ANNUAL REPORT 2015 ANNUAL REPORT 2015 1 ANNUAL REPORT 2015 ANNUAL REPORT 2015 Table of Contents I. Overview 04 About the Partnership 04 Message from the Cities Alliance Director 07 Highlights of the Year 09 Medium Term Strategy Focus Study: Promoting Gender 10 II. Programme Results 13 National Policies 14 Local Strategies 22 Institutional Strengthening and Capacity Development 27 Community Engagement 33 Global Advocacy and Public Policy 45 III. Management Effectiveness and Efficiency 56 New Partnership for Global, Regional and Country Priorities 56 Technical Assistance 62 Knowledge Products and Policy Dialogues 69 Governance and Secretariat Management 70 IV. Portfolio Overview 72 V. United Nations Office for Project Services (UNOPS) 76 VI. Financials 77 VII. The Cities Alliance Team 79 VIII. Corporate Scorecard for 2015 81 Cities Alliance Results and Performance Management 81 IX. Summary 2015 Corporate Scorecard [Targets End of 2016] 86 X. The Scorecard 87 XI. Annex 1. Indicator Definitions 97 XII. Annex 2. Tier III - Intermediate Outcomes: 2015 Snapshot 116 03 ANNUAL REPORT 2015 ANNUAL REPORT 2015 I. Overview I. Overview About the Partnership About the Partnership Cities Alliance is the global partnership for poverty reduction and promoting the role Our Members of cities in sustainable development. Partnerships are critical to achieving the 2030 Agenda for Sustainable Development. LOCAL AUTHORITIES We bring together organisations with different perspectives and expertise on city Commonwealth Local Government Forum (CLGF), ICLEI - Local Governments for issues around common goals: well run, productive cities that provide opportunities Sustainability, Metropolis, United Cities and Local Governments (UCLG) for all residents. Our members include multi-lateral development organisations, national governments, local government associations, international NGOs, private GOVERNMENTS sector and foundations, and academia. Brazil, Chile, Ethiopia, France, Germany, Norway, Philippines, South Africa, Sweden, Switzerland, United Kingdom The Cities Alliance Secretariat is based in Brussels, and is hosted by the United Nations Office for Project Services (UNOPS). NON-GOVERNMENTAL ORGANISATIONS The AVSI Foundation, Habitat for Humanity International, Slum Dwellers How we work International (SDI), Women In Employment: Globalizing and Organizing (WIEGO) MULTI-LATERAL ORGANISATIONS The Cities Alliance’s overall objectives are to support cities in providing more effective The World Bank, United Nations Environment Programme (UNEP), UN-Habitat local government, with an active citizenship and a growing economy characterised by both public and private investment. We do this through four business lines: PRIVATE SECTOR/FOUNDATIONS Omidyar Network • Country Programmes are longer-term, programmatic approaches that operate at community, local and national levels, typically in the context of rapid urbanisation UNIVERSITIES, RESEARCH CENTRES AND KNOWLEDGE NETWORKS and growing urban and rural poverty. The Institute for Housing and Urban Development Studies (IHS) of Erasmus • The Catalytic Fund is a competitive grant facility to promote innovation and University, Rotterdam catalyse city transformation, often around a theme. ASSOCIATE MEMBERS • Joint Work Programmes are member-led analytic and strategic activities The Ford Foundation, UNICEF, United Nations Capital Development Fund (UNCDF), designed to tackle major policy challenges affecting cities and sustainable United Nations Development Programme (UNDP) development. • Communications and Advocacy activities promote policies and practices that contribute to the vision of sustainable, inclusive cities. 04 05 ANNUAL REPORT 2015 ANNUAL REPORT 2015 I. Overview I. Overview About the Partnership Message from the Cities Alliance Director Strategic initiatives In September 2015, Heads of State attending the United Nations Summit in New York adopted Transforming our world: the 2030 Agenda for Sustainable Development. This comprehensive new Agenda, captured in 17 Sustainable Promoting Equity in Cities is the primary focus of our work programme through 2017, Development Goals (SDGs) and operationalised through which includes: 169 targets, is presented as “…a supremely ambitious and Country Programmes in Burkina Faso, Ethiopia, Ghana, Mozambique, Uganda and transformational vision”. This new Agenda explicitly builds Vietnam with Liberia and Tunisia under development. upon the Millennium Development Goals (MDGs) and seeks to complete what they did not achieve, “particularly in reaching Future Cities Africa, a partnership project in 21 cities in 4 countries that challenges the most vulnerable 1”. In a major advance on the MDGs, the way different cities plan for resilience and respond to challenges and threats. the 2030 Agenda is now a universal set of goals and targets, underscoring indivisible developmental linkages. Joint Work Programmes on Equitable Economic Growth, Gender Equality and Resilient Cities. For the first time, too, the new Agenda explicitly recognised the role of cities – both as areas requiring developmental attention, but also as sub-national players that can make a decisive An active Habitat III Joint Work Programme to keep members informed and contribution to solving global challenges. This means that the local has the opportunity to formulate common advocacy messages for Habitat III in October 2016. become global. Innovative Catalytic Fund projects in over 30 countries on different themes: A careful reading of the goals and targets opens the possibility – indeed, the necessity – for Migration and the Inclusive City, Know Your City, and Youth and the City. cities to play an important part in achieving this common development agenda. While this will Regional work programmes in Africa, Latin America and the Caribbean, and Asia. clearly require a fundamental mindshift in our collective understanding of cities, their needs and their current limitations, the mandate and the agenda is very clear. In the first instance, it is national governments that will need to decide on how much space and support they provide to their cities: cities of all sizes, especially small and medium size cities, where the bulk of the developmental challenge is to be found. Subsequent to New York, the success of the Paris COP21 meeting further reinforced the presence and willingness of city and regional governments to play an active, even a leading role, in responding to the existential threat posed by climate change. It is largely at the city level where fundamental changes in daily life, and patterns of consumption and distribution, will most markedly have to change. Through these events in 2015, global partnerships such as the Cities Alliance, and its members and partners, have both helped to frame, and now need to respond to, a bold, forward-looking and ambitious agenda. For the Cities Alliance, the 2030 Agenda needs to be viewed with a wide angle lens, and cities placed within a national framework. As Director, I believe that our members have made a number of far-reaching choices that have placed the Cities Alliance in a unique position internationally, and have provided the new Management Board with a very strong platform and mandate. In conclusion, through the Chairperson Jean-Pierre Elong Mbassi, I would like to thank all members of the interim Management Board for their valuable support and guidance through this final transition. 1 United Nations General Assembly, A/70/L.1, Clause 16. 06 07 ANNUAL REPORT 2015 ANNUAL REPORT 2015 I. Overview Highlights of the Year National Urban Forums held in Ghana, Burkina Faso and Liberia. The 2015 Forum was Ghana’s fifth; in both Burkina Faso and Liberia, it was the first time such national dialogue has been held. New Country Programmes in Tunisia and Liberia under development that build on member activities and foster cooperation with new partners Catalytic Fund Call for Proposals issued with the theme “Migration and the City”. A new Joint Work Programme for Resilient Cities launched that brings together over 14 international development partners to highlight and address the relationship between resilience and poverty in cities. In all four Future Cities Africa countries, significant progress has been made in working with counterparts in ministries and local governments – leading to an increased understanding of inclusive growth and resilience, and strengthening both ownership and commitment to the project. Participation at COP21, which produced the Paris Climate Change Agreement. It was clear that Cities Alliance has a specific niche that adds value to the Paris Agreement: A focus on strengthening the climate resilience of informal settlements and informal communities. Sustainable Development Goal 11. The Cities Alliance JWP for Habitat III strongly supported the campaign in support of a standalone goal for cities, which has been proposed in the draft SDGs – the first time we have global recognition of the importance of cities, both as objects of the need for assistance and as players in their own right. The partnership grew in 2015 and welcomed nine new members, including our first from the knowledge institution/academia constituency. The Cities Alliance supported 23 events in 2015 to raise the visibility of the partnership and feed into our strategic goals. 08 09 ANNUAL REPORT 2015 ANNUAL REPORT 2015 I. Overview I. Overview Medium Term Strategy Focus Medium Term Strategy Focus Study: Promoting Gender Study: Promoting Gender It is not common for gender to be addressed as a matter of course in Mr. Walker and Ms. Ramalho presented an overview of gender approaches in development, and that is what Cities Alliance is trying to change – starting development, and two different tools for assessing gender in projects: a gender analysis with our own work programme. methodology and the web of institutionalisation. These tools can help challenge common urban planning assumptions, such as household structure and organisation of tasks within the household, and provide a better understanding of which elements Promoting gender equality is one of the three pillars of the Cities Alliance to prioritise in a project. They can also help determine if a project made a real impact on Medium Term Strategy for 2014-2017, in addition to equitable economic growth and gender or maintained the status quo. partnership. It is also a transformational challenge for the Cities Alliance, requiring adjustments to the work programme, the composition and practices of The presenters’ key messages were that: our membership, and the work of the Secretariat itself. • We need to take a nuanced approach to gender and disaggregate, especially when In order to begin thinking about how we can incorporate gender into our work it comes to collecting data. For instance, economic data generally does not include programme, the Cities Alliance Secretariat held a gender workshop in Brussels on much of the work done by women, such as caretaking, running a household, and 9-10 November 2015 for all staff members. The goal was to provide a better volunteer work around the community. As a result, policies often do not take them understanding of gender in development for staff with varying backgrounds and – and their contributions – into account. Taking a deeper look and counting not just levels of experience. how many women and men, but how they spend their time will provide much more accurate data as a basis for policy. The two-day workshop was ably facilitated by Mr. Julian Walker, Co-Director of the Gender Policy and Planning Programme at the Development Planning Unit • Gender projects must take both men and women into consideration. For example, a of University College London. It also featured presentations by Ms. Jordana Ramalho, campaign to help reduce domestic violence is much more effective if it targets both a PhD student in the Geography and Environment Department at London School of men and women and addresses the underlying conflict. Economics and Political Science (LSE) who is researching the gendered dimensions of household adaption to extreme weather and climate-related disasters in • It is critical to do a gender analysis of a project and identify where the key priorities the Philippines. are. A 50-50 approach is not always the best way. There may be women in politics, for example, but that doesn’t mean that women’s rights or interests are being represented. • In many cases there may be deeply held cultural beliefs at play, such as in the case of female genital mutilation. Claims for change must come from men and women themselves, and we can create the conditions and space to allow people to critically reflect on their assumptions. It was the first time Cities Alliance has held such a workshop, and it was very well received by staff who enjoyed the opportunity to learn something new or get a refresher on gender thinking. In addition to the workshop, the Cities Alliance is drawing attention to gender in development through our Joint Work Programme on Gender Equality, which serves as a platform for promoting the role of women in development and ensuring that gender equality is mainstreamed across Cities Alliance activities. We have also established a Gender Task Force within the Secretariat and formulated a Gender Equality Strategy to guide our activities through 2017. 10 11 ANNUAL REPORT 2015 ANNUAL REPORT 2015 I. Overview II. Programme Results Summary 2015 Corporate Scorecard (See p.81 for the Complete Scorecard) INNOVATION (CATALYTIC FUND) • Supporting the Chicoco Maps mapping project in Port TIER I: DEVELOPMENT IMPACT AND MDG GOALS [TARGETS END OF 2016] Harcourt, Nigeria to train over 100 waterfront residents in I • Slums radio production and management, with a particular focus on • Health young people • Participation • 717 young people signed up to the youth employment centre TIER II: CITIES AND PARTNER RESULTS [TARGETS END OF 2016] project in Nouakchott, Mauritania II • Local Governance • Active Citizenship • Access to Services TIER III: RESULTS IN PROGRAMMES [TARGETS END OF 2016] • National Policies III • Local Strategies and Plans COUNTRY PROGRAMMES • Citizen Engagment • Capacity Development TIER IV: ORGANISATIONAL EFFICIENCY AND PERFORMANCE [ANNUAL] • Partnerships • National Urban Forums institutionalised in four countries IV • Technical Assistance (TA) Activities • Knowledge Products and Policy Dialogues • Developed municipal development forums, savings groups and • Cities Alliance Efficiency and Governance engaged communities in 13 districts and 14 municipalities in 5 Country Programmes • Capacity of 14 municipalities in Uganda and 5 national/regional LEGEND institutions strengthened Challenge. Majority of indicators show a decrease from baseline, have failed to achieve / complete the established target or are significantly below the established performance standards. However, most are • Community Upgrading Funds (CUF) up and running in 32 expected to complete by the target-date of end 2016. municipalities/districts in Uganda, Ghana and Vietnam Watch. Majority of indicators show no significant increase or decrease from baseline, have not yet achieved the established targets, or are under the established performance standards although within tolerance. On Track. Majority of indicators show significant increase from baseline, have achieved the established targets or meet/exceed the established performance standards. JOINT/REGIONAL WORK PROGRAMMES Sustainable. Targets/performance standards are consistently achieved and mechanisms/processes underlying change are institutionalised and/or maintained without external assistance. • Contributed to global policies on Sustainable Development Goal 11 and COP 21. Not Applicable. Insufficient data to establish a trend, or no target or performance standard is set. For Tiers I and II, colour-coded traffic lights are not provided since they pertain to the developmental context and are results driven by city partners which are tracked on a three-year basis. 12 13 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results National Policies National Policies A national policy framework that supports urban poverty reduction and promotes Activities in the Foundation Phase of NUDS include: the role of cities in sustainable development is a key step in responding adequately to urbanisation. Such a policy can provide a structure for coordination among ministries • A comprehensive analytical overview of the legal and policy framework for urban – an especially important factor for cities, which require a multi-sectoral approach. It development; can also facilitate cooperation between national and local governments to allocate the • Diagnostics in representative cities across Vietnam’s urban hierarchy; necessary resources for public and private interventions. • An assessment of national strategies successfully adopted in other countries; The Cities Alliance supports its partners to develop and enhance national policy frameworks that address urban development needs and enable local governments to • Advocacy in support of adopting a national approach to urban development; and close the policy and investment gaps for basic services, particularly in slums. • Framing the Terms of Reference for the Follow-Up Phase of the project, which will cover the formulation of the strategy. A National Urban Development Strategy for Vietnam The foundation phase is expected to conclude in October 2016, when the follow-up phase will be launched. This second phase will be delivered by the Asian Development Bank (ADB) through Technical Assistance for “Sustainable and Resilient Urban Development in Viet Nam,” which is being co-funded by ADB, USAID and Nordic Kicking off the first phase of a strategy to promote partnerships and mobilise Development Fund with a committed budget of USD 2.5 million. resources for sustainable, efficient and resilient urban development in Vietnam. In addition, the Urban Development Agency at the Ministry of Construction has created An important component of the Cities Alliance Country Programme in Vietnam an Advisory Group to provide expert guidance in formulating NUDS. This group includes has been the establishment of a National Urban Development Strategy (NUDS) to ADB, AfD, SECO, UN-Habitat, the World Bank, and the Cities Alliance Secretariat. guide the country’s urban development. In September 2015, the process took a major step forward when Cities Alliance signed an agreement of cooperation with the Vietnamese Ministry of Construction for the foundation phase of developing the strategy. Overview: The Cities Alliance Country Programmes NUDS will be the central instrument in Vietnam for managing urban development in partnership with provincial and local governments. Based on in-depth diagnostics, it will provide the provinces with strategic direction, guidelines and toolkits to support One of the partnership’s main business lines, the Cities Alliance Country Programme urban planning, as well as a basis for budgeting and resource allocations for future is a long-term programmatic approach to addressing the specific urban development development. The strategy has significant high-level political support, and is expected needs of a selected country, in the context of rapid urbanisation and the growth of to be legalised through a decree by the Prime Minister. urban poverty. It also promotes the development of inclusive cities. Within the Cities Alliance Country Programme framework, the initial phase of NUDS Country Programmes target national government, local authorities and communities will support institutionalising the City Development Strategy (CDS) by bringing by developing two main components: a framework to enhance cooperation among together spatial, infrastructure, social and economic plans at the city level. It will also all stakeholders, and funding to complement Cities Alliance member and partner help scale up the Community Development Fund approach for improving the access activities by filling action or knowledge gaps. to basic services in cities. In 2015 Cities Alliance had six active Country Programmes, in Uganda, Ghana, Vietnam, Mozambique, Burkina Faso and Ethiopia. Over the course of the year new programmes were approved in Tunisia and Liberia. Each programme is tailored to meet the needs of a specific country and its priorities, and support the government’s strategic vision. In the cases of Uganda, Ghana, Mozambique, and Ethiopia, the Country Programme has laid the foundation for their participation in the Future Cities Africa programme funded by Cities Alliance and DFID. 14 15 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results National Policies National Policies A National Urban Policy in Uganda Learning Exchange Brings New Perspective to Ghana’s Fifth Urban Forum The new policy has a long-term vision of “Resilient Urban Areas Cities Alliance facilitated participation from Liberia and Uganda at the Ghana Urban that are Liveable, Productive, Organised, and Sustainable by 2040”. Forum, bringing a welcome international perspective to the event and setting the stage for future partnerships. The Government of Uganda is in the final stages of formulating an overarching National Urban Policy to respond to the rapid Ghana has an established history of successful National Urban Forums, and the event urbanisation growth and challenges with support through the held on 25 August 2015 – its fifth – was no exception. Cities Alliance supported the Cities Alliance Country Programme in Uganda (Transforming the Forum through a grant to GIZ, a key implementing partner in the Ghana Country Settlements of the Urban Poor in Uganda, or TSUPU). Programme. The national urban policy has been finalised by the Policy The Forum drew more than 215 participants from across the country to discuss Working Group and is expected to be submitted to the Cabinet for the theme “Building Resilient Cities – Deepening Spatial Planning and Land Value consideration and adoption by April 2016. Capture for Development” as Ghana prepares to implement its National Urban Policy. Uganda’s new policy aims to promote development of resilient It concluded with a message that local governments have to strengthen their urban areas that are liveable, productive, organised, and participatory spatial planning approach to assure that all interest groups are sustainable through effective good urban governance. It involved, and that land value capture can be an important source of revenue for emphasises the following: local governments. (Land value capture is a method of funding infrastructure improvements that successfully recovers all or some of the increase in property value generated by public infrastructure investment.) • Improving urban environmental management Uganda’s new urban In 2015, a new element was added: a learning exchange with Liberia and Uganda, two • Improving competitiveness and productivity of the urban economy policy promotes countries with which the Cities Alliance has long-term partnerships. Ghana’s Urban development of Development Unit requested the exchange because it was interested in seeing how • Improving basic urban infrastructure and services other Cities Alliance Country Programmes carry out National Urban Forums and use compact urban forms, • Developing an efficient integrated urban transport a system of cities, and them to support the national urban agenda. system mixed use development The exchange brought a welcome international and regional perspective to the Ghana • Promoting equitable and inclusive social development patterns to enhance National Forum, as the representatives shared experiences about how their respective functionality. countries were trying to include the urban poor in planning and promote the national • Improving access to affordable and decent housing urban agenda. For example, Liberia holds municipal forums, while Ghana does not. • Improving urban administration and management in all urban areas The policy defines urban areas in