance of the programmes.

118 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Context/challenges raised by final evaluation Recommendations/actions

Effectiveness One challenge raised in the evaluation occurred when • Conduct fit-to-partner assessments as part of the Country organisational cultural differences between partner Programme design. organisations and recipients existed. For example, in Ghana, • Ensure best fit in organisational cultures between partner two organisations were required to complete common organisation and recipients. projects, but due to different managerial and collaborative ways of working, both the process and completion of the • Develop coordination and performance management

partners deliverables was challenging at times. capabilities in local partner organisations where needed. Ensure, or develop, partner “convening power” in the sector. Programme successes were captured where Cities Alliance

Select Best-For-Purpose had identified and mitigated organisational mismatches in the early phases of the work.

Cities Alliance has played a strong role in building capacity • Continue focus on local capacity development across the across the Country Programme at the national, municipal national, municipal and community levels in urban planning and and community levels by holding learning and training management. events across the three countries. To institutionalise the • Continue to institutionalise knowledge through train-the- learnings, Cities Alliance should consider setting funding

capacity trainer sessions and toolkits. aside for capacity development initiatives which focus specifically on implementation, output and learning • Continue to develop capacities and knowledge around strategy Develop in-country dissemination. implementation, dissemination of outputs, and lessons learned.

Efficiency Vietnam and Uganda saw the greatest level of programme • Ensure Cities Alliance presence on the ground by locating a management support and coordination as there was a Cities Alliance programme office and local resources in-country dedicated Cities Alliance presence on the ground for for the duration of the Country Programme. The resource the duration of the programmes. It was also noted that should: programme management support in Ghana suffered when - Be familiar with the local context, and have convening power supported by a local partner with limited capacity, and with local stakeholders. improved when Cities Alliance was in-country. Cities - Facilitate interdependencies and communication between Alliance may benefit from having a local office on the projects. ground, with additional staff members to oversee the Country Programme. Cities Alliance could play both the - Facilitate knowledge sharing activities between partners and coordinator and implementer roles related to programme Cities Alliance. management, thereby having greater ownership and control - Provide technical assistance and support with proposal of the progress. development and grant making activities to ensure streamlined timelines. • Cities Alliance may want to consider implementing projects

Ensure Cities Alliance presenceEnsure Cities Alliance on the ground directly on behalf of the partnership where the Secretariat has greater capabilities and/or more control, and steering is needed.

With the shift from the World Bank to UNOPS, new • Identify additional mechanisms to improve the grant making processes came into place, which caused delays in the grant process so that delays do not hinder the programme flow making processes. The average time to disbursement of and sequencing of projects, and to reduce the days spent on funds across the Country Programmes was 249 days, which managing grants. could be reduced by support from in-country proposal • Ensure on-the-ground proposal development support for development resources and by improving process efficiency. partners to reduce the lead time from proposal submission to approval. • Ensure continuous, clear lines of communication with the Improve grant mechanisms Secretariat.

Recommendations | 119 Context/challenges raised by final evaluation Recommendations/actions

Sustainability It was found in all countries that the legacy and ability of • Implement long-term programmes and seek additional funding for projects to continue may suffer from a lack of funding and partners. capabilities. At the outset, securing additional funding for • Initiate a donors’ roundtable and/or collaborate with partners to partners was not an objective of the Country Programmes. identify projects with significant potential for impact and scalability. However, it may be beneficial in future planning for Cities • Provide additional support for domestic partners to gain capital. Alliance to devote time to helping local partners secure additional funding streams. • Support local partners to secure or match partners and/or funding to continue with projects and outcomes. Focus this search on local partners who are more likely to sustain involvement in the country,

Implement long term long Implement including the private sector. programmatic approach programmatic • Provide funding support for periods between preparation and planning activities and their implementation.

Cities Alliance’s Corporate Scorecard was developed in 2013 • Continue to streamline monitoring and evaluation processes across after the design of the Country Programmes. The scorecard the portfolio. was implemented to streamline results management and • Use the evaluation framework as a baseline for future comparative reporting across the country programmes. Prior to 2013, evaluations and to support rationalisation and the streamlining of monitoring and evaluation processes were not integrated indicators. into the original project plans. • Collaborate with partners to monitor outcomes on an ongoing basis. • Streamline and coordinate with implementing organisations to processes capture additional metrics per the donor’s log frame. • It may be viable to track additional metrics, such as follow-on funding (the “multiplier effect”) that partner may organisations have

Streamline monitor & evaluation & evaluation monitor Streamline received as a result of the Country Programme. However, this may increase transaction costs.

