69602 GHK Evaluation of Project Implementation Modalities of the Cities Alliance Final Report March 2011 GHK Evaluation of Project Implementation Modalities of the Cities Alliance Final Report A report submitted by GHK Date: March 2011 J40252307 GHK Consulting Limited 67 Clerkenwell Road, London SE1 R 5BL, United Kingdom www.ghkint.com Evaluation of Project Implementation Modalities of the Cities Alliance GHK Document control Document Title Final Report Job No. J40252307 Prepared by JAS / RACB / RB / LC / ZDK / DG / KT Checked by JAS Date March 2011 Final Report Evaluation of Project Implementation Modalities of the Cities Alliance GHK Contents Document control ................... i...................... Contents ............................................. ............ n Tables and Figures ......................................... ..... iv Acronyms ................................................ ..... 5 1 Introduction................................... ....... 7 1.1 Context and Terms of Reference .................... ....... 7 1.1.1 Acknowledgement.................................................... 7 1.2 Scope and Organisation. ......................... ........ 7 1.3 The Evidence Base............. ................. ..... 8 1.4 Conceptual Benchmarks: Defining the Quality of Projects ................ 8 1.4.1 Cities Alliance Goals and Strategies: An Evolving Process................................................. 9 1.4.2 Grant Quality: Towards an Agreed Client and CA Success Metric ................................... 11 1.4.3 Unlocking and Enhancing Ownership............................................................................... 14 2 The CA Business Model and Open Access Grant Facility Until 2010... 16 2.1 The CA Mission .............................. ........ 16 2.2 The Grant Facility Administration Process........................ 16 2.3 Business Process Review: Evidence from the Project Reviews ..... 17 2.3.1 Application Phase ................ . ......................... ...... 17 2.3.2 Grant Execution Period .................. ....................... ..... 22 2.4 Summary............................................ 24 3 Field Visits: Evidence of Project Performance ......... ....... 25 3.1 Introduction................... ................ 25 3.1.1 Desk Reviews ...................................................... 25 3.2 Project Sum m aries ............................................................................ 28 3 .2 .1 C a m ero o n .............................................................................................................................. 28 3 .2 .2 Ma la w i .................................................................................................................................... 34 3 .2 .3 Se n e ga l................................................................................................................................ .39 3 .2 .4 M oza m biq ue ........................................................................................................................... 44 3 .2 .5 P h ilipp ine s............................................................................................................................ .50 3 .2 .6 Sy ria ....................................................................................................................................... 53 4 Conclusions and recommendations ....................... 57 4.1 Back to Basics: A Results Framework is Needed .................. 57 4.2 Does the CA deliver value added? ........................ 4.2.1 The value-added scorecard ....................................... ..... 58 4.2.2 Coherence of Effort: When it works it is highly beneficial and valued by clients............... 59 4.2.3 Knowledge Management: A fundamental source of CA's of value.... .............. 59 4.2.4 The Grant Administration Process needs Repairs: Transaction costs are high ................ 59 4.2.5 Summing up ......................................................... 59 4.3 Client vs Member Execution ........................ .... 6o 4.4 Wrap-up 6o ............................................. 4.5 Recommendations ............................. ...... 61 Annex 1 Project List....................................... 64 Final Report ii Evaluation of Project Implementation Modalities of the Cities Alliance GHK Annex 2 Method: Description, Pro-forma and Scoring System........... 68 Questionnaire pro-forma................................... ....... 68 Traffic-light Scoring....................................... ....... 72 Annex 3 Traffic Light Scoring - Field Visits ................. ....... 73 Annex 4 Meeting Records .............................. ....... 84 Annex 5 Presentation of Findings and Signposts..................... 94 Mexico City - 15/17 November 2010 ............................... ........ 94 Washington D.C. - 11 March 2011 .............................................. 96 Final Report III Evaluation of Project Implementation Modalities of the Cities Alliance GHK Tables and Figures Table 1.1 CA Success Benchmarks: Testing Value - Added Propositions.....0.... lo Table 1.2 Ownership: Indicators and Evidence ......................... 14 Table 2.1 Causes Delaying Grant Implementation ......... ........... 23 Table 3.1 Project Inventory of the Case Studies (Field visits) ............. 26 Table 4.1 Securing Value Added ......................... ........... 61 Figure 1.1 Towards a Cities Alliance Results Framework ................ 12 Figure 2.1 The Grant Facility Administration Process................... 16 Figure 2.2 Length of Application Phase according to the Manual .... ............ 18 Figure 2.3 Average Length of Application Phases of Member versus Client Executed Grants .............................. ....... 19 Figure 2.4 Duration of Application Phases of Member vs. Client Executed Grants (Africa) ................................. ..... 19 Figure 2.5 Lengthiest Application Phases of African Projects ........ ...... 21 Figure 2.6 Application Phase of Member vs. Client Executed Grants (African projects) ........................................... 22 Figure 2.7 Average Length of Grant Execution Period (months) ............ 22 Figure 4.1 Capturing Results: Mind the Gap.........................57 Figure 4.2 Testing the Cities Alliance Value Propositions ................ 58 Final Report iv Evaluation of Project Implementation Modalities of the Cities Alliance GHK Acronyms ADB - Asian Development Bank AFD - French Development Agency AMS - Association of Senegalese Mayors ANAMM - National Association of Municipalities of Mozambique CA - Cities Alliance CBOs - Community Based Organisations CCODE - Centre for Community Organisation and Development (Malawi) CDS - City Development Strategies CG - Consultative Group CLUP - City Land Use Plan CoJ - City of Johannesburg CPDM - Cameroon People's Democratic Movement CSO - Civil Society Organization CUD - Urban Community of Douala CWS - Cities Without Slums DBP - Development Bank of the Philippines DGF - Development Grant Facility EXCO - Executive Committee FCFA - Communaute Financiere Africaine Franc (currency in Senegal) FDV - Fondation Droit a la Ville (Senegal) GA - Grant Agreement GCR - Grant Completion Report GMA - Grant Management Agreement HDI - Human Development Index HLURB - Housing and Land Use Regulatory Board (Philippines) HOAs - Home Owners Associations (Philippines) HUDCC - Housing and Urban Development Coordinating Council (Philippines) IBTCP - Italian-Brazilian Triangular Cooperation Programme IMF - International Monetary Fund INE - Instituto Nacional de Estatistica (Mozambique) JICA - Japan International Cooperation Agency Final Report 5 Evaluation of Project Implementation Modalities of the Cities Alliance GHK K&L - Knowledge and Learning KP - Knowledge Products LCA - Lilongwe City Assembly LCC - Lilongwe City Council LCP - League of Cities of the Philippines LGUs - Local Government Units M&E - Monitoring & Evaluation MAE - Ministry of State Administration (Mozambique) MALGA - Malawi Local Government Association MDG - Millennium Development Goals MINDUH - Ministry of Urban Development and Housing (Cameroon) MIPP - Malawi Institute for Physical Planners MMDP - Maputo Municipal Development Program MMUSP - Metro Manila Urban Services for the Poor Investment Program MoA - Municipality of Aleppo MoU - Memorandum of Understanding MTS - Medium Term Strategy MUAT - Ministere de I'Urbanisme et de I'Amenagement du Territoire (Senegal) NGOs - Non-Governmental Organizations NPF - National Progressive Front (Syria) PR - Progress Report PRSP - Poverty Reduction Strategy Paper / Poverty Reduction Strategy Program SACN - South African Cities Network SALGA - South African Local Government Association SHFC - Social Housing Finance Company (Philippines) SU - Slum Upgrading TF - Trust Funds UCLG - United Cities and Local Government UDP Syria- Urban Development Programme Syria (GTZ) Final Report 6 Evaluation of Project Implementation Modalities of the Cities Alliance GHK 1 Introduction 1.1 Context and Terms of Reference GHK Consulting Ltd was competitively selected to undertake the Evaluation of Project Implementation Modalities of the Cities Alliance. The Terms of Reference defined the objectives of the assignment as follows: "The evaluation of client and of non-client grant implementation for city development and slum upgrading projects in cities or at national level should provide evidence to assess the applicability and effects of [client and member] implementation modalities". The evidence base emerging from the analysis will be used to provide guidance to the Alliance and its partners on improving ownership, ease of administration and the quality of projects and their results. The findings and recommendations will inform both strategic as well as managerial-level decision-making and business processes, and in particular will support the implementation of the Cities Alliance Medium Term Strategy, and the corresponding new CA business model. The strategic goal of the Medium Term Strategy (MTS) is "for the Cities Alliance to increase its contribution to systemic change, and to scale."' The specific meaning of "contribution to systemic change" and is "to scale" is currently being elaborated through the CA 'Theory of change' and 'results framework'. Both are important if these key goals are to 5be tracked. The MTS is yet to be fully implemented and thus this evaluation does not directly evaluate the Four Pillars of the Cities Alliance Work Programme: * The Catalytic Fund; * In-country Programming * Knowledge and Learning; and * Communication and Advocacy. However, seeing the transition towards the MTS as part evolutionary this evaluation can have formative aspects in terms of the conceptual and operational refining of the MTS and the business model. Indeed, to varying degrees these "new" objectives are already partly captured in the existing assessment framework the CA Secretariat uses, for example around government commitment and approval, participation, scaling up, coherence of effort and linkage to follow-on investment. In terms of client focus there is an intended shift in relative emphasis towards low income countries. Within this context, an important element of the Alliance's core objectives, as articulated in its Medium Term Strategy, to 'systematically increase ownership and leadership of cities and countries'. It is consistent with wider strategic agendas for increasing aid effectiveness through increased ownership- note in particular, The Paris Declaration on Aid Effectiveness (2005) and Accra Agenda for Action (2008). This evaluation is intended to contribute to the implementation of the CA MTS. Throughout the study process GHK has maintained a regular dialogue with CA to ensure that MTS matters are fully considered. 1.1.1 Acknowledgement The GHK team would like to thank the Cities Alliance Secretariat, participating members and the various clients and stakeholders we interviewed as part of this evaluation: support was readily forthcoming and always of value. 1.2 Scope and Organisation The scope of the study was changed during the inception period and ratified in July 2010 at the CA meetings. Specifically, the following were agreed: * Extending the desk reviews to include projects in Mozambique; 1 Cities Alliance: Medium Term Strategy 2008-10, 06 May 2008. Medium Term Strategy (MTS) Update to Executive Committee (EXCO) July 2010, MTS Update to CG October 2010. Final Report 7 Evaluation of Project Implementation Modalities of the Cities Alliance GHK * Extending the target field work to 6 case studies with a relative emphasis on Africa - Syria (1 project), Philippines (3 projects), Mozambique (8 projects), Senegal (1 project), Cameroon (1 project) and Malawi (1 project); * Placing relatively more emphasis on the lessons going forward and the integration into the MTS. Overall, the weight of the analysis was placed on the field studies - which in any event cover 15 of the 33 projects reviewed. The desk reviews were used principally to assess the effectiveness of the Grant Administration Process; the evidence in the files on project quality was highly variable and there was limited evidence to triangulate claims; save for those few projects where there was a field visit to assess results and impacts. The report is organized into three main chapters: * Chapter 2 is a review of the CA business model and the grant administration process - this is basically an analysis focused on the desk reviews; * Chapter 3 is a summary of the findings from the field visits on project performance; and * Chapter 4 is a summary of the findings and recommendations. 1.3 The Evidence Base The evidence base included: * Desk based: - a structured review of general Cities Alliance documentation; and - a more detailed and selected review of specific Grant documentation as provided by the Cities Alliance for a set of 33 country target projects. * Key stakeholder interviews: Covering CA members, client groups and stakeholders participating in / material to the CDS / SU project activities. These will supplement the desk reviews; and * Field Visits: Up to 6 field visits that were focused on semi-structured in-depth interviews with CA members, client groups and key stakeholders (civil society, urban poor representatives and private sector) participating in Grant supported CDS / SU activities. As noted above, the review of the existing data sets suggested the evidence base was at best partial in numerous cases and thus particular emphasis was placed on interviews and field visits. Pro-forma research tools were used to attempt to systematize data structuring and comparisons. 1.4 Conceptual Benchmarks: Defining the Quality of Projects There are no simple measures of the "quality" of projects that CA supports - what defines a successful project and set of result is not clear cut nor indeed agreed upon among CA members. The strategic goal of poverty reduction remains primary, although references recently have been made to more broad based / multi-dimensional goals of urban transformation towards inclusive cities which would in any event include urban poverty reduction. CA funded support to CDS / SU / knowledge activities may, and should, contribute to the goal of poverty reduction. However there are many intervening variables influencing results and CA grant contributions are only one factor in the complex environments of urban and economic development leading to poverty reduction. Therefore it is challenging not only to attribute results to CA investments, but even to identify their contribution to the process of change. In the case of CDS activities, the strategic nature of these activities should be assessed in terms of their likely contribution towards improving pro-poor policy and planning frameworks. The Grant Application / Grant Agreement documents provide some parameters of positive results which can be measured and monitored and potentially captured in the Grant Completion Reports. These could include project outputs, the quality of partnerships and strategic use of participation, linkage to follow-on investment and coherence of effort among members. More strategically, the evaluation captured both process and output parameters such as attitude and behaviour changes, organization / institutional changes, pro-poor Final Report 8 Evaluation of Project Implementation Modalities of the Cities Alliance GHK participation, implementation progress and resource mobilization that had to be combined into a format that is logical and valid for assessing quality. Thus, this report defines conceptual benchmarks relating to success indicators and the evidence base relating to whether these success indicators / result / development outcomes are likely to be achieved. In the first instance, our approach was to define conceptual benchmarks that are likely to be useable within the context of existing CA business processes, hence useful in this evaluation in terms of document and desk reviews. In the second instance, these benchmarks were refined and validated to inform the field visits / detailed case studies through semi-structured interviews - in effect, to drill down deeper into the evidence base to assess what results and impacts have and/or are likely to be achieved. This required going beyond the existing data sets. From a CA perspective, success can be defined at the following levels: * CA overall goals and approaches, as newly defined in the Charter of December 2010, and further described in the Theory of Change and the corresponding Result Framework; * Broader urban development goals and strategies of partner national / local governments; and * The specific project level. Success of the project should support both of the other levels. 1.4.1 Cities Alliance Goals and Strategies: An Evolving Process Over the course of this evaluation the Cities Alliance has been going through a reform process that is manifest in a modified Charter and an emerging results framework: this has meant that the assessment of projects evaluated as part of this work were set up under the previous grant facility and the objectives that informed the grant selection process. There is some overlap in terms of benchmarks of success but these too are evolving. Given this contextual position, the first level of analysis refers to CA goals and approaches, in other words, to what extent CA succeeds to apply its specific approaches (CA's added value) to the project, assuming that this added value by CA contributes to better pro poor outcomes of the project. Based on a document review, discussions at the CA Annual Meetings 2010 in Mumbai and initial interviews, four areas where Cities Alliance may provide value to clients are: * Coherence of Effort: There are two elements to coherence of effort. First, better co- operation and co-ordination among CA members such that clients are able to get more effective and efficient support from the CA members - this evaluation assessed the extent to which coherence was achieved and the results / benefits of that coherence; and second, coherence of effort between members and clients / partners to ensure alignment of with national, regional and local policy priorities and approaches (in line with Paris / Accra guidance). * Knowledge Management: Improved access on the part of clients / local stakeholders to knowledge and networks that can be used to improve development outcomes, and in particular pro-poor outcomes. The evaluation assessed access to knowledge / networks, the usefulness of these and the results / benefits to clients / key stakeholders. * Provision of flexible grant funding: CA provides relatively small scale grants that can assist clients undertake activities that are catalytic and/or fill gaps to enable better development results - keys here are complementarity and leverage. * Reputational leverage: The CA can provide convening power and legitimacy in support of clients will to take forward innovative and challenging development initiatives, through this the risks to local clients of trying new development approaches may be in part offset by CA endorsement and support. The basic proposition is that these services together provide beneficial inputs that ought to contribute towards clients being better able to deliver pro-poor development initiatives and results. This proposition was tested to assess whether these potential inputs were in fact Final Report 9 Evaluation of Project Implementation Modalities of the Cities Alliance GHK produced and that they made a positive contribution to client needs, to client capabilities and thus to (better) project execution. Table 1.1 provides an overlook of the types of evidence that were used to assess whether these sources of value-added were realized on the part of clients. The evidence was triangulated for each of the detailed case studies / field visits on the basis of: * Grant related documentation, * Interviews with members (in the case of member execution), CA Secretariat team responsible for the grant and with clients (all cases); and * Other key stakeholders where appropriate and practical. Ownership is important to the CA. A key factor in the Grant Application review process is the extent of government support and participation - the proposition being that ownership is a pre-condition for good project execution and likely future implementation and replication. Thus, the Grant Application process is in part focused on enhancing ownership and this remains an important priority through the Grant Execution Phase. What is important is that the CA Grant Facility Administration process and the "normative" approaches on how to do CDS / SU project formulation as advocated (if softly) intend to systematically encourage greater ownership. The extent to which the CA achieves this is central to this evaluation. The keys to the value added are that coherence of effort, improving access to and use of better information, techniques and networks, reputationalleverage and enabling grant funding will increase the likelihoodof better pro-poor development results. Table 1.1 CA Success Benchmarks: Testing Value - Added Propositions Evidence Sources Question Themes Question Themes Desk / Document Members Client Coherence of effort * Grant Application has . What type of support was What type of support did explicit criteria in line with provided to the client prior CA members provide in the CA mandate; to the Grant Application? pre-Grant phase? Was it * Partial evidence of actual . What was the value of that helpful? coherence through support? Did CA members work Progress Reports, Grant Did the proposed CA together as suggested in Completion Reports and members work together as the Grant Application? field visit reports. suggested in the Grant Did you get the type of *Grant outputs Application? support you needed? Ifno, * What type of support was what were the gaps? provided to the client p What additional support during grant execution? would have been * What problems, if any, beneficial? were encountered? . Were the Grant supported " What if any follow-on activities in alignment with support will be provided? other policies, programs what was the gOverall and projects in the city? value-added in your role? Region? Nationally? The role of CA members? Were the Grant supported activities in alignment with other urban development initiatives in terms of approach and methods? * Overall, what was the value-added of CA members you worked with? What could be done better? pWhatfurther support would Final Report 10 Evaluation of Project Implementation Modalities of the Cities Alliance G HK you like to have? Knowledge Management Grant Application - What types of CA member Access Description of project Knowledge Products (KP) Did the project access any approach may reference and or services were CA member guidelines, what knowledge products provided to the clients tool kits, information are used and/or how CA project? networks, advisory related networks may be Did the clients have any services? accessed difficulties accessing the Were the KPs easy to * Partial evidence through KPs? access? PRs, GCRs and field visit What were the benefits of Usefulness reports. KPs? . Were the tools easy to * Study outputs - especially Who benefitted use? during the study process. * How are the KPs likely to Were the KP useful - were support sustainable they relevant to your needs change? and priorities? What improvements can be What were the benefits of made to enhance the value the KPs to your needs? of the KPs? How were they used? Grant Funding Grant Application * What were the benefits of . What were the benefits of documentation Grant funding? Grant funding? uInterviews What difference did the What difference did the Grant funding make to the Grant funding make to the project? project? . Would the project (or .Would the project essential parts of it) have happened without the happened without CA funding? Grant funding? Was the funding easy to access and manage? Reputational leverage Project documentation - Was CA involvement *Was CA involvement especially GCR and Field beneficial in convening key beneficial in assisting you Visit Reports stakeholders to participate convening key Interviews in the sponsored activities? stakeholders to participate Was CA involvement s the sponsored activities? in beneficial in supporting Was CA involvement innovative development beneficial in assisting you processes? to try new and innovative development processes? If yes, how? 1.4.2 Grant Quality: Towards an Agreed Client and CA Success Metric One of the most basic challenges is answering the question, 'what defines a successful grant at client level?' An agreed results framework did not exist as this evaluation was being undertaken. In response, a "results framework" was partially developed and retroactively applied to projects; in practice the results framework used here was developed in parallel with the emerging CA business model and its related results framework (still under discussion).