the Ugandan context and outlines a hierarchy of settlements, ranging from large metropolitan areas to small rural settlements. It is based on smart growth principles that aim to enhance the quality of life, improve competitiveness, optimise land use, preserve the natural environment, and conserve resources in the long run. 16 17 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results National Policies National Policies Liberia Moves Closer to a National Urban Policy The Burkina Faso Urban Country Programme Picks Up Steam Liberia’s first-ever National Urban Forum established a road map for developing a The first National Urban Forum was a major milestone in Burkina Faso’s efforts to National Urban Policy. bring citizens into the urban planning process, and it gave all stakeholders the space to provide input into the formulation and implementation of national urban policies. Since 2012, the Government of Liberia has been working on developing a National Urban Policy to bring people into the planning and decision-making process by In 2014 the Burkina Faso Urban Country Programme suffered a setback as a result of devolving political, administrative and fiscal authority to local governments. a very unstable political situation, civil unrest, and the establishment of an interim government in late 2014. The programme moved forward in 2015, achieving a major These efforts received a major boost on 24-25 June 2015, when the Cities Alliance, milestone with the country’s first-ever National Urban Forum, held in Ouagadougou UN-Habitat, and the Liberian government co-hosted the country’s first-ever National on 26-28 October 2015 with support from Cities Alliance and UN-Habitat. Urban Forum. Centred on the theme “Towards a National Urban Policy,” it was the first time all stakeholders in Liberia had the chance to come together and discuss The Government of Burkina Faso hosted the Forum, and it was clear that the urban their ideas, concerns and experiences regarding the country’s urban agenda. agenda has strong support at the highest level. President Michel Kafando and Prime Minister Yacouba Isaac Zida were both in attendance, as was Minister of Housing The Forum provided an all-important space for discussion and building the and Urban Development Bessolé René Bagoro, other sectoral Ministers, regional partnerships between state and non-state actors that will be critical to developing an Governors and additional high-ranking officials. inclusive national urban policy. For example, community representatives and slum dweller organisations shared experiences in how to conduct participatory urban data A series of seven thematic dialogues provided the opportunity for national collection, settlement profiling, and slum upgrading policies. government, local governments, civil society organisations and representatives of the private sector to contribute and share experiences on themes such as financing The Forum also included some concrete steps, such as a road map for developing a the access to basic services, civil society participation, resilience and climate change, national urban policy, recommendations for better municipal governance in support and public-private partnership for the financing of housing. A high-level session of decentralisation, and endorsement of a National Housing Policy. co-chaired by the Minister of Housing and the Minister of Infrastructure brought together external donors to debate ways of fostering alignment and coordination of efforts. All of these discussions will feed into the formulation and implementation of national urban policies. The event concluded with a declaration stressing the importance of the Forum as a platform for dialogue and consultation. Significantly, the National Urban Forum has been included in the government’s Priority Investment Plan, effectively institutionalising it as a vehicle for participatory planning and engagement. A second Forum is already planned for Bobo-Dioulasso in 2016. 18 19 ANNUAL REPORT 2015 II. Programme Results National Policies Influencing National Frameworks Through Knowledge In 2015, UCLGA and Cities Alliance jointly produced the second edition of Assessing the Institutional Environment of Local Governments in Africa. The original 2012 edition identified ten criteria to assess the enabling environment that each African government provides for its cities and local governments. Each country was analysed to assess its progress with – and constraints on – decentralisation, and then rated on a scale of 10 to 40. The second edition looks at what has been done in the intervening three years, the current situation, and a means for measuring progress. The overall trend is one of modest but tangible improvement in the latitude governments are affording to city and local government action. Across Africa, the average rating in 2015 rose by 6% over the 2012 ratings. Twenty-three countries have made progress, mainly in Southern Africa and, to a lesser extent, in East Africa. With some variation from country to country and across regions, these improvements are in four main areas: • Financial transfers from central governments to local authorities; • Transparency in the management of local affairs; • Citizen participation; and • Frameworks established for local government capacity building. Despite these improvements, a clear majority – some three-quarters of the countries – received ratings below average, and still need to make major progress in implementing structural reforms. Surprisingly, the assessment criteria that saw the least progress was the existence of urban strategies. The Sustainable Development Goals’ recognition of the role played by cities in development is particularly significant in Africa, which has one of the highest rates of urban growth in the world, especially among small and medium-sized cities. Through the adoption of its roadmap “Agenda 2063: The Africa We Want”, the African Union clearly sees cities as drivers of the continent’s structural transformation. This vision will feed into the October 2016 Habitat III Conference, where the international community is expected to adopt a new urban agenda – one that will need African cities and local governments to be sufficiently empowered and resourced to meet Africa’s challenges and opportunities. 20 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Local Strategies Local Strategies The city’s role as an engine of economic growth has become more important as the Municipal Development Strategies Launched in 14 Ugandan world becomes increasingly urbanised. Cities must be strategic about their investments Secondary Cities and growth in order to capitalise on the opportunities of urbanisation. It is equally important that they ensure that all citizens, especially the poor, benefit from these opportunities. Cities Alliance supports the development and implementation of The launch the Municipal Development Strategy initiative in Uganda is an excellent citywide strategies and plans that link economic growth with poverty reduction. example of using the Country Programme framework as a foundation for further activities. Participatory City Development Strategies in Seven Vietnamese Cities The Municipal Development Strategy (MDS) initiative promotes long-term, proactive, and participatory planning in 14 secondary cities in Uganda so that they will be better positioned to accommodate future urban growth. It focuses on bringing all stakeholders together to develop a shared vision for their city that benefits all The CDS approach is being introduced as a planning tool that integrates socio-economic, residents, especially women and youth. infrastructure and spatial development in urban areas. It is a key component of the Cities Alliance Country Programme in Uganda and is An initiative to prepare community-based, participatory CDS in seven cities in Vietnam directly linked to a USD 150 million World Bank loan for infrastructure improvement was launched in January 2015. It is one of three building blocks of the Vietnam Country in 14 Ugandan municipalities (the Uganda Support for Municipal Infrastructure Programme, in addition to interventions at the national and community levels. Improvement Development initiative, or USMID). The initiative has been designed to apply a CDS approach in cities where communities The MDS initiative was launched in February 2015 along with the Future Cities Africa are highly organised and mobilised, with an active CDF in place. It will foster a programme in Uganda, which focuses on resilience in city development. Over the participatory approach to urban planning by opening up spaces for dialogue and course of the year induction workshops were held in the 14 participating cities, where consultation among communities and public and private partners. It also aims to build members of the local Municipal Development Forums were orientated in both the coherence among diverse existing plans at the city level, determine priorities, and agree MDS and Future Cities Africa. on common actions. Rapid City Resilience Assessments and SWOT analysis conducted as part of Future The activity is supporting the formulation of CDS in two cities that are participating in Cities Africa informed the formulation process for the municipal strategies. Makerere the Community Development Fund component of the Vietnam Country Programme University, a partner in the Uganda Country Programme, was actively engaged in the (Tam Ky and Quy Nhon). Five other CDF cities (Ben Tre, Ha Tinh, Hai Duong, Hung Yen MDS project and prepared guidelines, manuals for training facilitators, and a toolkit and Viet Tri) will learn by participating in the planning process in Tam Ky and for monitoring and evaluation. Next steps include further training for government Quy Nhon. officials and city planners, validation of the SWOT analysis, and development of a The CDS for Tam Ky and Quy Nhon are currently being formulated. The vision as well as key strategic focus areas for the MDS. implementation structure has been established in both cities, including the creation of committees for coordination and city-level steering, task forces, working groups focused on prioritised urban issues, and municipal forums. In addition, assessments have identified key issues, analytical frameworks have been developed, and primary and secondary databases created for the formulation of the CDS. Both strategies will be linked to spatial, sector development, and multi-sector investment plans for the cities. 22 23 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Local Strategies Local Strategies Integrated Slum Upgrading in Mozambique Inspired by Brazil The following activities were implemented through partnerships with Cities Alliance members and partners in Mozambique: • Through AVSI, 11,500 traditional stoves were replaced with more efficient ones; The successful slum upgrading methodology used in Salvador, Brazil has been deconstructed and adapted to the Mozambican context, with global support. • Professional training and support for finding employment and financing of local enterprises; and The slum upgrading initiative in the Chamanculo C neighbourhood of Maputo, Mozambique is a true example of global cooperation. It derives from successful • The associations Asscodecha and Salesianos improved their professional integrated, participatory slum upgrading experiences undertaken in Salvador de formation courses and trained social workers, administrators and logistical Bahia, Brazil, with the support of Cities Alliance and the governments of Italy and support staff. Brazil. The success of the integrated methodology used in Salvador led delegations • The Chamanculo C project was also able to leverage the following investments: of many African states to visit Brazil to learn about its upgrading experiences. In order to test whether the methodology was transferable to an African city slum, the • World Bank: Paving of 1.7 km of Avenue Amaral Matos was 67% completed, with organisations and partners that implemented the project in Salvador – including the finalisation set for March 2016; and Italian NGO AVSI – partnered with the City of Maputo to adapt the methodology to Chamanculo C. • World Bank: A drainage ditch and its connection to the municipal drainage system built. The relative weakness of civil society and local government capacity in Mozambique required a rethink of the methodology. Ultimately, the Salvador experience was deconstructed into core principles and practices, and then reconstructed into a new methodology adapted to the Mozambican context. At its heart the methodology suggests that in-situ upgrading is a process that centres around people and communities, focusing not only on hard investments but also on key life skills required for urban living – a major shift from policies aimed either at slum clearance or at simply establishing environmental health conditions. The Chamanculo C project has become part of the curriculum of a Masters learning programme in Slum Upgrading at Eduardo Mondlane University, the first of its kind in the world. In 2015, the following activities were implemented: • 12 technicians from the Municipal Directorate of Urban And Environment Planning were trained in how to use Geographic Information Systems to better link data with geography. • An integrated diagnostic of the Chamanculo C Community was undertaken and a Local Development Plan produced. • Two local community associations were created (MBEU and Despertar). • Community Development Funds financed the renovation of a local school through the project Apoio à Associação Amandla, which directly benefitted 59 children, aged one to five. • 17 families were resettled and compensated for the value of their houses through the project; an additional 57 families that were not required to resettle received compensation for indirect losses. 24 25 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Local Strategies Institutional Strengthening and Capacity Development Local Governments’ Pocket Guide to Resilience Cities in the developing world gain an average of five million residents each month. Much of this growth is in informal areas, which already lack basic municipal services such as water, sanitation, waste collection, storm drainage, street lighting, paved sidewalks and roads for emergency access. Often overwhelmed by the growth, cash- This guidebook for local governments was strapped city and local governments are frequently unable to provide basic services to produced by UN-Habitat as part of the all residents for a number of reasons, such as limited resources, capacity constraints, Cities Alliance Joint Work Programme for inappropriate policies and other urban governance issues. Cities Alliance supports Resilient Cities, and launched at COP21 in activities that improve cities’ ability to provide basic services to their poorest citizens. December 2015. It shows how cities everywhere – from Eastern and Southern Africa to Western Strengthening Capacity at UCLGA Europe, to Southeast Asia, to the Southern United States – are responding to current and future challenges by thinking Increasing the voice of local government in Africa at a critical time for cities. differently about how to strategically design, plan, and manage for resilience. In 2015, Cities Alliance signed a grant agreement to provide USD 825,000 in funding to build capacity of the United Cities and Local Governments Africa (UCLGA). The grant It also includes relevant case studies is within the context of an agreement between UCLGA and the European Union, which that highlight the experiences, lessons is providing EUR 20 million between 2015 and 2017 to help UCLGA grow and better meet learned, and stories of resilience building the needs of its members. from the perspective of local authorities and communities actively engaged in the The support will help UCLGA, which represents some 350 million African citizens programmes and initiatives led by the through 40 national associations of local government, increase the voice of local Medellín Collaboration on Urban Resilience government at a critical time for the new urban agenda. (MCUR),2 of which Cities Alliance is a member. The first portion of the EU grant (EUR 6.9 million) will be used to create regional offices, strengthen national associations of local governments, and support a capacity building programme to help the national associations deliver on their mandate to target local associations. All of these activities are part of UCLGA’s Government Advocacy for Decentralised Development in Africa strategy, a robust, long-term approach which began in 2007 and will run through 2021. It involves advocacy targeting the African Union and regional economic authorities to support the emergence of champions among local governments; developing a set of tools to govern knowledge, such a sort of local government barometer to assess how well local governments are doing; and creating a network to put local government on the map in Africa. Cities Alliance is supporting two components. The first involves enhancing institutional and delivery capacity of the UCLGA Secretariat, including Knowledge and Information Management, Communication, Finance and Administration, and the establishment 2 of regional resource centres within UCLGA Regional Offices. The second includes the Established at the World Urban Forum in 2014, the MCUR is a partnership of international development establishment of five new national associations of local governments and capacity organisations that aims to facilitate the flow of knowledge and financial resources necessary to help cities building for existing ones. become more resilient to disruptions related to climate change, disasters caused by natural hazards, and other systemic shocks and stresses, including the socio-economic challenges associated with rapid urbanisation. 26 27 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Institutional Strengthening Institutional Strengthening and Capacity Development and Capacity Development Building Capacity to Implement Ghana’s National Urban Policy City exchanges in Vietnam Ghana’s Institute for Local Government Studies is taking concrete steps towards Building capacity at the local level with CDS training The city-to-city building capacity among local authorities to implement the National Urban Policy. and city-to-city exchanges. exchanges have helped successfully In 2015, the Institute for Local Government Studies (ILGS) – a key partner in the Cities Two training programmes were organised as part of Alliance Ghana Country Programme – made significant strides towards building the participatory City Development Strategy initiative implement Community capacity among local authorities to implement the country’s National Urban Policy. in Vietnam, a component of the Country Programme. Development Fund Held in two of the participating cities, Tam Ky and projects in 10 new The role of ILGS is an important one. City planning in Ghana is segregated, and Quy Nhon, the training brought city leaders from all cities. ministries tend to operate within silos without adopting a holistic approach that seven participating cities together to learn about CDS is needed for effective strategic planning. This is especially true in a very large principles and methodology. agglomeration such as the Greater Accra Metropolitan Area (GAMA), which is struggling with sheer population growth and growing demand for services. Adding to Several city-to-city exchanges were organised through a separate grant to support the challenge is the fact that GAMA is divided into 30 municipal assemblies. citywide upgrading process in 20 small and medium cities in Vietnam. 3 The exchanges were an excellent opportunity for the leaders and communities of the These divisions and challenges are making it difficult for Ghana to implement its new and existing Community Development Fund cities to share their experiences National Urban Policy and urban action plan. Questions such as which organisation with establishing CDF management units at the city and ward level, developing has oversight, who is financing the policy, and who will ensure implementation community savings groups, and mobilising community resources and participation loom large and must be addressed. Ghana’s Urban Development Unit has significant for small upgrading projects. These exchanges helped new cities build the capacity to responsibilities in this area, but it lacks the capacity to implement them effectively. start and manage the CDF process. With support from Cities Alliance, ILGS – which is also a government institution – is The citywide upgrading in 20 cities grant also funded on-the-job training for 26 providing valuable institutional capacity strengthening to help GAMA local authorities officials of Tam Ky in developing and using GIS for urban management. be prepared to implement the National Urban Policy. In 2015 ILGS held three training workshops with goal of providing local government officials, city authorities and planners with the know-how to better manage and plan cities, and to increase their knowledge of resilience and climate change. Two of the workshops, held in May 2015, were devoted to training on how to implement the National Urban Policy and National Urban Action Plan. At these workshops, municipalities agreed to implement specific follow-up activities. A third workshop was held to follow up on the training and the specific activities. The Cities Alliance support is also serving to strengthen ILGS as an institution so that they are able to assume this crucial role in capacity building and become a leading government institution on resilience, climate change and municipal financing. 3 The exchanges included Lao Cai City to Hung Yen city in April 2015 and to Bac Kan in September 2015; Dong Ha city and Dong Hoi City to Vinh City in May 2015; Ninh Hoa town and Song Cau town to Quy Nhon city in September 2015; and Bim Son town to Lao Cai city, which was combined with the first Training Course on financial management of Community Development Fund in September 2015other systemic shocks and stresses, including the socio-economic challenges associated with rapid urbanisation. 