Partnerships In all countries, Cities Alliance primarily engaged with the • Engage with partners and the private sector outside of the Country partners that participated in the Country Programme without Programme and outside Cities Alliance’s membership base. looking for additional partners. As new stakeholders in the urban • Implement an annual review of urban initiatives within the country to space arise and new funding streams occur, an annual review regularly look for synergies and leverage additional investments and and inclusion of additional partners and donors could potentially potential partnerships. yield further synergies, including additional funding and greater • Continue to engage in strategic initiatives with a wider impact, such impact. Up until 2015, Cities Alliance did not have a Partnership

Alliance that national urban policies inform the strategies and plans in the Strategy. Applying their strategy, Cities Alliance can emphasise country at the national, municipal and community levels. the importance of being agile and play “a horizon scanning and connecting role to take advantage of the current window of

Engage partners outside Cities opportunity, access available funds relevant to its mission and promote the role of cities in sustainable development”101. There is evidence that those projects within the Country • Engage the private sector in the design and implementation of the Programme that engaged the local private sector had increased Country Programme. sustainability. For example, community contracting in Uganda has • Develop local partner capacities to encourage partnerships with the led to cost reductions and improved community accountability. private sector.

Engage the Additionally, partnerships with the private sector in Vietnam has private sector led to additional funding for upgrading urban infrastructure.

It was found that local capacities were developed through • Increase knowledge sharing across partner organisations. partnering, knowledge sharing and exchange. However, efficient • Continue to encourage knowledge sharing on an international basis via and formal knowledge sharing processes were not fully in Task Managers, conferences, city exchanges and forums. place, which may have led to stakeholders developing tools • Build a knowledge management system to more easily share and frameworks without tapping in to pre-existing knowledge. sharing frameworks and toolkits. Additionally, Vietnam was not connected to other international Cities Alliance Country Programmes and therefore, did not benefit • Include tools from other Cities Alliance programmes and business lines Increase knowledge from global learning exchanges. into the Country Programmes.

120 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Appendices

Appendices | 121 Appendix 1 - List of abbreviations

ACHR: Asian Coalition for Housing Rights MDF: Municipal Development Forum RIAP: Revenue Improvement Action Plan

ACVN: Association of Cities in Vietnam MDP: Municipal Development Partnership SDI: Shack/Slum Dwellers International

AMCC: Association of Managers for MDRUP: Mekong Delta Region Urban SGCP: State of Ghanaian Cities Project Construction and Cities Upgrading Project STDM: Social Tenure Domain Model Cities Alliance: Cities Alliance MDS: Municipal Development Strategy STMA: Sekondi-Takoradi Metropolitan Area CDF: Community Development Forum MLG: Ministry of Local Government SUPO: Settlement-level Urban Poor CDS: City Development Strategy MLHUD: Ministry of Land, Housing and Organisation Urban Development CP: Country Programme TOR: Terms of Reference MMA: Metropolitan/Municipal Assembly CUF: Community Upgrading Fund TSUPU: Transforming Settlements of the MOC: Ministry of Construction Urban Poor in Uganda DFID: Department for International Development MLGRD: Ministry of Local Government and UAAU: Urban Authorities Association of Rural Development Uganda ESMAP: Energy Sector Management Assistance Programme MOU: Memorandum of Understanding UDA: Urban Development Agency

FCA: Future Cities Africa MTS: Medium Term Strategy UGX: Uganda Shilling

GAMA: Greater Accra Metropolitan Area NIMCOSS: Nimba Community Support UN-Habitat: United Nations Human Services Settlement Programme GCDDF: Government’s Community Driven Development Fund NSDFU: National Slum Dwellers Federation UN-Habitat: United Nations Human of Uganda Settlements Programme GIZ: Deutsche Gesellschaft für Internationale Zusammenarbeit NTNU: Norges Teknisk Naturvitenskapelige UNUF: Uganda National Urban Forum Universitet GLTN: Global Land Tool Network URCI: Uganda Resilient Cities Initiative (Norwegian University of Science and GoG: Government of Ghana Technology) USMID: Uganda Support to Municipal Infrastructure Development GWCL: Ghana Water Company Limited NUDS: National Urban Development Strategy VIAP: Vietnam Institute of Architects and HFHI: Habitat for Humanity International Planners NUF: National Urban Forum ICMA: International City/County VUF: Vietnam Urban Forum Management Association NUP: National Urban Policy VUUP: Vietnam Urban Upgrading IEC: Information, Education and NUPWG: National Urban Policy Working Programme Communication Group WB: World Bank ILGS: Institute of Local Government Studies PDHS: People’s Dialogue on Human Settlements WUF: World Urban Forum IO: Intermediate Outcome PMC: Project Management Committee LIUC: Low Income Urban Community PPD: Proposal and Project Database LSC: Land, Services and Citizenship PPIAF: Public Private Infrastructure MCs: Municipal Councils Advisory Facility