*2 Notwithstanding the above, the formal documentation, including the Grant 2 Importantly, achieving an agreement on the on the part of the CG of a framework to assess results is necessary going forward as part of the shift towards the new business model outlined in the MTS. The CG and ExCo were briefed on the (partial) results framework used in this evaluation. Final Report 11 Evaluation of Project Implementation Modalities of the Cities Alliance GHK Application, relating to the question what defines a successful grant at client level, is suggestive of key elements of what is important to success. There is on-going work related to a results framework that also provides a reasonable starting point -Figure 1.1. 3 The indicative framework illustrates key actors (drivers of change) inter-relate through a series of inter-linked activities and how these activities contribute towards short and long term results / development outcomes. Figure 1.1 Towards a Cities Alliance Results Framework [ongterm aggregated impact termOutcme Looged wo y Oybtw , use Shortrterth ofOutpte ......................... .......... l ~ ~~ ~ * h ueosatr ~ ~ ~ novdi ~ Ontelfmie ra~ ~ ~ ~ rnfrainadfipove,=ry: U ,:Jt4.p Based on CA, Towards a Theory of Change, April 2010 From the grant support point of view, there are strong process (how CDSs SU projects ought to be formulated) as well ascontent elements (the types of outputs produced) - these are emphasized for example in the Cities Alliance knowledge prod UCtS. 4 The process and content elements link into the framework described in Figure 1.1. A few observations are worthy of note: * On the left side, the numerous actors involved in urban transformation and poverty reduction are identified; the implication being that they are all, to varying degrees, ways and times a part of the transformation process and thus ownership also needs to be distributed among these actors. It also suggests why participation and partnerships are needed to foster transformation. *Also on the left side, the various boxes indicate the types of activities that need to be undertaken to take forward the transformation process to achieve poverty reduction results - all are important and a key is to ensure interventions are targeted at the appropriate requirement in any given context. CA interventions needed to fit into the specific requirements of the client in order to increase effectiveness. * On the right side, the aim is to illustrate the result chain, beginning from the bottom where the CA is providing inputs - as described above in terms of coherence of effort, knowledge, grant funding and reputational leverage - to deliver outputs (for example as described on the boxes in the centre) which will contribute towards short term project outcomes and hopefully longer term development results. Given the scale and duration of CA engagement, the CA role is primarily aimed at providing a positive contribution to these more strategic and longer term results. From a pragmatic point of view a sensible starting point is to identify the key elements, in part defined through the grant application process, that are deemed important to success 3 It is understood from Inception Phase interviews that the CA Secretariat is developing a results framework. An initial approach relating to this framework was presented to the Consultative Group during the CA Annual Meetings in Mexico in November 2010. 4 For example - Cities Alliance (2006), City Development Strategy Guidelines: Driving Urban Performance; and Understanding Your Local Economy: A Resource Guide for Cities (2008). Final Report 12 Evaluation of Project Implementation Modalities of the Cities Alliance GHK and use them as initial benchmarks for evaluation. Each of these forms a basis from which further elaboration of benchmarks is possible. Process benchmarks * Participation: Getting the urban poor engaged - What stakeholders were involved in the CDS / SU formulation process? How were then involved? - To what extent and how have the urban poor (and other vulnerable groups) been engaged in the CDS / SU formulation process? - What were the results of the participation process in terms of improving awareness and knowledge of urban poverty? In terms of the likelihood of elaborating and implementing pro-poor policies, plans and investments? - What were the existing participatory systems and how did CA improve them? * Partnerships: Working with civil society and the private sector - What partners were involved in the CDS / SU formulation process? This will seek to look at public - private partnerships, partnerships with civil society. - How were they involved? - What partners will be involved in the future implementation of the CDS / SU project strategies, plans and projects? - How will potential partners be involved in the future implementation of the CDS / SU project plans and projects? * Ownership: A key pre-condition for positive development results - To what extent was the CDS / SU working through existing (improved) local systems - procurement and financial systems? - To what extent was the grant process linked into existing institutional structures and processes? For example, linked to existing planning and budgeting processes? Content benchmarks * Pro - poor focus - To what extent did the outputs produced focus on contributing to better pro-poor urban governance, management and service delivery? - To what extent are the outputs likely to contribute to future pro-poor outcomes? * Institutionalization - To what extent has the likelihood for systemic change for poverty reduction been secured? - To what extent have roles and responsibilities for future implementation been clearly defined and agreed? - To what extent do the responsible institutions I agents have the capacity to discharge the allocated roles and responsibilities? - What capacity building requirements had been identified and how were they implemented? - To what extent are the results of CA support likely to be replicated and scaled up? (in the future will comparable activities be undertaken and achieve quality results without CA (or other external) support?) * Linkages to follow on investment - Have future resource and investment requirements to implement organizational changes, policy, plans and investment strategies been identified? - Is there clear allocation of responsibilities for resource mobilization and investment? - Have the funding sources been committed? How secure are the commitments? * Catalytic effects - Has CA engagement leveraged/triggered systemic changes towards poverty reduction which would not have happened without CA? Final Report 13 Evaluation of Project Implementation Modalities of the Cities Alliance GHK 1.4-3 Unlocking and Enhancing Ownership Defining, identifying the determinants of and "measuring" ownership were key foundations of the evaluation; simply put ownership was seen as a key part of aid effectiveness and sustainability. CA documentation and business processes are suggestive of, rather than definitive on, these issues. Based on the draft CA Results Framework, it is possible to put forward an approach on how to assess both the extent and depth of ownership at different points in the results framework (target results) and propose how this will likely have stronger or weaker development results; that is, the likelihood of effecting pro-poor benefits and poverty reduction. Table 1.2 summarizes target results and how ownership of these is likely to be manifest. It also suggests that while ownership is necessary it is not sufficient to achieve development results - ultimately implementation of pro-poor development initiatives is required. Table 1.2 Ownership: Indicators and Evidence Target Results Indicators of Ownership Evidence Sources Living conditions of the poor improved Implementation of pro-poor . Policies and plans in place Official documents policies, plans and investments and operational and Laws and regulations sustainable Budget! budget analysis " Sustained resource M&E reports allocation towards pro-poor Interviews activities / targets " Accountability structures Customer feedback loops and processes in place focused on results and learning and Feedback LMonitoring mechanisms * Participation mechanisms in place Elaboration of policies and Organizational ownership I* Official documents plans leadership defined, agreed Draft / working documents and supported Government orders SParticipation mechanisms M&E reports in place Interviews in place to sAccountability support delivery and results * Pro-poor policies and plans drafted for review * Public debates on policies and plans Supporting frameworks in place to enable implementation * Resource proposals to support implementation Organizational change Organizational ownership Official documents behaviour change leadership defined and Draft / working documents supported Government orders * Policy / plans prepared and * M&E reports adopted by the client * Capacity building needs defined and resources Organizational change proposals (structures and procedures) Final Report 14 Evaluation of Project Implementation Modalities of the Cities Alliance GHK * Pro-poor HR initiatives: supporting behavioural change, urban poverty competency Improved knowledge of urban Improved quality & access Public information challenges / poverty to urban poverty data documents * Greater awareness by key Poverty maps / data stakeholders of urban published poverty Public forums and pro-poor * Defined ownership of participation knowledge / allocation of Interviews with multiple knowledge resources and stakeholders who depend maintenance roles on the knowledge for *Likely use of knowledge advocacy, rights and services access A few points are worth further elaboration. First, the "level" of ownership can be high at each of the target results; and it is important that ownership needs to be distributed among agencies and partners that are most likely to be a part of change and implementation. Progressing up the results "ladder" is suggestive of high ownership and necessary to achieve poverty reduction results. Second, high levels of ownership need may not lead to improved policies, programs and investments and indeed pro-poor outcomes. This will depend on how well ownership can actually translate into better policies, plans, budget processes and investments and subsequently being implemented - moving vertically up the table. Strength of leadership, favourable policy frameworks and capacities are likely to be important here. Third, where ownership is high then a key success factor is likely to focus on ensuring leadership, which should enable policy frameworks and capacities to be put in place across the stakeholder map. Ownership alone does not guarantee pro-poor focus or results, but a pro-poor focus without ownership is certainly unlikely to lead to desired poverty reduction. Thus, a key part of the likelihood of success and achieving desired results will depend on how capacity building requirements are considered and developed (in the widest sense); both through the Grant Execution process and critically, as part of implementation strategies. Final Report 15 Evaluation of Project Implementation Modalities of the Cities Alliance GHK 2 The CA Business Model and Open Access Grant Facility Until 2010 2.1 The CA Mission 'The Cities Alliance (CA) is a multi donor coalition of cities and their development partners. CA was launched in May 1999 by the World Bank and the United Nations Center for Human Settlements (Habitat); together with a group of municipalities ("cities") worldwide'5 , with the following aim, as defined by the Cities Alliance Chapter (23 January 2009): Making unprecedented improvements in the living conditions of the urban poor by developing citywide and nationwide slum-upgradingprograms;and Supporting city-based consensus building processes by which local stakeholders define their vision for their city and establish city development strategieswith clear priorities and investments. In order to achieve the above, CA's two priority areas for action are: * Cities Without Slums, through the citywide and nationwide upgrading of low-income settlements to improve the livelihoods of the urban poor; and * City Development Strategies, aimed at formulating a broad consensus on a vision and a set of priorities for city actions. 2.2 The Grant Facility Administration Process The core focus of the Cities Alliance business model is Grant Facility Administration. The Grant Administration process is summarised in Figure 2.1. Figure 2.1 The Grant Facility Administration Process I I ratAplicato" rntApoa Grant Implementation andReporting Process Conmpletion Grant Prociess Promes% Submission Process Screening Grant Agreement ProgressReports .Grntn Cocept Iopmeont/ Dleve an PrCearatin FnnilRpot pito Screening initial laod CrearatinePs~i eot Report I I Field I I Visits I I . 24 months 12 months Pre-grant period Grant execution period Post-grantperiod 5 Cities Alliance Draft Grant Facility Procedures Manual, January 2010 Final Report 16 Evaluation of Project Implementation Modalities of the Cities Alliance GHK The basic points regarding the business processes related to the Grant Facility Administration process are: Application Phase: This is the most important part of the Grant Facility Administration process in terms of quality control. The principal effort to ensure Grants are focused on the CA objectives and are likely to contribute to objectives is during the pre-grant period where the CA Secretariat interacts extensively with applicants on objectives, scope and approach of the proposed activities. A pro-forma application form is structured around key criteria aligned to the CA Mission and core objectives - see Annex 2. A Grant Agreement signed between the CA and the Applicant signifies the end of the process and defines expected timelines, financial parameters and milestones / deliverables. * Grant Execution Phase: The grant execution process is generally marked by routine progress and financial reports focused on ensuring the grant is used properly and the project is managed effectively, in terms of timeframes, fund release and deliverables. The Grant Execution Phase used to be structured to be completed within 24 months but this is not a requirement. * Grant Closing Phase: The grant closing phase aims to document that the grant was executed in line with the Grant Agreement and to capture some of the anticipated benefits and results of the process. Given the relatively short time frame between the completion of project activities and deliverables and the submission of the Grant Completion Report only limited evidence is collected on likely contribution to wider development goals and attributable results. Two field visits are undertaken per year, one for CDS and one for SU projects, to provide more detailed evidence on likely results of grant support. Overall, the existing CA business processes provide only limited scope for capturing the benefits and results of the activities funded through the grants. To date it is not clear what monitoring systems and mechanisms are actually in place at project level that can be accessed to get longitudinal evidence on implementation progress and/or results. 2.3 Business Process Review: Evidence from the Project Reviews The purposes of this section is: * to assess how well the current CA Grant Facility Administration process works from a primarily procedural point of view - the efficiency of the grant administration process; * to assess how well the current CA Grant Facility Administration process works from a client point of view; and based on these, * to design the interview and field visits. The data cover the majority of the case studies selected by the CA. 2.3.1 Application Phase The Cities Alliance Draft Grant Facility Procedures Manual6 (Manual) provides an overview of internal business processes at the Secretariat. The Manual is organized into 6 chapters describing each section of the project cycle each, as follows: 1 Proposal Evaluation and Approval; 2 Grant Set Up & Project Initiation; 3 Grant Implementation (Extension/Amendments); 4 Grant/Project Monitoring; 5 Grant/Project Closing; 6 Information/Document Management and Work Flow. 6 Source: CA Revised Grant Facility Procedures Manual, Jan 2010. The Manual was in draft version to structure the internal processes within the CA Secretariat. It was based on staff interviews, time for process steps were estimates and had not been validated. Final Report 17 Evaluation of Project Implementation Modalities of the Cities Alliance G H K In this chapter we are assessing the application phase, which starts with the submission of informal proposals and finishes by signing the Grant Agreement (GA). According to the Manual, it is divided into 3 phases as follows: * Proposal Evaluation and Approval * Grant/Project Initiation Process * Preparation of Grant Agreement, according to the source of funding: - Development Grant Facility (DGF) - Trust Funds (TF) - Grant Management Agreement (GMA) Figure 2.2 demonstrates the length of the application phase in the case of DGF, TF and GMA grants, as described in the draft Manual. Figure 2.2 Length of Application Phase according to the Manual Length of Application Phase (days) 250 200 1 Preparation of Grant 150 - Agreeement a Grant/Project Initiation 100 -441Phase 1 Proposal Evaluation and 5o Approval Phase DGF TF GMA As the above figure shows, the intended length of the application phase of the three grant agreement types only differs at the last, 'preparation of grant agreement' stage. During the desk based review the application phases of the 31 projects were examined7 . The projects were grouped by grant types (DGF, TF and GMA)8 and further split by implementing bodies (Member or Client). Finally, the length of the application phases were tested against the project cycle described in the Manual. Comparative analysis The duration of the application phase of 31 projects was examined and compared. It was found that the individual lengths of application phases were longer in the majority of cases (25 out of 31) than the timing indicated in the Manual for each of the three different grants types. The below charts demonstrate the average length of application phase of member versus client executed projects and show the timeframe indicated in the Manual for comparison. Given the fact, that according to the Manual, the application phase of the DGF-type grants take substantially longer than the other two types, the DGF grant projects are featured in a separate chart. 7 No Grant Agreements were signed at the time of the evaluation for Benin - Urban development and rehabilitation Strategy for the city of Abomey and Nigeria - Preparation of State of the Cities Report. Therefore these projects did not form part of the assessment. 8 Multiple Grants (different grant types) were signed on a number of projects. In these cases, the examination was focussing on the process preceding the signing of the first Grant Agreement. Final Report 18 Evaluation of Project Implementation Modalities of the Cities Alliance G HK Figure 2.3 Average Length of Application Phases of Member versus Client Executed Grants Average length of application phase of GMA& TFprojects (days) Average length of application phase of DGFprojects (days) 444 427 325 306 114 E Manual 0 Memberexecuted U Client executed m Manual m Memberexecuted mClient executed Lengthy Application Phase - No evident Pattern Longer application phase than duration prescribed in CA Procedures Manual in 78% of the cases. Projects with shorter pre-application phases are mostly preparatory grants No evident pattern was identified in delayed application phases of client versus member executed projects. The application processes of African projects (19) were examined in further details. The application was divided into phases, each marked by a date: submission of grant application; threshold screening; individual technical assessment; notification of approval; signing of grant agreement. Figure 2.4 Duration of Application Phases of Member vs. Client Executed Grants (Africa) Application phase of member executed projects (days) Member average a9 a Submission date Burkina Faso 23 Threshold Mali sreening Mozambique 1 m ITAS Mozambique 2 Mozambique 3 3 Approval & South Africa 6 Notification Swaziland .3 Signing of GA 0 100 200 300 400 500 600 700 Final Report 19 Evaluation of Project Implementation Modalities of the Cities Alliance GHK Application phase of client executed projects (days) Client average 112 182 Malawi 93 1114 m Submission I I date Namibia 110 65 Tanzania 3 218 Threshold Togo 382 213 sreening Mozambique 4&5 56 I m ITAS . ...... Mozambique 6 23 76 Mozambique 7 II 357 201 Approval & Mozambique 8 69 Notification Niger 68 126 Senegal 83 477 Signing of Cameroon | 219 | |||I 387 GA 0 100 200 300 400 500 600 700 The question is what accounts for the delay of the grant application process, evaluation and approval? Why does the application phase of the client executed projects take longer? In which phase of the pre-grant period does the delay generaly occur? In which phase(s) do slippages typically occur and what is the reason for the delay? The analysis showed that major slippages of the grant application process typically occur at two phases of the pre-grant process. First, after the threshold screening or following the independent technical assessment. Based on the available documentation, the evaluation found that beneficiaries are occasionally required to make adjustments to the grant application and subsequently re-submit it. Re- submissions are fairly common and submission, screening and evaluation in case of the Togo project (with the procedures longest application phase) 6.5 months elapsed between the Total duration of application phase: 653 days and 616 reception of the Secretariat's days - as opposed to 209 days described in Manual for comments and the re-submission of DGF type grants. application form. Similarly, one of the Senegal, Cameroon - Delayed Mozambique projects, experienced 12 months delay between threshold screening and approval. Due to the Grant agreement signed 477 and 387 days after unavailability of further written notification of grant approval, taking 7-8 times longer evidence for the evaluation team, a than the relevant period described in Manual. more precise reason of slippage could not be ascertained. Second, delays occur after the grant is approved and the beneficiary is notified. The process leading to signing the grant agreement, involves the grant initiation process; drafting of grant agreement; clearance; etc and according to the Manual, it is expected to last from 41 to 137 days. Two projects with the longest delays at this stage were Senegal and Cameroon, with 477 and 387 days respectively. Again, there is no satisfactory evidence to be able to determine the exact reason of delay. Final Report 20 Evaluation of Project Implementation Modalities of the Cities Alliance GHK Each individual case is different, in some cases re-submissions of grant applications may have re-started/delayed the evaluation process. However, it is understood that this is not the norm. The analysis was not able to fully determine the causes of the delayed issuance of grant agreements, experienced in several cases. Figure 2.5 Lengthiest Application Phases of African Projects Lengthiest Application Phases (Days) 700 600 -_- 213 Signing of GA 500 - - - - 201 387 Approval & 400 Notification 477 ITAS 300 _ 357 382 m Threshold 200 _____-___ sreening 219 100 -- MSubmission 83 date 0 Cameroon Senegal Mozambique Togo P099682 P099681 P115734 P115703 How does the duration of the application phase of client exectued African projects compare to member executed ones? Based on the 18 African projects analysed, the average duration of the application period of client executed grants (353 days) was longer than member implemented ones (237 days). This was due to the slippage experienced by a number of client