28 29 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Institutional Strengthening Institutional Strengthening and Capacity Development and Capacity Development Evaluation of Catalytic Fund Youth Integration Project in Mauritania Development Workshop Angola Project Concludes Establishing centres to help young people in Mauritania’s capital, Nouakchott, find jobs. Developing partnerships and cooperation among government, communities, and civil society to improve basic services. Through the Cities Alliance Catalytic Fund, the French international development NGO GRET received funding to set up two youth employment centres in the Dar Naim and A USD 5 million grant from the Bill & Melinda Gates Foundation to Development Arafat neighbourhoods of Nouakchott, in cooperation with the Urban Metropolitan Workshop Angola to promote more inclusive public planning processes and improve basic Authority of Nouakchott (Communauté urbaine de Nouakchott). services for 4.5 million of the city’s residents concluded in 2015. Cities Alliance has overseen the grant on behalf of the Gates Foundation as part of our Gates Intermediation Portfolio. The project, formally known as Centre d’Appui à l’Insertion des Jeunes de Nouakchott (Support Centre for the Integration of Youth in Nouakchott) was selected under the In its fifth and final year, the project has achieved significant successes. Most important is Cities Alliance’s 2012 Call for Proposals for the Catalytic Fund, which focused on Youth the increased engagement between local government structures, Development Workshop and the City. Angola (the oldest NGO in the country) and partner civil society organisations, which has led to positive actions to improve living conditions in the slums of Luanda. Development Initially planned with a duration of 12 months and a grant amount of USD 250,000 from Workshop is considered as a serious partner and now has direct access to ministers and Cities Alliance, the project’s implementation period was extended to 20 months in order national directors to advocate, together with the citizens of Luanda, to influence the plans, to overcome challenges in its institutionalisation by the Urban Metropolitan Authority budgets and activities. of Nouakchott. In addition, the project has established participatory mechanisms – such as municipal The project’s four components were: 1) Strengthening the capacity of local and forums and community and social media channels – that have helped urban civil society national authorities to manage unemployment; 2) Developing partnerships between become more effective in making its voice heard and in demands for more accountability local authorities, companies, training organisations, youth and other stakeholders; 3) on how public investments are developed and spent. Developing young people’s autonomy; and 4) Sensitising wider members of the Urban Metropolitan Authority of Nouakchott on the issue of youth integration and ensuring Key results on capacity development in 2015 include: the project’s institutionalisation within the Ministry of Employment. • Municipal Forums created by the project are held regularly, and their A desk evaluation of the project in December 2015 highlighted the project’s key results: recommendations feed into annual plans and budgetary consultations. • Meetings held with 192 formal and informal enterprises. • The online Municipal Atlases created by the project are all up and running, using the social media-linked platforms where the general public can find data on core poverty • New partnerships established with 65 leaders and local partners. indicators. The online portals created serve as public debating spaces for citizens and • 717 young people signed up to the youth employment centre. local administrations. This investment supported the capacity for the city to have more evidence-based planning that took in to account urban poverty issues using • 184 young people enrolled in a training, internship, apprenticeship programme or these data platforms. employment. • The Angolan National Policy on sustainable water management was developed to • 6,400 people from the general public reached through the awareness-raising and address community water management issues. Under that policy, Development sensitisation campaigns. Workshop Angola created a manual on community water management to support • A fund was created to provide financial assistance to young people and help them institutional partnerships with Luanda Water Company and the National Water & access employment; 35 grants were awarded. Sanitation Directorate, which has significantly improved water coverage in urban slums. The NGO continues to provide support at 244 public stand posts. 30 31 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Institutional Strengthening Community Engagement and Capacity Development IncluCity: Closing the Gap between Slum Dwellers and People have a vested interest in their city and its development. By participating in Local Governments in Ghana the city planning process, residents have a voice in the future of the place where they live. It is a way that they can participate in the process of shaping and realising a strategy for their city, monitor the government’s progress in achieving it, and hold authorities accountable for the results. The Country Programmes, with their emphasis Improving urban services and local governance in Ghana, and building capacity among on mobilising slum dwellers and community-based activities, are the main ways Cities poor residents to participate in city planning processes. Alliance works to engage citizens in urban governance. In Ghana, the NGO Global Communities worked with local organisations to expand access to credit, provide vocational training, upgrade water and sanitation systems and improve housing conditions for residents of slums in the cities of Accra and Sekondi- Building the Capacity of the Urban Poor for Inclusive Development in Takoradi. Known as IncluCity, the project helped increase the participation of slum Ghana residents in governance, inclusive planning and budgeting processes, while building the capacity of the local governments to generate revenue. Key results on capacity development in 2015 include: Expanding the programme from four municipalities to all 11 in the Greater Accra Metropolitan Area. • Strengthening the city’s capacity for better data through the first-ever digital mapping of the twin cities of Sekondi-Takoradi to provide every resident an address Part of the Ghana Country Programme, this activity builds on previous efforts to raise and develop a fair taxation system to fund public services. This data strengthening awareness of urban poor settlements in Greater Accra and strengthen communities’ was also the objective of the Citizens’ Report Card: Data collection completed capacity to engage local authorities in a constructive dialogue. with surveys done in more than 800 households. The survey marked the first time The first phase of the project has already been completed, with a focus on four citizens had ever been asked directly for feedback on the city’s performance in ten municipalities. The second phase – which is currently under implementation – is key areas of service such as water, basic education and public health. The Citizens’ expanding the initiative to all 11 municipalities within the Greater Accra Metropolitan Report Card team monitoring resulted in electricity and water extension to other Area and deepening established partnerships. parts of the city. The main outputs include creating community and informal trading profiles, • To respond to the data and address the 10 areas of service, 56 small grant projects establishing forums for dialogue and advocacy, piloting community development were completed. No new small grants are being funded, but assemblies have funded projects, creating a citywide network of community-based organisations and NGOs, over 15 of their own projects. and support for a community social investment fund. It is also mainstreaming climate • IncluCity mentored and strengthened the capacity of selected CBO members in change mitigation approaches and pilot water and sanitation projects undertaken in citizen mobilisation so that they were able to plan, budget and regularly monitor partnership between the communities and local governments. city performance. A total of 126 CBOs from the Accra Metropolitan Area and The activity is being implemented by the NGO People’s Dialogue, Shack/Slum Dweller Secondi-Takoradi were trained in Inclusive Governance, Participatory Planning and International’s local affiliate. Budgeting which led to Completion of Community Action Plans where Medium- Term Development Plans were prepared and content incorporated. • The project built the institutional capacity of the Land Use Planning Management Information System (LUPMIS), which is now being implemented with over 10,000 bills distributed. Cities Alliance manages the IncluCity grant on behalf of the Gates Foundation. 32 33 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Community Engagement Community Engagement Results during the period under review include: Engaging Burkina Faso’s Citizens and Civil Society • Strengthened capacity of informal settlement dwellers on profiling and mapping by working with informal settlement dwellers in their own communities. They have learned how to identify and locate their communities on maps, service facilities, Bringing citizens and civil society into the development planning process with municipal inadequacy of services, estimated population and household sizes, among others. urban forums and training for CSOs. • Strengthened partnerships and new ones built with city authorities, especially with Through the Country Programme framework, several mechanisms were established to community development officers, in the various assemblies, local community cities, engage citizens and civil society organisations (CSOs). These include: elected assembly members, youth groups, and other associations. • Establishing databases of civil society organisations in four cities. • Knowledge products produced, including citywide slum profiles of four cities in • Developing six radio broadcasts in four cities. GAMA with boundary and service maps. • Training 25 staff from civil society organisations in five cities on enumeration and • Active participation by community groups in the 2015 National Urban Forum; their profiling, using SDI’s approach. inputs during group work and the plenary triggered heated policy discussions and debates around land value capture and how to redistribute values to all, including The Municipal Urban Forums were among the most important vehicles for community the poor. participation. Four were held over the course of 2015 in Tenkodogo (15-16 January), Dori (7-8 May), Bobo-Dioulasso (9-10 July), and Dedougou (13-14 July). Some key lessons were learned during 2015, including the need to: New to Burkina Faso, these forums provided a platform for dialogue and consultation • Build communities’ knowledge on participatory planning processes. among local stakeholders on city development issues and priorities. Each forum • Sustain assembly and community enthusiasm on identified community needs, gathered around 150-200 people, including representatives from civil society (who such as household toilets and alley pavements, by continuing to encourage made up approximately one third of attendees). Women made up nearly half of all assemblies and communities to raise funds through the established savings groups. participants at the four forums. • Institutionalise the community-level funds through savings groups, which have proven to be a sustainable source of funds to leverage community development needs. The next phase of activities will centre on establishment of a Housing and Urban Advocacy Network/Platform (HUDNET) platform as well as the city forums and platforms. 34 35 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Community Engagement Community Engagement Expanding the Community Development Fund in Vietnam Supporting the Human City Project in Nigeria Funding 50 small infrastructure projects in ten cities. Chicoco Maps gives young people in communities threatened with forced eviction the skills and tools to participate in a neighbourhood visioning process. Part of the Vietnam Country Programme, a grant to support citywide upgrading process in 20 small and medium cities in Vietnam has established the Community The 2012 Catalytic Fund Call for Proposals focused on Youth and the City: Challenges of Development Fund approach in ten cities. Other cities are also participating in the and Visions for Demographic Change, a choice that signalled Cities Alliance’s strategic project as learning cities, but without investment. decision to put itself at the forefront of efforts to integrate youth into sustainable city development. Six projects were selected through the call for a total portfolio value of Under the grant, 50 small infrastructure projects were selected for funding from CDF USD 1.3 million. in the ten cities. These projects include activities to improve community access to sanitation facilities and water supply, and for the construction of community centres. Of those six, the Human City Project proposal from the Collaborative Media Advocacy The 50 projects are currently being implemented. Platform (CMAP) in Port Harcourt, Nigeria was especially intriguing. In 2009 the government of Rivers State, Nigeria, began a programme to demolish largely informal Efforts are underway to institutionalise the CDF approach in the ten participating cities ‘waterfront’ settlements in the state capital, Port Harcourt, that are home to up to through a Memorandum of Understanding, in which the cities would agree to provide 480,000 people. The Human City Project is building the strategic and technical capacity complementary funds for seed capital along with a project grant of USD 20,000 per city. of these excluded communities to participate meaningfully in their own development and the shaping of their city. The project focuses on rights-based media advocacy, collaborative architecture and participatory urban planning. 4 It is a community-driven human rights movement. The purpose of the project is to move from a process of demolition without prospect of regeneration to partnership-driven development within the waterfronts of Port Harcourt and the city at large. Core programmes include: the design and build of a floating community radio station and media centre; an extensive professional radio training programme for waterfront residents and the establishment and support of a community-based organisation to govern and operate it; a youth-led participatory mapping project; and a multi-stakeholder pro-poor urban planning programme. The Human City Project also includes a mobile cinema programme, a litigation programme and university teaching and research collaborations. 4 Source: The Collaborative Media Advocacy Platform website http://www.cmapping.net/ 36 37 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Community Engagement Community Engagement The Cities Alliance Catalytic Fund supported CMAP to launch Chicoco Maps, a participatory Global Urban Poor Networks Meet in South Africa for Learning Exchange digital mapping project and collaborative urban design process with young people from marginalised communities across the city. Originally called ‘Urban Futures’, Chicoco Maps allows residents of Port Harcourt’s informal waterfront settlements to give voice to their vision Strengthening knowledge and developing a strong foundation for collaboration among of the city, to literally put themselves on the map. The programme helps give young people in organisations with similar interests. communities threatened with forced eviction the skills and tools to participate in the mapping and planning of their neighbourhoods. In September 2015, Cities Alliance convened a learning exchange between three global urban poor networks: Shack/Slum Dwellers International (SDI) and Women in Informal Economy: Globalizing The Human City Project created links between Chicoco Radio, a community radio training and Organizing (WIEGO), both members of the partnership; and the Fundación Avina, a non-profit programme, and Chicoco Maps. Support from Cities Alliance contributed to the training of based in Ecuador that promotes sustainable development in Latin America. over 100 waterfront residents as broadcast journalists, radio drama directors, sound engineers, While the three organisations adopt a different approach, they all share a common vision of programme presenters, studio operators, music producers, station managers and community equitable, inclusive cities. The idea behind the learning exchange was for them to come together and correspondents. Some 38 core volunteer journalists and technicians from CMAP were trained in compare approaches related to mobilisation strategies, building partnerships, and global advocacy participatory mapping principals and practice. They also wrote and produced a mini radio drama from the perspective of community leaders. series exploring urban governance and design issues called ‘Many Voices Make a City.’ Representatives from the three organisations met in Durban, South Africa for a four-day programme hosted by the South African SDI Alliance from 21-24 September. Participants included community leaders and supporting organisations from: Brazil’s SDI Alliance, the Ecuadorian Waste Picker Network, the Ecuadorian Network for Fair, Democratic & Sustainable Cities, the Association of Recyclers in Bogota, Colombia (Asociación de Recicladores de Bogota), Fundación Avina in Peru and Ecuador, WIEGO, Asiye eTafuleni (a network of informal workers in Durban), and the South African SDI Alliance (Federation of the Urban Poor, Informal Settlement Network, and the Community Organisation Resource Centre). Visitors had a chance to learn first-hand about the South African Alliance’s approaches to community organising, including site visits to housing and informal settlement upgrading projects, a savings scheme and data collection for slum profiling. Each day ended with a reflection on the outcomes of the day and what worked or did not work. Participants in the exchange also had the chance to accompany the South African SDI Alliance to a meeting with municipal and provincial authorities and the national government to discuss the progress of housing and upgrading projects. At the meeting, the visitors were able to see how the community had leveraged its savings and data collection activities into a partnership with local authorities based on trust and a willingness to work together. In one of the exchange activities, a WIEGO affiliate in South Africa, Asiye eTafuleni, illustrated how it has adapted SDI’s enumerations tool to audit a large informal market in Durban. The South African SDI Alliance intends to establish a relationship with Asiye eTafuleni in Durban and possibly Cape Town. This relationship is important because it will enable the sharing of mobilising methodologies and a greater focus on informal workers within the South African SDI Alliance. All of the participants found the exchange to be extremely useful. The Latin American representatives very much appreciated how the South African Alliance used savings groups and enumerations to build social capital, upgrade communities, and work in partnership with local government. In turn, South African representatives were particularly interested to learn from their Latin American counterparts about mobilisation and partnership strategies used by waste pickers and recyclers’ movements. This will be the focus of a second part of the exchange, to be hosted by WIEGO in Colombia. 38 39 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results Community Engagement Improved Primary Waste Collection in Poor Communities in Liberia Promoting livelihood of waste pickers in Monrovia through community Ebola prevention responses Financed by the Bill & Melinda Gates Foundation and managed by the Cities Alliance, the Improved Primary Waste Collection in Poor Communities (IMPAC) initiative is a package of projects that promote livelihoods of the urban poor in Monrovia, in particular waste pickers. Through IMPAC, waste pickers received direct support in the form of equipment, a fee structure for household collection of waste, and training in business skills to help them establish their own community-based enterprises (CBEs). In 2015, the Ebola Virus Disease (EVD) had a huge impact on the project. Waste pickers who initially focused on collection of waste were mobilised as part of the community response to the devastating epidemic. The turning point of EVD in Liberia came when the government implemented a decentralised approach to curb new infections. It was ultimately the flexibility shown by the Liberian government in adapting their response to the crisis which helped turn the tide in the city on infections. Operation Stop Ebola, launched by Monrovia City Corporation (MCC), received support from the city’s waste pickers who were trained on the community Ebola prevention response. Cities Alliance supported the restructuring of the project to respond to Ebola risk in communities by providing financial support to SLUMDAL, an affiliate of SDI, to conduct community awareness of water, sanitation and hygiene with MCC. This training was beneficial for the waste pickers too because they were handling household waste and were at high risk of becoming infected with EVD. Nana Ammons shows one of the motorised waste collection vehicles, introduced under the IMPAC scheme. Nana can afford the running, maintenance, and replacement costs from the small fees she receives from beneficiaries 40 41 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Community Engagement Community Engagement As Mayor Clara Doe Mvogo explained in Monrovia Mayor Clara Doe Mvogo on Ebola’s SDI’s Know Your City Global Platform lessons an interview with Citiscope in July 2015: “In each of these communities I personally went and talked to the leaders. We brought them together, we gave them training in the Monrovia City Hall. Then we went into Compiling an interactive, online platform of data on informal In the second half of 2015 each of their communities and did training with their block leaders. My staff and I settlements. there has been a marked worked very hard to carry this message. The solid waste people who collect waste in increase in the number At the World Urban Forum in 2014, SDI launched the Know the city were spreading the news. The community service department was spreading of profiles captured onto Your City global campaign to gather citywide data on slums as the news. The environmental health department was spreading the news. Be it Ebola the central database by the basis for inclusive partnerships between the urban poor or any epidemic that breaks out, the powers that be, the international community, the federations, demonstrating and local governments. Through the campaign, residents of government must have real coordination of what their support is to a community.” management and informal settlements have collected data about their everyday lives and the spaces they reside in – a practice that is at the ownership of data Due to the outbreak, the project introduced robust door-to-door public awareness heart of SDI’s methodology and its mission to develop and platform. and behaviour change campaigns on the benefits of improved hygiene, appropriate handwashing, environmental sanitation, community health monitoring and clean sustain an informed, united voice of the urban poor. communities to the wellbeing of the residents. The campaigns were facilitated by That data has been used to populate an interactive, online platform on city-level the Community Management Teams of the host communities which were set up and informal settlements, with support from the Bill & Melinda Gates Foundation, UCLGA, managed by the project. Cities Alliance and the Santa Fe Institute. The public platform gives communities a powerful visual tool to strengthen their advocacy and advance their demands. Cities Alliance has supported the Know Your City campaign from the outset and oversees the project’s implementation on behalf of the Gates Foundation. In 2015, SDI achieved a number of key results for the global platform. The organisation now owns and manages a massive dataset, and is able to make the software platform accessible to all. SDI’s profile survey tool has been standardised, and an emerging protocol established that supports the rigour of the process and the verifiability of the data collected. Additional tools for settlement profile data collection have also been standardised and rolled out across SDI’s network. 