122 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Appendix 2 - Glossary

Assembly - The Assembly comprises development and local government. and resilient urban development for the Full Members and Associate Members The Cities Alliance Secretariat does not long term. As such a National Urban of the Cities Alliance, and is the typically implement the projects it funds, Policy is often an interactive process. sovereign body of the organisation. drawing instead on the existing capacity The Assembly provides leadership and of Alliance members. In-country work Municipal / City Development Strategy overall direction for the Cities Alliance, is managed through local consultants, - A City Development Strategy is an and deliberates on sustainable urban the regional operational units of Cities action-plan for equitable growth development and related issues. Alliance members, other multilateral and in cities, developed and sustained bilateral partners, and existing global through participation, to improve Board - To discharge its duties more and regional partnership programmes. the quality of life for all citizens. The effectively, streamline decision-making goals of a City Development Strategy procedures and provide oversight and Task Manager – The secretariat designates include a collective city vision and guidance of Secretariat operations, the a Task Manager to oversee each Cities action plan aimed at improving urban Assembly appoints a Management Board. Alliance funded activity, in consultation governance and management, increasing The Management Board is accountable with the implementing agency. The task investment to expand employment and to the Assembly and provides operational manager is responsible for ensuring that all services, and systematic and sustained oversight to the Cities Alliance. appropriate procurement, supervision and reductions in urban poverty. reporting procedures are complied with. Secretariat - The Secretariat, located Municipal Development Forum – These are in Brussels, Belgium, carries out the Vertical levels – This evaluation forums where organised urban poor, local Cities Alliance Work Programme and has defined ‘vertical’ levels as the government, service providers, private manages its day-to-day operations. A national, the municipal and the sector and other stakeholders meet on a primary function of the Secretariat is community levels in country. regular basis to exchange views, debate to actively facilitate the participation priorities and agree on common actions. of members in the activities of the Horizontal levels – This evaluation has They are convened and supported by organisation. It also provides appropriate defined ‘horizontal’ levels as between the the municipal local authorities as the services to its Members, and generally member / partner organisations in country. secretariat, with rotating chairing between facilitates the work of the partnership. the different stakeholders constituting the Slum upgrading - Urban upgrading forum management body. The Forum is a Member organisation – Cities Alliance is broadly defined as physical, social, basic institution that will inform pro-poor is a partnership of bi-lateral and economic, organisational, and approaches to urban development at the multi-lateral development agencies, environmental improvements undertaken municipal level which implies significant governments, non-governmental cooperatively among citizens, community representation from the communities organisations, international associations groups, businesses, and local authorities of the urban poor in all such forums. of local authorities, foundations, private to ensure sustained improvements in sector companies and knowledge the quality of life for residents. Community Upgrading / Development institutions. Members are organisations Fund - CDF is a financing mechanism formally affiliated to the Cities Alliance Informal Settlements - Informal for community infrastructure projects through financial contributions to the settlements are residential areas where that promotes a community-driven Cities Alliance There are two types of 1) inhabitants have no security of tenure approach to pro-poor urban development Membership: Full and Associate. vis-à-vis the land or dwellings they planning and management in partnership inhabit, with modalities ranging from with government agencies and other Partner organisation – Partners are squatting to informal rental housing, 2) the stakeholders. The main characteristics of non-Assembly Members and may include neighbourhoods usually lack, or are cut off CDF are: Voluntary participation of urban cities, national associations of local from, basic services and city infrastructure poor communities in community-managed governments, national governments, and 3) the housing may not comply with saving groups; Coordination between civil society organisations, NGOs, current planning and building regulations, different organisations and different university and research institutes, and is often situated in geographically sources of funding for urban poverty private enterprises, etc. They may and environmentally hazardous areas. reduction by setting up and management receive funds and implement projects. of CDF with community participation at National Urban Policy - A National city level with support of city government; Urban Policy is a coherent set of Projects and grants - Cities Alliance and Community-led processes and decisions derived through a deliberate provides grants for technical assistance projects (initiation, implementation, government-led process of coordinating in urban development for instance in management) across all CDF activities. support of city development strategies, and rallying various actors for a common citywide and nationwide slum upgrading, vision and goal that will promote more and national policies on urban trans-formative, productive, inclusive

Appendices | 123 Appendix 3 - Satisfaction levels

Appendix 3.1 Ghana Satisfaction Levels

Satisfaction levels 50%

37.5%

25% 25% 25% 25% 25%25%25%

12.5% 12.5% 12.5%

0% 0% 0% Not satisﬁed Small extent Moderate extent Large extent Very large extent at all The level of support from Cities Alliance The country programme Your project