implemented projects: Namibia; Togo; Client Executed - Senegal; Mozambique and Cameroon. Delayed Application Phase At the same time, only the Mali project Out of 11 client implemented African projects, 5 (Togo, had exceptionally long application Cameroon Senegal Mozambique and Namibia had phase out of the member implementedg, q exceptionally long application phases, 2.5-4 times projects. longer than the duration described in the Manual. Figure 2.6 below gives comparison of member and client implemented grants. Final Report 21 Evaluation of Project Implementation Modalities of the Cities Alliance G H K Figure 2.6 Application Phase of Member vs. Client Executed Grants (African projects) Average application phase of African projects (days) 400 353 H Manual* 300 237 1 Member average 200 m Client average 100 *Weighted average duration of pre-application phase prescribed in the "manual" - corrected by the prevalence of different grant types 2.3.2 Grant Execution Period In general, CA favours projects with well-defined timeframes and an execution period of no longer than 24 months. It has been found that the 31 projects had an average expected duration of 25 months (as per original Grant Agreement). However, most Grant Agreements were extended once or Extended Grant Execution Period more. Based on the actual or expected In most cases, the grant expiry date is completion dates (whichever was extended by at least once but usually more available) the projects had an average times. duration of 30 months in case of all client implemented grants and 37 months in case of member implemented grants. Figure 2.7 Average Length of Grant Execution Period (months) Africa Other IAverage Client 26 40 30 Average 30 39 34 Furthermore, problems faced by African grant beneficiaries were explored in order to shed light on the causes behind delayed project execution. Progress reports of 11 African grants 9 have been examined and the findings have been grouped into 7 different types, as follows: * Delay in disbursement of own contribution; * Delay in disbursement of member contribution; * Unfamiliarity with lengthy procurement procedures; * Bureaucracy, slow decision-making processes at ministerial, local governmental level; * Lengthy mobilization of local stakeholders and/or other administrative/ technical disruptions; * Lack of experience in project planning and design (technical and/or financial); * Unforeseen causes, eg. natural disasters, political instability, currency rate fluctuations, etc. 9 Excluding the 8 Mozambique projects, as those were added at a later stage. Final Report 22 Evaluation of Project Implementation Modalities of the Cities Alliance GHK What are the main problems accounting for slippage in grant execution faced by beneficiaries of African grants? The most frequent problems encountered by 7 implementing agencies out of 11 African projects were related to unforeseen circumstances, such as exchange-rate fluctuations, local or national elections (appointment of new staff at key roles). Another common problem was, in 5 of the cases, to involve and mobilize all local stakeholders and relevant actors. In most cases, beneficiaries found it difficult to involve high-level ministries, local governments and giant organizations, where decision-making processes are generally very complicated and rather slow. In order to implement project activities in accordance with plans, beneficiaries need a timely disbursement of grant funds from CA members as well as release of own contribution from the local parties involved. Beneficiaries frequently experienced problems in this regard, projects were stalled on several occasions due to insufficient own resources. Failure of grant disbursement from part of local authorities (own resources) was experienced by 5 grant beneficiaries, whereas disbursement of member contribution delayed 2 of the projects. In a few cases (3 projects out of 11), the inexperience of project planning was the cause of slippage in timely execution, as activities were overambitious, designed to be implemented within unfeasible timeframes. Similarly, inappropriate financial planning (budgeted consultancy rates were below market rates, distance between point A and B wasn't considered when budgeting for local travel and communication) resulted in a shortage of funds. Table 2.1 Causes Delaying Grant Implementation Problem Member Client Delay in disbursement of own contribution Burkina Faso Niger Mali Senegal South Africa Delay in disbursement of member contribution Mali Niger Unfamiliarity with national procurement - Cameroon procedures, delayed recruitment of project staff Tanzania Bureaucracy, slow decision-making processes at Burkina Faso Tanzania ministerial, local governmental level Mali South Africa Lengthy mobilization of local stakeholders or Swaziland Cameroon other administrative/ technical disruptions Namibia Tanzania Togo Lack of experience in project planning and Burkina Faso Namibia design - technical/financial Mali Unforeseen causes, eg. natural disasters, Burkina Faso Cameroon political instability, currency rate fluctuations, etc. Mali Niger Swaziland Tanzania Togo Comparing client versus member implemented projects, it was found that both clients and members experienced delays attributed to more or less unforeseen but certainly unplanned causes, such as exchange-rate fluctuations, national/local governmental elections and consequent appointment of new staff at high-level positions. One of the biggest challenges faced by client-implemented projects was to mobilize all the local stakeholders in a timely manner, whereas member implemented projects struggled with slow decision-making procedures and heavy bureaucracy at the local governments and ministries. Slippage due to the delayed release of own resources was experienced by both members (3 cases) and clients (2 cases). Final Report 23 Evaluation of Project Implementation Modalities of the Cities Alliance GHK Two member executed grants showed lack of experience in project planning and design. Burkina Faso experienced problems as the available financial resources were insufficient to meet the fee cost of consultants and local research firms, as the unit rate of remuneration for local experts stipulated in the project budget was below market rates. Whereas in Mali, the long distance between the cities and capital made communication/ transport very expensive. In addition, a large number of cities covered by the project, had an impact on the allocated budget. These aspects were not considered at the time of financial planning. 2.4 Summary The analysis above is focused on the portfolio of projects provided to GHK by the CA - it is weighted to a challenging set of projects and does not represent the CA's wider portfolio. As mentioned the weighting is towards Africa. The analysis above indicates: * The Grant Administration process can be lengthy and result in high transaction costs for both the Cities Alliance (Secretariat and Members) and clients - this is a mission critical problem to be resolved; * The CA (Secretariat / Members) often play a key beneficial role in facilitating the grant process even if client executed; and * The shift toward lower income countries may result in more difficulties in preparing and executing grants especially where client capacities are lower - simplification of the process, streamlining and reducing timeframes and ensuring members take a pro-active support role would likely be beneficial. The importance of streamlining and reducing the costs and processing time of grant formulation and agreements is well understood by the CA and changes are being put in place to improve the process. Since GHK's initial working note related to the Grant Administration Process, the CA Secretariat has completed a much more thorough and comprehensive review of proposal approval and grant set up processing time.10 Getting this right is mission critical: the risks are not only excessive costs but - as we show in the case studies - missed opportunities. 10 See CA (10 March 2011), ProposalApproval and Grant Set-Up Processing Time, presentation at Executive Committee meetings 10 March 2011 Washington DC. Final Report 24 Evaluation of Project Implementation Modalities of the Cities Alliance GHK 3 Field Visits: Evidence of Project Performance 3.1 Introduction The purposes of this chapter are: * To describe the grant funded activities; * To report on progress, findings and results of the grant funded activities based on the data review and field interviews; and * To draw lessons and signposts for the CA going forward. Table 3.1 below provides an inventory of the projects reviewed and their status. As it is evident the projects are at varying stages of completion and thus determination of results / impacts are partial in many cases. 3.1.1 Desk Reviews The weight of the analysis of project performance is from the detailed case studies / field visits. The approach is that through the field visits more detailed and current information could be obtained; and that this would have a relatively higher degree of independence. It is perhaps noting a few points regarding some of the project reviews not included as part of the field studies: some strong themes emerge in line with the some of the findings from the field visits. First, the importance of Cities Alliance, via the members, knowledge leveraging is evident in numerous cases. The CDS initiatives in Yemen and Egypt both demonstrated new ways to undertake strategic planning through participatory processes (also evident in the Syrian case)." Indeed, a hallmark of CA supported CDSs is fostering of participation and bringing a wider range of stakeholders into the development process: see the Niger CDSs for Poverty Reduction for Dosso and Maradi for a good discussion on these benefits within the wider challenges decentralisation and severe poverty. 12 Second, while gains are made in terms of participation in various cases there was also much improved evidence bases created on how the respective cities "worked" and the drivers of poverty and growth. The CDS emphasis on local economic development Improved evidence bases for decision-making and advocacy are important benefits of CA supported activities, be they in the context of CDSs or upgrading (for example see Swaziland13 ) and indeed state of the cities reports (see for example Tanzania 4). Third, the importance of member engagement and guidance to facilitate clients embark on their planning processes also comes through; again Yemen and Egypt are interesting as the CA supported CDS related initiatives challenged existing approaches and CA member reputational leverage and knowledge support were beneficial in assisting local stakeholders take these new approaches forward. Unfortunately, getting a fix on systemic change, depth of institutionalisation and linkages to follow-on investment is problematic from the available records. The detailed case studies pay particular attention to these critical transformation issues. Alexandria City Development Strategy for Sustainable Development - Phase I and Phase 2 (WB - member executed). Yemen: Medium To Long Term City Development Strategy For Local Economic Development For Hodeidah And Mukalla Cities (WB - Member Executed). Yemen: Sana'a City: Medium to Long-Term City Development Strategy for Sustainable Development (Client Executed). 12 Evaluation of Cities Alliance Grant Project: Development, Urban Management and Poverty Reduction Strategies for the Cities of Maradi and Dosso, Niger, Richard Stren Centre for Urban and Community Studies, University of Toronto 13 Development of a Comprehensive Urban Upgrading Program for Mbabane, Swaziland (WB member executed). 14 Establishment of Tanzania State of the Cities Report (Preparatory Phase), and Grant Completion Report. Final Report 25 Evaluation of Project Implementation Modalities of the Cities Alliance GHKl Table 3.1 Project Inventory of the Case Studies (Field visits) Country/City Project Activity CDS/SU Type of Grant Project Implementing Status Start Actual Expected Number Grant Amount Amount Body Date Completion Completion Agreement Date Date Cameroon P099682 Urban development and CDS GMA 500,000 1,161,000 Client Active 08/12/2006 Not 31/12/2010 Poverty Reduction completed Strategy: City of Douala and its Greater Urban Area Malawi P111963 Preparatory Grant for CDS DGF 72,375 101,350 Client Active 30/06/2008 Not 30/06/2010 Development of Lilongwe completed CDS Senegal P099681 National programme for SU TF 430,000 830,000 Client Active 08/03/2007 Not 31/12/2010 slum Improvement and completed Slum Upgrading in Senegal's Cities Mozambique 1 P079602 Slum Upgrading and SU DGF 495,000 1,110,000 Member Closed 29/07/2002 30/09/2004 30/06/2003 Vulnerability Reduction in Flood Prone Cities/Towns in Mozambique (Maputo, Chokwe, Tete, and Quelimane) Mozambique 2 P101077 Improving Water and SU DGF 500,000 1,220,000 Member Closed 08/05/2006 Not 31/03/2009 Sanitation in Quelimane Completed City, Mozambique Mozambique 3 P098754 Slum Improvement CDS, SU GMA 75,000 100,000 Member Active 18/10/2005 Not 31/12/2008 Demonstration Project for Completed Maputo City Mozambique 4 P105796 Preparatory Grant for the CDS DGF 42,000 49,080 Client Dropped 16/04/2007 09/04/2009 31/03/2009 Development of a CDS for Vilankulo Mozambique 5 P105795 Preparatory Grant for the CDS, SU DGF 42,000 49,080 Client Dropped 27/04/2007 09/04/2009 31/03/2008 Development of a CDS and Slum Upgrading Strategy for Chimoio Final Report Evaluation of Project Implementation Modalities of the Cities Alliance GHKl Mozambique 6 P116501 Preparatory Grant for the CDS DGF 52,500 59,500 Client Active 27/01/2009 Not 30/06/2010 Development of a State of Completed Mozambican Cities Report Mozambique 7 P115734 Slum Upgrading and City SU DGF 353,000 860,000 Client Active 30/06/2009 Not 30/06/2011 Development Strategy for Completed Nampula City, Mozambique Mozambique 8 P121002 Mozambique Support for N/A DGF 73,500 103,500 Client Active 12/05/2010 Not 30/06/2011 Upgrading the Completed Chamanculo C Neighbourhood Maputo Municipality - Preparatory Grant Philippines 1 P094656 Integrated Approaches to SU TF 500,000 1,725,000 Member Active 15/03/2005 Completed, 30/06/2008 Poverty Reduction at the project to Neighborhood Level - a be closed, Cities Without Slums pending Initiative MB clearance Philippines 2 P098173 City Development CDS TF 541,100 1,406,100 Client Active 09/10/2005 Completed, 31/12/2008 Strategies in Philippines: but not An Enabling Platform for audited Good Governance and Improving Service Delivery Philippines 3 P104278 A Metro Manila 'Cities SU TF 500,000 2,925,000 Member Active 04/12/2006 Not 30/06/2010 Without Slums' Strategy completed Syria P111519 Aleppo CDS CDS DGF 380,000 1,180,000 Member Active 04/05/2008 Not 30/06/2010 completed Final Report Evaluation of Project Implementation Modalities of the Cities Alliance GHK 3.2 Project Summaries 3.2.1 Cameroon Project Title Urban Development and Poverty Reduction Strategy: City of Douala and its Greater Urban Area Total Project Cost Cities Alliance: $ 500,000 Co-financing: $ 661,000 Total Budget: $ 1,161,000 Project Focus CDS City/National Partner Communaute Urbaine de Douala (CUD) Cities Alliance Agence Frangaise de Member(s) D6veloppement (AFD), Sponsoring the World Bank Project Grant Recipient/ Communaute Urbaine de Implementing Agency Douala , World Bank Introduction Government: With 19 million people, Cameroon is a republic dominated by a strong presidency. Cameroon has a multiparty system, but Cameroon People's Democratic Movement (CPDM) has been in power since 1985.The President controls legislation and can rule by decree. In 2004, CPDM leader Paul Biya won re-election as president, a position he has held since 1982. The election was flawed by irregularities, particularly in voter registration. The 2007 municipal elections also had deficiencies, including barriers to registration and fraudulent voting. In 2008, price hikes, in combination with frustration over political prospects, led to widespread rioting. Authorities reacted with force, killing between 40 and 100 people, and arresting 1600 demonstrators. Economy: Due to its modest oil resources and good agricultural conditions, Cameroon has one of the best-endowed primary commodity economies in sub Saharan Africa. Agricultural is the backbone of the economy, but most output is for subsistence. Cocoa, coffee, timber and cotton are the main exports. Lower global demand/prices lead to lower growth for these sectors in 2009. Despite oil production decline, it still represents 10% of GDP and 40% of export revenues (2008). Although under-explored, extractive resources are becoming increasingly attractive to the world's mining companies. Cameroon faces similar problems to other emerging economies in the region (e.g., stagnating per capita income, inequitable distribution of income, a top-heavy civil service, and a poor business climate). Since 1990, the government has embarked on various IMF and World Bank programs designed to spur business investment, improve trade, etc. The economy contracted by over 1%, down from 3.3% in 2008, against an anticipated growth of 2% for 2009. GDP growth prospects show a slow pace of recovery. With exports forecast to continue to decline, per capita income growth will be flat in the coming years. Estimates suggest 35% of GDP is in the informal sector. The World Bank's 2007 Doing Business Report judged Cameroon one of the most difficult countries in the world to start a business. Ranked 152/175, urgent reforms are needed. Socio-EconomicProfile: The 2008 riots indicated growing dissatisfaction among the urban poor. Cameroon was ranked 150th of 182 countries on the Human Development Index (HDI) in 2008, barely qualifying as a country with "medium human development," and the fourth- last country in that category of 77. GDP per capita declined to $2,043; 57% of the population lives on or below $2 per day; and life expectancy is 50 years. In 2007, Cameroon ranked 64th of 107 on the Human Poverty Index for developing countries - and 125th of 157 on the Final Report 28 Evaluation of Project Implementation Modalities of the Cities Alliance GHK Gender Development Index. Health indicators show problematic trends. According to the UN, the state spends only 1.5% of GDP on health. Property Rights/Land Tenure: Property acquisition/purchase of land titles remains problematic as conflicts arise between competing 'modern' and 'traditional' concepts of law. The weakness of administrators combined with obsolete land tenure regulations ill-suited to the pace and type of urban growth (particularly in Douala) is contributing to the growth of sub-standard housing and slums, which accounts for 72% of stock in Douala. The precariousness of land tenure is thus contributing to slum development. Corruption: Corruption is pervasive. Cameroon was twice designated the most corrupt country on earth in Transparency International's Corruption Index (1998 and 1999). Administration: State infrastructure is differentiated. Ministries provide provincial and sometimes district-level services, but frequently lack resources. Decision-making is centralized in Yaoundd, and the process of decentralization has been slow. Institutions are often ineffective, and the government has been losing ground to privatization of services (e.g., electricity) and internationalization (e.g., health and education) of public goods supported by developmental cooperation, particularly China (health). Poverty Reduction Strategy: In 2003, in support of the Government's objective to reduce poverty, Cameroon adopted a Poverty Reduction Strategy Paper (PRSP) aimed at diversifying of the economy; developing basic infrastructure and natural resources; strengthening integration of vulnerable groups into the economy; and good governance. Cameroon is now developing its second poverty reduction strategy paper. Douala: Economic centre of the nation, generating 25% of GDP and accounting for 40% of non-agricultural value-add in the "modern sector". Douala plays a crucial role in economic development of neighbouring countries in the Central African sub region, particularly in external trade. It is the site of the main airport and handles 95% of Cameroon's maritime traffic through the Port of Douala - now the fourth largest on Africa's Atlantic coast. Douala faces major development problems, including: inadequate infrastructure, scarcity of formal sector housing land supply, inadequate financial resources to fund urban growth, poverty (13% of households) and unemployment (27% of the labour force). Informal sector activity is widespread in Douala, creating wealth and many jobs, but also resulting in significant migration to the city. The growth of informal sector jobs has caused growth of informal markets/street vendors along major traffic arteries and in the middle of residential and industrial areas, thus creating significant problems, not only for participants in the informal sector, but also for city administrators trying to cope with the spatial demands of the informal sector. Systematic Change and CA Interventions The Douala CDS is aimed at enhancing the overall context for development of the city of Douala and its environs. The activities of the CDS are expected to facilitate better integration of interventions in the city of Douala, to realize the strategic objectives of economic development, poverty reduction and achievement of MDGs. The main objective of the CDS is to describe and assess the extent of its proposed interventions on the business climate, and on the implementation and management of urban infrastructure, with a view to establishing a credible action program for poverty reduction and economic revitalisation in Douala. The specific activities of the CDS Douala include: * A report on the description of the economy of the city of Douala and its environs (including satellite towns), and an analysis of its role as a regional, national and sub- regional economy; * The diagnostic report of the development of the city and its environs, and the analysis of the outlook for socio-economic development and of its impact on the city and its environs, including institutional constraints; * Operational tools (guides) developed for use in participatory consultations, simplified planning, programming and monitoring and implementation or urban investments and their management by beneficiaries; (Note: This product has not been submitted; however Final Report 29 Evaluation of Project Implementation Modalities of the Cities Alliance GHK the subsequent development strategy has been submitted and accepted by the World Bank / AFD); * Formulation of a sustainable medium and long term development strategy (e.g., the strategy document); * Identification of priority interventions and investment areas; and, * Dissemination of the strategy to communicate the relevance of the strategy and action plan to a broad segment of the public and development partners. According to the Grant Agreement, the following impacts are anticipated: * Significant improvement of Douala's physical environment and institutional framework for urban management, given the various issues relative to the city's development and economic role, which are crucial to poverty reduction, the reduction of slums and environmental protection; * Strengthening the role of local actors - and especially civil society in their own development and creating a better understanding on the part of various urban actors, of the tools of participatory management; * A better choice of investments for the city; greater responsiveness to the needs of vulnerable populations; a better fit with local resources (financial, human and technical) needed to maintain or operate the facilities or infrastructure put in place; * Greater sense of ownership of the planned investments on the part of beneficiaries. The recent field interviews by GHK indicate that principles of systemic change, including achievements in enhancing ownership, increasing awareness of how the city functions and its growth potential, greater understanding of the informal sector and its linkages to overall growth, and a basis for scalability, have been achieved in the first phases of the project. The outputs of the City Development Strategy focus on ensuring that Douala growth trajectory is aimed at social inclusion and poverty reduction. Specifically, the completion of the first three phases of the project illustrates strong ownership characteristics based on effective participatory activities, significant opportunities for scalability given the projects' coordination with the government-approved poverty reduction strategy as well as other long-term donor investment strategies (e.g., AFD, World Bank, UN Habitat, etc.). Communaute Urbaine de Douala (CUD) has taken the lead in the preparation of the strategy, and strong and committed partners have worked through the process. These allies include the "Mayor" of Douala, local and national government officials, the