42 43 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Community Engagement Global Advocacy and Public Policy On an institutional level, the platform helps SDI offer “on demand” enumeration In 2015, two of our key thematic Joint Work Programmes (JWPs) – Habitat III and profiling services to other institutions and has supported learning, monitoring and Resilient Cities – were highly visible in advocating and moving forward the and evaluation of the process. It also opens up possibilities for exploring the general partnership’s priorities as well as influencing major global public policy making properties of informal settlements in research publications. processes. Through a separate grant from the Gates Foundation, the Santa Fe Institute (SFI), worked closely with SDI to build the database and provide the “back end” technological platform for the tool. SFI also helped standardise the data; the SDI Secretariat in Cape Cities Alliance Joint Work Programme on Habitat III Shows Town, South Africa collected the data from its local federations, and the team in Santa Value of Partnership Fe cleaned and standardised it so that it would be suitable for the database. Cities Alliance oversaw the grant on behalf of the Gates Foundation. Demonstrating the value of Joint Work Programmes as a distinct partnership vehicle for The Know Your City online global platform is providing evidence-based, reliable data on Cities Alliance and increasing the partnership’s visibility on a global level in advance of informal settlements, which often brings to light the implicit challenges faced by people Habitat III. living in these settlements. This greater transparency and information sharing is raising these issues at national and international level and is galvanising stakeholders to action The year 2015 was key for shaping the global policy environment for international by working with communities to find solutions. development. The UN General Assembly took a number of crucial decisions on how the global community can ensure a sustainable future with milestone meetings in Addis Ababa, New York and Paris. The role of cities as drivers and spaces of development has been clearly acknowledged, which represents a major success for all of us who have been advocates for cities. With these major achievements in hand, it is imperative to use this great momentum for cities in order to successfully prepare for the Third United Nations Conference on Housing and Sustainable Urban Development (Habitat III) in October 2016 in Quito, Ecuador. Cities Alliance has been actively involved in advocating for cities to be at the forefront of a new global sustainable development agenda. Through active participation at the Open Working Groups that discussed elements for the SDGs, the Cities Alliance Joint Work Programme in support of the preparation process for the Post-2015/SDG Agenda towards the Third United Nations Conference on Housing and Sustainable Urban Development (JWP HIII) joined with the Global Task Force of Local and Regional Governments and Sustainable Development Solutions Network (SDSN) to support a dedicated goal for cities as part of the Urban SDG Campaign. 5 Through these concerted efforts, the global cities community was able to celebrate the inclusion of SDG Goal 11: Make cities inclusive, safe, resilient and sustainable in September 2015. Screenshot of the Know Your City Global Platform. 5 For more information about the Urban SDG Campaign, see http://urbansdg.org/ 44 45 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Global Advocacy and Global Advocacy and Public Policy Public Policy For the JWP HIII, one of the most important contributions was to clearly articulate and Members of the JWP for Habitat III: disseminate the value of partnerships between national government, local authorities and organised civil society as a key mode for achieving global development goals, such as the SDGs. Reflecting the diverse membership structure of the JWP itself, this key message continues to inform policy dialogue at various stages that have not only • Government of Brazil shaped the formulation of SDG Goal 11, but also the preparation process for Habitat III. 6 • Deutsche Gesellschaft fuer Internationale Zusammenarbeit (GIZ) Through the JWP’s presence at key moments in international negotiations 7, it was able to interact directly with national delegations and members of the UN General Assembly • French Ministry of Foreign Affairs and International Development (MFA) to influence the general debate on the political floor. A number of knowledge products • Ford Foundation were jointly produced to influence the debate, such as a discussion paper on Sustainable Development Goals and Habitat III: Opportunities for a successful New Urban Agenda. 8 • German Federal Ministry of Economic Cooperation and Development (BMZ) - Chair For Cities Alliance, the Joint Work Programme partnership: • Increased coordination among JWP members on global advocacy activities through • Habitat for Humanity International (HFHI) continuous updates, monthly telephone conference calls and joint events; • ICLEI - Local Governments for Sustainability • Demonstrated the value of partnerships between national governments, local • Institute for Housing and Urban Development Studies (IHS) authorities and organised civil society; • Created a flow of information to close knowledge gaps within the JWP group and • Shack/Slum Dwellers International (SDI) its diverse constituency; • Swiss State Secretariat for Economic Affairs (SECO) - observer • Increased the visibility of the Cities Alliance partnership in support of a common • Department for International Development (DFID) - observer agenda towards Habitat III; and • United Cities and Local Governments (UCLG) • Strengthened in a collective manner already existing initiatives, including the Global Task Force of Local and Regional Governments and Sustainable • UN-Habitat Development Solutions Network. 6 For more about the JWP for Habitat III, see its Position Paper: http://www.citiesalliance.org/ sites/citiesalliance.org/files/20150514%20-%20Position%20Paper-%20Final%20Version%20 Proposed_0.pdf 7 These include Habitat III Prepcom II in Nairobi in April 2015, the UN General Assembly Summit in New York in September 2015, and COP21 in Paris in December 2015. 8 Access Sustainable Development Goals and Habitat III: Opportunities for a successful New Urban Agenda at http://www.citiesalliance.org/sites/citiesalliance.org/files/Opportunities%20 for%20the%20New%20 Urban%20Agenda.pdf 46 47 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Global Advocacy and Global Advocacy and Public Policy Public Policy Cities Alliance Launches New Joint Work Programme on Resilient Cities at Members of the Resilient Cities Joint Work Programme: COP21 • Arup; Bringing together over 14 international development partners to highlight and address the • Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ); relationship between resilience and poverty in cities on a global level. • C40 Cities Climate Leadershi Group; The 21st Conference of Parties (COP21) held in Paris in December 2015 was noteworthy for several reasons. For the first time during a global event, representatives from slum dweller federations • The French Alliance for Cities and Territorial Development (PFVT); and working poor associations had the opportunity to have their voices heard at a high-level meeting. There was also a strong focus and emphasis on the role of local governments in the Paris • ICLEI - Local Governments for Sustainability; Agreement, which has been largely missing from previous international agreements. • Inter-American Development Bank (IDB); The Cities Alliance Joint Work Programme influenced COP21 outcomes through a declaration by • 100RC; the Joint Work Programme members on strengthening the resilience of informal settlements and places of work. The declaration was made under the auspices of the Lima Paris Action Agenda, • OECD; which is co-chaired by the Government of France and the United Nations Secretary General Office. • SDI; For the Cities Alliance, one of the biggest moments at COP21 was the launch of our new Joint • SECO; Work Programme on Resilient Cities on 8 December (Cities Day). The event was hosted by ICLEI, a • The Ecological Sequestration Trust (TEST); new member of the Cities Alliance and a driving force behind the Joint Work Programme. • UNEP; Held at the Cities and Regions Pavilion, the launch attracted a range of key members and partners in support of the initiative, including the Swiss State Secretariat for Economic Affairs (SECO), • UN-Habitat; World Bank, ICLEI, C40, the Global Facility for Disaster Risk Recovery (GFDRR), Shack/Slum Dwellers International (SDI), Women in Informal Employment: Globalizing and Organizing • United Nations Office for Disaster Risk Reduction (UNISDR); (WIEGO), UCLG, and 100 Resilient Cities (100RC). Local government representatives included a • WIEGO; mayor from Shimla, India and city officials from Pretoria, South Africa and Dakar, Senegal. • GFDRR; and As a next step, the Joint Work Programme will begin preparing technical assistance concepts concerning urban climate vulnerability assessments that incorporate slum profiling data – • The World Bank. something that has never been done before. The concepts will also address capacity development to cities for climate finance readiness and inclusive energy management plans. 48 49 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Global Advocacy and Global Advocacy and Public Policy Public Policy Cities Alliance Think Tank on Africa Assembled Members of the Cities Alliance Africa Think Tank Convening some of Africa’s top minds on urban issues to develop a new, positive The think tank brings together 11 widely recognised experts and thinkers on urban narrative on African cities. issues in Africa. They are: In 2013, Cities Alliance took a decision to prioritise the dynamic processes of • Yemi Cardoso, Chairman of Citybank Nigeria; urbanisation in Sub-Saharan Africa within its global portfolio. The Cities Alliance Africa Strategy seeks to propose a set of common guidelines for future action and to help • Jean-Pierre Elong Mbassi, Secretary-General of UCLGA; achieve the overarching objectives of Cities Alliance in the African context. • Alcinda Honwana, member of the Editorial Boards of the Journal of the With support from Cities Alliance, the African Centre for Cities (ACC) has established International African Institute, the African Sociological Review, and the Journal for a high-level think tank to generate compelling analysis of Africa’s urban transition Higher Education in Africa; and disseminate a pro-urban narrative. The establishment of this think tank aims to • Gustave Massiah, President of the Strategic Support Group of Africities; help develop the Cities Alliance Africa Strategy and provide leadership. The think tank will also set out the steps for implementation of the Africa Strategy, and assist with • Clare Short, Cities Alliance Senior Policy Advisor; promotion and dissemination. • Kadiatou Sy, former Minister of Town Planning in Mali; The think tank met for the first time in Johannesburg 9-10 September 2015. Seven of • Jane Weru, member of the Kenyan National Task Force for the preparation of a its 11 members were present 9, and the meeting was chaired and facilitated by Edgar Community Land Bill and an Evictions and Resettlement Bill; Pieterse, Director of ACC. The objective of the meeting was to agree on key issues to be addressed with a view to producing a compelling narrative on Africa’s urban transition, • Fantu Cheru, Senior Researcher at the African Studies Centre in the Netherlands; and a basic communications and marketing strategy for creating greater visibility for the urban debate in Africa in future forums. • Mohamed Halfani, former Head of Research at UN-Habitat headquarters in Nairobi; The meeting provided an opportunity for think tank members to start exchanging • Trevor Manuel, former Cabinet Minister for South Africa; and views on our current understanding of what an African city is today, and rethinking • Febe Potgiete-Gqubule, Deputy Chief of Staff at the Bureau of the Chairperson what we would like it to be. Its reality – marked with informality, inequalities, for the African Union Commission. inefficiency of current service provision models, a job/growth hiatus, but also a vibrant culture with dynamic entrepreneurs – needs to be looked at with new lenses, norms, models and indicators. With regard to communication and advocacy, think tank members agreed that there is little need to organise new conferences, but rather to identify targeted audiences and lead advocates to propel the pro-cities message in the lead-up to Habitat III and beyond. The think tank’s next steps will be to refine the pro-urban narrative, draft a position paper that draws on best practices, and develop a research agenda. 9 Fantu Cheru, Mohamed Halfani, Trevor Manuel, and Febe Potgiete-Gqubule were unable to attend the inaugural meeting of the Africa Think Tank. 50 51 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Global Advocacy and Global Advocacy and Public Policy Public Policy Supporting Latin America as the Region Mobilises for Habitat III of Social Sciences (FLACSO) co-hosted a very successful side event that brought together experts from the region to discuss its contribution to Habitat III and the new urban agenda. Cities Alliance has supported many preparatory events The Habitat III process Cities Alliance has also supported various knowledge sharing activities of Brazil and in the region, facilitating knowledge exchange and has underscored how Chile. These include a series of joint dialogue between Brazil and the European Union cooperation that has helped Latin America prepare for the Cities Alliance to exchange technical know-how on a range of sectors and issues; and participating in Habitat III. partnership adds value meetings of the General Assembly of Ministers of Housing and Urban Development of to Latin America: Latin America and the Caribbean (known by its Spanish acronym MINURVI), as well as As the host region, there is a lot of momentum in Latin through knowledge and consulting on the Assembly’s Habitat III report. America for Habitat III and for urban development in general. In preparation for October, stakeholders and cooperation. In addition, Cities Alliance has fostered cooperation between Chile and Brazil through experts from across the region have been gathering the Cities Alliance Joint Work Programme on Gender Equality. Both countries were to reflect on the opportunities for the regional urban interested in finding ways to strengthen the gender approach in national policies, agenda. While the launch of a new urban agenda will and Cities Alliance facilitated hiring a consultant to study policies and provide have a global impact, it will be even greater for Latin recommendations. The findings will be included in the Habitat III process, used as input America because of its high levels of mobilisation for international advocacy, and presented at the next meeting of MINURVI. beforehand. We have also fostered cooperation with other members of the partnership. For example, Cities Alliance has supported many of these preparatory events, bringing together Chile has been working at the community leader level to promote exchanges among knowledge, expertise and experiences from the region and offering an international community leaders to discuss how projects can include a gender angle. The Cities perspective. Cities Alliance has a history of promoting innovations in Latin America, Alliance LAC team facilitated a connection with SDI, which has extensive experience in and the partnership is widely recognised as a key global player in the region with this area. SDI and Chile are now working together to discuss how to improve gender in considerable expertise. projects and perspective among community leaders, many of whom are men. And as a partnership with broad connections and a strong reputation in Latin America, Cities Alliance can bring members and partners together in a way that they haven’t experienced before. For example, Habitat for Humanity International and GIZ (the German Agency for International Cooperation) are two members of the Cities Alliance partnership that are very active in Latin America, and we have worked with both to maximise knowledge sharing in the lead-up to Habitat III. Cities Alliance worked with HFHI to support the 2nd Latin America and the Caribbean Regional Forum “Vivienda para la Vida” (Housing for Life) in Monterrey, Mexico this past May as part of the preparations for Habitat III. At a November Habitat III thematic meeting on Intermediate Cities in Cuenca, Cities Alliance, GIZ, the Inter-American Development Bank and the Latin American Faculty 52 53 ANNUAL REPORT 2015 ANNUAL REPORT 2015 II. Programme Results II. Programme Results Global Advocacy and Global Advocacy and Public Policy Public Policy Tapping Cities Alliance Expertise for Habitat III: Regional Adviser A Cities Alliance Strategy for Latin America and the Caribbean Anaclaudia Rossbach Tapping the momentum for Habitat III to inform a regional strategy for the partnership. Cities Alliance’s Latin America presence and its regional support for Habitat III is The preparation process for Habitat III offered Cities Alliance a unique opportunity to driven by our office in São Paulo, Brazil and its dynamic head, Anaclaudia Rossbach, get input and support from key members and partners for a new strategy to guide the Regional Adviser for Latin America and the Caribbean. partnership’s activities in Latin America. As a result, we spent much of 2015 crafting a In 2015, Anaclaudia was selected as a Special Expert for the Habitat III Policy Unit #3 on regional strategy that is connected to both regional demands and global trends, and National Urban Policies. Driven by UN-Habitat, these Policy Units bring together high- promotes synergy among key members as much as possible. level expertise to identify good practices, lessons learned, and policy recommendations The Cities Alliance Latin America and the Caribbean regional strategy is based on two on urban issues. Each unit produces a document in their specific area that will feed into important pillars: Habitat III and the so-called “zero draft” document of outcomes. 1. Knowledge sharing and advocacy, both in the region and internationally. Germany, The National Urban Policies Unit met twice in 2015, organised by UN-Habitat, CEPAL a key player in the region, has a strong strategy for Latin America that sees the (United Nations Economic Commission for Latin America and the Caribbean) and regional countries as equal partners in overcoming policy and inequality, and OECD. Anaclaudia led a working group on key stakeholders along with representatives identifying key solutions that can be shared. The Cities Alliance strategy draws on from DFID, Colombia and Argentina, and participated in the Policy Unit#3 Draft this approach and targets key stakeholders at the national and community level Framework Document. and through south-south exchanges. 2. Technical assistance. There is still a need for it in Latin America, not so much funding but rather Cities Alliance’s expertise, know-how and strength of membership to add value to projects. There is a strong demand for countries to learn from each other, strengthen national policy, and institutionalise the urban agenda. The Cities Alliance LAC strategy is being soft launched 1 March 2016 at a regional Habitat III conference in São Paulo. Anaclaudia Rossbach, third from the right 54 55 ANNUAL REPORT 2015 ANNUAL REPORT 2015 III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ New Partnerships for Global, Regional New Partnerships for Global, Regional and Country Priorities and Country Priorities As part of the Cities Alliance Results Framework, the Secretariat is responsible New Country Programmes for four main outputs: partnerships convened around strategic global priorities; Technical Assistance provided; knowledge products and policy dialogues; and effective governance and management of the Secretariat. This In May, the Cities Alliance Board approved a new long-term partnership programme section outlines the results achieved in these four areas. with Liberia that will bring Greater Monrovia’s slum dwellers – who make up 70 per cent of its population – into the national development process, and help improve living and working conditions for the poor as part of the local recovery from the Ebola Virus Over the course of the year under review, the Cities Alliance established and engaged Disease. The programme is expected to run from 2016-2020. in a significant number of new partnerships at the strategic and operational level, internationally and at country level. As part the preparatory work for the Monrovia programme, the Secretariat in 2015 undertook a number of activities, including: going on several stakeholder consultation missions; co-convening the National Urban Forum in June 2015 with the Government of New Joint Work Programmes Liberia; holding the inaugural meeting of the programme’s Steering Committee; drafting a Framework Document which was formally approved at a meeting of the Interim Management Board in October; and securing USD 6 million in funding to support the programme. The Resilience Joint Work Programme, which was launched to operationalise one of the key priorities of the Cities Alliance Medium Term Strategy 2014-17, is now formally Although not yet formally approved and established, in 2015 the Secretariat also established and fully operational. laid the groundwork for a Country Programme in Tunisia. The initial scoping and diagnostic work has consolidated the three main focal areas around which the Country The Joint Work Programme brings together over 14 international development partners Programme’s operations will develop: to highlight and address the relationship between resilience and poverty in cities. It will partner with the Medellín Collaboration on Urban Resilience (MCUR) under an action- 1. Supporting strategic urban planning through the development of CDSs in a number orientated commitment to support 500 cities to the strengthen the resilience of their of secondary cities, with priority given to lagging non-coastal cities; informal communities by 2020. 2. Strengthening local democracy by developing tools and setting up mechanisms The Cities Alliance Joint Work Programme, which is coordinated by UN-Habitat, brings at the local level for stakeholder engagement in city governance, with a particular together a broad range of organisations active in different areas of urban development focus on citizen participation and women’s engagement in decision-making and aligns their efforts in support of a common objective: to promote resilient and processes; and inclusive cities. 3. Launching innovative studies to inform further public urban policies around Over the course of 2015, preparatory activities were undertaken to lay the foundation major areas of interest, such as metropolitan governance, the role of cities in for new Joint Work Programmes for Equitable Economic Growth and Gender. regional development, and laying the groundwork for the elaboration of a national urban policy. 