Appendix 3.2. Uganda Satisfaction Levels

Satisfaction levels 64% 64% 64%

18% 18% 18% 9% 9% 9% 9% 9% 9% 0% 0% 0% Not satisﬁed Small extent Moderate extent Large extent Very large extent at all The level of support from Cities Alliance The country programme Your project

Appendix 3.3. Vietnam Satisfaction Level

Satisfaction levels 46% 46%

33% 33% 33% 29% 29% 25%25%

0% 0% 0% 0% 0% 0% Not satisﬁed Small extent Moderate extent Large extent Very large extent at all The level of support from Cities Alliance The country programme Your project

124 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Appendix 4 – The initial evaluation framework and indicators

Relevance A: Did the projects respond to external priorities and did they align to Country Programme objectives?

Relevance

Key Questions ID Indicator Source Members/partners who have demand/request for Cities Alliance Country 1 Survey Programmes Qualitative: Members/partners’ perception that the programmes aligned with 2 Survey, Interviews External – Did the existing priorities at national, local and community level project respond to Qualitative: Members/partners’ perception that the programme played a role in external priorities? 3 Survey, Interviews harmonising & coordinating existing efforts/interventions Qualitative: Perception that the members/partners could have independently 4 Survey, Interviews delivered similar outputs without Cities Alliance

5 % of projects objectives indicating a priority to be addressed Project Reports

6 % of projects with defined target outputs Project Reports Internal - Did the projects 7 % of projects with defined target outcome statements Project Reports align to Country Programme CP Framework, % of projects with objectives aligned to objectives in the Country Programme’s Objectives? 8 Project Reports, Framework Interviews Qualitative: Perception that the grant funds were adequate to address the objectives 9 Interviews as defined in the Country Programme Framework

Appendices | 125 Effectiveness B: Did the projects achieve their objectives as defined in the Country Programme Framework?

Effectiveness

Key Questions ID Indicator Source

10 Members/partners who have demand/request for Cities Alliance Country Programmes Project Reports

Qualitative: Members/partners’ perception that the programmes aligned with 11 Project Reports existing priorities at national, local and community level Qualitative: Members/partners’ perception that the programme played a role in Project Report, 12 harmonising & coordinating existing efforts/interventions Survey What outputs did 13 # / types of Cities Alliance learning events/trainings Project Reports the project deliver?

14 # / type of projects approved by the Community Upgrading Funds Project Reports

15 Qualitative: Case Studies highlighting how outputs have been used Interviews

Qualitative: Perception that the members/partners could have independently 16 Project Reports delivered similar outputs without Cities Alliance # of projects that include capacity-building activities at the national, local and 17 Project Reports community levels % of member/partner organisations who believe that Cities Alliance has helped them 18 Interview, Survey secure additional funding/staff for programming % of members/partners indicating that Cities Alliance-funded activities facilitate 19 Survey collaboration with in-country stakeholders

20 % of project leads sharing knowledge with each other Survey, Interview Did the project # of participants from government, local level, communities to Cities Alliance- build capacity? 21 Project Reports supported forums and other mobilisation activities Qualitative: member/partner perceived increase in knowledge & learning due to 22 Survey, Interview Cities Alliance’s contribution Qualitative: member’s/partner’s perception that Cities Alliance has strengthened the 23 institutional and community capabilities (e.g. Staff trained, financial resources used Interview, Survey effectively, services delivered more effectively, increased mission focus)

24 # of municipal and community leaders trained per year Project Reports

24 % of projects with in-country member/partner participation Project Reports

Project Reports, 25 # of partnerships brokered by Cities Alliance Did the Cities Interviews Alliance’s increase Qualitative: Member/partner’s perceived value of Cities Alliance’ contribution in 26 Interview, Survey collaboration with providing programme management members/partners? Qualitative: Degree to which Cities Alliance informed national & local strategies/ Interviews, Project 27 plans (Technical Advisory) Reports % of members/partners who recognise the Cities Alliance role as a platform of 28 Survey, Interviews partnership1 across the Country Programme

126 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Efficiency C: Did the projects have the appropriate structure and management capabilities in place to deliver on their objectives?