private sector (e.g., the Chamber of Commerce), several Civil Society Organisations representing the urban poor, vulnerable groups and women; selected stakeholders outside the city boundaries (e.g., in Yaound6), and various interested and financially-committed donors who have demonstrated ongoing investment in Cameroon's social, economic and infrastructure programs (e.g., AFD, World Bank, KfW, UNDP, UN Habitat) The appointed Mayor of Douala has emerged as a 'champion' and indicated that a broad cross-section of stakeholders have been involved in the participatory process. He has indicated that his role will be to champion the project to national government ministries and the prime ministers office as the project moves through subsequent stages of development and implementation. This illustrates that from the initial stages of project conception and design, stakeholders concerns have been factored into the process, enhancing ownership and opportunities for scalability and sustainability. The process, to date, appears to have a high degree of transparency within the community and interviews with select CSO representatives (e.g., representatives of women's group) suggest that the process has been responsive to the needs of residents and has encouraged participation. The outputs have, in general, been produced as anticipated. The diagnostic and strategic formulation process, which was carried out in a participatory manner, identified 10 priority interventions emphasizing: 1) improvement of quality of life and reduction of slums, 2) sustainable growth and improved economic development and competitiveness, 3) environmental protection, and 4) improved urban governance and institutional frameworks. Specific actions proposed to Improve Quality of Life: Final Report 30 Evaluation of Project Implementation Modalities of the Cities Alliance GHK * Improve transportation within Douala and in the peripheral corridors to improve access to services for Douala inhabitants and opportunities to participate in commercial activities; * Reorganize the commercial marketplaces to facilitate the activities of the informal economy and expand the main food market in Douala; * Improve the Utilisation and Management of Public Spaces while developing the role of Private-Public Partnerships in Douala; * Sustainable Growth and Improved Economic Development and Competitiveness * Develop a Medium and Long-Term Infrastructure Investment and Upgrading Program, including the Improvement of Industrial and Logistic Zones to Improve Overall Export and Distribution Opportunities; * In conjunction with other municipal planning initiatives, develop the 'Central Business District' in the city centre of Douala in order to provide an attractive forum for investors; * Environmental Protection * Promotion of Douala as a Sub-Saharan African pilot project for sustainable environmental protection in management/treatment of solid and liquid waste; * Improve Urban Governance, Management and Institutional Development * Develop a Medium Term Expenditure Framework to Forecast and Access (e.g., Source) Needed Public Investment for Douala and Region; * Establish Mechanisms to Coordinate the Principal Projects in Douala Region with Principal Investment Sources * Improve Delivery of Essential Services (including management, administrative, cost- recovery, and accessibility issues) to those who need them most; * Create a Land Agency for the Urban Development of Douala and Region Essentially, the outputs developed comprise an array of short to medium term interventions (e.g., actions) in the area of facilities and infrastructure and institutional structures to support these actions. The demonstrated focus on institutional, administrative, cooperative and governance frameworks to support the short-medium strategy bodes well for longer term sustainability and scalability of the anticipated interventions. Short-Medium Term Actions Involving Financing Framework * Construction of Access Roads Covering all Districts within Douala * Implementation of a Formal Plan to Direct Growth of Commercial Marketplaces * "Instant Solutions" for Markets Impacted by East-West Arterial Roads (Note: The French wording of Instant Solutions may be a random choice of wording or it may be deliberate. If it is deliberate then it suggests the local implementing body may be under the false impression that there is a magic bullet to the transportation/infrastructure problems identified). * Launching of the First Phase of a Drainage Program Short-Medium Term Actions to Reform Public Administration * Framework for Medium Term Regional Expenditures * Technical Coordination of Medium Term Projects (CUD/MO) * Policy Coordination between CUD and business owners Short-Medium Term Actions Launched though Private Public Partnerships * Logistics Zone * The development of a major industrial zone in East Douala * Development of a Central Business District in Douala to attract investment In conclusion, the findings of the field interviews indicate that the information and diagnostic phases and the analysis and strategy development processes provided a mechanism to engage a broad range of stakeholders and fostered both horizontal (important local stakeholders) and vertical collaboration (high level decision makers at regional and national levels of government) across a range of issues. The prioritisation process (which comprised up to 30 separate consultative workshops by sector) has encouraged a high degree of ownership and support among a number of key Final Report 31 Evaluation of Project Implementation Modalities of the Cities Alliance GHK stakeholders. However, successful implementation will depend on the buy-in of the national government at a time when national/sub-national political pressures resulting from economic challenges are likely to influence overall investment priorities. The prioritization process is evidence based and had the backing of the key members: World Bank and AFD. In terms of linkages to follow-on investment these were not fully finalized but AFD had endorsed their broad commitment to selected priorities; discussions with central government were on-going as part of the finalization process. Going Forward The field interviews concluded that the success of the cooperation and collaboration demonstrated in the project has enabled the building of trust and relations between a network of stakeholder groups and has acted as a mechanism for social inclusion. In particular the project has created a foundational network which includes a representative management group (e.g., Committee Suivi), as well as a network of involved and engaged stakeholders at the local and regional level. The Committee Suivi, which is chaired by the implementing agency, the Urban Community of Douala (UCD) - is an impressive collection of actors representing a cross section of Douala and nationally, who are integral to catalyzing urban transformation. Specifically, the Committee includes: elected officials, representatives of civil society (e.g., associations, NGOs, cooperatives, mutual societies, unions, etc.), private economic operators involved with the informal sector and with the Port of Douala, representatives of the administration including the Ministry of Urban Development and Housing (MINDUH) and the media. The general success of the project supports the fact that the participatory and collaborator mechanisms of this project have produced a legitimate and representative strategic plan for the City of Douala - which was the overall objective. The field interviews also confirmed that the project exercise has helped to build and improve the capabilities of stakeholder groups to not only better understand the phenomenon of city development strategy in the local context, but also to augment their own governing capabilities, which furthers the overall goals of the CDS strategy. The excellent participatory and collaborative processes the CUD managed to infuse into the project have begun a process to change institutional behaviour and, according to discussions with the Mayor, have produced new internal abilities and capacities in the institutional organisations in Douala. According to the Mayor, this means that more people in Douala will be able to take ownership in the process to guide the development of the future economy in Douala and manage the important input of civil society as part of that process. In all of the interviews conducted in the field, it was agreed that the process had encouraged people to think about the development of Douala and the surrounding region in a different way than they had thought about it in the past. Furthermore, because of the success of CUD's advocacy initiatives to include as many stakeholders as possible in the process of identifying needs and priorities, it was also noted that this project, unlike many others, had enabled a critical mass of citizens, stakeholders, administrators and decision-makers to think concurrently and strategically about the future of the city. Learning from Experience It is evident that the service-provision of the CA could have been improved in the early stages of the project formulation. The project proponents have indicated in the interview process that the communication and administrative problems created misunderstanding, delay and frustration; although the grant application process was deemed to provide a learning opportunity. Hence, it is clear that the CA support role, needs to be re-evaluated if programs of this nature are to be delivered on-time, on-budget and on-target - with original project objectives being met and achievement of broader issues realized (e.g. progress towards achievement of MDGs,). Despite the relative overall success of the Douala City Development Strategy - the project was 18 months off the original timetable. Given the demonstrated capabilities of the implementing agency it is reasonable to assume that the delays in the early stages of the project were not entirely the responsibility of the local actors; again members have a key role here to work with clients (even in a client executed mode). Final Report 32 Evaluation of Project Implementation Modalities of the Cities Alliance GHK The evaluation suggests that despite the delays associated with the administrative process, in-country capacity weaknesses and uncertain government commitment and funding support to implement the short and medium term urban strategies, the project demonstrates all of the metrics of success relative to: participation, knowledge-sharing and building of trust between stakeholders, inclusivity, coordinated strategic approaches, and the overall strengthening of local institutional, political and community capacity to respond to the challenges of urban growth in Douala. From the discussions held, specific areas for improvement of CA support include: * Tighten up the timeframe for approvals that currently applies to projects over a certain cost limit; * Ensure that all administrative steps in the Grant Approval and Execution process are language sensitive. React promptly and appropriately to client feedback on language needs. If a client says that the documents still do not make sense in the language of preference - then find ways to rectify the situation to the expectation of the client; * Simplifying the proposal format-in particular; pragmatism is needed where there are information gaps and capacity weaknesses; * Streamline the bureaucracy, especially as it relates to the efficient and effective disbursement of resources needed to finance the early steps in the process (e.g., setting up of local accounts, adhering to local regulations, etc.) Accept the feedback from the client on ways to improve steps related to timely disbursements, procurement; * Ensure that government support is bona fide and sustainable through to the implementation of strategy. If national government support is untenable in the long-term then this undermines each project and can seriously damage gains made in citizen- driven innovation, commitment and ownership of solutions to improve future living conditions and economic prosperity. * Develop a firm timeline for decision making, so that applicants know where they stand. There should be more defined benchmarks for each stage of the grant evaluation and process. Timelines for each should be established and adhered to; * Visibility of CA in-country on a regular and planned basis - the CA (with a particular role for members directly engaged in execution) should allocate more time for more frequent missions that should include field visits - on the ground presence is valued; * Better coordination and information sharing between partners at the international level (e.g., AFD, WB, Habitat, French Cooperation, KfW, etc.). The field visits indicate that this coordination could be strengthened. Clearly it is not the role of the CA Secretariat to manage this coordination, which in practice is very much taking place in country among the key members I and other stakeholders engaged in the process. Accountability for co- ordination is needed and 'in-charge' individual or organization should be designated; at the outset of the grant deliberations. * Define roles between partners more clearly, so that legitimacy, trust, transparency, communication, and cooperation are enhanced. Final Report 33 Evaluation of Project Implementation Modalities of the Cities Alliance GHK 3.2.2 Malawi Project Title Preparatory Grant for Development of Lilongwe City Development Strategy Total Project Cost Cities Alliance: $ 72,375 Co-financing: $ 28,975 Total Budget: $ 101,350 - Project Focus CDS City/National Partner Lilongwe City Assembly (now City Council) Cities Alliance GTZ, Japan International Co- Member(s) operation Agency, UCLG, Sponsoring the USAID Malawi Project Grant Recipient/ Lilongwe City Assembly Implementing Agency Introduction The Malawi government formulated its Malawi Growth and Development Strategy (2006) under the theme 'From Poverty to Prosperity.' Echoing this, in late 2007 the Lilongwe City Assembly (LCA) proposed creating a City Development Strategy (CDS) through a participatory process spearheaded by a dedicated Task Force, and by drawing upon the mentorship and exchange of experience from the City of Johannesburg (CoJ), South Africa. The main objective of the preparatory grant proposal to CA was to use the grant to develop a full-scale proposal for a CDS to deal with rapid urbanization and slum creation. Ultimately, the intention was to create a CDS based on the Malawi Growth and Development Strategy, itself framed by the government's intention to tackle and fulfil the Millennium Development Goals (MDGs). Malawi, a country of some 13 million, is only 20% urbanized, but with a high current urbanization rate of 6.3%. The country's cities and towns are growing at very rapid rates, and, according to UN-HABITAT, absolute urban population is expected to almost double by 2020 and will surpass rural population growth. The preparatory grant was aiming at developing a proposal for a CDS that would help: * Localizing the MDGs * Managing sustainable urbanization * Bringing stakeholders together * Monitoring the achievement of the MDGs. Activities were proposed as: * Establish a Task Force composed of representatives from a variety of stakeholders * Initiate a relationship with consultants from the CoJ to learn from their previous experience with developing a CDS * Launch an awareness campaign through media, aimed at informing the public of the CDS project and inviting other urban areas to the table * Invite contributions and input from a range of interest groups by hosting consultative meetings and workshops for communities, political leaders and other stakeholders * Prepare draft CDS program proposals, allowing the Task Force and consultants to evaluate the process through interim reports * Conduct field visits to Johannesburg for members of the Task Force in order to gain a 'hands-on' experience and assist in localizing the implementation of a CDS in Lilongwe * Disseminate the finalized CDS proposal in various media formats (hardcopy, CD, etc.) as reference material to be used by other cities in Malawi and the region overall. The CDS itself was further to be used by the Lilongwe City Assembly as a tool for effectively planning and managing the growth and development of the city, providing guidelines for resolving current issues and for preventing future negative ones. Specifically, the CDS would Final Report 34 Evaluation of Project Implementation Modalities of the Cities Alliance GHK also be used in future slum upgrading programs and in preventing future slums through effective planning, and in achieving sustained urban mobility through the well-planned expansion of infrastructure. Systematic Change and CA Interventions The Lilongwe CDS process stemmed from LCA's participation at a United Cities and Local Government (UCLG) and Cities Alliance (CA) City Futures meeting hosted by the City of Johannesburg in July 2007. Through UCLG, LCA requested mentorship by CoJ, which was approved with the South African Local Government Association's (SALGA) support in December of that year. The grant application proceeded in parallel, and was positively influenced by the involvement of UCLG (and CoJ and SALGA) in the mentorship discussions. The application was nonetheless an LCA output (i.e., it was produced in-house with the then Chief executive playing a prominent role). The Mayoral Committee of COJ approved the mentorship programme in March 2008. After approval of the Cities Alliance preparatory grant, totalling $72,375, to LCA, which provided approximately $25,000 of in-kind funding, there was a significant delay in the disbursement of the funds by CA. Lilongwe's overall administration was in a parlous state at the time, owing to what is now perceived as mismanagement. As LCA financial systems were also in extremely poor condition and were unprepared for grant execution, further access to the funds was not as efficiently organized as expected; delays in the carrying out of activities was a consequence. Nonetheless, during what is now termed Phase 1 (see below), the anticipated outputs were produced, namely: * Establishment of a Task Team and Extended Task Team * An institutional analysis * A stakeholder analysis * An audit and analysis of currently available development information, including critical research gaps * An analysis of donor projects and its potential alignment to the CDS process * The development of a CDS framework and draft funding application for Phase 2. The Completion Report by LCA is dated June 30 2009, and reports on activities to May 2009. Most activities seem to have taken place in the preceding six months. Although, the available documentation does not explicitly specify why an amendment to extend the grant to mid-2010 was required and agreed, there were apparently some financial reporting and auditing issues that required resolution. The Completion Report states that the outputs above were largely produced in accordance with the original plans for the preparatory grant project. The Completion Report also noted that some information gaps still existed, necessitating that subject surveys be conducted in Phase 2. It is acknowledged in the report that COJ mentors played a vital role in assisting in the production of the outputs, quality assuring them, and in facilitating their absorption by the management of LCA. The lessons identified by the authors of the Completion Report are that: * There must be stronger leadership committed towards the CDS change process. * It is crucial that all stakeholders participate from the start to ensure ownership of the entire CDS process * Mentorship methodology is very helpful to beginner cities such as Lilongwe. * There is a need for consistent follow-ups with partners in order to maintain momentum. It is also clear from the Consultant's site visit, that there has been much reflection by participants on the preparatory grant experience with such issues as leadership commitment, stakeholder participation, data availability, management involvement and maintaining momentum all consistently stressed. It is vital to highlight here that UCLG's and CA's promotion of the mentorship scheme and its execution by COJ, with support from SALGA, were all crucial to the successful completion of the preparatory grant, which is now seen as Phase 1 of a three stage CDS process. In effect, the CDS process in Lilongwe was reconceived in mid-stream as a three stage process. Final Report 35 Evaluation of Project Implementation Modalities of the Cities Alliance GHK In this trajectory, the Phase 1 Preparatory Stage which is formally evaluated and discussed here was used to gather basic data about the city, to conduct an institutional audit and to prepare a stakeholder analysis. The envisaged full-scale proposal output of the preparatory grant, although completed in draft form, was then effectively superseded and/or suspended. This is because during a Phase 2, Development of the CDS, from mid-2009 through early 2010, the City of Johannesburg mentored the LCA in actually fully developing the Lilongwe CDS, which includes a comprehensive overview of the city, a vision statement, goals, objectives and projects/activities. Funding for this Phase 2, estimated at $250,000, was provided by COJ and internally by LCA. In effect, LCA decisively took ownership of the process, supported by COJ. Other CA members, JICA and GTZ, usefully played a minor but supportive role - with a JICA-funded land use plan (Master Plan) for Lilongwe being drafted in the 2008-2010 period, which is now seen as a complement to the CDS itself. At present, for what is being termed Lilongwe CDS Phase 3 Implementation, CA is in the process of approving a grant in the second half of 2010 for $249,000 to the re-named LCA, now called the Lilongwe City Council (LCC), which builds on earlier support from CA and the COJ, and which aims to support LCC to move from strategic planning to implementation. Phase 3 thus focuses on supporting the LCC to make the CDS operational, and includes the following activities: finalizing the LCC business plan and departmental score cards, formalizing a CDS Unit in the office of the Chief Executive, and setting up a reporting system on CDS-related activities for the LCC's departments. Other activities include pre-feasibility studies for the seven "iconic projects" highlighted in the actual CDS document, as well as awareness raising and advocacy on the CDS, including stakeholder meetings and a "road show" to other cities in Malawi. All of this marks, at least to date, a very successful outcome in terms of ownership and going to scale - at least at the level of Lilongwe itself. Participation by other stakeholders in the process to date appears to have been good. In the preparatory grant application form, the LCA proposed taking the lead in preparing the full-scale proposal for Lilongwe's CDS. Local stakeholders included Lilongwe Water Board, Electricity Supply Commission of Malawi, the Roads Authority, with the private sector represented by its mother body, Malawi Chamber of Commerce and Industry while the informal sector was to be represented by the Vendors' Association. The formation of a task team and an extended task team permitted involvement of these stakeholders through the Phase 1 process, and outputs were presented and discussed in a series of stakeholder workshops. The following partners were also proposed to be involved: * Centre for Community Organisation and Development (CCODE): the coordinating NGO of the slum dwellers known as the Malawi Homeless People's Federation. They were to be involved in all the activities and their role in implementation will be in community mobilization, facilitation of community enumerations and surveys. * Malawi Institute for Physical Planners (MIPP): To be part of the task force with the role of providing professional advisory services throughout implementation. * Malawi Local Government Association (MALGA): To be actively involved throughout the CDS process. Their role in implementation will include documenting the process for dissemination for replication of the process to other cities. * Blantyre City Assembly: To be actively involved in all workshops and activities throughout the process. * Mzuzu City Assembly: To be actively involved in all workshops and activities throughout the process. * Zomba Municipality: To be actively involved in all workshops and activities throughout the process. Phase 1 involvement of these partners was also satisfactory, with participation in information gathering and the work shopping of outputs. Participation by these national-level actors also appears to have catalysed further, similar activity in Malawi's urban sector. In addition to the proposal to CA for Phase 3 noted above, the Government of Malawi's Ministry of Lands, Housing and Urban Development has also made a grant application to the Cities Alliance for a country-wide CDS and slum