56 57 ANNUAL REPORT 2015 ANNUAL REPORT 2015 III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ New Partnerships for Global, Regional New Partnerships for Global, Regional and Country Priorities and Country Priorities Other New Partnerships FT/IFC Transformational Business Awards The Cities Alliance partnered with the Financial Times and International Finance Corporation for the 2015 Transformational Business Awards. The Transformational Business Awards are a 100 Resilient Cities-Pioneered by the Rockefeller Foundation (100RC) unique global programme that highlight groundbreaking, long-term private sector solutions to key development issues. They are open to all financial and non-financial private sector During March 2015, the Cities Alliance formalised its relationship with the 100 organisations, with an emphasis on private sector-led public-private partnerships. Resilient Cities- Pioneered by the Rockefeller Foundation (100RC) campaign by becoming a Platform Partner. The global campaign is dedicated to helping cities Cities Alliance sponsored the special Excellence in City-led Transformation Category that around the world become more resilient to the physical, social and economic underlines achievements by municipal governments around the world. The award was won by challenges that are a growing part of the 21st century. It promotes a view of resilience Da Nang, Vietnam for its comprehensive, citywide reform programme, which also included firm that includes not only shocks – disasters like earthquakes, fires, and floods – but targets backed by administrative reforms to make the process effective. India’s Agra Municipal also the stresses that weaken the fabric of a city on a daily or cyclical basis, such as Council was highly commended for its citywide slum upgrading plan, which was also supported unemployment and social inequality. by the Cities Alliance. The partnership with 100RC is an important one for Cities Alliance, and it has been For the Cities Alliance, sponsoring the award was a chance to draw international attention formalised by the signing of a Memorandum of Understanding between the two to cities that are trying innovative, citywide approaches to promoting inclusive growth for organisations. Cities Alliance serves as a member of 100 RC’s global support platform, all citizens. It was also an excellent opportunity for the partnership to connect with new which supports cities in their resilience planning work by providing technical constituencies that are becoming increasingly important in development, particularly in the assistance in the preparation of their city development strategies. One of the main private sector. The FT/IFC Transformational Business awards were sponsored by the Omidyar components of this technical assistance is through the provision of Chief Resilient Network, which joined the partnership in 2015. Cities Alliance will sponsor the Excellence in Officers, who work closely with local governments and stakeholders to strengthen City-led Transformation award again in 2016. city resilience planning. The estimated combined value of this support platform is USD 200 million. Through this platform, Cities Alliance is able to channel direct support services to Representatives of bolster city resilience, including for cities participating in the Country Programmes Da Nang, Vietnam, and Future Cities Africa. A good example is Accra, a focus city for both a Cities Winner of the 2015 Alliance Country Programme and Future Cities Africa, which is also a city in the 100 Excellence in City- RC network. led Transformation Award, with Cities Alliance Director William Cobbett (Second from right) 58 59 ANNUAL REPORT 2015 ANNUAL REPORT 2015 III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ New Partnerships for Global, Regional New Partnerships for Global, Regional and Country Priorities and Country Priorities Partnering with Naerus for Compelling Analysis of City Issues Cities Alliance Provides Expertise to the International Guidelines on Cities Alliance has entered into a collaboration with Naerus, a 20-year-old network Urban and Territorial Planning of European researchers working on urbanisation in the Global South. The objective of the partnership is to generate compelling analysis and arguments, drawing on the experience and findings of network members, and then use this analysis to inform Cities Alliance Lead Urban Specialist Serge decision-making and generate policy transformation in support of city development. Allou was chosen to participate in an ad-hoc Expert Group convened by UN-Habitat to The partnership with Naerus is the first of its kind for Cities Alliance, and a unique support the elaboration of International collaboration with academia. The Cities Alliance’s role in the partnership is to help Guidelines on Urban and Territorial Planning consolidate a network and voice for issues concerning urbanisation in the Global (IG-UTP). The UN-Habitat Governing Council South. From its base in Brussels, the Cities Alliance is well-placed to support Naerus endorsed the Guidelines on April 2015 and with advocacy efforts and to strengthen Naerus’ links with academic institutions in published them along with a Compendium of Europe. Inspiring Practices. The partnership with Cities Alliance focuses on three mutually beneficial areas: The IG-UTP develop a reference framework to guide urban policy reforms and capture 1. Production of research and policy papers, in which Naerus will produce policy universal principles from national and orientations based on research; local experience that could support the 2. Reflection on the needs of research at the European level and how Cities Alliance development of diverse planning approaches can help structure an agenda for research in Europe; and adapted to different contexts and scales. 3. Advocacy from Cities Alliance to support Naerus’ direct engagement with European policy makers. The initiative currently involves 25 researchers from the USA, France, Germany, Italy, the Netherlands, Belgium, the UK, Switzerland, Ethiopia, Uganda, India, Argentina and Colombia. Three working groups have been set up – on Informality, Governance and Planning – with the objective of producing policy-orientated position papers to inform the Habitat III process. 60 61 ANNUAL REPORT 2015 ANNUAL REPORT 2015 III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ Technical Assistance Technical Assistance As part of its core work in 2015, Cities Alliance provided technical assistance Technical Assistance Operations in Country and Regional Programmes through grant and procurement funding in support of identified activities within the context of country and regional programmes, as well as the Catalytic Fund, the partnership’s funding window for innovation. Cities Alliance approved several Technical Assistance activities to support Country Programme operations and Country Programme activities. They include: The Catalytic Fund • Vietnam National Urban Development Strategy (NUDS); • Support to the Development of a National Urban Agenda in Mozambique; The 2015 Catalytic Fund Call for Proposals was issued in March. With the theme • Building the Capacity of the Urban Poor for Inclusive Urban Development in Ghana “Migration and the Inclusive City”, the call was innovative and noteworthy for several (SDI); reasons. • Enhancing the Planning Capacities of Cities in the Nacala Corridor (Nampula, Tete Migration is generally viewed as an international and national issue, and approaching and Nacala); and it from a city perspective is still somewhat of a novelty – despite the fact that migration • Equitable Economic Growth in Cities: An exploratory diagnostic to understand and is a pressing issue whose consequences are mostly felt at the local level. With the 2015 assess equitable growth potentials and challenges in selected cities of Cities Alliance Call, the Cities Alliance sought to promote innovative policy responses and practical Country Programmes. approaches at city level that adopt an inclusive response to migrants, including access to land, services, employment opportunities as well as voice in the recognition that migrants are for cities an invaluable cultural, social and economic resource. Technical Assistance Operations in Special Initiatives In addition, the 2015 Call was the first held since the Cities Alliance opened up the organisation to new types of members, and the increase in applications from international organisations, foundations and academia reflected the new and diverse Future Cities Africa nature of the partnership. Almost all Cities Alliance members sponsored applications, making clear that the Catalytic Fund is a valued tool for engaging the partnership Future Cities Africa involves collecting research and evidence that will give African around themes of global concern. cities the information and tools they need to develop and implement “future proofing” action plans to support inclusive growth and resilience. The 2015 Call formally closed on 8 May, with a total of 115 Concept Notes received from a broad range of organisations across the globe. Eleven innovative projects have been It is designed to be an inclusive process, involving in-depth consultation with national selected for funding to support local authorities, national governments, civil society, ministries, local authorities, civil society, donors and development actors, research citizens and migrants in making cities more inclusive. institutions, and the private sector. Replicability for broader use is also an important factor with the idea that the tools and knowledge generated by the Future Cities Africa The projects propose a range of approaches, including integrating migrants through project can then be adapted for use in other African cities. sports, social and cultural activities; improving migrants’ access to education, employment and services through social business creation; and integrating them into Future Cities Africa is implemented through, and builds upon the work of, Cities local economic development plans, national policies and city-level action. With these Alliance members and partners by securing their active involvement in shaping the catalysing approaches, the projects promote inclusion of a variety of different types substantive content. In each of the countries where Future Cities Africa is being of migrants, such as refugees, involuntarily returned migrants, internal migrants, and implemented, it has utilised an existing local forum of Cities Alliance members and second-generation migrants. partners established under the Country Programmes. 62 63 ANNUAL REPORT 2015 ANNUAL REPORT 2015 III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ Technical Assistance Technical Assistance Future Cities Africa will achieve its goals through the following four main outputs: It has launched the development of three innovative and practical toolkits in support of African local governments on strategic urban planning, data management and • Output 1 - A feasibility study outlining the four countries and eight cities that are the focus human resources needs. It has also commissioned high-quality research to help shape of the project, and detailing institutional and financial arrangements needed as well as an African research agenda around the issues of land expansion, urban governance and relevant stakeholders to inform a business case for future programming. service delivery, climate change and energy, and informality and economic growth. • Output 2 – Four research studies and one city typology reports that will improve the Finally, it has provided support for the development of a knowledge sharing platform evidence base to enable African cities to fulfil their potential as centres of growth and job designed to share results, data, and establish peer-to-peer contact between the creation in the face of climate, environment and resource challenges participating cities. Future Cities Africa has also provided seed funding to support an • Output 3 - A knowledge sharing platform designed to share results, data, and establish peer- open source decision-making model prototype (resilience.io), developed and piloted in to-peer contact between cities. Developed by Gaiasoft, the platform will use off-the-shelf one sector in the Greater Accra Metropolitan Area (GAMA) in Ghana, for potential use software that can be reconfigured and improved based on specific needs. in future urban programming in Africa. • Output 3 - An open source decision-making model prototype (resilience.io) developed and piloted in one sector in the Greater Accra Metropolitan Area (GAMA) in Ghana, for potential use in future urban programming in Africa. The model, developed by The Ecological Sequestration Trust (TEST), is designed to enable decision makers and key stakeholders to make better citywide policies, plans and interventions, once it is available and ready for deployment in African cities. • Output 4 – Three innovative studies focused on a particular thematic issue, or a specific city/ country challenge, that explore new ideas and innovative thinking to building resilience in African cities. Over a year into its implementation, Future Cities Africa is living up to its early promise and already beginning to show concrete results. Through the initiative, the Cities Alliance supports over 20 cities in four African countries (Ethiopia, Ghana, Mozambique and Uganda) to anticipate and minimise future challenges in terms of climate, environment and natural resources risks – essentially supporting the development of diagnostic tools to better equip cities to future proof themselves to become inclusive, resilient and have growing economies. As part of its technical assistance activities, the Future Cities Africa project in 2015 completed Draft Rapid City Resilience Assessments Reports (RCRAs) for the majority of cities in the four countries which will now be turned into full diagnostics. 64 65 ANNUAL REPORT 2015 ANNUAL REPORT 2015 III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ Technical Assistance Technical Assistance Future Cities Africa is changing the way cities approach planning Legacy Portfolio From 11-12 June 2015, Cities Alliance hosted a global knowledge exchange workshop The legacy Cities Alliance grant portfolio administered by the World Bank was largely for participants in the Future Cities Africa initiative. From the workshop, it was clear completed during 2015. Numerous outputs and outcomes resulted from the projects. that the project is already helping to change the way municipal governments approach urban planning and inclusive city development. Here is a sample of some of the In Sub-Saharan Africa, Urbanization Reviews were completed for Nigeria and Ethiopia, participants’ comments on the project: and the State of Ethiopian Cities Report was published. The World Bank’s Urbanization Reviews present and analyse key trends across a range of issues related to cities in the country, including the pace and form of urbanisation, opportunities and constraints, “Through Future Cities Africa, Cities Alliance is encouraging us to reflect on how we and priority government policy options. strengthen ownership at the local level and how we develop cities with inclusivity, especially gender and those most disadvantaged, in mind … In terms of the way forward The State of Ethiopian Cities Report was undertaken by the Ethiopia Civil Service my team and I represent different sectors which is an advantage for garnering national University with the Government and development partners. It compiled and and ministerial support. It will be easier for us to sell our ideas to GAMA and we will documented baseline information on urban realities in 27 selected urban centres, have a bigger impact.” serving as a basis for evidence-based policy making and strategy formulation, and will help cities to reflect on their urbanisation-related dynamics as well as facilitate Hon. Isaac Ashai Odamtten, Metropolitan Chief Executive of Tema Metropolitan horizontal learning. Assembly, Ghana In Rwanda, timely policy and sector advice was provided to the Government on urban development and housing, complementing the work of other development partners “My three take-home messages are firstly, issues of municipal management need to and serving as a catalyst for scaling up investments, including supporting green growth be constantly monitored as they are often ongoing. Secondly, it is important that of secondary cities in Rwanda. municipalities participate in finding solutions to these issues. Thirdly, Future Cities Africa is making a major contribution in my city, Tete, as it will help build the city’s High-level policy advocacy initiatives were aimed at Sub-Saharan Africa governments, resilience through city planning with a focus on sustainable development.” including a seminar at the International Monetary Fund/World Bank Spring Meetings 2015 on “Harnessing Urbanization for Shared Growth and Prosperity in Africa”, and at Mr Celestino António Checanhaza, Mayor of Tete Municipality, Mozambique events at the 2015 Africities Summit. In Ghana, an advocacy initiative raised the profile of urban issues and is generating debate in an inclusive and constructive way. “I have been impressed with the quality of exchanges and I think that the research In Asia, the portfolios in India, Philippines and the Pacific Islands were completed. areas are important. My opinion is that in Ghana we need to follow up on land value Outputs from the Transformation of Mumbai project included studies on appropriate capture, looking at the various options applicable in cities and also give more autonomy institutional models for a slum-free Mumbai, socio-economic outcomes of previous to cities.” land reclamation projects, and a report on institutional strengthening for sustainable reforms. At the national level, as part of the Peer Exchange and Reflective Learning “We at the Ministry will provide support to make sure that the lessons learned are (PEARL) programme implemented by National Institute of Urban Affairs, compendiums applied and work plans for the rapid city assessments are rolled out and implemented. of global good practice were compiled for various infrastructure sectors; research We will give directives to other cities, especially in the area of planning so that cities papers were produced on “smart cities” and managing peri-urban expansion; and can grow in an orderly manner. The Ministry will follow up with cities to act with speed numerous knowledge events delivered. to ensure that the Future Cities Africa programme is fully implemented. At GAMA, we would like to organise an investment forum to bring on-board private sector entities into city planning.” Mr. Sylvanus Adjornu, Head of the Urban Development Unit, Ministry of Local Government and Rural Development, Ghana 66 67 ANNUAL REPORT 2015 ANNUAL REPORT 2015 III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ Technical Assistance Knowledge Products and Policy Dialogues The League of Cities of the Philippines worked with five pilot cities to assess their Over the course of 2015 the Cities Alliance Secretariat financed a number of events, current transport and traffic conditions; develop a capacity assessment and technical learning exchanges and knowledge products aimed at supporting the partnership’s assistance strategy; and formulate traffic and transport management plans. objectives and goals. These activities centred around three primary categories: In Papua New Guinea, a socio-economic and physical conditions survey was completed, settlement upgrading strategy and plans developed, and climate vulnerability assessment undertaken. In Samoa, a city development strategy was undertaken, including assessment of capacity of relevant and national institutions, ADVOCACY TO PROMOTE KEY MESSAGES KNOWLEDGE SHARING, LEARNING, AND KNOWLEDGE PRODUCTS TO FILL KEY policy proposition papers on City Development Strategies and its relevance as a PRIORITISED BY MEMBERS AND TO PEER-TO-PEER EXCHANGE EVENTS AS PART KNOWLEDGE GAPS IDENTIFIED BY INFLUENCE GLOBAL PUBLIC POLICY MAKING. OF OUR PROGRAMMING. MEMBERS. planning tool, a knowledge sharing plan, and a monitoring and evaluation framework. • Major global cities events, such • A global knowledge sharing • The publication of our flagship as Africities, COP21, European workshop for participants in the study on Systems of Secondary Managing the Urban Portfolio of the Bill & Melinda Gates Foundation Development Days 2015, and the Future Cities Africa initiative, held Cities in Spanish Financial Times/International in June 2015 at the Secretariat in Finance Corporation Awards 2015 Brussels • An updated version of Assessing the Institutional Environment of • Joint Work Programme events • A learning exchange between three Local Governments in Africa, which Since 2013, the Cities Alliance Secretariat has provided substantive oversight to the and publications, including side global urban poor networks – SDI, provides a rating system for city events for the Second Preparatory WIEGO, and the Fundación Avina, enabling environments urban portfolio of the Bill & Melinda Gates Foundation. In some countries, such as Committee for Habitat III, the UN a non-profit based in Ecuador – to • The issue paper From Slums to Uganda and Ethiopia, the Cities Alliance has integrated the Gates Foundation grants Sustainable Development Goals share approaches. Sustainable Communities: The summit in September 2015, the into its existing Country Programme. In Liberia, the foundation’s initial investment in launch of our Resilient Cities JWP • A learning workshop at Africities Transformative Power of Secure Monrovia served as the basis for a new Cities Alliance Country Programme. For many and Habitat III events at COP21, and 2015 for projects that received Tenure, published with HFHI a discussion paper and CIVIS on funding through the 2012 Catalytic of the projects, 2015 was the final year of implementation. Equitable Economic Growth in Cities Fund Call for Proposals on Youth • A Training Facilitator’s Guide for the and the City Housing the Poor in African Cities for the JWP on Equitable Economic series of Quick Guides published Growth. • National Urban Forums in with UN-Habitat • Events aimed at supporting the Burkina Faso, Liberia, and Ghana Habitat III process and Cities as part of Cities Alliance Country Alliance regional strategy in Programmes Latin America, including the 2nd Latin America and the Caribbean Regional Forum “Housing for Life” in Monterrey, Mexico; and a side event at the November Habitat III thematic meeting on Intermediate Cities in Cuenca, Ecuador. • The Cities Alliance Africa Think Tank, a group of experts which met for the first time in September 2015 to provide leadership and profile for the Cities Alliance Africa Strategy. 