Efficiency

Key Questions ID Indicator Source

Do projects have 29 Members/partners who have demand/request for Cities Alliance Country Programmes Project Reports the appropriate Qualitative: Members/partners’ perception that the programmes aligned with structure in place 30 Project Reports existing priorities at national, local and community level to deliver on their Qualitative: Perception that the members/partners could have independently objectives? 31 Project Reports delivered similar outputs without Cities Alliance

32 % members/partners perceiving funding and proposal processes to be transparent Survey, Interviews

33 % members/partners perceiving their input is valued for decision making at project level Survey, Interviews Do projects have % of members/partners perception that the steering committee (programme level) is the appropriate 34 Survey, Interviews management a participatory process and their input is valued for decision making capabilities to work collaboratively and 35 Qualitative: Collaboration levels between project leads and members/partners Survey, Interviews deliver outcomes? 36 Qualitative: Member/partner Capabilities in place to deliver on objectives Survey, Interviews

Qualitative: % Member’s/partner’s satisfaction with the level of support 37 Survey from Cities Alliance

We will validate/collect metrics for: • % of funds disbursement against total budget • Types / size of projects per country

Sustainability C: Will the results and outcomes of the projects continue after funding or support end?

Sustainability

Key Questions ID Indicator Source

38 % of projects with plans to continue in absence of Cities Alliance funding Survey, Interviews

39 # projects with follow on investments after Cities Alliance funding ends Survey

40 % of projects with members/partners identified to continue work Survey, Interviews Will the results and outcomes of the Project Reports, 41 # Number / Type of contributors to the Community Upgrading Funds projects continue Survey after funding or % of external contributions to the Community Upgrading Funds (CUF) and total 42 Interviews support end? value (USD)

43 Qualitative: projects with potential to be replicated/transferred to other areas Interviews

Qualitative: Case studies on institutionalisation of the various forums and platforms 44 (i.e. counterparts developed the capacity / are properly prepared for taking over Interviews technically, financially and managerially)

1 “Platform for partnership” - facilitating coherent strategic interventions, backed by innovative, collaborative projects and programmes within and external to its membership to promote poverty reduction, sustainable development and resilience within cities. (Cities Alliance Partnership Strategy, 2016) Appendices | 127 Appendix 5 - Cities Alliance tier two corporate scorecard dashboard

Greater Accra Metropolitan Area Uganda Vietnam Tier 2 Indicators Baseline Current Change % Baseline Current Change % Baseline Current Change %

II. 1.1 Average municipal 8.63 14.01 62% 23.85 63.97 168% 164.62 221.87 35% expenditures per person per year (USD)

II. 1.2 Average number of municipal 1.65 1.99 21% 9.93 10.14 2% 2.15 1.79 -17% employees per 1000 municipal inhabitants (#per 1000)

II. 1.3 Average number of women 0.41 0.42 4% 0.49 0.48 -1% 0.45 0.48 6% among municipal employees (%)

II. 1.4 Proportion of municipal 0.66 0.68 3% 0.55 0.82 50% 0.98 1 2% employees with post-secondary education (%)

II. 1.5 Average percentage of 0.15 0.18 22% 0.47 0.63 35% 0.99 1 1% voter participation in most recent municipal election (%)

II. 1.6 Average percentage of women 0.25 0.25 1% N/A N/A N/A 0.99 1 1% voter participation (Rating scale: 0-2)

II. 1.7 Average ratings on existance 1.08 1.15 7% 0.43 0.5 17% 1.3 1.9 46% of a municipal website for citizen questions and complaints (Rating scale: 0-2)

II. 1.8 Aggregate ratings of 1.23 1.23 0% 2 2 0% 1.5 1.8 20% functioning of local-level structures for consultations. (Rating scale: 0-2)

II. 1.9 Aggregate ratings of 0.85 0.23 -73% 2 2 0% 1.8 1.9 6% participatory planning process in place (budgetary or other). (Rating scale: 0-2)

II. 1.10 Aggregate ratings on 1.08 1.15 7% 1.43 1.43 0% 1.5 1.6 7% levels of civil society activity in municipality (Rating scale: 0-2)

128 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam II. 1.11 Average proportion of 0.48 0.63 31% 0.72 0.92 29% 0.7 0.91 30% households of in slum and/or low- income areas with regular access to potable water(%)

II. 1.12 Average proportion of 0.12 0.12 1% 0.63 0.65 3% 0.29 0.45 56% kilometres of maintained roads/ paths in slum and/or low-income areas (%)

II. 1.13 Average proportion of 0.53 0.54 2% 0.03 0.03 0% 0.74 0.96 30% households in slum and/or low- income areas with sewerage connections (%)

II. 1.14 Average proportion of 0.82 0.87 7% 0.09 0.52 474% 0.94 1 6% households in slum and/or low- income areas with regular electricity connections (%)

II. 1.15 Average proportion of 0.42 0.56 34% 0.3 0.44 48% 0.7 0.91 30% households in slum and/or low- income areas with regular solid waste collection (%)

Note: The figures above are sourced through Cities Alliance Corporate Scorecard.