upgrading Final Report 36 Evaluation of Project Implementation Modalities of the Cities Alliance GHK initiative. This application has been jointly made with UN-Habitat, with sponsorship by JICA, World Bank and UNDP. It is seen as a complementary initiative to the CDS. In addition, LCA has secured a $2.6 million grant from the Bill and Melinda Gates Foundation for an informal settlement service upgrading project, in direct consequence of the promotion of the CDS process by LCA's new Chief Executive, Mr. Kelvin Mmangisa who has been deeply committed to the CDS process. Phase 3 of the Lilongwe CDS is therefore 'owned' by the re- named Lilongwe City Council (LCC). However, in addition to coordination with the linked initiatives discussed above, there is the strong intention to involve city, national-level (notably MALGA and CCODE) and international partners (COJ, UCLG) in the implementation process. The three other cities mentioned above, Blantyre, Zomba and Mzuzu, participated actively in all major workshops, which were intended to be learning platforms for possible replication of the CDS process in these cities. Both Blantyre and Mzuzu are now involved in an extension of the UCLG-supported mentorship scheme with the South African cities of Ekurhuleni and eThekwini (Durban) respectively, which will be part funded by the grant above. Going Forward The full implications for the new CA business model and pillars are partial at this stage; the grant very much as positioned in the old business model. That said, respondents stated that Phase 1 should be seen as laying the groundwork for urban transformation and consideration of poverty issues and the conceiving of pro-poor policies and schemes in Phase 2, as the CDS was developed. The finalized, Phase 2 CDS is a pro-poor document. Here, the presence of the Centre for Community Organisation and Development (CCODE) in discussion/consultation of Phase 1 (and Phase 2) activities was stressed by respondents. Previously,LCA did not have a strategic urban planning and development process that was either participatoryor transformative in intent. In the absence of this, the assembly was not able to effectively plan for future development in line with the MDGs. The completion of Phase 1 and its successful continuation in Phase 2 attest to improvement in the participatory process, which must now and in the future be enhanced and sustained through CDS implementation. Phase 1 outputs (as something of a State of the City analogue) were oriented to a pro-poor perspective. The CDS produced in Phase 2 is explicitly pro-poor and addresses the MDGs in sectoral analyses of governance, shelter and land, infrastructure and environment, community development, and economic development. This is carried through in its proposed City Vision, and in the objectives stated and activities designed to implement the CDS. In addition, Phase 1 of the CDS contributed to providing the evidence base for making systemic improvements in LCA's administration. The CDS produced in Phase 2 highlighted a Stabilisation Strategy for LCA, which proposed short-term improvements to administrative and financial systems which are now under implementation and will be continued in Phase 3. The likelihood is good that the progress seen to date, which was effectively stimulated by a small CA preparatory grant, will continue - provided, that is, that momentum is maintained and actual implementation of the CDS gets underway soon (November 2010). Potential impacts are impossible to quantify at this point in any robust manner, but there are real opportunities for promoting change leading to poverty reduction. This means progress being made with Phase 3, notably with the following proposed activities: * Finalisation of an Assembly business plan and departmental scorecards (outlining 2010/11 implementation priorities, funding sources and capacity requirements) * The formalization of a CDS Unit in the Office of the Chief Executive * Formalisation of a reporting system (progress against commitments) * Feasibility investigations of proposed Iconic Projects * Advocacy and awareness of CDS * Initiation and facilitation of CDS projects with external support * Coordination of Year 1 thematic priorities as outlined in CDS Implementation Plan * Independent oversight and technical advice to Lilongwe Assembly Final Report 37 Evaluation of Project Implementation Modalities of the Cities Alliance GHK As can be seen, Phase 3 is oriented to building internal administrative systems and capacity, in conjunction with implementation of measures, feasibility studies of larger projects and the mainstreaming of the CDS approach. Detailed business planning is to occur in Phase 3. In terms of funding, the commitments from CA and the Gates Foundation are apparently secured. Other LCC internal and external funding sources will be identified and programmed during Phase 3. It should be emphasized that LCC staff will require continued mentorship, support and skills upgrading. Phase 3 foresees mentorship continuing through COJ, as well as support from CA members. It appears that attention will also be required to training and capacity enhancement, notably of LCC staff and the local/national consultant base. CA engagement, as discussedabove, has had a stronglycatalyticeffect, in large part as a result of powerfully-committed involvement from CoJ. Provided implementation of the CDS - or even aspects thereof - plays a demonstration role, the impetus towards systemic change will continue, notably within the LCC. Whilst there can therefore be some impact on urban poverty reduction, sustained improvement in Lilongwe will require more than a strategic urban planning process and its implementation - it is fundamentally dependent on Malawi continuing on its current path of private sector-driven economic growth, with consistent guidance by government. Here as urban strategic guidance at the level of the Capital City and through replication elsewhere in the country, the CDS can have real impact. Learning from Experience A number of issues arose in discussion with GHK around the grant application and execution processes. Respondents stated that the application form itself is not difficult to use, although it is wordy and could be streamlined. However, the details required by CA mean that applicants need to have some knowledge of project preparation and budgeting, and hence of the terminology typically used in project formulation and management. The required response to assessment comments in reworking the proposal also follows in this line, presuming real experience on the part of the applicant. It was stated that consideration could be given to greater discussion of concepts and terminology and even a measure of training in the use and completion of the form. As discussed above, there was a significant delay in the disbursement of the funds by CA. As LCA financial systems were also in extremely poor condition at the time, further access to the funds was also delayed, as were activities. As one interviewee put it, 'The CA needs to understand better the way we have to operate our systems are often not in place and need to be added.' Finally, as also seen above, the CDS process in Lilongwe was reconceived in mid-stream as a three stage process. It was suggested by several respondents that any future grant structure could follow a similar phasing, wherein the small preparatory grant, which they saw as having significant and out-of-scale compliance costs, could be seen as a first stage, followed by a second phase of collaborative CDS drafting, and with an implementation phase to succeed that. Assistance and financial support could be given to complete the overall grant application. While the Lilongwe - and Malawi - experience emerges as positive for the CA's approach to date, and this precisely in the context of emerging urbanization, there was little discussion of a programmatic approach as such: as is implied above, the small grant (?) can be seen as an entry point to developing a longer-term engagement that is built on incremental/demand driven steps that develop as a participative and collaborative process unfolds. Final Report 38 Evaluation of Project Implementation Modalities of the Cities Alliance GHK 3.2.3 Senegal Project Title National Program for Slum Ow Improvement and Slum Upgrading in Senegal's Cities - 'Senegalese Cities Without Slums' Total Project Cost Cities Alliance: $ 430,000 Co-financing: $ 400,000 Total Budget: $ 830,000 Project Focus SU City/National Partner Association of Mayors of Senegal (AMS) Cities Alliance KfW Bankengruppe , UN- Member(s) HABITAT, UNDP, World Sponsoring the Bank Project Grant Recipient/ Fondation Droit a la Ville Implementing Agency (FDV) Introduction The National Programme for Slum Improvement and Slum Upgrading in Senegal's Cities supported by Cities Alliance should be evaluated in light of parallel activities and investments that have been undertaken at the national level to stem poverty. In particular the implementation of the 2003-2005 Poverty Reduction Strategy Program (PRSP 1)and the second Poverty Reduction Strategy Program (PRSP II) covering the period 2006 - 2010 which, at its conception, sought to push the poverty agenda forward to meet the objective of raising economic growth to about 7% per year - necessary to halve poverty by 2015, in line with the targets set out in the Millennium Development Goals illustrates both the opportunities and challenges faced in the current policy and economic environment. With a population estimated at about 12.5 million, Senegal's economy is dominated by a few strategic sectors, including groundnuts, fisheries and services. The role of the agricultural sector has declined over time as the result of frequent droughts. High rural poverty and limited access to rural infrastructure and basic services have fuelled migration to urban areas, and the country's informal sector accounts for about 60 percent of gross domestic product (GDP). Senegal has shown remarkable political stability since independence in 1960, exemplified by consecutive peaceful presidential transitions and by the 2004 Casamance peace agreement. Yet Senegal appears to be at a critical juncture. From the mid-90s until 2005, Senegal had one of the best economic performances in Sub-Saharan Africa with real GDP growth averaging 5 percent annually. This growth contributed to a sharp drop in poverty incidence. Poverty declined rapidly-the fraction of the population that fell below the national poverty line declined from 68 percent in 1994/95, to 57 percent in 2000/01, and to 51 percent in 2005/06. Although Senegal continues to maintain a relatively stable political environment and macro- economy, and it is making progress on key infrastructure - successive external and internal shocks since 2005 have had a negative impact on Senegal's economy. The run up in oil prices and the surge in food prices in 2007 overloaded Senegal's open economy and drove up inflation. The onset of the global recession in 2008 and its deepening in 2009 has exacerbated the situation. More recently, floods in the Dakar area, affecting an estimated 450,000 people, have created additional economic and social challenges. Taken together, these successive crises largely account for Senegal's weaker performance in the second half of the decade. The result is that growth has slowed to a near halt and reversed some of the gains in poverty reduction of the early decade. Furthermore, the economy has shown little structural change, achieved insufficient diversification, continued to depend on public spending to spur growth, and generated relatively weak export growth and limited net job Final Report 39 Evaluation of Project Implementation Modalities of the Cities Alliance GHK creation in the formal private sector. Growth has remained concentrated in the modern, largely urban, construction and services sectors, fuelled by public works spending and remittances from Senegalese abroad. The capital city, Dakar, accounts for only 0.3 percent of the land area of Senegal, but for one-quarter of its population and over 60 percent of the country's economic activity. Tackling the main structural feature of poverty in Senegal and the deepening of entrenched disparities between Dakar and the rest of the country continues to be a significant challenge. In this context, the partnership that was formed in 2007 between Cities Alliance (UN-Habitat, World Bank and KfW) and Senegal's institutional actors, including the Minist6re de I'Urbanisme et de I'Amdnagement du Territoire (MUAT), Fondation Droit a la Ville (FDV) and the Association of Senegalese Mayors (AMS) to support the development and implementation of the "Senegalese Cities Without Slums" program is aimed at building on previous national slum upgrading initiatives and attaining the MDGs. The specific objectives of the program are: * Further develop the "Senegalese Cities without Slums" program, including logistics, monitoring and evaluation; * Identify opportunities for mobilizing public and private investment to realize the main objectives; * Strengthen the capacities of MUAT and FDV in the area of prevention and improvement of substandard housing; * Strengthen the urban development observatory in Senegal (responsible for assessment of the phenomenon and progress reports on meeting MDGs) ; and * Document and disseminate Best Practices and Lessons Learned by Government, cities and communities under the 'Senegalese Cities without Slums' program and communicate them to the local, national and international community Overall, the assessment of the effectiveness of CA programming must viewed in the context of other parallel actions to reduce poverty as well as the current economic circumstances that have arisen since the submission of the original proposal in 2005. Systematic Change and CA Interventions An assessment of overall systemic change, including ownership and scalability elements is premature given the limited progress achieved to date. The signing of the Grant Agreement took two years from the original submission date. Since the signing of the Grant Agreement (March, 2007), only the diagnostic steps have been completed. The project time-table is now acknowledged to be 18 months behind the original schedule. The project outputs and current timetable for delivery is as follows: * Establishment of baseline situation and cartography of the urban phenomenon (Complete) * Analytical Report: Slum Phenomenon, Best Practices on Urban Restructuring/ Tenure Regularization, and Lessons Learned (submitted September 30, 2010 - GHK have not had further documentation on this) * Draft Strategy for national 'Senegalese Cities without Slums' Program, including monitoring and evaluation mechanisms (Estimated completion date: February 2011) * Draft Action Plan for Implementation 'Senegalese Cities without Slums' Program, (institutional, regulatory and financial tools and mechanisms in existence and to be put in place for strategy implementation (Estimated completion date: April, 2011) * Communication and Institutionalisation Plan to promote public awareness and public participation of local associations and citizenry (Estimated Completion Date: April, 2011) * Final Strategy and Action Plan for 'Senegalese Cities without Slums', including a report on the training program for all relevant actors (Estimated Completion Date: June, 2011). The CA initiative has suffered significant time delays due to financial, administrative and participatory challenges. Although the national government indicated a willingness to participate at the outset of the project, current economic realities appear to have hindered the government's role in the project (e.g., the project is yet to receive any monies from the Senegalese government). Far from enhancing ownership and going to scale, the project has Final Report 40 Evaluation of Project Implementation Modalities of the Cities Alliance GHK been hindered by lack of financial commitment at the national level and lack of political will at the district level (e.g., in field discussions with the Association of Senegalese Mayors, the Deputy Chief of this organization explicitly noted that he does not agree with the philosophy of the 'Senegalese Cities without Slums' Program, that he believes it is a 'waste of money' and that programming should be target at the source of the problem (in the rural areas) rather at the symptom of the problem (urban slums). These findings appear to contradict other recent experiences at both the national and district levels where there has been a successful collective energy to tackle the problems of poverty and slum upgrading. Specifically, according to the World Bank, the PRSP-ll (mentioned in the introduction) was prepared in a participatory manner. Extensive consultations took place both at the national and district levels with a broad range of stakeholders, including representatives from the parliament, central and local governments, donors, the private sector, think tanks, trade unions, and civil society organizations. The process whereby the PRSP-ll was presented to the country laid the foundation for wide support for poverty reduction and slum upgrading strategies generally. However, the CA project has not demonstrated equivalent findings, to date. The delays, obstacles in obtaining national funding, lack of commitment demonstrated in discussions with the Association of Senegalese Mayors, lack of involvement of the private sector and civil society organisations indicates that these parallel efforts have not contributed to major follow-on commitments by government. The CA initiative, although perceived to be supported at the outset by national and district government entities, has not produced systemic change nor has it demonstrated a willingness on the part of local stakeholders to play a more active ownership role in the development and implementation of strategies to overcome the challenges of poverty and slum upgrading. In this context, it should be noted that, according to the Independent Technical Assessment of Proposals Submitted for Funding, there "was no formal documentation attesting to the support of the Ministry and other Senegalese organizations attached to the proposal," but it was assumed that "the explanation of the current policies of the government and support of the Association of Mayors in the proposal itself (made) their support very clear." The CA project was developed locally, but the delays caused by administrative and capacity inefficiencies have now collided with the new economic realities. At the outset of the project, annual economic growth was anticipated to be 7%. However, the impact of successive economic crises has severely altered this economic assessment with annual economic growth now falling significantly below that which was estimated at the commencement of the project. A cursory review suggests the research and analytic phase of the project has not seemingly adopted participatory approaches in its formulation. Although there may be some incremental gains in the transfer and sharing of knowledge between local and national authorities and donor agencies of the slum phenomenon in Dakar and surrounding region, it is not clear whether, or the extent to which, this knowledge transfer includes those vulnerable populations, poor families and women who are directly affected by poverty and who comprise those living in slums. This potentially represents a disturbing trend in the overall formulation of the project which will in all likelihood impact on the subsequent steps in the process. In the evaluation interviews, all parties (including UN-Habitat) indicated that the research and analytic phase of the project was 'too technical' for affected populations to understand; how evidence was collected, analysed and communicated is not fully clear. However, if local stakeholders are not part of the strategy / planning and analytical processes from inception, then concepts of 'ownership' will be compromised; as well the validity and robustness of the evidence base may also be compromised. Going Forward In the case of the "Senegalese Cities without Slums" Program, it is too early in the process to assess the overall impact of the CA approach relative to positive indicators of urban transformation and poverty reduction and inclusive cities; the process to date is however not satisfactory. Discussions in the field indicate that the completion of the diagnostic and analytic reports has resulted in a more in-depth knowledge of the urban phenomenon Final Report 41 Evaluation of Project Implementation Modalities of the Cities Alliance GHK (history, trends, current status, mapping), at least among authorities responsible for the design and implementation of the project. A marked feature of the Senegal example is the substantial shift in the commitment of the key partner, the Association of Senegalese Mayors (AMS). Field discussions indicate that since the original proposal submission the AMS has had a change of opinion on the validity of the CA program. Specifically, the Deputy Chief of this Association articulated that the research indicates that the program does not deal with the underlying causes of urban poverty; it is 'a waste of money to improve slums' and 'resources should be directed to the provision of essential services and employment generation in rural areas.' This is not a new or surprising argument. However, what is surprising about this diagnosis is the source. If this is the position of Deputy Chief of the AMS, the key co-financing partner at the district level for the 'Senegalese Cities without Slums' Program, then perhaps the future of this project needs to be re-evaluated. His comments indicate that strong ownership by mayors and local authorities, sustainable financing strategies at the district levels and future cooperation may not be as forthcoming as the project moves through the stages of strategy, action plans and eventual implementation. The comments of the AMS should be considered in context with available information on the rapid rate of urbanisation in Senegal. Specifically, at the current pace, it is projected that almost six out of ten Senegalese will be living in cities by the year 2015* (less time than the period between the proposal application and current deliverables of the CA 'Senegalese Cities without Slums' Program). The vulnerability of the rural population (in relation to the intemal/external shocks previously described) has led to higher emigration rates toward cities, in particular Dakar, contributing in turn to the further deterioration of living conditions in urban areas and to the emergence of new vulnerable groups (e.g., street children). Clearly, this rapid pace of urbanization raises a key challenge for Mayors and district authorities who urgently need to find the right balance between urban and rural development policy; and resources to manage urban population growth. 