68 69 ANNUAL REPORT 2015 ANNUAL REPORT 2015 III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ III. 0DQDJHPHQW(IIHFWLYHQHVVDQG(IƓFLHQF\ Governance and Secretariat Management Governance and Secretariat Management New Members Corporate Projects 2015 saw a conscious growth and expansion of membership in anticipation of the In 2015 the Cities Alliance has started developing a risk management (ERM) system adoption of a SDG on cities. As a global partnership committed to strengthening and for the organisation. The ERM will allow the Board and the Cities Alliance senior supporting the role of cities in sustainable development and urban poverty reduction, management to anticipate and respond to opportunities and threats while prioritising Cities Alliance requires members and partners who can bring complementarity to the alternatives and mitigation measures. The ERM includes an initial risks register/ partnership to achieve its vision of sustainable cities without slums. Membership log providing an analysis of identified risks for the organisation, the identification/ expanded to include nine new members in 2015, including two new categories of selection of five top corporate risks and potential related response measures. The Membership: Private Sector and Foundations and Knowledge Institutions. We are so process to develop the ERM has followed the ISO standard for risk management. pleased to introduce our new members: Over the past year, the Communications team has worked on creating policies and procedures for the Secretariat’s Communications activities, reviewing existing products, and putting the procurement pieces into place for new ones. Another major FULL MEMBERS priority has been a new branding initiative to reflect the expanding partnership and The World Bank better position the Secretariat from its location in Brussels. As part of that initiative, the team has been working with colleagues in Information Management and Partnership The Government of Chile to overhaul the Cities Alliance website to give it a fresh, new look and improve content. The Commonwealth Local Government Forum (CLGF) ICLEI-Local Governments for Sustainability Women in Employment Globalizing and Organizing (WIEGO) The AVSI Foundation The Institute for Housing and Urban Development Studies (IHS) of Erasmus University in Rotterdam ASSOCIATE MEMBERS The United Nations Development Programme (UNDP) The United Nations Capital Development Fund (UNCDF) 70 71 ANNUAL REPORT 2015 ANNUAL REPORT 2015 IV. Portfolio Overview Grant Allocation by Region During 2015, 35 projects were approved with over USD 7.8 million of grant funding. The following charts and graphs show the number of projects approved during the period under review and their geographic distribution. REGION NUMBER OF PROJECTS GRANT AMOUNT (USD) 11.1 GRANTS BY REGION Africa 18 $5,505,509 Asia 3 $666,318 Global 9 $868,253 Latin America and The Caribbean 4 $679,490 Middle East and North Africa 1 $170,505 TOTAL 35 $7,890,075 $666,318 Asia $868,253 Global $679,490 Latin America and $5,505,509 The Caribbean Africa $170,505 Middle East and North Africa 72 73 ANNUAL REPORT 2015 ANNUAL REPORT 2015 IV. Portfolio Overview IV. Portfolio Overview Grant Allocation by Programme Grant Allocation by Activity TYPE OF ACTIVITY NUMBER OF PROJECTS GRANT AMOUNT (USD) DELIVERY TYPE NUMBER OF PROJECTS GRANT AMOUNT (USD) 11.2 GRANTS BY TYPE OF PROGRAMME 11.3 GRANTS BY TYPE OF ACTIVITY CATF Innovation Programme 12 $2,074,583 Knowledge 10 $1,138,184 Country Programme 7 $2,631,401 Technical Assistance (TA) 25 $6,751,891 Joint Work Programme 4 $299,550 TOTAL 35 $7,890,075 Regional Strategies 4 $1,499,576 Special/Strategic Initiatives 8 $1,384,965 TOTAL 35 $7,890,075 $1,138,184 Knowledge $1,384,965 $2,074,583 Special/Strategic CATF Innovation Initiatives Programme $1,499,576 Regional Strategies $299,550 Joint Work $6,751,891 Programme $2,631,401 ce Technical Assistance Country Programme 74 75 ANNUAL REPORT 2015 ANNUAL REPORT 2015 V. 8QLWHG1DWLRQV2IƓFHIRU3URMHFW6HUYLFHV VI. Financials (UNOPS) Statement of Revenues and Expenditure for the Period 1 January - 31 December 2015 UNOPS is an operational arm of the United Nations, helping a range of partners The unaudited financial results presented below cover Cities Alliance programme operations implement more than USD 1 billon worth of aid and development projects every year. from 1 January to 31 December 2015, with a comparative total actual expenditure for 2014. As a global initiative in support to city development, Cities Alliance is hosted by UNOPS through its Europe and Central Asia Regional Office (ECR) based in Geneva. ECR also manages other portfolios of global outreach, such as the Water Supply and Sanitation 2015 2014 Collaborative Council (WSSCC) and the Stop TB Partnership, amongst others. In its UNRESTRICTED RESTRICTED TOTAL delivery of quality services, UNOPS ECR is supported through UNOPS delivery practices in Project Management, Infrastructure, Procurement, Finance and Human Resources. A. REVENUE UNOPS continuously focuses on improving performance and innovation to meet Member Core Contributions 10 $5,910,015 - $5,910,015 $7,458,656 partner needs, while aiming at increasing organisational maturity. Project Funding - $5,988,340 $5,988,340 $3,461,431 UNOPS’ range of hosting services and global outreach makes it a solid partner for TOTAL REVENUE $5,910,015 $5,988,340 $11,898,355 $10,920,087 initiatives such as Cities Alliance who want to retain their own profile and mandate provided by their respective governing bodies, yet, while being part of the UN, also require administrative/operational support services of consistent quality through an B. EXPENDITURE - OPERATING COSTS established financial and project management control framework. Governance, Finance & $1,572,787 $8,642 $1,581,429 $2,151,046 The expertise of Cities Alliance and other global initiatives also assist UNOPS to further Administration tailor and expand its support services to the benefits of all its partners. Striving for UNOPS Fees & Direct $474,728 $457,087 $931,815 $682,715 excellence and transparency, UNOPS has acquired a number of external certifications Allocable Costs aligning with international standards and has signed up to the International Aid Transparency Initiative (IATI), becoming one of the first organisations to publish data in Programme Support & Operations $984,444 $678,047 $1,662,491 $1,923,965 the standardised IATI format. TOTAL OPERATING COSTS $3,031,959 $1,143,776 $4,175,735 $4,757,726 UNOPS is proud to continue its support to Cities Alliance and to strengthen its partnership in the implementation of the new universal cities agenda as defined by the Sustainable Development Goals and Habitat III. UNOPS will continue to support Cities Alliance in joint actions together with national governments, local governments and civil society organisations that will make cities more inclusive, safe, resilient and sustainable. 10 Includes softly earmarked funds to support Cities Alliance Medium Term Strategy themes and programmes. 76 77 ANNUAL REPORT 2015 ANNUAL REPORT 2015 VI. Financials VII. The Cities Alliance Team Statement of Revenues and Expenditure for the Period 1 January - 31 December 2015 2015 2014 1 January 2015-31 December 2015 UNRESTRICTED RESTRICTED TOTAL B. EXPENDITURE - PROGRAMME GRANTS & ACTIVITIES SECRETARIAT STAFF: BRUSSELS Country Programmes $42,094 $3,283,941 $3,326,035 $2,600,928 Lead Urban Specialist Head, Finance & Operations Unit Catalytic Fund $2,282,474 - $2,282,474 $635,986 Allou, Serge Kibui, Phyllis Regional Strategies: $1,368,403 - $1,368,403 $253,739 Programme Management Specialist Sr. Urban Specialist Africa, Asia & LAC Balocova, Magdalena Kurth, Marie-Alexandra Joint Work Programmes & $291,592 $13,818 $305,410 $46,773 Head, Programme Unit Urban Specialist Medium Term Strategy Themes 11 Baskin, Julian Lima, Laura Other Strategic Initiatives $423,115 - $423,115 $294,774 Intern Programme Assistant Monitoring & Evaluation $38,295 - $38,295 $64,344 Bruhn, Fredrik Loi, Gian Nicola Future Cities Africa - $3,130,360 $3,130,360 $799,427 Intern, Online Communications Programme Unit Assistant Christen, Tutut Lozet, Florence TOTAL PROGRAMME GRANTS & ACTIVITIES 12 $4,445,973 $6,428,119 $10,874,092 $4,695,971 Director Sr. Communications Officer Cobbett, William Ofori-Amanfo, Priscilla TOTAL OPERATING COSTS & $7,477,932 $7,571,895 $15,049,827 $9,453,697 Programme Officer Information Management Specialist PROGRAMME GRANTS & ACTIVITIES Daepp, David Puspa, Erika Urban Environment Specialist Urban Analyst BALANCE OF REVENUE OVER EXPENDITURE: ($1,567,917) ($1,583,555) ($3,151,472) $1,466,390 Reudenbach, Lisa SURPLUS/(DEFICIT) FOR THE PERIOD Dave, Roshni Office Assistant Sr. Urban Specialist Fasano, Anais Siddique, Omar UNALLOCATED FUNDS BROUGHT FORWARD $10,407,235 $6,668,418 $17,075,653 $15,609,262 FROM PREVIOUS PERIODS Partnership Officer Sr. Programme Specialist Henderson, Susanna Silva, Federico UNALLOCATED FUNDS CARRIED FORWARD $8,839,318 $5,084,863 $13,924,181 $17,075,653 Sr. Urban Specialist Intern, Gender Team TO FUTURE PERIODS Hohmann, Rene Spörcke, Lea Executive Associate ICT Intern Karakhanyan, Nune Tijinbun Ngochi, Desmond 11 Includes expenditure for the Gender and Habitat III Joint Work Programmes. 12 Includes grants (for Country Programmes, Catalytic Fund, Regional Strategies and Joint Work Programmes) awarded during the respective years. 78 79 ANNUAL REPORT 2015 ANNUAL REPORT 2015 VII. The Cities Alliance Team VIII. Corporate Scorecard for 2015 Cities Alliance Results and Performance Management UNOPS HEADQUARTERS FUTURE CITIES AFRICA STAFF 1.1 Background COPENHAGEN Urban Specialist | Mozambique Afonso, Artur As per its Charter, the main objective of the Cities Alliance is to reduce urban poverty Programme Assistant Country Team Leader | Ethiopia and promote the role of cities in sustainable development. To assess the extent to Hordila, Alex Amdework, Efrem which its efforts and those of partners are making progress toward that objective, the Programme Assistant Cities Alliance monitors, evaluates and reports its activities within an agreed-upon Pligoropoulou, Thalia Senior Urban Specialist | Ghana performance and results framework and through dedicated comprehensive systems. Arthur, Bernard Abeiku Corporate Scorecard. This corporate scorecard serves as a snapshot of the Cities Urban Analyst | Mozambique WASHINGTON, DC Alliance’s overall performance and results in 2015 and as a report to the Cities Chemane, Valdemiro Alliance Management Board. It provides the Cities Alliance with information on the Communications Specialist achievement of development results, effectiveness in achieving those results, and Programme Assistant | Ghana Bunch, Juliet efficiency of its operations. The scorecard is also meant to support strategic planning to Essuman, Akosua fill crucial gaps, foster learning and corrective actions, and promote accountability for Programme Analyst Urban Specialist | Ethiopia results. Dai, Ngoc Garoma, Belay File The Scorecard comprises two major components: the Results Framework (RF) and the Programme Assistant | Ethiopia Performance Indicators Monitoring System (PIMS). REGIONAL STAFF Hawine, Gemtessa Results Framework. The Charter and three-year Medium Term Strategy (MTS) Regional Advisor, Africa | Pretoria, South Country Team Leader | Ghana establish the developmental objectives of the Cities Alliance, its approach and the type Hosken, Adele Kwadwo Ohene, Sarfoh of activities it supports. The Results Framework articulates the different tiers of results Regional Advisor, LAC | São Paulo, Brazil (outputs, intermediate outcomes, outcomes and impact) expected by Cities Alliance Programme Assistant | Uganda interventions that lead to the achievement of the organisation’s objectives through Rossbach, Anaclaudia Lalam, Betty causal and logical relationships (see Figure 1 below). The Results Framework includes Regional Advisor, Asia | New Delhi, India selected Indicators to help measure and document progress and performance across Country Team Leader | Uganda Suri, D. Ajay the various tiers of results. Mabala, Samuel Programme Assistant | São Paulo, Brazil The Results Framework is approved by the Consultative Group [now Assembly] as Urban Specialist | Uganda Violim Mercurio, Gabriela part of its responsibility for setting the strategic direction of the Cities Alliance, and Mukuye, Ronard for reviewing and evaluating the organisation’s overall performance. The Consultative Future Cities Africa Project Manager Group approved the current version of the Cities Alliance Results Framework at the Simpson, Jamie 2013 Annual Meetings in Ouagadougou. At that time, it also decided to operationalise and test the framework for a three-year period within the five Cities Alliance Country Programmes with an end of 2016 target. Performance Indicators Monitoring System. The Results Framework is defined operationally by the PIMS, which operationalises the 47 indicators into baselines, milestones and targets, data sources, and tools and frequency for data collection. The PIMS operates across Secretariat operations, grant portfolios and the organisation as a whole. The PIMS is not only about monitoring, controls and tracking emerging results; it is also about learning – for both clients and the Cities Alliance as a partnership – that can be applied in the planning and design of new activities. 80 81 ANNUAL REPORT 2015 ANNUAL REPORT 2015 VIII. Corporate Scorecard for 2015 Cities Alliance Results and Performance Management 1.2 Tiers Explained Tier I: Millennium Development Goals. This tier is primarily contextual and reports on the long-term development goals that countries are achieving. The universe of measurement is the countries where Cities Alliance has a long term engagement. Developmental impact is measured in terms of livelihood of the target population – the urban poor – across three aspects: slums (Target 11 – entrenched with Cities Alliance history), health, and participation. Impact levels here are well beyond the control of the Cities Alliance which, as such, is not responsible for delivering these objectives. Some of these indicators will be revised to align them to the new Sustainable Development Goal (SDG). Tier II: Partner results as supported by Cities Alliance members. The Cities Alliance provides technical assistance programmes and services to leverage the financing that helps cities to be more effective, participatory and able to deliver improved, responsive services to the urban poor. While Cities Alliance members are the clients of the Secretariat, the city (broadly defined) is the client of the Cities Alliance. Cities and national government partners are responsible for results at this level. A partnership of Cities Alliance members can only support the achievement of these results in partnership with beneficiaries and partners on the ground. Tier III: Cities Alliance programmatic results. This tier covers the programme activities of the Cities Alliance. With the support of the Secretariat, the partnership of Cities Alliance members provides financing and implementation of technical assistance to local and national partners within a long-term programmatic framework of cooperation (Country Programmes). Indicators reflect the typical suite of technical assistance services that the Alliance delivers to leverage investments: policy frameworks, local planning, institutional participation and community engagement, and capacity development. The partnership of Cities Alliance members – with the support of the Secretariat – is responsible and accountable for delivering these outputs. It is the Partnership’s Terms of Reference. Tier IV: Secretariat performance. This tier covers the organisational efficiency of the Cities Alliance Secretariat across four major areas of operations: partnerships; Technical Assistance grants; knowledge products and policy dialogues; and management of Cities Alliance governance. The Secretariat is responsible and accountable for delivering these outputs. It is the Secretariat’s Terms of Reference. It does so through its three Business Lines: (1) Country Programmes; (2) Catalytic Fund; and (3) Joint Work Programmes. 82 83 ANNUAL REPORT 2015 ANNUAL REPORT 2015 Figure 1: The Cities Alliance Results Framework Changes introduced in 2015 CITIES ALLIANCE PROGRAMME IMPACT: TIER I Improved quality of life, socio-economic Development impact/MDG level. New indicators. We have added new key condition and inclusion of the urban poor. performance indicators at the Secretariat level (Tier IV) to cover three important corporate areas which were not previously captured: our environmental footprint, our progress on gender mainstreaming CITIES ALLIANCE PROGRAMME OUTCOME: TIER II (a pillar of the Medium Term Strategy) Cities increasingly characterized by effective Cities are responsible for results at this level. and our ability to deliver against the local government, active citizenship, and A Partnership of Cities Alliance members can corporate workplan. The new indicators delivering improved and responsive services support the achievement of these results in are numbered respectively IV.4.7, IV.4.8 and to the urban poor partnership with its beneficiaries and partners IV.4.9 (see Annex I for a detailed definition). on the ground. Geographic expansion. The RF/PIMS was pilot tested within the five active Country Programmes. Given its usefulness in the management of these programmes, many of these indicators were also included in the M&E plan of the Country Programme INTERMEDIATE OUTCOME 1: INTERMEDIATE OUTCOME 2: INTERMEDIATE OUTCOME 3: INTERMEDIATE OUTCOME 4: TIER III in Liberia. Many of the indicators have National policy Local pro-poor and Mechanisms to engage Capacities of cities The Partnership of Cities Alliance also guided and structured part of the frameworks developed climate resilient citizens in city/urban in governance members is responsible and accountable for diagnostic work of the Future Cities and/or enhanced strategies and plans governance developed and management delivering these outputs. It is the Partnership’s Africa programme. This means that the to address urban developed, and strengthened Terms of Reference. next period 2017-2020 already has a new development needs resources mobilized geographical universe in place against which our progress can be measured. Alignment. As envisaged, this year we have further structured the Annual Report TIER IV around the Scorecard. The quantitative The Secretariat is responsible and accountable for results are thus complemented by the SECRETARIAT OUTCOME 1: SECRETARIAT OUTCOME 2: SECRETARIAT OUTCOME 3: SECRETARIAT OUTCOME 4: delivering these outputs. It is the Secretariat’s qualitative narrative of the Report which Terms of Reference. captures the most significant changes Partnerships Technical Assistance Cities Alliance Effective management within Cities Alliance programmes in the convened for strategic (TA) Grants appraised, knowledge products and responsive It does so through its four Business Lines: current calendar year. country, regional and approved and and policy dialogues governance of Cities (1) Country Programmes; (2) Catalytic Fund; global priorities supervised delivered to targeted Alliance delivered (3) Communications and Advocacy; audiences (4) Knowledge and Learning. 84 85 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. Summary 2015 Corporate Scorecard X. The Scorecard (Targets end of 2016) IMPACT INDICATORS 13 CRITERIA 14 BASELINE CURRENT [2007/2013] [YEAR] TIER I - IMPACT TIER I: DEVELOPMENT IMPACT AND MDG GOALS [TARGETS END OF 2016] I.1 Improved I.1.1 Percentage of city population % 55.1% 53% [2014] I • Slums quality of life, living in slums • Health socio-economic condition and I.1.2 Percentage of households in urban % N/A N/A • Participation inclusion of the areas that exist without secure tenure urban poor. TIER II: CITIES AND PARTNER RESULTS [TARGETS END OF 2016] I.1.3 Under age 5 mortality rate in Per 1000 73.5 N/A urban areas II • Local Governance • Active Citizenship I.1.4 Participation of urban poor in the % N/A N/A voting population • Access to Services TIER III: RESULTS IN PROGRAMMES [TARGETS END OF 2016] • National Policies III • Local Strategies and Plans • Citizen Engagment • Capacity Development TIER IV: ORGANISATIONAL EFFICIENCY AND PERFORMANCE [ANNUAL] • Partnerships IV • Technical Assistance (TA) Activities • Knowledge Products and Policy Dialogues • Cities Alliance Efficiency and Governance LEGEND Challenge. Majority of indicators show a decrease from baseline, have failed to achieve / complete the established target or are significantly below the established performance standards. However, most are expected to complete by the target-date of end 2016. Watch. Majority of indicators show no significant increase or decrease from baseline, have not yet achieved the established targets, or are under the established performance standards although within tolerance. On Track. Majority of indicators show significant increase from baseline, have achieved the established targets or meet/exceed the established performance standards. Sustainable. Targets/performance standards are consistently achieved and mechanisms/processes underlying change are institutionalised and/or maintained without external assistance. Not Applicable. Insufficient data to establish a trend, or no target or performance standard is set. For Tiers I and II, colour-coded traffic lights are not provided since they pertain to the developmental context and are results driven by city partners which are tracked on a three-year basis. 13 TIER I/MDG Indicators have not been tracked regularly by international and national organisations. Currently are under revisions to align them to the post 2015 agenda and the Sustainable Development Goal (SDG). 14 Only measured in cities and countries where Cities Alliance works 86 87 ANNUAL REPORT 2015 ANNUAL REPORT 2015 X. The Scorecard X. The Scorecard OUTCOME INDICATORS CRITERIA BASELINE TARGET Notes on Tier II: Methodology and Qualitative Results [YEAR] 2016 TIER II - OUTCOMES This Tier describes the impact that leveraged funding from Cities Alliance technical II.1 Cities II.1.1 Average municipal expenditures per person US$ [total expenditures / 51.2 USD 53.8 USD increasingly per year population] [2013] assistance has on cities from our focus countries; specifically on being more effective, characterised by participatory and able to deliver improved, responsive services to the urban poor. effective local II.1.2 Average number of municipal employees as % [# Employees / 0.47% 0.49% government, active a percentage of the total population per year total population] [2013] citizenship, and II.1.3 Average number of women among % [# women employees / total 41.8% 43.9% Between 2013 and 2014, city indicator baselines for the first five Cities Alliance Country delivering improved municipal employees municipal employees] [2013] and responsive Programmes (Uganda, Ghana, Mozambique, Burkina Faso and Vietnam), which services to the II.1.4 Proportion of municipal employees with % [# employees with edu / 55.8% 58.6% comprise the universe for the initial pilot phase of the PIMS have been collected. In urban poor. post-secondary education total municipal employees] [2013] Burkina Faso the baseline study on Tier II indicators has been carried out by Agence II.1.5 Average percentage of % of all eligible 56.9% 59.7% voter participation voters [2010/13] Perspective, a national consultancy firm which provided the initial diagnostic for II.1.6 Average percentage of % of all eligible N/A N/A the development of the country programme. In Ghana, the work has been carried women voter participation women out by ILGS and is part of the ‘sustainable urban local government capacity building’ II.1.7 Average ratings on existence of a municipal Scale [0-2] 1 2 grant. In Vietnam, the work has been carried out by ACVN. Given the high number of website for citizen questions and complaints [2013] participating Vietnamese cities, a representative sample is based on factors including II.1.8 Average ratings on functioning of local-level Scale [0-2] 1.5 2 structures for consultations [2013] size, geography, and degree of involvement in the programme. In Uganda, the baseline II.1.9 Average ratings on participatory planning Scale [0-2] 1.5 2 study has been conducted by a team within the Ministry of Lands, Housing and Urban process in place (budgetary or other) [2013] Development. II.1.10 Average ratings on levels of civil society Scale [0-2] 1.5 2 activity in municipality [2013] Tier II data is not updated annually, but rather at programme closure - i.e. end of 2016 II.1.11 Average proportion of households in slum % 47.9% 50.3% - as an end-line study. Collecting data for this Tier annually was adjudged to be too and/or low-income areas with regular access to [2013] potable water expensive, but also not very effective in measuring progress and attribution. Impact II.1.12 Average proportion of km of maintained % 84.1% 88.3% at this level need to be assessed over longer timeframes, so that it includes actual roads/paths in slum and/or low-income areas [2013] outcomes from the funds leveraged through the technical assistance. Tier II endlines II.1.13 Average proportion of households in % 21.7% 22.8% for Uganda, Vietnam and Ghana will be prepared by June with Burkina Faso and slum and/or low-income areas with sewerage [2013] connections Mozambique coming at a later stage. II.1.14 Average proportion of households in slum % 59.5% 62.5% and/or low-income areas with regular electricity [2013] Given the strong linkages that have been created between the TA provided and connections capital investments follow-up in many of the Country Programmes, there is a degree II.1.15 Average proportion of households in slum % 39.8% 41.8% of confidence that some of the above baselines will have a positive evolution. A 5% and/or low-income areas with regular solid waste [2013] collection increase has been calculated as a standard target. Moreover, Ghana, Uganda and II.1.16 Effectiveness of advocacy and knowledge US$ (,000,000) 30.6 32.1 Vietnam have operational community development/upgrading funds which have now product dissemination – Average Official [# ODA Flows] [2012] Development Assistance for urban development financed several small community infrastructure projects. II.1.17 Effectiveness of advocacy and knowledge Scale [0-2] 1.6 2 product dissemination – Average ratings for prominence of city and urban themes in corporate strategic directions [Cities Alliance members] 88 89 ANNUAL REPORT 2015 ANNUAL REPORT 2015 X. The Scorecard X. The Scorecard OUTCOME INDICATORS CRITERIA BASELINE TARGET CURRENT IN PROGRESS COMPLETE STATUS OUTCOME INDICATORS CRITERIA BASELINE TARGET CURRENT IN PROGRESS COMPLETE STATUS 2011 2016 2015 [PERCENT] [PERCENT] 2011 2016 2015 [PERCENT] [PERCENT] TIER III - INTERMEDIATE OUTCOMES [READ THIS IN CONJUNCTION WITH ANNEX 2] 15 TIER III - INTERMEDIATE OUTCOMES Continued III.1 III.1.1a Unit 0 4 16 2 25% [1] 50% Some delays in III.3 III.3.1 Number of cities Unit 0 42 27 33% [14] 64% On track National policy Number of (aggregate the preparation of Mechanisms which have regularly (aggregate frameworks countries with from scale: the Vietnam and to engage functioning governance from scale: developed and/ national urban values Burkina policies. citizens in mechanisms to engage values = or or enhanced to policy(ies) = or > 2) city/urban citizens in urban > 2) address urban developed governance governance development developed needs. III.1.1b Unit 0 3 1 67% [2] 33% Uganda national III.3.2 Number of Unit 1 5 4 20% [1] 80% On track Number of (aggregate policy to be countries which have (aggregate countries with from scale: resubmitted to the regularly functioning from scale: national urban values = 3) Cabinet in April. governance mechanisms values = or policy(ies) to engage citizens in > 2) adopted urban governance III.1.2 Unit 0 3 1 67% [2] 33% See above. III.3.3 Number of Unit 0 25 Tracking 14 Tracking Number of (aggregate sustainable mechanisms countries from scale: to engage citizens with national values= 3) (Catalytic Fund projects & urban policy projects at the city level) frameworks developed III.4 III.4.1 Number of cities Number 0 37 14 81% [30] 37% On track to Capacities where the capacity of (aggregate be achieved III.2 III.2.1 Unit 0 42 3 81% [34] 7% Process in GH and of cities in local governments has from scale = 2) by the target Local pro-poor Number of local UG slower than governance been strengthened in date – 37% and climate- pro-poor expected. Both and areas such as strategic increase from resilient climate resilient countries to be management planning, financial last year strategies and strategies/ completed by 2016. strengthened management, and human plans developed, plans developed resources management and resources mobilised III.2.2 US$ N/A 500K N/A Tracking Tracking III.4.2 Number of Number 0 4 1 75% [3] 25% On track to Average total countries in which the (aggregate be achieved financial capacity of training and from scale = 2) by the target resources support organisations date – 25% mobilised (national public increase from by partners organisations, universities, last year for strategy training institutions, implementation associations of cities, etc.) to train local government officials and current and future technical experts has been strengthened. future urban technical experts has been strengthened 15 Delayed from baselines to current status is due to the upfront time for programme set up and the institutional transition. All CP grants are currently operational and under implementation. 