Appendices | 129 Appendix 6 - Ghana

Appendix 6.1 - ILGS Training Appendix 6.2. Ghana - Toolkits Appendix 6.3. Ghana - Courses developed Objectives of the National Urban ILGS courses developed as part of the The toolkits developed under the Country Policy Country Programme: Programmes are: Objectives of the National Urban Policy (Benzoni, 2013): • International Training of Trainers (ToT) • Community Profiling Manual Programme in Strategic Leadership and • Ghana Federation Savings Scheme • Facilitate balanced re-distribution of Inclusive City Management Manual 2012 urban population. • Citizens Participation in the Spatial • Database containing slum profile • Promote a spatially integrated hierarchy Planning Process information developed for each of the of urban centres. • Mechanisms and Application of Social four municipalities using the CSPRO. • Promote urban economic development. Accountability for Public Sector Service • Community Social Investment Fund - Delivery • Improve environmental quality of urban Operational Manual life. • Post-Africities Summit 2012 • Training of Trainers Manual on Method • Ensure effective planning and • Sensibilisation programme of Effective Engagement with Urban management of urban growth and Stakeholders • Sensitisation of Key Stakeholders on the sprawl, especially of the [primary] cities Urban Policy and Action Plan • Terms of Reference for Organization and and other large urban centres. Operation of National Urban Forum • Post Training event - dilate on the • Ensure efficient urban infrastructure and achievements of the capacity building, • Terms of Reference for the Urban service delivery. lessons learnt, shared learning, Development Advisory Committee • Improve access to adequate and challenges and the way forward. • Improving Urban Service Delivery and affordable low-income housing. • Strategic Panning Strengthening Citizen Engagement • Promote urban safety and security. through Citizen Report Cards: A Training • Urban climate change resilience planning Manual • Strengthen urban governance. • Urban governance and service delivery • Practitioners’ Manual on Human • Promote climate change adaptation and • Social audit Settlement and Spatial Planning mitigation mechanisms. • Community score card • Strategic Leadership and Inclusive Urban • Strengthen applied research in urban and Management: A Training Manual regional development. • Public expenditure tracking survey • Training material for two-day national • Expand sources of funding for urban • Spatial planning process training programme on the content of development and strengthen urban • Strategic spatial planning and the Ghana National Urban Policy and financial management. sustainable cities Action Plan. • Institutionalization of social • Strategic Planning Manual accountability mechanisms

130 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam Appendix 7 - Vietnam Appendix 8 - Reading list

Appendix 7.1 - CDS Training Cities Alliance Materials • Brown. (2013). Uganda’s National Urban Policy: the emerging response to poverty, Sessions • Cities Alliance. (2013). Annual Report food security and gender in Urban Uganda. • Workshop on CDS methodology • Cities Alliance. (2011). Business Plan Cigionline.org • Training on CDS with integration of • Cities Alliance, SKL International. (2015). • Ghana News. (2014). Freeze on Public humanities and ecology values Diagnosis of Gender Equality Integration in Sector Employment. Freeze on Employment Cities Alliance Country Programmes • Seminar on development framework and • Ghana Web. (2016). No Government Jobs CDS methodology • Cities Alliance. (2014). Medium Term in 2017. Government Jobs. Strategy • Training on community based Eco- • Hutcherson. (2016). The benefits and cultural tourism development • Cities Alliance. (2016). Organisation - Cities challenges of urbanization Alliance Organisation • Workshop with focus on green growth, • Interactions. (2016). Social Economic and smart management and planning and • Cities Alliance, The Partnering Initiative. Political Context Uganda Interactions - resilience (2016). Partnership Strategy Country Profile - Uganda • Workshop on green and smart initiatives • Cities Alliance. (2015). Progress • Kurth, A. (2016). Partnerships New Urban for development Implementation Reports: Ghana, Uganda, Agenda Vietnam • Consultation workshops • Organisation Development Unit. (2016). • Cities Alliance. (2011). Country Programme Report on Organisation Development • Study tour to Israel Frameworks, Land, Services and Citizenship (OD) Process Conducted For the Urban • Specific training on sustainable urban for the Urban Poor, Ghana Development Unit (UDU) of the Ministry of Local Government and Rural Development planning • Cities Alliance. (2010). Country Programme (MLGRD) • Mini seminars about the effective Frameworks, Land, Services and Citizenship and supportive tools for tourism for the Urban Poor, Uganda • Lehmann, S. (2010). Green urbanism: formulating a series of holistic principles development • Cities Alliance. (2012). Country Programme • Mukwaya et al. (2012). Rural-Urban • Training programme on Multi-Sector Frameworks, Land, Services and Citizenship Transformation in Uganda Rubafrique in Investment Plan for the Urban Poor, Vietnam Uganda • Cities Alliance. (2015). Corporate Scorecard • Statsghana.gov • Cities Alliance. (2012). Uganda Grant Agreement: Municipality Development • World Bank - Benefit from the gains of Strategies urbanization • Cities Alliance. (2014). Uganda TSUPU • World Bank. (2015). Urban development - completion report inclusive cities • Cities Alliance. (2015). Future Cities • World Bank. (2016). Mekong Delta Region Africa: New Thinking for Long-term Urban Upgrading Project. Projects Transformation FCA-launch • World Bank. (2016). World Bank Uganda • Cities Alliance. (2016). Cities Alliance - Our Overview members • World Bank. (2016). Wold Bank Ghana • UNOPS, Cities Alliance. (2016). Request Overview for Proposals (RFP) for Services for the • World Bank. (2016). World Bank Project Programme Evaluation of Cities Alliance Uganda Country Programmes. RFP • World Bank. (2016). World Bank Vietnam Online Materials Overview • Barakat. (2007). The failed promise of • SECO. (2016). Vietnam Overview. Vietnam multi-donor trust funds. Tandfonline Overview • Benzoni. (2013). Hope and Skepticism as • SDI. (2016). What we do Ghana Finally Adopts an Urban Policy. Next • UCL, Satterthwaite-aid City Ghana • UCGL - aid_effectiveness • UN-DESA. (2017). Sustainable development UN Appendices | 131 References