15 Recent field discussions also indicate that the degree of alignment among national and local levels is limited and has deteriorated since project inception. Discussions with the partners (FDV, AMS) revealed that there is a lack of understanding between actors, tensions due to misaligned goals and objectives of different parties, and disagreement on the philosophy how to deal with the problem of slums in general. Furthermore, there appears to be a significant degree of turf protection and mistrust amongst actors. The AMS indicated that they should be the organisation that determines how the money will be spent, but that the other partners do not share this view. On the issue of trust - interview discussions reveal that the FDV as the implementing agency does not appear to be a legitimate organization in the eyes of the national government. There were several comments in interviews that suggested that the delays relative to the receipt of monies from the national government is somehow related to fact that MUAT does not view FDV as a legitimate body. The Committee Suivi was created after the project commencement to allay some of these concerns. However, the Committee, because it was not part of the original project structure (e.g., it is not identified in the Grant Agreement framework) cannot act as a clearing house for any of the project financial operations and has no authority to deal with budget matters directly. Finally, the defined role of the Senegalese Government in this project has also created tensions which, in all likelihood, have contributed to the delays, inefficiencies and obstacles. In field discussions it was determined that the Senegalese Government is uncomfortable in a role that requires them to pay for almost 40% of the project costs, but affords them little authority on how the project is undertaken and, more importantly, on what kind of strategy for implementation will be developed. To quote one of the interviewees, the national government 'wants to be the VIPs.' Learning from Experience In the case of the CA Senegal project, it is evident that the service-provision of CA could have been improved in the early stages of the project formulation. The project proponents have indicated in the interview process that the communication and administrative problems 15 Poverty Reduction and Economic Management 4 Country Department AFCFI, Africa Region, World Bank) Final Report 42 Evaluation of Project Implementation Modalities of the Cities Alliance GHK between CA in DC created misunderstanding, delay and frustration. Hence, it is clear that the CA support role, again how members operate in the field and liaise with the Secretariat, in cities needs to be carefully designed I agreed in advance if projects are to be delivered on- time, on-budget and on-target. Related to this, it is also important to carefully assess the foundations of client commitments, capacities and the risks related to this; long project gestation times run risks of local ownership and priorities shifting. Related to this remains the vital role of members on the ground working collaboratively with clients - whether client or member executed. The evaluation suggests that despite the delays associated with the administrative process, in-country capacity weaknesses and uncertain government commitment and funding support, the (partial) success of the project, to date, has been improved understanding and knowledge of the evolution of slums (e.g., factors relating to rural-urban migration) and the economic and social impact of the slums on local, regional and national frameworks and strategies. The completion of the diagnostic and analytic steps in the project have provided a compendium of information that local partners acknowledge has provided a better understanding of the issues, challenges and potential solutions to the problems of rural- urban migration and evolution of slums and slum upgrading responses. Although the funding received by the implementing agency to date represents only a very minor portion of the overall funding envelope (approximately $150,000 of the total $830,000 has been received), these monies have been used to hire consultants to assist in the preparation of reports - the diagnostic and analytic studies. However, there are still four (4) subsequent stages of document development to be completed. Given the problems which have been identified: lack of cooperation and communication; fissures amongst national and district actors; delays in funding; turf protection amongst partners; lack of public consultation and participatory planning activities with affected groups and no visible role identified for the private sector, it is questionable whether or not the project will be able to proceed as planned through subsequent phases. The next four outputs include more difficult and complex tasks. In particular, the development of strategies, the assessment of regulatory mechanisms (current and future) to support these strategies, and communication plans and implementation mechanisms to engage the local population, civil society and the private sector. Major questions arise as to whether or not follow-on implementation will be accomplished given the complexity of tasks to be undertaken and the impediments that have been identified at this stage of the project. Forward thinking around implementation is also not clear - there was limited evidence of how to execute the strategy and overcome the political and organizational obstacles that may stand in the way of successful implementation. Added to these challenges is the fact that the identification of follow-on investment linkages to ensure some measure of project sustainability appears to be weak at the time of this assessment. From the discussions held, the following specific areas for improvement include: * Tighten up the timeframe for approvals that currently applies to projects over a certain cost limit - extended Grant preparation and execution periods run the risks of exposure to changing politics, priorities and funding windows. * Ensure that all administrative steps in the Grant Approval and Execution process are language sensitive and a simplified as possible - it is understood the language and application issues are now being addressed. * At the commencement of the project, it would be helpful to have an overall 'orientation' on the grant proposal and administrative processes. The only assistance provided is the finance side and in the finalizing of the proposal. Other assistance would be beneficial * Ensure that government support is defined, real and sustainable. If there are significant changes to government commitment and resourcing capabilities then a stronger / pro- active approach would be recommended; do not wait for the situation to 'work itself out'. There is a strong role for members as they are on the ground and should are able to work with local stakeholders and the Secretariat to address challenges as they occur * Visibility of CA in-country on a regular and planned basis - CA (Secretariat or members as agreed up front - with members likely to be in a stronger position where there is on Final Report 43 Evaluation of Project Implementation Modalities of the Cities Alliance GHK the ground presence) should allocate more time for direct client engagement and to assist with problem solving. Formulation of, and agreement to a clear and concise work-plan between the member and the client outlining clear timelines tied to actions and what deliverables are expected and when. Defining the roles between partners more clearly, so that legitimacy, trust, transparency, communication, and cooperation are enhanced. 3.2.4 Mozambique Project Details Slum Upgrading and Vulnerability Reduction in Flood Prone Cities and Towns in Mozambique (henceforth Flood Cities SU; total budget $1,110,000; CA funding $495,000; sponsoring member/s UN-HABITAT, UNDP; Grant recipient UN-HABITAT) Improving Water and Sanitation in Quelimane City, Mozambique (Quelimane City Water and Sanitation; $1,220,000; $500,000; UN-HABITAT, World Bank; UN- HABITAT) Slum Upgrading and City Development Strategy for Nampula City (Nampula City SU and CDS; $542,000; $135,000: UN-HABITAT and United Cities and Local Governments (UCLG); Nampula Municipal Council and UN-HABITAT) Slum Improvement Demonstration Project for Maputo City (Maputo City Slum Improvement; $100,000;$75,000;World Bank; World Bank) Preparatory Grant Support for Upgrading the Chamanculo C Neighbourhood, Maputo Municipality (Chamanculo C Neighbourhood Upgrading; $103,500;$73,500; Brazil Ministry of Cities and Italy Ministry of Foreign Affairs; Municipal Council of Maputo) Preparatory Grant for the Development of a State of Mozambican Cities Report (State of the Cities; $59,500; $52,500; CIDA; National Association of Municipalities of Mozambique) Preparatory Grant for the Development of a CDS for Chimoio (Chimoio CDS; $49,080; $42,000; USAID; Chimoio Municipal Council) Preparatory Grant for the Development of a CDS for Vilankulo (Vilanculo CDS; $49,080; $42,000; USAID; Vilanculo Municipal Council) Introduction Through the last decade, Cities Alliance (CA) has funded what can be seen as a 'portfolio' of projects in Mozambique. This marks a significant multi-million dollar investment by CA in improving urban conditions and strategic urban planning capacity in the country. The period since 2000 has seen economic growth in Mozambique average 8%, with a rate of just over 6% recorded in 2009. Despite close to a doubling in per capita GDP in that time, to around $440 in current terms, the country, with a present population estimated at 22.4 million, and growing at 1.8% per annum, is afflicted by extreme poverty - Mozambique is in the bottom five countries globally in terms of life expectancy, and in the bottom 10 with regards to the Human Development Index. Urbanisation is rapid, at a rate of approximately 4% with some 36% of the population living in urban settlements in 2009. This is projected to rise to 60% by 2030, an increase of some 12 million urban dwellers. The projects which have been or are being implemented predate CA's recent thinking on country programmes. Accordingly, no formal Mozambique programme was formulated by CA. CA's experience in Mozambique can Final Report 44 Evaluation of Project Implementation Modalities of the Cities Alliance GHK thus be seen retrospectively, if not as an actual test case for CA's intention to become more involved in programmatic fashion in the urban sector of poorer developing countries, then certainly as providing useful lessons towards this end. Systematic Change and CA Interventions The experience in Mozambique strongly indicates the limitations of smaller-scale interventions, notably those in the preparatory grant format, and the greater utility of larger grants in delivering planned outputs and improving the chances of ownership and sustainability - and in catalysing further activity and change. However, even larger CA grants are constrained by their own limited scale. What emerges as crucial is linking CA grants and the projects they fund to wider initiatives in a variety of ways, most particularly as catalysts. Both the Chimoio CDS and Vilanculo CDS projects, the grant agreements for which date to March 2007, and were extended in 2008, were closed the following year after the grant agreements expired. Documentation on the projects is limited. It does appear that some half of the grant was spent in the case of Vilanculo, Outputs are not available (sic!). In both cases, institutional memory is almost wholly lacking. But it appears that the small scale and preparatory (i.e., without guaranteed further funding) nature of the grant, which followed a thorough-going and time-consuming application process, served, at least to some degree, to frustrate proper buy in and commitment from city mayors and municipal councils. As one informant put it, citing the scale of urban needs and lack of resources and capacity as rationale, 'My mayor is only interested in the big money.' Local government elections in November 2008 further compounded this debility, as political representatives and staff changed at municipal level. USAID's PROGOV programme, with which the grants were associated, was also closed in 2009 after five years of implementation. In the case of the State of the Cities project, the preparatory grant format fared somewhat better. The grant agreement to the National Association of Municipalities of Mozambique (ANAMM) was made in January 2009, less than three months after the grant application was received. No significant delays were incurred in the receipt of the first tranche of funds. There were then delays in execution, some caused by management changes at ANAMM - and here the actual role of the sponsoring member, CIDA-PSU, is unclear in terms of its proposed operational and financial supervision of the grant - which meant that the project was not completed within its original six month timeframe, or within 2009, necessitating extension. The grant output of a full-scale application to CA for the preparation of a State of the Mozambican Cities Report was nonetheless produced and submitted to CA in July 2010. This application is supported by a report which outlines relevant issues in the urban sector, drawing here on the experience of urban sector projects and programs, including those funded by CA. It provides a comprehensive bibliography of source material, details a process of consultation at city (Maputo, Nampula and Quelimane), national government ministry and development partner (notably UN-HABITAT, GTZ, DANIDA and SDC), and discusses a study visit to the South African Cities Network (SACN) in Johannesburg, A budget of $932,500 is proposed with Cities Alliance to contribute $460,000 primarily to ANAMM as recipient. GTZ, UN-HABITAT (which will receive $35,000), and UCLG are proposed as sponsoring members; all provide co-financing as does DANIDA, SACN, ANAMM itself, 23 involved municipalities, the Ministry of State Administration (MAE), the Instituto Nacional de Estatistica (INE) and the Centre for Sustainable Urban Development (CDS-ZU). The proposal is now being evaluated by CA. Whatever the outcome, the proposed implementing partnership appears to represent a workable ownership structure or vehicle for the purpose of developing a State of the Cities report through a collaborative, multi- stakeholder process. Such a report would also represent a consolidated and larger-scale effort to produce data and a municipal or city-focused perspective on Mozambique's urban challenges. However, and whatever the causes, on all accounts it has now taken much time and plentiful resources to reach this point. Respondents suggested that a better approach might have been to produce the (full) proposal for the process and report without a preparatory phase (or funding - which is a drawback), and if awarded, to disburse funds on the basis of milestones, with CA reserving the right to withdraw further and future funding. Final Report 45 Evaluation of Project Implementation Modalities of the Cities Alliance GHK The two slightly larger grants directed at slum upgrading in Maputo, namely Maputo City Slum Improvement and Chamanculo C Neighbourhood Upgrading, are both linked to, supportive of and have also arguably had a catalytic effect on larger initiatives in ways that were not necessarily predictable or foreseen. Roughly 75% or 800,000 of the city's 1.1 million people live in informal settlements. The Maputo City project was conceived as an adjunct to the first phase of the two phase 2007-2016 World Bank funded Maputo Municipal Development Program (MMDP 1). The ProMaputo program, as it was known in this phase, was directed at making systemic financial, organizational and institutional reforms within Maputo's municipal government structure. The Maputo City project aimed to support, and even initiate, the ProMaputo process by developing and piloting an incremental but integrated approach of participatory upgrading in order to improve living conditions in one of the city's many informal neighbourhoods (bairros), Chamanculo C, with a population of between 25,000 and 30,000. The project was in essence designed to demonstrate upfront commitment on the side of funders to Maputo Municipal Council (MMC) with regards to the broader ProMaputo process. Strictly in its own terms, the project it is generally acknowledged to have been problematic. The grant agreement dates to October 2005. There were significant delays in the mobilisation of consultants, notably a Project Manager; difficulties in understanding procedural requirements; and differences in opinion on the project's direction between the ultimate beneficiary, MMC, and the consultant team which was engaged. The original proposed two part phasing of the project was eventually re-emphasised, with the first phase results including a series of socio-economic studies, surveys of services (solid waste, storm water and drainage, and water) and land use, topographical and cadastral maps. A proposal was thus made for an extension of the project in January 2008; a grant amendment extended the original grant's validity, at apparently no cost, through 2008. At this stage, on accounts, MMC itself took the lead in finalising project activities, with outputs including revised mapping, including a cadastre for a small part of the bairro, and the issuing of some 200 land titles. It appears as though no Completion Report exists (explaining this to a degree is that the 2008 local government elections, mentioned above, resulted in wholesale change in senior positions in MMC). Despite these difficulties, and with the benefit of hindsight, the Maputo City Slum Improvement Project can now be seen to have had a very useful spurring or instigative impact. In 2007 discussions began on development cooperation between Brazil and Italy, with third countries. One theme of the Italian-Brazilian Triangular Cooperation Programme (IBTCP) that resulted is the upgrading of 'degraded' city neighbourhoods. Maputo was identified as a priority city for intervention. Through 2008 and 2009 discussions occurred between the parties on the shape and scope of such an intervention. These were informed by the experience of the Maputo City project, notably in sensitizing the community to and mobilizing it for a participative approach for improving neighbourhood conditions, by the ongoing implementation of ProMaputo, and also by MMC's own initiatives - the City Master Plan, and a Municipal Strategy and Action Plan for Integrated Intervention in Informal Settlements. In November 2009 IBTCP approved a proposal for a two year project called Support for the Upgrading of the Chamanculo C Neighbourhood, prospectively budgeted at $2,700,000 with funding envisaged from Italy, Brazil and CA. The CA Chamanculo C Neighbourhood Upgrading preparatory project now underway is designed, in similar fashion to its predecessor's linkage with ProMaputo, to support and to lay the ground for the larger implementation project above. Approval of the proposal was rapid, within three months of submission. Some delays then occurred with transmission of funds, as a special account had to be created by MMC. The project is now well underway, with keys outputs in the form of an operational plan for the project above, and the application for CA funding of $500,000 already completed. There has also been a sharpening of scope with one of the outputs now conceived as a monitoring and evaluation framework for the Tripartite or Triangular project, as it is known (the budget envelope for the project is now $2,900,000). In the process of development and execution to date of the preparatory project and the application for funding to CA for the Tripartite Project, the assistance of the CA regional Final Report 46 Evaluation of Project Implementation Modalities of the Cities Alliance GHK representative in Brazil was acknowledged in a highly positive fashion by several informants. In addition to a shared language, it was emphasized that working with Brazilian colleagues was highly beneficial owing to a mutual understanding of what are, in some ways, similar political cultures: "They understand how we have to work here," one interviewee put it. The two CA projects in Maputo, then, are now regarded as part of the same longer-run process of neighbourhood improvement (with the country's strong positive tradition of a neighbourhood-based urbanism, the term slum upgrading is disdained), and demonstrate the advantages of linking small CA projects to larger initiatives in a supportive fashion, which can have stronger scale and catalytic effects than if they are implemented as standalone projects. The linkages which have been at play and the future perspective are well- summarized in the following extract from the MMDP II Project Appraisal Document (2010, p. 55) from the section on the programme's Component C Urban Planning: MMDP II will provide support for the development and implementation of socially and technically appropriate methods for upgrading Maputo's dense 'inner ring' of informal settlements. During MMDP I, with the support of Cities Alliance, CMM [i.e. MMC] undertook an experiment in the dense, socially complex neighbourhood of Chamanculo C; using a highly participatory process to pursue the limited goals of improving roads and pathways and providing a basis for regularizing tenure. MMDP 11will build upon this experience to implement a more integrated model, using participatory planning processes to plan the rationalization of land boundaries and public spaces, as well as providing funds for modest neighbourhood infrastructure improvements for internal access roads and paths, drainage, illumination and sanitation based on community identified priorities. Methods adapted from experience with 'slum upgrading' programs in other parts of Africa, Latin America, and Asia will be employed as a basis for CMM's own participatory neighbourhood development program. In addition, IDA-supported efforts will be implemented in collaboration with a tripartite Brazil-Italy-Mozambique Integrated Neighbourhood Development Project, also supported by Cities Alliance. The project will build upon earlier efforts in the Chamanculo area to pilot more intensive methods for promoting social development, as well as land use regularization and infrastructure improvement in poor peri-urban neighbourhoods. The CMM field teams implementing IDA-supported neighbourhood improvements and the team implementing more intensive Tripartite Project work in Chamanculo will share technical assistance resources, specialized staff, and field experiences, thus maximizing synergies between these two closely related efforts. As principal sponsor, UN-HABITAT has now executed three projects in Mozambique. The first two, Flood Cities (with UNDB as co-sponsor) and Quelimane City Water and Sanitation (World Bank) were larger-scale projects than those discussed above, with total budgets of $1.1 to $1.2 million. In each case, UN-HABITAT was the grant recipient and implementing agency, receiving around $500,000 for each from CA. Flood Cities was subjected to detailed and positive evaluation in 2005 after completion. The only proviso was a lack of clarity about future investment in the cities where the project was implemented, The outputs, though, which included land use plans, disaster management/flood control precautionary measures, capacity development and a ground-breaking training manual, "Learning to Live with Floods" (which served as an example and stimulated the development of further materials in the region via a Global Environment Fund project in the lower Limpopo Basin) were of extremely high quality. By all accounts, this was a very successful project. The Quelimane City Water and Sanitation project, which was spurred by and built on the Flood Cities experience in aiming to improve water and sanitation conditions in slum areas, also arguably demonstrates at least the potential advantages of operating on a larger-scale, and with ongoing facilitation and assistance. Notwithstanding a drawn-out formulation and application process, and delays during execution, owing largely it appears to lack of municipal capacity and limited financial management procedures, the project did make improvements and innovations for Quelimane Municipal Council in planning methods, in the setting up of community structures and building community facilities, and did improve some municipal services and infrastructure, notably water supply and roads. Sanitation outputs were largely not completed. Evaluation indicates that the project may well have actually been overly-ambitious in its design: the highly participative city-wide improvements proposed likely required an extended project duration and a far higher budget. Disappointingly, there has not Final Report 47 Evaluation of Project Implementation Modalities of the Cities Alliance GHK been large-scale follow up on the initiative - an investment proposal submitted by UN- HABITAT to the European Commission was not accepted - although WaterAid has continued supporting the Community Committees and centres that were established. The ongoing Nampula SU and CDS project is funded to a lower degree by CA, and is now fully operational. The formulation and approval process also took a long time (approximately one-and-a-half years), and was followed by roughly a year's delay in mobilising the project. This is ascribed to an initial mismatch between municipal procedures and CA requirements, and miscommunication on this between Nampula Municipal Council and CA. Facilitation by CA regional representation based in Brazil has assisted here. The project is based on the development of partial urbanisation plans for all 11 city neighbourhoods which will cumulate in a City-Wide Slum Upgrading Plan, and the elaboration of a CDS for the city itself and the surrounding Nampula District. It thus has real potential for making innovations in urban and city region planning methodologies in a city whose national importance is perhaps under- recognised. At this stage, it can be recommended that the CA Secretariat/Members assist in giving the project a higher profile - in a sense compensating for the project's apparent relative isolation from other initiatives, which is a difficulty which may have also affected the Quelimane Water and Sanitation project. Going Forward The Mozambique experience to date justifies CA's emphasis on catalytic funding as one of the four pillars of the new work programme. The ongoing utility of a source of town and city or municipally-focused funding is unquestionable. Such funding, however, needs to be used in targeted and truly catalytic ways. It should stimulate, instigate, support or foreshadow through demonstration and innovation an actually existing or, perhaps better, an envisaged wider initiative (i.e., program or project). The record with very small preparatory grants, with their high and extremely time consuming transactions and compliance costs, particularly at application stage, is