16 Targets were initially established in 2013 has been slightly revised after consultation and validation with country partners. 90 91 ANNUAL REPORT 2015 ANNUAL REPORT 2015 X. The Scorecard X. The Scorecard Notes on Tier III: Methodology and Qualitative Results Ghana. The country held its fifth National Urban Forum in August 2015. The Forum drew more than 215 participants from across the country to discuss the theme Building Resilient Cities – Deepening Spatial Planning and Land Value Capture for Development as Ghana prepares to implement its National Urban Policy. With support from Cities Annex II provides a snapshot of Tier III across the different cities and countries Alliance, the Institute for Local Government Studies (ILGS) – is providing valuable participating in the Country Programmes. These indicators are mainly maturity institutional capacity strengthening to help Greater Accra Metropolitan Area (GAMA) scales which go from an initial stage at inception to maturity at the end point of the local authorities be prepared to implement the National Urban Policy. In 2015 ILGS programme (in terms of optimisation/institutionalisation/scale etc.). Most of the targets held three training workshops with goal of providing local government officials, city are set to be ‘green’ at the end of 2016, which coincides with the end of the Land, Services authorities and planners with the know-how to better manage and plan cities, and to and Citizenship (LSC) programme. increase their knowledge of resilience and climate change. With regard to some of the progress and challenges, the following should be noted. In Mozambique. The slum upgrading initiative in the Chamanculo C neighbourhood of Vietnam the urban policy process is underway. The initial Cities Alliance investment Maputo, Mozambique is a true example of global cooperation. It derives from successful has served to focus attention on the need for a national urban policy and leveraged integrated, participatory slum upgrading experiences undertaken in Salvador de Bahia, an additional USD 1.5 million from the Asian Development Bank and USAID. Cities Brazil, with the support of Cities Alliance and the governments of Italy and Brazil. The Alliance initiated a process that has grown into a larger policy dialogue and process success of the integrated methodology used in Salvador led delegations of many African involving many more stakeholders, that will culminate in a Prime Minister’s decree in states to visit Brazil to learn about its upgrading experiences. In order to test whether support of the urban development policy by 2018. In Burkina Faso considerable delays the methodology was transferrable to an African city slum, the organisations and have been experienced due to political instability and the uncertainty of the powers partners that implemented the project in Salvador – including the Italian NGO AVSI – and functions of cities. The Uganda policy process is complete and scheduled to be partnered with the City of Maputo to adapt the methodology to Chamanculo C. submitted to cabinet in April 2016. Uganda. The Government of Uganda is in the final stages of formulating an overarching In both Uganda and Ghana (27 local plans) the planning process has been directly linked National Urban Policy to respond to the rapid urbanisation growth and challenges with to municipal capacity development. In many municipalities a very low planning skill support through the Cities Alliance Country Programme in Uganda (Transforming base exists and considerable extra training has been required. In all municipalities the Settlements of the Urban Poor in Uganda, or TSUPU). The national urban policy the planning process has started and different municipalities are at various levels has been finalised by the Policy Working Group and is expected to be submitted to the of completion and in line with the target completion date of 2016. Quality assurance Cabinet for consideration and adoption by April 2016. The Municipal Development is currently taking place and plans are being improved through a learning by doing Strategy (MDS) initiative promotes long-term, proactive, and participatory planning exchange. in 14 secondary cities in Uganda so that they will be better positioned to accommodate In addition to impact gauged by the current indicators, the following are some of the future urban growth. It focuses on bringing all stakeholders together to develop a Most Significant Changes (MSC) that have occurred during the year: shared vision for their city that benefits all residents, especially women and youth. The MDS initiative was launched in February 2015. Burkina Faso. A major milestone in 2015 was the country’s first-ever National Urban Forum, held in Ouagadougou. The Municipal Urban Forums were among the most Vietnam. An important component of the Cities Alliance Country Programme in important vehicles for community participation. Four of these were held over the Vietnam has been the establishment of a National Urban Development Strategy course of 2015 in Tenkodogo, Dori, Bobo-Dioulasso, and Dedougou. New to Burkina (NUDS) to guide the country’s urban development. In September 2015, the process took Faso, these forums provided a platform for dialogue and consultation among a major step forward when Cities Alliance signed an agreement of cooperation with local stakeholders on city development issues and priorities. Each forum gathered the Vietnamese Ministry of Construction for the foundation phase of developing the around 150-200 people, including representatives from civil society (who made up strategy. In January 2015, an initiative to prepare community-based, participatory City approximately one third of attendees). Women made up nearly half of all participants Development Strategies in seven cities in Vietnam was launched. It is one of three at the four forums. building blocks of the Vietnam Country Programme, in addition to interventions at the national and community levels. 92 93 ANNUAL REPORT 2015 ANNUAL REPORT 2015 X. The Scorecard X. The Scorecard PERFORMANCE STANDARD YEARLY OUTPUTS INDICATORS CRITERIA 2010 2012 2013 2014 2015 COMPLETE STATUS WORLD BANK 17 UNOPS 18 [PERCENT] TIER IV - SECRETARIAT OUTPUTS IV.1 Partnerships IV.1.1 Multi-member partnership agreements endorsed by the partners per year Unit 1 2 2 1 1 2 2 100% convened for strategic country, regional and IV.1.2 Total financing per partnership agreement per year US$ total value (,000) 928 796 3,862 2,959 1,215 1,108 20 700 100% global priorities IV.1.3 Diversity of partners per multi-member partnership agreement Scale AVG score 2 2 2.5 1 3 2.5 3 83% IV.2 Technical IV.2.1 Number of TA activities approved Unit 21 15 6 1 10 26 30 87% Assistance (TA) activities appraised, IV.2.2 Total value of TA activities approved US$ (,000) 8,081 3,978 2,792 1,152 5,301 7,132 7,500 95% approved and supervised 19 IV.2.3 TA activities effectively supervised % of total reports received N/A N/A 75 75 70 90% 90 100% IV.3 Cities Alliance IV.3.1 Number of knowledge products produced with grant financing Unit 2 14 14 13 11 8 10 80% knowledge products by members and partners and policy dialogues delivered to targeted IV.3.2 Number of knowledge products produced with grant financing by Unit 5 7 16 0 17 28 5 100% audiences the Secretariat IV.3.3 Audience access to knowledge products Unique Visitor Access 36,656 69,830 78,881 23,874 73,845 76,520 50,000 100% IV.3.4 Policy dialogues and formal learning events that are financed by Unit 8 8 13 4 1 5 5 100% grants and implemented by members and partners IV.3.5 Policy dialogues and formal learning events that are financed by Unit 8 2 9 2 5 18 5 100% grants and implemented by the Secretariat IV.4 Effective IV.4.1 Grant Making Efficiency: From initial submission of proposal to approval Days 113 67 89 86 44 158 60 -62% management and of grant responsive governance of Cities Alliance IV.4.2 Grant Making Efficiency: From approval of grant to grant agreement Days 107 80 44 16 59 39 30 -23% delivered IV.4.3 Grant Making Efficiency: From grant agreement to first disbursement Days N/A N/A N/A 42 12 10 10 100% IV.4.4 Grant Making Efficiency: From final disbursement to closing Days N/A N/A N/A N/A Tracking Tracking 120 N/A IV.4.5 Members’ impression of Secretariat effectiveness: support to governance Scale AVG score N/A N/A N/A 3.7 4.8 4.6 4 100% meetings IV.4.6 Members’ impression of Secretariat effectiveness: quality and timeliness Scale AVG score N/A N/A N/A 4.3 4.6 4.5 4 100% of reports to Members IV.4.7 [NEW] Secretariat Greenhouse Gas Emissions performance Average emissions per staff N/A N/A N/A N/A N/A 13.4 5 21 -63% (tonnes CO2 equivalent) [2014] IV.4.8 [NEW] Secretariat staff capacity on Gender Mainstreaming % positive feedback ratings N/A N/A N/A N/A N/A 57% 75% 76% IV.4.9 [NEW] Secretariat Delivery Performance. Rate of completed % completed activities N/A N/A N/A N/A N/A 65% 100% 65% activities against the approved annual work plan 19 This indicator now includes not only TA grants but also TA activities which have been procured 20 Committed only 21 Target for emissions is based on UNOPS average. Given the diversity of UNOPS with Cities Alliance’s business model, data should be taken with due caution until a more longitudinal perspective and other organisational benchmarks will become available. Emissions data 17 Up to 30th August 2013 include air travel for partners in those cases where these expenditures have been funded by 18 From 31st August - 31st December 2013 the Cities Alliance. 94 95 ANNUAL REPORT 2015 ANNUAL REPORT 2015 X. The Scorecard XI. $QQH[,QGLFDWRU'HƓQLWLRQV Notes on Tier IV: Methodology and Qualitative Results Tier I: Cities Alliance Programme Impact Tier IV, the Secretariat level, is under constant tracking and regularly updated through I.1 Improved Quality of Life, Socio-economic Condition and Inclusion of the Urban Poor the information gathered by the Cities Alliance project database. While overall the Secretariat’s performance has exceeded most of the performance expectations and 1. Percentage of city population living in slums. The number of people living in slums of a annual targets, data on grant processing time is an area of concern. The high number city (numerator) divided by the total population of this city (denominator) expressed as of days is due to a combination of internal non-optmised processes, grantee degree of a percentage. At the country level, this percentage is the total number of people living in responsiveness and allocation of time. The Secretariat will carry out further analysis slums of all the cities of a country (the numerator), divided by the total population living in on the distribution between internal and external factors. Response measures have all the cities of the given country (the denominator), expressed as a percentage. already been identified as part of the risk framework process. For indicator IV.4.1, data used for calculation ncludes projects for which project Sources: GCIF; http://mdgs.un.org/unsd/mdg/seriesdetail.aspx?srid=710 proposals have been approved within the timeframe 1 January - 31 December 2015. For indicator IV.4.2, data used for calculations includes projects for which project-related UN-Habitat has developed a household-level definition of a slum household in order to grant agreements have been countersigned from 1 January - 31 December 2015. For use existing household level surveys and censuses to identify slum dwellers among the indicator IV.4.3, data includes projects for which the first disbursements have been urban population. A slum household is a household that lacks any one of the following five made between 1 January - 31 December 2015. elements: We have added new key performance indicators at the Secretariat level (Tier IV) • Access to improved water (access to sufficient amount of water for family use, at an to cover three important corporate areas which were not previously captured: our environmental footprint, our progress on gender mainstreaming (a pillar of the affordable price, available to household members without being subject to extreme effort); Medium Term Strategy) and our ability to deliver against the corporate workplan. • Access to improved sanitation (access to an excreta disposal system, either in the form of a private toilet or a public toilet shared with a reasonable number of people); • Security of tenure (evidence of documentation to prove secure tenure status or de LEGEND facto or perceived protection from evictions ); Challenge. For indicators based on targets (Tiers II&III), indicator shows a decrease from baseline • Durability of housing (permanent and adequate structure in non-hazardous location); and/or has failed in achieving the established target. For indicators based on performance standards (Tier IV), indicator is significantly far under the established performance standard. • Sufficient living area (not more than two people sharing the same room). Watch. For indicators based on targets (Tiers II&III), indicator shows no significant increase or decrease from baseline and/or has not yet achieved the established target. For indicators based on Source: UN-Habitat performance standards (Tier IV), indicator is under the established performance standard although 2. Target for emissions is based on UNOPS average. Given the diversity of UNOPS within within tolerance. Cities Alliance’s business model, data should be taken with due caution until a more On Track. For indicators based on targets (Tiers II&III), indicator shows significant increase from longitudinal perspective and other organisational benchmarks become available. Emissions baseline and/or has achieved the established target. For indicators based on performance standards data include air travel for partners in those cases where these expenditures have been (Tier IV), indicator meets/exceeds the established performance standard. funded by Cities Alliance. Sustainable. Targets/Performance standards are consistently achieved and mechanisms/processes underlying change are institutionalised and/or maintained without external assistance. Not Applicable. There is insufficient data to establish a trend, or there is no target or performance standard. 96 97 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. $QQH[,QGLFDWRU'HƓQLWLRQV XI. $QQH[,QGLFDWRU'HƓQLWLRQV 3. Percentage of households in urban areas that exist without secure tenure. The number of Tier II: Cities Alliance Programme Outcome households in urban areas without secure tenure (the numerator) divided by the total number of households in the same urban areas (denominator) expressed as a percentage. Secure tenure is the right of all individuals and groups to effective protection against forced evictions. People II.1 Cities Increasingly Characterised by Effective Local Government, Active Citizenship, and have secure tenure when there is evidence of documentation that can be used as proof of secure Delivering Improved and Responsive Services to the Urban Poor tenure status or when there is either de facto or perceived protection against forced evictions. 1. Municipal expenditures per person per year [Effective Local Government]. Numerator: Sources: GCIF; UNSTAT (Last update: 02 Jul 2012): Total operating expenditures of municipality in a given year. Denominator: total population http://unstats.un.org/unsd/mdg/SeriesDetail.aspx?srid=711 (estimated) of municipality in same year. Average expressed in US$. 4. Under age 5 mortality rate in urban areas. (MDG-related) The under-5 mortality, also Sources: Operating budget of municipality; called infant mortality, is a rate defined as the number of infants dying before reaching national population census and population estimates. their fifth birthday per 1,000 live births in a given year. It is an indicator of the Millennium Development Goals, which seek to reduce the under-5 mortality rate by two-thirds between 2. Municipal employees per person [Effective Local Government]. Numerator: Total number of 1990 and 2015. Under-5 mortality measures child survival and reflects the impact of social, employees directly or indirectly employed by the municipality in a given year. Denominator: economic, and environmental circumstances as well as other causes of death on infants, Total population of municipality in same year. Figure expressed as a percentage. toddlers, and young children, including access to health care. Sources: Human Resources department of municipality; Sources: MDG - United Nations; UNICEF http://www.unicef.org/sowc2012/pdfs/SOWC%20 national population census and population estimates. 2012-Executive%20Summary_EN_13Mar2012.pdf 3. Average number of women among municipal employees [Effective Local Government]. 5. Participation of urban poor in the voting population. The total number of voting urban Numerator: Total number of female employees directly or indirectly employed by the poor per 1,000 voting persons. This definition refers to the concept of voting age population, municipality in a given year. Denominator: Total number of employees directly or indirectly which includes all citizens above the legal voting age. employed by the municipality in the same year. Figure expressed as a percentage. Source: IDEA. Sources: Human Resources department of municipality; national population census and population estimates. 4. Proportion of municipal employees with post-secondary education [Effective Local Government]. Numerator: Number of well-trained employees (engineers, technical experts, etc.) in a municipality in a given year. Denominator: Total number of employees directly or indirectly employed by the municipality in the same year.. Figure expressed as a percentage. Sources: Human Resources Department of municipality; national population census and population estimates. 98 99 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. $QQH[,QGLFDWRU'HƓQLWLRQV XI. $QQH[,QGLFDWRU'HƓQLWLRQV 5. Voter participation in most recent municipal election (as % of eligible voters) [Active 8. Functioning of local-level governance structures for consultation, at ward or sub-ward Citizenship]. Numerator: Number of eligible voters who voted in most recent municipal level [Active Citizenship]. Consultation is a process through which subjects or topics of election. Denominator: Number of eligible (or registered) voters in municipality for the same interest are discussed within or across constituency groups. It is a deliberation, discussion, election. Figure expressed as an average. and dialogue. The objective of a consultation is to seek information, advice and opinion. In any consultative process, the convener is not only gathering input, but sharing information as well. The organiser seeks to identify and clarify interests at stake, with the ultimate aim Sources: GCIF, voting records of developing a well-informed strategy or project that has a good chance of being supported and implemented. Providing and sharing information is seen as the foundation of an 6. Average percentage of women voter participation [Active Citizenship]. Numerator: effective consultation process (World Bank). Number of eligible female adult voters who voted in most recent municipal election. Denominator: Number of eligible (or registered) female voters in municipality for the same RATING SCALE: election. Source: Voting records 0 1 2 7. Existence of active municipal website for citizen questions and complaints [Active Little or no governance Ad hoc or irregular Governance structures that Citizenship]. Indicators measure existence and quality of the municipal ICT enhancing structures for consultations governance structures for are legally mandated and public accountability towards citizens. consultations functioning actively RATING SCALE: Sources: Information from website and/or operating budget; data from municipal administration 0 1 2 9. Participatory planning processes in place (budgetary or other) [Active Citizenship]. Participatory planning is a tool for identifying the collective needs of all individuals within No website or equivalent Website (or equivalent ICT Website exists (or equivalent a community, a way of building consensus, and a means of empowering disadvantaged or disenfranchised groups (World Bank). ICT system system) exists and some ICT system), information information available but is available and platform is RATING SCALE: not maintained/interactive interactive 0 1 2 Sources: City IT Departments. Little or no participatory Formal planning structures in Regular use of local planning place for budgets and participatory processes for planning projects budgetary and project purposes Sources: Information from website and/or operating budget; data from municipal administration 100 101 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. $QQH[,QGLFDWRU'HƓQLWLRQV XI. $QQH[,QGLFDWRU'HƓQLWLRQV 10. Level of civil society activity in municipality [Active Citizenship]. The term civil society 13. Proportion of households in slum and/or low-income areas with sewerage connections refers to the wide array of non-governmental and not-for-profit organisations that have [Delivering services to the urban poor]. Numerator: Total number of households living a presence in public life, expressing the interests and values of their members or others, in slum and/or low-income areas that are connected to a main sewerage system in a given based on ethical, cultural, political, scientific, religious or philanthropic considerations. country. Denominator: Total number of households living in slum and/or low-income areas. Civil Society Organisations (CSOs) therefore refer to a wide of array of organisations: Figure expressed as a percentage. community groups, non-governmental organisations (NGOs), labour unions, indigenous groups, charitable organisations, faith-based organisations, professional associations, and Sources: Municipal water/sanitation departments foundations (World Bank). 