1 Annual Report, Cities Alliance, 2013 11 Ghana, Progress Report Cities Alliance, 2014 within savings networks to learn from each other. Community-to-community 2 Ghana Country Programme Framework, 12 Corporate Scorecard, 2016 exchanges allow participants to see 2010 themselves and their peers as experts, 13 World Bank, 2015 and equip them with practical knowledge 3 UCLG, 2009 that they can refine to suit their own 14 World Bank, 2015 community dynamics. (http://www. 4 Capacity development is ‘the process citiesalliance.org/node/3651) through which individuals (…) obtain, 15 World Bank, 2016 strengthen and maintain the capabilities 36 Ghana Progress Report, 2016 to set and achieve their own development 16 World Bank, 2016 objectives over time. Simply put, if capacity 17 Organisation Development Unit, 2016 37 Cities Alliance Project Reports, 2016 is the means to plan and achieve, then capacity development describes the ways 18 Terkper, 2014 38 UDU Attendance List, 2015 to those means’ (UNDP). In Cities Alliance context, these capabilities typically refers to 19 Ghana Web, 2016 39 Organisation Development Unit, 2016 city management (in areas such as strategic planning, financial management, and 20 Ghana Progress Report, Cities Alliance, 2016 40 Organisation Development Unit, 2016 human resources management). Capacity 41 Plans have been defined as detailed development at the individual level is also 21 Ghana Progress Report Cities Alliance, 2016 action plans for new projects. an essential element of organisational/ 22 statsghana.gov.gh institutional strengthening – intended as 42 Ghana Progress Report, 2016 increasing the ability of an organisation 23 Ghana, Project Proposal, 2013 to effectively generate, allocate and use 43 Corporate Scorecard, 2016 human, material and financial resources 24 Organisation Development Unit, 2016 to perform its functions. The latter is also 44 Cities Alliance Secretariat, 2016 an area Cities Alliance is strongly engaged 25 The substantive Head of the Unit was with, notably with institutions that have a transferred without adequate notice to 45 Cities Alliance Uganda Completion mandate on urban subjects. partners or ongoing programmes (Project Report, 2014 Stakeholder, 2016). 5 Gender became one of the pillar of Cities 46 Mukwaya et al, 2012 Alliance most recent Medium Term Strategy 26 Organisation Development Unit, 2016 in 2013. 47 Corporate Scorecard, 2016 27 Satterthwaite, 2001 The dependency ratio is a measure 6 Diagnosis of Gender Equality Integration 48 in Cities Alliance Country Programmes, 28 Ghana Progress Report Cities Alliance, showing the number of dependents, aged Cities Alliance: 5 2016 zero to 14 and over the age of 65, to the total population, aged 15 to 64. It is also 7 N.b. To be updated to the Sustainable 29 Cities Alliance, Annual Report 2013 referred to as the “total dependency ratio.” Development Goals (Corporate Scorecard, This indicator gives insight into the amount 2016) 30 Country Programme, Ghana 2010 of people of nonworking age compared to the number of those of working age http:// 8 OECD. Development Assistance 31 Ghana’s National Urban Policy and Plans www.investopedia.com Committee Working Party on Aid (Final Proposal, XXXX). Evaluation. Glossary of Key terms in 49 World Bank, 2016 – Uganda Overview Ghana Country Programme Framework, Evaluation and Results Based Management. 32 2010 Paris. 2002 50 African Development Bank 2013; Interactions, 2016 33 SDI, 2016 9 UN Department of Social and Economic Affairs, 2017) 51 World Bank, 2016 – Uganda Overview 34 Ghana Country Programme, 2010 Kurth, 2016 52 African Development Bank 2013 10 35 Slum Dwellers International’s Learning by Doing approach encourages participants 53 World Bank, 2016 – Uganda Overview