not positive within the circumstances of Mozambique. Several informants stated that in consequence of such costs and the limited impacts which could be expected on small budgets in Mozambique, such grants were, in effect, far more trouble to their promoters - and their political overseers - than they were worth. In future, these should arguably be discouraged, as even if executed (and usually late at that) they also often seem to have a discouraging and chilling effect on future activities. Catalytic grants should therefore be larger-scale, and will likely work best if they are connected to and contribute towards even larger scale potential or actual initiatives. In that way, they will be better suited to the large challenges of reducing urban poverty and creating inclusivity in even smaller municipalities in Mozambique, and other countries like it marked by low incomes, poor social conditions and rapid urbanization. The in-country programs currently under consideration by CA could also assist. These in- country programs would strongly feature partnership arrangements, and could take a number of forms and be founded on a variety of urban development strategic imperatives or policy themes (the present slum upgrading and City Development Strategy can be seen broadly as imperatives). In Mozambique, given the significant involvement there over the decade by CA, a program framework of some kind for such a level of engagement would definitely have served to clarify the intentions and expectations of all involved parties. The connections between CA projects themselves in the (or any) country, and the linkages with other initiatives, would have been (and will need to be) better specified if they are not to appear as a collection of ad hoc actions. In-country programs could, in turn particularly help with the aggregation and dissemination of knowledge, the probabilities for which would be improved if projects are seen within a programmatic framework. In Mozambique, there is actually good knowledge of at least the existence CA member and/or client projects amongst what is a relatively small group of urban development specialists and actors within municipalities, national government, academic or research institutions, development partners and consultants. The broad trajectory of individual projects is often recognized. But there is little understanding of impacts or wider use of what are often very useful outputs within this group (the latter are not readily available), let alone beyond it. Final Report 48 Evaluation of Project Implementation Modalities of the Cities Alliance GHK Several of the projects have produced innovative and useful reports and innovative planning methodologies and techniques. This learning certainly could be better captured and distributed amongst partners and stakeholders. There are several possible hubs for such dissemination, not least the Faculty of Architecture and Physical Planning at University Eduardo Mondlane, which has been involved in several projects. Finally, the experience in Mozambique underscores the need for the CA Secretariat and members to engage in a more concerted program of communication which explains what the CA is, what its Secretariat and members do, and how to distinguish between their roles. This will enhance the potentially powerful reputational effect of CA which, when actually attended to, is far better valued. The high approval ratings given to the facilitation offered in Mozambique in the recent past by regional advisors based in Brazil attests to this. In Mozambique this facilitation counteracted misperceptions about CA, in particular the blurring of the functions of the Secretariat and members in project execution (as seen by clients). This arose because what partners and stakeholders see is a large and then seemingly, in retrospect, disproportionate effort by the Secretariat at application stage - a lot of input goes into the assessment of small grants - and what is then viewed, including by members, as a virtual disappearance at execution stage, at least publicly. This may well be a misimpression or confusion about what the Secretariat does, but it is understandable. Moreover, the Secretariat may be under-rating its own role which? is overtly encouraging, exhorting and giving confidence to its members and client project implementers. Such confidence-building is a key to successful implementation and sustainability. Learning from Experience The record in Mozambique can offer some lessons in how to improve CA performance and make operational the proposed four pillars of the MTS. The grant application process requires streamlining and simplification and should be less time consuming and far less protracted for applicants. It should also allow greater realism and flexibility in terms of implementation methods (i.e., ways of getting things done). This does not mean sacrificing rigour, but rather an acknowledgement of the circumstances applicants find themselves in, particularly in poorer countries where urbanisation is earlier stages: very limited time, resources, capacity and experience in facing significant challenges relating to urban development and urban poverty. At present, the details needed by CA mean that applicants need to have not inconsiderable knowledge of project formulation and management. Information to and coaching and facilitation for applicants may need to be increased (what are probably the best procedures in this regard can be drawn from by the grant making processes of the European Union and the Commission). The grant facility, however it is redesigned, should also be located better within its country (and potential programme) urban sector policy context. The CA Secretariat/Members and regional representatives can also possibly play a more promotional and instigative role (to reiterate: where this has happened in Mozambique, it has been hugely appreciated). The CA needs to be, as much as possible, visible and present. This need for visibility - again, as possible - carries through into the grant execution phase. It is not easy, but CA country programmes or frameworks, CA grant-funded projects (as linked to other programmes and projects), the better capturing and dissemination of relevant learning, and a creation of a real understanding of the alliance's purposes will need to be more closely integrated and perceived as such by members and clients at operational level, and other stakeholders, as they implement projects. These projects need, most importantly, to be on a larger scale (not less than $250,000), of a longer duration (more than two years), and linked to other initiatives. Facilitation and/or capacity development by the Alliance (with members critical here) will continue to be required to deal with grant execution procedures which currently, following World Bank modalities, incur large compliance costs for underprepared and inexperienced clients. Here, greater clarity of purpose - put simply, as in why are we doing this - is also needed: the CA now needs to respond to and shape a new urban agenda in developing countries that conjoins the dynamics of both urban economic growth and urban poverty, and which, and Final Report 49 Evaluation of Project Implementation Modalities of the Cities Alliance GHK this is novel, in the name of inclusivity will require the reconciliation of the differing interests of residents in informal settlements and a rising, suburbanised urban middle class. 3.2.5 Philippines Project Details Integrated Approaches to Poverty Reduction at the Neighbourhood Level - a Cities Without Slums Initiative [IMPACT Project] (total budget: $1,750,000, CA funding: $500,000; sponsoring member/s: World Bank, Asian Development Bank, UN Habitat; Grant recipient: UN- Habitat for Philippine Urban Forum) City Development Strategies (CDS) in the Philippines: An Enabling Platform for Good Governance and Improving Service Delivery (1,406,100; 541,100; World Bank, Asian Development Bank, Japan International Cooperation Agency, UN Habitat; League of Cities of the Philippines (LCP), World Bank) A Metro Manila "Cities Without Slums" Strategy in Support of the Metro Manila Urban Services for the Poor Investment Program (MMUSP) (2,925,000; 500,000; Asian Development Bank, UN-Habitat; Asian Development Bank for Metro Manila League of Mayors) Introduction The three Philippine projects fell into two categories: (i) cities without slums-Slum Upgrading (SU) initiatives that were related to ongoing or proposed ADB loans and involved subproject feasibility studies and the formulation of strategies; and (ii) improving city planning and urban management through the preparation of City Development Strategies (CDSs) and the institutionalisation of the process. Both must be seen within the context of developments in the country, where urban poverty has increased from 16.8% of the urban population in 2000 to 19.5% in 2006 and from 27% to 29% of total poor over the same period. Later figures are not available, but the devastating typhoons of 2009 are likely to have further increased urban poverty. A recent report by the World Bank on the Philippines has shown that slow economic growth has been a long-standing problem. And even though growth has increased considerably in the past decade, its sustainability remains in doubt. Improved economic performance has not translated into poverty reduction, indicating that growth has not really been inclusive. The lack of progress in poverty reduction stems from the relatively modest growth by regional standards, combined with high degree of income inequality that makes poverty less responsive to economic growth. Key factors impacting on poverty include: * An unequal sectoral distribution of income-manufacturing growth has been capital intensive and has not generated many new jobs; agriculture, the prime employer of low skilled workers, has slow growth. * Unequal pattern of regional development-dominance of the National Capital Region. * Severe demographic pressures because of rapid population growth-working age population has increased more than employment opportunities. * Declines in the relative price of labour typically provided by the poor. * Unequal distribution of human capital and access to social services. The recent economic downturn has refocused attention on the need to restore rapid growth, and to make it more inclusive. To reduce poverty and build a broader base for economic prosperity there is a need to increase income earning opportunities-ensuring that constraints on economic growth are eliminated, improving productivity and allowing a better functioning labour market; and to ensure that poor households can participate in markets and benefit from growth by enhancing their human capital-improvements in health, education and skills, and strengthening social protection. The assessment of the Final Report 50 Evaluation of Project Implementation Modalities of the Cities Alliance GHK effectiveness of the three CA interventions must be seen within the context of actions to reduce poverty and improve economic growth. Systematic Change and CA Interventions The two SU initiativesneither enhanced ownership nor led to slum upgrading going to scale. Based on our interviews Government, both at national and local levels, lacked the political will to tackle the slum problem, despite a long history of successful engagement with communities in slum upgrading. From the early days of the Tondo Foreshore Development Project, through the Zonal Improvement Program of Metro Manila and the Slum Improvement and Resettlement Program in the regional cities, to the Community Mortgage Program and later SET-UP, successful in situ slum upgrading projects have been implemented. However lessons from each have not been learnt and seldom have these efforts led to major follow on commitments by government and self sustaining programs. The CA initiative, although welcome, did not change the general view of central or local government towards in situ slum upgrading.. This was substantiated in the interviews. Although a slum upgrading strategy was developed for Metro Manila, it was neither officially endorsed locally nor nationally. Very little public investment has taken place, and the current approach is oriented more towards out of town relocation than on-site or in-city improvement. Neither projects nor further feasibility studies have been implemented on the scale envisioned since the ADB loan funds never materialised-under the Metro Manila Urban Services for the Poor Project. The Department of Finance did not support the proposed implementing agency-the Social Housing Finance Company (SHFC). Nor did they agree to provide a 100% guarantee on borrowed funds-they wanted the LGUs to guarantee 50%. Also they wished to change the rules whereby there would be sub-sovereign borrowing by 1st class cities. LGUs did not wish to commit to these arrangements, especially for investments in low-income housing where beneficiaries' willingness to pay was seen as questionable. The initiatives using homeowners associations as a modality for slum improvement was never really tested. The scheme was part of a wider ADB-supported initiative under its nationwide Development of Urban Poor Communities Sector Project. The on-lending agency was the Development Bank of the Philippines (DBP), but initially they were not convinced that the modality would work. The subsequent cancellation by the ADB of the substantial unused funds-US$20 million-meant that the major funding source was lost. No projects were funded that could test the entire process. As described below, the CDS initiative was more successful,and seems to have led to significantimprovements in city management. It changed attitudes and mindsets both at local and nationallevels. Even though the published CDS documents are relatively simple and focused more on what the local government can do, rather than the broader needs of the city overall, the key has been the institutionalisation of the system within the participating cities, and its acceptance at national level. Encouraging signs are that most cities now wish to prepare a CDS and adopt participatory approaches in its formulation. Mayors and councillors are much better informed, more data is available and stakeholders are increasingly engaged. City government capacity has been developed. A fourth project is currently being prepared and approaches are to be made to the CA for funding. More embracing CDSs are being proposed with a shift in emphasis towards enhancing local economic development-improving competitiveness and generating jobs, and responding to climate change and enhancing disaster preparedness. Going Forward The overall approach of focussing on slum upgrading and city development strategies is well founded. But more efforts are needed in future to take a wider view of poverty reduction through local economic development, and the preparation of more extensive city development strategies. These seem to have been given less attention in the three projects, although some cities are now looking towards more embracing coverage of their future CDSs. The focus on knowledge, learning, communicationsand advocacy seems to have been undertaken well in the three projects. National government agencies and Final Report 51 Evaluation of Project Implementation Modalities of the Cities Alliance GHK cities in Metro Manila are at least more aware of the slum problem, even if they do very little about it. The Home Owners Associations (HOA) modality, where formally organized beneficiary communities borrow funds and plan and implement improvements, is technically sound and innovative. Perhaps the most successful though is the CDS project which has led to considerable change in approaches to city planning and stakeholder engagement. The focus on local government staff capacity building through the CA supported project has proven to be beneficial. The lack of human resources within the CA Secretariat, and limited support from the sponsors meant inadequate supervision and too little follow up on the projects. The learning and knowledge sharing elements could have been made more effective with client engagement I additional field visits. This would have led to a greater transfer of knowledge than was achieved, especially on worldwide tends in urban management and low-income housing. Funding of the two slum upgrading initiatives was undertaken by the CA in the absence of sufficient ADB technical assistance funding. Nevertheless, the client did benefit from CA funding. But the use of CA funds was seen by ADB as easy substitute to raising more resources internally. All three projects enabled city governments and national agencies develop a better understanding of the issues related to urban transformations, poverty reduction and inclusive cities, going to scale has not been possible in the absence of funds to prepare further feasibility studies and/or finance development. Many of the larger CDS projects are dependent on foreign funding, and although JICA and WB have supported some, the amounts involved are insufficient. Clearly implementation of major CDS priority projects and slum upgrading schemes is reliant on linking to programs of donor agencies and multilateral funding agencies. But these agencies are notorious for their slow follow up on potential project. As a result much of the impetus gained from each project has now been lost, while waiting for an appropriate funding source. The projects did, however, increase awareness and enhance local ownership. The debate about the most appropriate approach towards slum upgrading and the impact of such projects on poverty alleviation continues unabated. In-situ upgrading and tenure security increases the capital assets of the poor and enables them to pursue income generating opportunities, and as such contributes to poverty reduction. While the two CWS projects produced the required outputs-strategies and feasibility studies-actual development never took place and thus their impact on poverty reduction could not be tested. Follow-on investment linkage was weak in these cases. Learning from Experience Highly centralized administrations dealing with local issues never prosper for long. CA is perhaps perceived as centralised in Washington; but needs to consider decentralization by extending its outreach more directly to the cities of the developing world. The paradox of course is that CA's "on the ground" visibility is designed to be through its members. Taking this forward, regional or even country offices should be considered to strengthen engagement; but this is of course a key issue as on the ground member presence should be the core of the business model. Stronger linkages could be fostered with city associations, educational institutes, and funding agencies, including CDIA for example. CA projects appear to have been most successful in knowledge and learning (for example initiating participatory / evidence based planning processes), and communications and advocacy-all three contributed to a better understanding of issues and solutions. Funding covered the hiring of consultants to assist in the development of strategies and subproject feasibility studies, and prepare operational guidelines. All funds were disbursed and required outputs generally accomplished. Follow-on implementation did not happen as planned, since additional money was not available to support the preparation of further feasibility studies, nor for actual project implementation. The real gap is between projects identified in the CDS or CWS and the ability of local governments to fund and prepare feasibility studies. Perhaps the CA could be Final Report 52 Evaluation of Project Implementation Modalities of the Cities Alliance GHK more active in helping seek out strategic partners for the cities to assist with feasibility studies and project implementation. From the discussion held, the following specific areas for improvement include: * Eliminating the threshold (7 months appraisal period) that currently applies to projects over a certain cost limit. * Doing away with asking donor agencies for written comments on the grant application- perhaps this could be replaced by the agencies expressing a "no objection" decision rather than preparing written comments during the grant application evaluation phase. * Simplifying the proposal format-compare to PPIAF for example. * Developing a firm timeline for decision making, so that applicants know where they stand. There should be more defined benchmarks for each stage of the evaluation process. Timelines for each should be established and adhered to. For each stage a maximum number of days should be set over the application and evaluation period, right up to signing of the grant agreement. CA has weak and limited timeline management. * Engaging the CA Secretariat much more with participating cities in future - CA Secretariat should consider more time for more missions that should include field (subproject) visits., this of course would complement member activities. * Agreeing a work-plan between the CA Secretariat/member and the client, which would make clear what deliverables are expected and when. * Defining the roles between partners more clearly, so that key agencies do not feel left out-as HUDCC did in the IMPACT project. * Improving communications, more timely responses to questions from proponents and improving knowledge sharing all around. 