14. Proportion of households in slum and/or low-income areas with regular electricity RATING SCALE: connections [Delivering services to the urban poor]. Numerator: Total number of households living in slum and/or low-income areas that are formally connected to 0 1 2 electricity. Denominator: total number of households living in slum and/or low-income areas. Figure expressed as a percentage. Little or no civil society Moderate civil society Strong and visible civil activity activity society activity Sources: Municipal/local electricity supply agency 15. Proportion of households in slum and/or low-income areas served by regular solid waste collection (either publicly or privately) [Delivering services to the urban poor]. Sources: Cities Alliance Secretariat, Civil Society Index Numerator: Total number of households located in slum and/or low-income areas that are 11. Access to regular potable water in slum and/or low-income areas [Delivering services served by regular solid waste collection (either publicly or privately). Denominator: Total to the urban poor]. Access: within 200 metres from a home; Adequate: 20 litres / day / number of households located in slum and/or low-income areas. Figure expressed as a person; Safe: water does not contain biological or chemical agents directly detrimental percentage. to health. Numerator: total number of households in slum and/or low-income areas with regular supply of potable water from municipal source (calculation based on MDG criteria). Sources: Municipal sanitation departments Denominator: total number of households living in slum and/or low-income areas. Figure expressed as a percentage. 16. Effectiveness of advocacy and knowledge product dissemination – Official Development Assistance for urban development. Official Development Assistance (ODA) in urban Sources: City Engineer’s office/Municipal Public Works Departments development is defined as an umbrella of flows captured by the OECD Creditor Reporting System (CRS) 43030 Urban Development and management (integrated urban development 12. Kilometres of maintained roads in slum and/or low-income areas [Delivering services to projects; local development and urban management; urban infrastructure and services; the urban poor]. Numerator: Total number of kilometres of maintained roads in slum and/ municipal finances; urban environmental management; urban development and planning; or low-income areas. [Implies that roads are graded regularly, there are culverts or runoff urban renewal and urban housing; land information systems) and 16040 Low Cost Housing. drains for the rainy season, and roads are passable for vehicles such as ambulances, taxis, Figure expressed in US$. and trucks for access to markets.] Denominator: Total number of kilometres of roads/paths in slum and/or low-income areas. Figure expressed as a percentage. Source: AidData Sources: City Engineer’s office/Municipal Public Works Departments 102 103 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. $QQH[,QGLFDWRU'HƓQLWLRQV XI. $QQH[,QGLFDWRU'HƓQLWLRQV 17. Effectiveness of advocacy and knowledge product dissemination – City and urban themes Tier III: Cities Alliance Intermediate Outcomes in corporate strategic directions. This indicator is defined as the prominence of themes related to city and urban areas that are integrated at the country and regional levels into the directions Cities Alliance members take with the objective of achieving business success III.1 National Policy Frameworks Developed and/or Enhanced to Address Urban in the long term. Figure expressed as an average. Development Needs RATING SCALE: 1. (a and b in the Indicators Scorecard) Status of national urban policy (ies). Indicator rates the status of national urban development policy(ies) in countries where the Cities Alliance works. National policies on urban development may include sectoral policies covering 0 1 2 some or all of the following aspects: housing, slum upgrading, transport, land, fiscal decentralisation. Policies are officially adopted through ministerial decree or pertinent legal Little or no reference to city Representation of urban Urban and city agenda declaration (must have legal status and budgetary commitment). and urban themes and city themes considered as a corporate priority RATING SCALE: (STATUS OF AN URBAN DEVELOPMENT POLICY IN A GIVEN COUNTRY) 0 1 2 3 Policy not Policy under Policy developed Policy adopted developed development Sources: Copies of the official policies; members and Secretariat ratings 104 105 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. $QQH[,QGLFDWRU'HƓQLWLRQV XI. $QQH[,QGLFDWRU'HƓQLWLRQV 2. Status of development of national urban policy frameworks. The rating scale measures III.3 Mechanisms to Engage Citizens in City/Urban Governance Developed the development of an urban policy framework in countries where the Cities Alliance works by measuring the qualitative evolution from single sectoral policies related to urban 1. Cities (in Country Programmes) with regularly functioning governance mechanisms issues, to an integrated and comprehensive framework for city planning and governance. to engage citizens in urban governance developed. This indicator rates the degree of Characteristics of national policy frameworks include: (a) long-term strategic vision of participation by citizens, including slum dwellers, at the local level in the determination, cities; (b) creation of an enabling legal and fiscal environment; and (c) integrated and approval and implementation of urban development strategies and policies, by cities in which comprehensive approach to urban planning. the Cities Alliance works through Country Programmes. Governance mechanisms include: social accountability mechanisms, slum development committee, and municipal fora. RATING SCALE: RATING SCALE: 0 1 2 3 Policies not Single sectoral Sectoral policies Comprehensive 0 1 2 3 developed policy developed developed and integrated policy framework Mechanisms to engage Community/saving and Community groups are Municipal forum charter developed citizens do not exist at other stakeholders groups federated at municipal is adopted with a budget community and municipal are formed, processes for level, stakeholders are and an action plan, level or mechanisms are municipal Forum (charter organised and municipal community federations/ Sources: Copies of the official policies; member and Secretariat ratings ad-hoc and scarce development, preparation forum are held groups and other of a workplan, etc.) are stakeholders actively under development participate in the III.2 Local Pro-poor and Climate-resilient Strategies and Plans Developed, and municipal forums Resources Mobilised 1. Number of local pro-poor and climate resilient strategies/plans. The indicator measures the number of local pro-poor and climate resilient strategies/plans developed in cities in Sources: Country Programme progress and completion reports; which Cities Alliance works in a given year. Local pro-poor and climate resilient strategies CATF completion reports; member survey (lead member) may be city development strategies (CDSs), slum upgrading strategies, or other local strategies that include pro-poor and climate resilient elements. Sources: Copies of the CDSs, slum upgrading strategies, and Secretariat records 2. Total financial resources mobilised by partners for strategy implementation. The indicator measures a) Total value (US$) of resources committed (budget) by the city for implementation of strategies and plans in a given year; (b) Total funding leveraged – Total value (US$) of resources committed by partners for implementation of strategies and plans per year; and (c) Average funding per $ of seed capital (grants) per year. Sources: Completion reports; feedback; and Secretariat records 106 107 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. $QQH[,QGLFDWRU'HƓQLWLRQV XI. $QQH[,QGLFDWRU'HƓQLWLRQV 2. Countries with regularly functioning governance mechanisms to engage citizens in urban III.4 Capacities of Cities in Governance and Management Strengthened. governance developed. This indicator rates the degree of participation by citizens, including slum dwellers, at the national level in the determination, approval and implementation of 1. Capacity of local governments in areas such as strategic planning, financial management, urban development strategies by country in which the Cities Alliance works. Governance and human resources management. This indicator rates the degree of capacity mechanisms include: national forum, city federation, association of municipalities. strengthened in the cities in which Cities Alliance works (through the Country Programmes and the Catalytic Fund) including the capacity of local government authorities (in areas RATING SCALE: such as strategic planning, financial management, and human resources management). RATING SCALE: 0 1 2 3 Mechanisms to engage Processes for Stakeholders groups are National forum charter 0 1 2 citizens do not exist national forum organised and national is adopted with a budget at national levels or (charter development, forum is held and an action plan, No capacity strengthening Capacity development activities Capacity of local government mechanisms are preparation of a stakeholders actively activities have been conducted have been conducted, but authorities has been ad-hoc, unstructured workplan, etc.) are participate in national by Cities Alliance partnership strengthening is not yet evident strengthened and scarce under development forums and stakeholders are identified and engaged Sources: Country Programme progress and completion reports; CATF completion reports; member survey 3. Sustainability of mechanisms to engage citizens (all grants at city level). This indicator rates the presence of mechanisms for participatory local governance in Cities Alliance activities at the city level and their sustainability beyond the project life cycle. Mechanisms include: social accountability activities, local fora, citizenship advocacy and awareness campaigns, grassroots NGO and community involvement. RATING SCALE: 0 1 2 No/ad hoc mechanism Mechanism integrated into Mechanism integrated in core grant activities implementing grant and likely to be used in the future outside the grant life cycle 108 109 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. $QQH[,QGLFDWRU'HƓQLWLRQV XI. $QQH[,QGLFDWRU'HƓQLWLRQV Capacity of training and support organisations (national public organisations, Tier IV: Cities Alliance Secretariat Outputs universities, training institutions, associations of cities, etc.) to train local government officials and current and future urban technical experts. This indicator rates the degree of capacity strengthened in the countries in which Cities Alliance works (through the CPs and IV.1 Partnerships Convened for Strategic Country, Regional and Global Priorities. the Catalytic Fund) including the capacity of training and support organisations (national public organisations, universities, training institutions, associations of cities, etc.) to train 1. Multi-member partnership agreements endorsed by the partners per year. Indicator local government officials and current and future urban technical experts (in strategic measures the number of formalised partnership agreements in a given year as a measure planning, financial management, and human resources management). degree of the success of the Secretariat convening process. Partnership agreement may be: framework document for Country Programmes; resolution of partners; statement of RATING SCALE: agreement. Multi-member is defined as two or more Cities Alliance members. Source: Cities Alliance Secretariat records 0 1 2 2. Scaling: Total financing for partnership agreements per year. Indicator measures total funding No capacity development Capacity development activities Capacity of training and contributed in a given year to a specific partnership agreement by partners directly and/or activities of training and for training and support support organizations has jointly fundraised. It also calculates the value ratio of the total funds per Secretariat funding. support organizations have organizations have been been strengthened been conducted by Cities conducted, but strengthening is Source: Cities Alliance Secretariat records Alliance partnership not yet evident 3. Broadening: diversity of partners. This indicator measures the objective to diversify the membership base to other key stakeholders as well as expand financing mechanisms to local private sector. Categories of partners are (i) Civil society/NGOs, academia; (ii) Private sector; (iii) Donors; and (iv) Local governments. 21 Sources: Counrty Programme progress and completion reports; member survey RATING SCALE: 0 1 2 3 No non-member partners One category of At least two categories of Three or more categories non-member partners non-member partners of non-member partners 21 Sub-indicator to measure private sector engagement. Numerator: Number of instances private sector participates. Denominator: total number of partnering activities. 110 111 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. $QQH[,QGLFDWRU'HƓQLWLRQV XI. $QQH[,QGLFDWRU'HƓQLWLRQV IV.2 Technical Assistance (TA) Activities Appraised, Approved and Supervised 2. Knowledge products produced with grant financing by the Secretariat. Total number of knowledge products (see previous definition) produced with grant financing by the 1. TA activities (CP, CATF and JWP) approved. Indicator measures the total number of Secretariat. TA activities [both grants and contracts] approved in a given year following the appraisal process. The appraisal process includes application of a checklist and, according to specific Source: Cities Alliance Secretariat records guidelines, peer reviews and member reviews. 3. Knowledge products produced with grant financing and freely accessed by targeted Source: Cities Alliance Secretariat records audiences. Indicator measures the effective distribution of knowledge products via the Cities Alliance website (number of unique visitors to the Cities Alliance website on specific 2. Total value of TA activities (CP, CATF and JWP) approved. Indicator measures the total knowledge pages/downloads from targeted countries). Total number of unique visitors to cumulative US$ value funded by the Cities Alliance of TA activities [both grants and the Cities Alliance website from targeted countries. contracts] approved in a given year following the appraisal process. 3. TA activities supervised. Indicator measures quality of supervision. Percent of grants and Source: Cities Alliance Secretariat records contracts with progress and completion reports that include information on process and 4. Policy dialogues and formal learning events that are financed by grants and implemented results achieved in a given year. Numerator: number of grants/contracts with at least 75% of by members and partners. Indicator measures the total number of Policy Dialogues, all required progress and completion reports. Denominator: Total number of TA activities Advocacy and Knowledge and Learning events that are financed by grants and carried supervised. out by member and partners. Policy dialogues may include: (i) formal consultation events with members and/or relevant institutions (e.g., decentralization talks in Tunisia; IBSA; Source: Cities Alliance Secretariat records Policy Advisory Forum); (ii) Advocacy/ Communications events (e.g., seminars/workshops at IV.3 Knowledge Products and Policy Dialogues Delivered to Targeted Audiences Africities, WUF). Formal learning exchanges could include: peer-to-peer events and study tours, learning workshops and seminars. 1. Knowledge products produced with grant financing by members and partners. Indicator measures the total number and cost of knowledge products developed with grant financing, Source: Cities Alliance Secretariat records as well as the alignment of the knowledge products and strategy, and demonstrates clear and proactive management of the delivery of Cities Alliance knowledge to targeted 5. Policy dialogues and formal learning events that are financed by grants and implemented audiences. by the Secretariat. Total number of policy dialogues and formal learning events (see previous definition) that are financed by grants and carried out by the Secretariat. Knowledge products may include: thematic publications, published diagnostic studies such as a State of the Cities Report (SOCR) or Urbanisation Review (UR); toolkits; and Source: Cities Alliance Secretariat records other guides, policy papers etc. produced by members and partners with Cities Alliance Secretariat support and funding. Generally a knowledge product should have a Cities Alliance logo. Source: Cities Alliance Secretariat records; knowledge pipeline and distribution schedule 112 113 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XI. $QQH[,QGLFDWRU'HƓQLWLRQV XI. $QQH[,QGLFDWRU'HƓQLWLRQV IV.4 Effective Management and Responsive Governance of Cities Alliance Delivered 7. [NEW - FROM 2015 ONLY] Secretariat Greenhouse Gas Emissions performance. Average emissions per Cities Alliance staff (tonnes CO2 equivalent) calculated on the following 1. Average time for key phases in the project cycle – from initial submission of proposal to sources: Air travel, On-site Electricity, On-site Refrigerants, Public transport during official approval of grant. Average time, in days, from initial submission of proposal to approval of travel, Purchased heat/steam, CFC/HCFCs. grant for projects completing this phase in a given year. Source: UNOPS GHG Annual Inventory as part of Greening the Blue initiative Source: Cities Alliance Secretariat records 8. [NEW - FROM 2015 ONLY] Secretariat staff capacity on Gender Mainstreaming. Average 2. Average time for key phases in the project cycle – from approval of grant to grant feedback rating by staff in a given year on selected statements evaluating workshops and agreement. Average time, in days, from approval of grant to signature of grant agreement other capacity development activities focused on gender. for projects whose agreement was signed in a given year. Source: Cities Alliance Secretariat feedback and evaluation forms Source: Cities Alliance Secretariat records 9. [NEW - FROM 2015 ONLY] Secretariat Delivery Performance. Indicators measures the rate 3. Average time for key phases in the project cycle – from grant agreement to first of completed activities against the approved annual work plan in a given year. disbursement. Average time, in days, from signature of grant agreement to first disbursement for projects receiving first disbursement in a given year. Source: Cities Alliance Secretariat Annual Work Plan reviews Source: Cities Alliance Secretariat records 4. Average time for key phases in the project cycle – from first disbursement to closing. Average time, in days, from first disbursement to closing for projects closed in a given year. Source: Cities Alliance Secretariat records 5. Members’ impression of Secretariat effectiveness: support to governance meetings. Average rating by members in a given year. Scale of five (1 – very unsatisfactory; 5 – very satisfactory) on rating selected statements. Source: Cities Alliance Secretariat yearly survey of members 6. Members’ impression of Secretariat effectiveness: timeliness and quality of reports to members. Average rating by members in a given year. Scale of five (1 – very unsatisfactory; 5 – very satisfactory) on rating selected statements. Source: Cities Alliance Secretariat yearly survey of members 114 115 ANNUAL REPORT 2015 ANNUAL REPORT 2015 XII. Annex 2. Tier III - Intermediate Outcomes 2015 Snapshot LA-NKWANTANANG MADINA TOT # OF COUNTIRES/CITIES MAPUTO (CHAMANCULO C) ACCRA METROPOLITAN LEDZOKUKU-KROWOR KPONE KATAMANSO LA-DADE-KOTOPON BOBO-DIOULASSO QUAGA DOUGOU SHAI OSUDOKU BURKINA FASO MOZAMBIQUE % SCORE 1-2 % SCORE 2-3 TENKODOGO FORTPORTAL GA CENTRAL # SCORE 1-2 # SCORE 2-3 HAI DUONG DEDOUGOU ASHAIMAN QUY NHON % SCORE 0 HUNG YEN DONG HOI CAO LANH GA SOUTH # SCORE 0 MBARARA NAMPULA ADENTAN AVERAGE VIETNAM MOROTO ENTEBBE GA WEST UGANDA MASAKA TORORO HA TINH BEN TRE GA EAST NACALA LAO CAI VIET TRI KABALE TAM KY SOROTI GHANA HOIMA MBALE JINJA ARUA TEMA GULU DORI LIRA TETE INDICATORS DEFINITION/SUB-INDICATORS TIER III - SNAPSHOT 2015 III.1 III.1.1 Status of development of National policy national policy(ies) related to urban N/A 3 1 2 N/A 2.0 0 0% 2 67% 2 87% 3 frameworks development and/or [Rating Scale (0 - 3)] enhanced to address urban development III.1.2 Status of development of needs national urban policy frameworks N/A 3 1 2 N/A 2.0 0 0% 2 67% 1 33% 3 [Rating Scale (0 - 3)] III.2 Local pro-poor III.2.1 Number of local pro-poor and climate-resilient climate-resilient strategies/plans strategies and plans developed developed, and N/A N/A 3 8% 30 83% 3 8% 38 resources mobilised [Red - Strategy/plan not developed; Yellow - Strategy/plan under development; Green - Strategy/plan developed III.3 Mechanisms III.3.1 Regularly functioning to engage citizens governance mechanisms in city/urban at the city level to engage N/A 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 2 1 1 1 1 1 1 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 2 2 N/A N/A N/A N/A 1.7 0 0% 18 40% 27 60% 45 governance citizens in urban governance developed [Rating Scale (0 - 3)] III.3.2 Regularly functioning governance mechanisms at the national level to engage 2 2 2 2 1 2.0 0 0% 1 20% 4 80% 5 citizens in urban governance [Rating Scale (0 - 3)] III.4 Capacities of III.4.1 Capacity of local governments cities in governance has been strengthened in areas and managment such as strategic planning, financial strengthened managment, and human resources N/A 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 2 2 2 2 2 2 2 2 2 2 2 2 2 2 N/A 1 1 1 1.3 0 0% 31 69% 14 31% 45 management [Rating Scale (0 - 2)] III.4.2 Capacity of training and support organisations to train local government officials and current and future urban technical experts N/A 1 1 1 2 1.3 0 0% 1 75% 1 25% 4 has been strenghtened [Rating Scale (0 - 2)] 116 117 ANNUAL REPORT 2015 ANNUAL REPORT 2015 Contact Information Cities Alliance Philanthropy House Rue Royale 94 (3rd floor) 1000 Brussels, Belgium info@citiesalliance.org www.citiesalliance.org Telephone: +32 2 880 40 88 Follow us Layout and Design: Image Data Group Front and Back Cover photo Kibera, Nairobi. ©Cities Alliance/Cobbett Page 2: Black Sheep Media / Shutterstock.com Page 6: Nicolas De Corte / Shutterstock.com Page 7: @Cities Alliance Page 8: RadioKafka / Shutterstock.com Page 21: SNEHIT / Shutterstock.com Page 38 (Top): @ CMAP - cmapping.net Page 38 (Bottom) Caption: Latin American global urban poor networks in Ethekwini Municipality, South Africa @Yolande Hendler/CORC Page 40: F16-ISO100 / Shutterstock.com Page 41: @Development Innovations Group Page 42 Caption: Mayor Clara Doe Mvogo used a community based response to the Ebola crisis @European Union Page 44: @SDI - Know Your City global platform Page 48: Caption: COP21 Members of the JWP for Resilient Cities at the 8 December launch of COP21 @ICLEI Page 54: Caption: Anaclaudia Rossbach, third from right @Bruno Peres/Min. 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