132 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam 54 Cities Alliance, 2016 – Progress Report 69 Cities Alliance Progress Report, 2016 87 Vietnam Country Programme Framework, 2010 55 Cities Alliance, 2014 – Completion Report 70 Cities Alliance, 2014 Completion Report 88 Cities Alliance Progress Implementation 56 Cities Alliance MDF Grant Agreement, 2012 71 Cities Alliance, 2014, Completion Report Report Vietnam, 2016

57 Cities Alliance Progress Implementation 72 Cities Alliance, 2016, 89 ACHR is a group of professionals and Report Uganda, 2016 Partnership Strategy social activists involved with urban poor development activities in various Asian 58 Cities Alliance, 2014 – Completion Report 73 Cities Alliance Progress Report, 2016 countries. The group has encouraged the decentralization of various regional 59 Cities Alliance, 2014 – Completion Report 74 Cities Alliance Progress Report, 2016 activities and has also become the main 60 Brown, 2013 75 Country Programme Framework, 2010 regional network on human settlements and urban issues consulted by many UN 61 Cities Alliance Grant Report, 2016 – 76 World Bank, 2016 – Vietnam overview agencies (Vietnam Country Programme MDF / MDS Framework, 2010). 77 World Bank, 2016 – Vietnam overview 62 SDI’s approach for communities to learn 90 Vietnam Country Programme by doing: “Community-to-community 78 Country Programme Framework, 2010 Framework, 2010 exchanges allow participants to see themselves and their peers as experts, 79 Evaluation Report, World Bank, 91 In general, a savings group has, on thereby breaking isolation to create a CDF Vietnam average, approximately 10 households and unified voice of the urban poor, reclaiming most cities have many savings groups. 80 SECO, 2013 sites of knowledge that have frequently 92 Vietnam Progress Report, 2016 been co-opted by professionals, and 81 Hutcherson, 2016 strengthening solidarity to increase critical 93 MDR-UUP started in 2012 and will close mass” (http://old.sdinet.org/method- 82 A sustainable city, or eco-city (also in December 2017. exchange-and-learning/) “ecocity”) is a city designed with consideration of environmental impact, 94 Corporate Scorecard, Cities Alliance, 2015 63 UN-HABITAT, in collaboration with inhabited by people dedicated to the Global Land Tool Network (GLTN), minimization of required inputs of energy, 95 World Bank Project Vietnam International Federation of Surveyors water and food, and waste output of heat, (FIG), International Institute for Geo- air pollution - CO2, methane, and water 96 Corporate Scorecard, 2016 Information Science and Earth Observation pollution (Lehmann, 2010) Management (ITC) (University of Twente) 97 Cities Alliance, 2014 and the World Bank have developed the 83 An inclusive city is a city in which Brown, 2013 Social Tenure Domain Model (STDM) as a the processes of development include a 98 land information management framework wide variety of citizens and activities. 99 Gulu Municipal Council, 2016 with the capacity to integrate formal, These cities maintain their wealth and informal, and customary land rights— creative power by avoiding marginalization 100 Corporate Scorecard, 2016 reflecting the realities on the ground in (Inclusive Urbanism, 2016). The concept many communities (Cities Alliance, 2016) of inclusive cities involves multiple 101 Cities Alliance Partnership Strategy spatial, social and economic factors such 64 Cities Alliance CP Framework, as affordable services, equal rights and Uganda, 2016 participation, and job creation (World Bank, 2015). 65 Completion Report, 2014 - Uganda 84 Cities Alliance, 2016 – progress report 66 ACTogether, 2016 85 Country Programme Framework, All Grant Progress Reports 67 Vietnam, 2010 68 Completion Report, 2014 - Uganda 86 Vietnam Progress Report 2016

References | 133 134 | Programme Evaluation of Cities Alliance Country Programmes - Ghana, Uganda and Vietnam References | 135 About Accenture Accenture is a leading global professional services company, providing a broad range of services and solutions in strategy, consulting, digital, technology and operations. Combining unmatched experience and specialized skills across more than 40 industries and all business functions – underpinned by the world’s largest delivery network – Accenture works at the intersection of business and technology to help clients improve their performance and create sustainable value for their stakeholders. With more than 394,000 people serving clients in more than 120 countries, Accenture drives innovation to improve the way the world works and lives. Visit us at www.accenture.com.

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