3.2.6 Syria Project Title Aleppo City Development Strategy Total Project Cost Cities Alliance: $ 380,000 Total Budget: $ 1,180,000 Project Focus CDS City/National Partner Municipality of Aleppo Cities Alliance Deutsche Gesellschaft fuer Member(s) Technische Zusammenarbeit Sponsoring the GTZ (GmbH) Project Grant Recipient/ Municipality of Aleppo and Implementing Agency GTZ Introduction The Aleppo City Development Strategy is implemented by GTZ with cooperation and strong ownership of the Municipality of Aleppo. The CDS formulation process, the likely future implementation as well as its part success has to be seen within the country's specific political, economic and institutional context. A few important influencing factors are detailed below: Syria is a republic under an authoritarian military-dominated regime. The president, approved by referendum for a 7-year term, has the right to appoint vice presidents, ministers, to declare war and states of emergency, to issue laws (which, except in the case of emergency, require ratification by the People's Council), to declare amnesty, to amend the constitution, and to appoint civil servants and military personnel. Syria is a single-party state and only one political party, the Arab Socialist Ba'ath Party is legally allowed to hold effective power. The National Progressive Front (NPF) was established to provide for a limited degree of participation in government by political parties other than the ruling party. Traditionally, the parties of the NPF are socialist and/or Arab nationalist in orientation, and a strict ban on religious and right-wing parties is in force. The ruling party is dominated by the military, Final Report 53 Evaluation of Project Implementation Modalities of the Cities Alliance GHK which consumes a large share of Syria's economic resources. The Syrian military expenditure, 5.9% of GDP, ranks the country 12th highest in the world. The economy is highly controlled by the Government. Syria's economy is mixed, composed of large state enterprises and private small businesses. During the 1960s, the Government nationalized most major enterprises and adopted economic policies designed to address regional and class disparities. Along with the NPF, the president approves the state's 5-year economic plans. The NPF also acts as a forum in which economic policies are debated and the country's political orientation is determined. Although legislators may criticize policies and modify draft laws, they cannot initiate laws, and the executive branch retains ultimate control over the legislative process. The President has recently started introducing modest economic reforms, including cutting lending interest rates, opening private banks, consolidating all of the multiple exchange rates, raising prices on some subsidized items (gasoline and cement), and establishing the Damascus Stock Exchange - which was set to begin operations in 2009. In addition, President ASAD signed legislative decrees to encourage corporate ownership reform, and to allow the Central Bank to issue Treasury bills and bonds for government debt. The main export commodities of Syria are crude oil, minerals, petroleum products, fruits and vegetables, cotton fiber, textiles, clothing, meat and live animals, wheat. Syrian economic growth slowed to 1.8% in 2009 as the global economic crisis affected oil prices and the economies of Syria's key export partners and sources of investment. Long-run economic constraints include declining oil production, high unemployment, rising budget deficits, and increasing pressure on water supplies caused by heavy use in agriculture, rapid population growth, industrial expansion, and water pollution. Local governments are weak and highly dependent on central leadership. Syria is divided into 14 governorates and each is headed by governors appointed by the Ministry of Interior. These governors report directly to the president. The governors control provincial government offices as well as the local offices of ministries and state-owned enterprises. All government expenditures are included in one national budget produced by the Ministry of Finance. Local governments receive all operating funds from the central government and any excess revenues collected are returned to the national treasury. Bureaucratic, time consuming and costly directives and management procedures in force do not take into account the management capacity at local level, particularly the capacity of local administrations to apply the national planning provisions, formulate master plans, as well as enforcing development and building regulations. There is serious land and housing supply problem in Syria. Approximately 50 per cent of the urban population lives in informal settlements. According to the Syrian government, the term 'informal settlements' refers to houses built outside the boundaries of urban planning regulations. They are, therefore, despite their long-standing existence, technically illegal. However, poor urban planning policies and rapid urban growth over the last 50 years means that for many city residents informal settlements are the only affordable way of living. As urban centres have experienced rapid development since the 1980s - growth is now estimated at 3 percent annually - inadequate provision of new serviced land has fallen short of what is needed. According to the Tenth Five-Year Plan, the country's current housing deficit is estimated at 687,000 units. The result is that families have increasingly been pushed towards the informal housing sector and settlements have flourished. There are inter-related processes causing the rise of informal settlements. On the one hand, informal development has resulted from the lack of sufficient and affordable official market options of access to serviced urban land and housing thus leading to increasing land and property prices and excluding in the process a growing part of society. On the other hand, informal development has resulted from the nature of state action, including: * lack of a consistent pro-poor social housing policy; * lack of a social rental policy (12% of the urban poor rent houses); * legal order has failed to provide specific mechanisms for the necessary release of the very significant stock of public land into the market for housing purposes in urban areas. Final Report 54 Evaluation of Project Implementation Modalities of the Cities Alliance GHK The problem needs solution at grass-root level, an overall legal-institutional framework regulating land rights, land management, urban planning and urban management has to be introduced. Systematic Change and CA Interventions It would be too optimistic to assume that systematic change has been achieved, but the project has certainly made a step into the right direction. The Aleppo CDS has set out a new institutional structure, better suited to the implementation of the CDS. The new structure is currently pending approval. Once approved, the Municipality of Aleppo (MoA) will have a joint CDS and Local Economic Development Department responsible for leading the implementation of the CDS. Other relevant Departments will be created and/or strengthened, including Informal Settlements Department, Children and Youth Department, which will aim to implement the corresponding pro-poor components of the CDS. According to project stakeholders, it is likely that the Ministry of Local Administration will adopt this new institutional structure in other Syrian municipalities. Through the GTZ Urban Development Programme, the findings of the assessments prepared for the Aleppo CDS were included the Memorandum on Sustainable Urban Development in Syria, a document which later led into the approval of the Syrian Urban Development Policy in 2010. It is unclear whether the CA intervention in itself or rather the overall GTZ UDP umbrella programme (which has 3 pillars in Aleppo, one of these is the CA project), led to enhanced ownership from part of the MoA, but it is certain that ownership and political will has been very strong at local level: there was at least of common pathway and coherence of effort. The challenge lies in the fact, as mentioned above, that local government structures and capacities are very weak and the governance system is highly centralised. The adoption of systematic changes in Syrian governance and city transformation are likely to be long time owing to its highly bureaucratic institutional structure. Going Forward The presence of GTZ in Syria and in particular the fact that it took the lead on executing the project (the MoA admitted that it did not have the resources to furnish the application form and manage the project), was beneficial in terms of timely implementation, knowledge transfer and advocacy. The field visit concluded that the CDS is a new approach in Syria and its innovation lies in triggering community participation and recognizing pro-poor aspects in urban planning. The CDS formulation process has started at the right time, as (non-) existing participatory systems are currently going through a reform process. This may explain the high public interest and voluntarism of working group members who enthusiastically work extra hours to support the initiative. This climate may give the project a good opportunity to introduce improvements but it is crucial that current structures are susceptible to change to maintain the momentum. The project has also witnessed unprecedented visibility among the public through the introduction of an elaborate communication strategy and branding process. The slogan of 'Madinatuna' (Our City) refers to the whole CDS process starting with the preparation of poverty assessments; thematic actions plans; project identification; institution restructuring and actual implementation. It has become independent from CA and GTZ. Learning from Experience During the field visit, the following issues were identified: * The grant application form was deemed too complex and the MoA would not have had adequate resources to respond without the assistance of GTZ. A consultant was hired specifically to prepare the application and it took over a year to process the grant. 16 * There is seemingly a difference between the understanding of terminology used by the Member and CA Secretariat. A glossary of terms would clarify these issues and could save time at both ends. Where the member is unclear, a visit from the CA Secretariat at 16 This issue was identified by GTZ during interviews separate from the Syria case study. Final Report 55 Evaluation of Project Implementation Modalities of the Cities Alliance GHK the application phase would help to clarify uncertainties, which could speed up the whole process and foster stronger cooperation during project implementation. * The application form required written commitment from supporting organisations. However, due to the lengthy application process and delayed project start-up many of these commitments lost their momentum and did not materialize. * Before starting the grant application, the concept of integrated, strategic development planning needs some clarification to be understood by politicians / urban governments and their administrations. This requires tripartite dialogue between Member, CA Secretariat and Beneficiary. Ownership will likely develop quicker once this is understood. Champions have to be identified before the application process starts to prepare the ground. * Country-specific circumstances, e.g.: political, economic and institutional context, should be taken into consideration at the time of project formulation and the CDS should be better tailored for the local settings. In the context of Syria: - Local governments are weak in Syria and governance is centralised. In this specific case, stronger involvement of central institutions may increase the likelihood of future CDS implementation. - In case local capacities are insufficient to implement the CDS, then the project should have a stronger focus on capacity building, which should be reflected not only in the methodology but also in the budget. The Aleppo CDS did identify capacity building requirements but failed to deliver necessary training due to the limited budget available. - The problem of informal settlements is a major issue in Aleppo and will be an important component of the CDS. However, before preparing an action plan and identifying projects, the problem has to be tackled at grass-root level by the central Government, i.e.: create a legal framework regulating property rights, land titling. * The identification of potential obstacles in the way of CDS implementation, should be mapped as part of the formulation process. This should come before the identification of projects and follow-on investment sources. Final Report 56 Evaluation of Project Implementation Modalities of the Cities Alliance GHK 4 Conclusions and recommendations 4.1 Back to Basics: A Results Framework is Needed The evidence related to the pro-poor impacts and results of CA Grant supported activities is at best partial and moreover difficult to conclude as a result of attribution gaps - Figure 4.1. An agreed results framework, aligned to the CA business model and its pillars, and related data generally do not exist thus making claims about results difficult. Figure 4.1 Capturing Results: Mind the Gap 7~< Attribution Gap Source: CA, Theory of Change, April 2010. Notwithstanding this, there are logical issues in bridging the attribution gap. Getting evidence of CA grant support contributing to desired pro-poor results is challenging owing to: * the relatively "light touch" approach of CA in its grant facility administration monitoring is such that documentation related to monitoring of results is limited - there is a clear and pressing need for higher quality reporting and knowledge sharing frameworks built into CA supported projects;1 * the practicality that many of the impacts and results are likely to materialize well beyond the grant completion and take several years to materialize - there is only limited, if any, longitudinal tracking of results and the extent of on-going project M&E is unclear; and * the "attribution" gap between what can reasonably be attributable to the Grant supported project and desired development / pro-poor impacts - by the grants. In effect, the current CA business processes only allow partial capture of relevant data through Progress Reporting, Grant Completion Reports and selective field visits. Systematic M&E and longitudinal data collection is not undertaken and in practice is difficult in any event under the current business model. This is a critical issue to address. First, at the CA level, getting a results framework is likely to be necessary to attract funding and securing on-going revenue streams. Investors will want to know what results are being achieved and at this point there is no agreed framework in place or systems to routinely capture results and learning. The same arguments hold true at project level to assess success, future implementation prospects and to share lessons. Second, and equally important, the core source of CA value-added is knowledge and innovation, which underpin the CAs reputational leverage. Thus, to sustain and enhance this source of value the CA needs to strengthen its knowledge management function in the Grant Administration Process: this requires more systematic approaches to monitoring and evaluation and building in mechanisms to capture and share lessons learned across the CA network. Our field work revealed clients / local stakeholders very much valued international comparators, leading / best / promising practices and dialogue to explore how to address the challenges of their cities. The South - South knowledge sharing in the Mozambique and 17The CA has undertaken a number of steps to improve overall management of project files as described at the 10 and 11 March 2011 meetings in Washington DC. Final Report 57 Evaluation of Project Implementation Modalities of the Cities Alliance G H K Malawi examples demonstrate how powerful this source of value can be. Our work in Doula similarly revealed a great desire to be linked into to other cities and to share experience. 4.2 Does the CA deliver value added? The CA business model has focused on providing small grants to support clients / members prepare participatory pro-poor plans, and specifically to support the following * City Development Strategies; * Slum upgrading (cities without slums); and to a lesser extent, * National policy frameworks. The two main products, CDS and SU plans / initiatives, have merit and are recognized by clients as being innovative and encouraging new and better ways of planning. Support for City Development Strategy formulation probably leads to better results relative to the slum upgrading initiatives which run into wider problems of national / urban policy frameworks not being conducive to implementation (as in the case of the Philippines and Senegal in the case studies). Of course the assessment here is based on a relatively modest sample size and thus we recognise the need for caution in drawing far reaching conclusions. 4.2.1 The value-added scorecard Chapters 2 and 3 outlined and highlight key aspects of project performance. Success factors included a strong and effective working relationship among members and clients, relatively independent of mode of execution. In terms of project quality, CA knowledge leverage, via structured approaches to CDS / SU formulation, was critical to success and highly valued by clients and their partner stakeholders. Given these general observations, the overall assessment of the performance of the CA project portfolio reviewed as part of the case studies was summarized in a simple traffic light score card: the card focusing on where the value added of CA interventions reside and contribute to project quality as outlined in Chapter 1. Leaving aside the grant funding role, the CA adds value to city development strategies, slum upgrading plans and national policy frameworks through facilitating coherence of effort among partners, by bringing member knowledge and innovation into the strategy / planning processes and by adding credibility to these through reputational leverage. On balance, the evidence from the detailed project reviews, and in particular the case studies, is that the CA performs reasonably well in terms of delivering value through knowledge inputs and reputationalleverage - Figure 4.2 - and these contribute to enhanced project quality. A short discussion of key points follows below. Figure 4.2 Testing the Cities Alliance Value Propositions Final Report 58 Evaluation of Project Implementation Modalities of the Cities Alliance GHK 4.2.2 Coherence of Effort: When it works it is highly beneficial and valued by clients In terms of coherence of effort, this is focused on the objective of achieving harmonization among CA Members - in line with Paris Declaration principles. Performance is mixed across the portfolio and even within particular countries: The Metro Manila "Cities Without Slums" Strategy in Support of the Metro Manila Urban Services for the Poor Investment Program (MMUSP) witnessed significant differences between ADB and UN-H post Grant Agreement signing where as the City Development Strategies (CDS) in the Philippines: An Enabling Platform for Good Governance and Improving Service Delivery seemed to bring a number of Members together at Application and Execution stages. In the case of Lilongwe, Malawi, UCLG worked collaboratively with JICA and GTZ also contributed and this provided a good platform to build on (including getting the City of Johannesburg, (backed by the SA Local Government Association to assist in enabling the process to carry forward). Where Members jointly work together, if with different weight of effort, the likelihood of positive results may be enhanced - the Douala / Cameroon case, where the World Bank and AFD collaborated, there seemed to be a good complementarity that both improved the overall quality of the project and provided potential linkages to follow- on support (via AFD). Overall, the issue is not about getting as many members as possible to sign up to the grant application but the quality of working together and with clients to secure positive project outcomes. Critically, coherence of effort has been observed in terms joint working to support follow-on investment and capacity building: moving from strategy / plan formulation towards implementation. This is another key point; the coherence of effort among members as within the context of a wider partnershipshould be seen as part of a long term engagement focused on urban transformation as envisaged in the emerging results framework (recall Figure 1.1). 4.2.3 Knowledge Management: A fundamental source of CA's of value One key value-added of the CDS / SU projects supported in the African context was assisting Clients (the cities, civil society, urban poor representatives and to some extent national level partners) to better understand and acquire the evidence base on urban poverty and it drivers. From the early days of preparing Grants through to (participatory) diagnostic exercises the case of Malawi, Cameroon and Senegal all benefited from CA / CA Member knowledge contributions: all stated the benefits of CA Grant Funding support. Where urbanization and urban poverty issues have had limited purchase at national policy levels and where local capacities are weak, this is a very valuable contribution - and was recognized by Clients and their partners. The Philippines experience demonstrated some positive learning and knowledge sharing across projects and among participating stakeholders over time: this is a positive learning and capacity building outcome. In the case of Cameroon, the stated intention is to leverage the knowledge and experienced gained and try to replicate the work in other cities - again a good case of a Client gaining capacity through CA Members support on CA Grant supported activities. 4.2.4 The Grant Administration Process needs Repairs: Transaction costs are high The evidence from the project reviews, and Chapter 2, is clear on one issue: the grant administration process is not working well and is in need of improvement in terms of streamlining processes and reducing the time required to complete grant agreements. It is noted that the projects selected as part of this evaluation were challenging and weighted towards Africa where capacities are weak. On the upside, the CA is working to improve this area and the procedures outlined as part of the new Catalytic Fund should remedy many of the problems that contributed to lengthy grant making. 4.2.5 Summing up The project portfolio covers a wide range of development contexts and challenges; and as the portfolio shifts towards lower income countries with low capacities at city level project performance will be stress tested. Final Report 59 Evaluation of Project Implementation Modalities of the Cities Alliance GHK On the downside, the CA's grant making function needs significant improvement to reduce transaction costs and length of preparing Grant agreements. The CA is aware of these and is understood to be working to improve the process and reduce costs and time lines to formulate and process Grant Applications: this responds well to client feedback and our research as part of this evaluation/ On the upside, CA interventions and the value-added they bring can be highly beneficial and contribute to improved project quality and the likelihood of downstream pro-poor results. The review of projects and the field visits undertaken as part of this evaluation reveals a mixed performance in terms of project quality and adding value: this is not surprising. The comparative performance of project success in CA Grants versus other Grants was not tested (the evidence in any event would need some consideration of control for complexity, types of clients etc). However, where projects are executed with good client - member relationships then the results are generally likely to be more positive and moreover, contribute to a greater likelihood of pro-poor outcomes. The core CA products were both deemed valued by clients. A stronger focus on engagement and implementation is warranted in both Grant formulation as well as execution - this places a premium on structured member roles "on the ground" and strengthening these up front. 4.3 Client vs Member Execution This was one of the core questions that this evaluation was intended to address. The proposition tested was whether strength of ownership and quality of projects varied by mode of execution. The results of the analysis suggested there is no simple relationship - high degrees of ownership can be attained by either mode: the issue was the quality of the relationship between clients and members. While there may be a desirability to have client execution - with a narrow focus on flow of funds - in the context of a small grant facility it may not be appropriate or pragmatic: national systems may not be fit for purpose in processing and flexibly enabling fund flows / disbursements needed to support small short term planning processes supported by the CA. There is evidence that there is a fine balance to be struck between strength of member roles (relatively hands on vs a lighter touch) and quality of projects: there does seem to be a positive relationship with stronger member roles and higher quality projects. Importantly, our case studies reveal that this is appreciated by clients and indeed is a core source of CA Grant funding value added. A key is that local stakeholders take a leadership role in the planning processes and "own" the decisions and results: the Malawi and Douala CDSs are good examples of client execution but with members playing a very key role in stimulating innovating processes. Related to this notion of relationship is the strength of member engagement: it was noted that where members take an active and routine engagement with clients / local stakeholders this was deemed beneficial by clients. This is important where capacities are limited and suggests a deeper "on the ground" member role would be beneficial: this was noted across the main case studies. Where members are also beneficial is guiding clients through the Grant Making Process - this was evident from the Africa case studies / project reviews; weak client capacities need to be addressed and members play a vital role here. 4-4 Wrap-up The CA Grant supported activities, when working well, are able to achieve successful participatory partnerships among clients, local stakeholders and the CA (and in particular members). The interventions supported through the grants are relevant and effective - they are focused on processes that increase the likelihood of urban poverty reduction. They are recognised as contributing value to clients by clients. The processes supported tend to be very front end and grants are small. Measuring results and impacts is challenging even if valid baselines and data were collected. However, field results suggest participating stakeholders did acknowledge that grant supported activities did make a difference in many cases; that is increasing awareness, the knowledge base and the way urban planning and Final Report 60 Evaluation of Project Implementation Modalities of the Cities Alliance GHK engagement with the urban poor were undertaken. The tests of scaling up, replication and sustainability are only partially evident and indeed addressed in the cases reviewed. On the upside, the CDS initiatives seemed to have potential catalytic effects and as in the case of the Philippines achieved a degree of mainstreaming in urban planning. 4.5 Recommendations The evidence from the project reviews and in particular the case studies suggest a number of recommendations at the strategic level, CA organization level and in terms of business processes. The recommendations are outlined in Table 4.1 and were presented and discussed at the Cities Alliance Executive Committee meetings 11 March 2011. Table 4.1 Securing Value Added Recommendations CA business model focused on partnerships * Assess merit of a shift from simple "one off' grant Create a country specific framework with members provider towards partnership / longer term / clients that provides structure and predictability to engagements of the Alliance (more than grants) engagement * Ensure flexibility to complement member / client requirements: recognise variable points of entry and evolving programme needs * Lead member nominated based on strength of presence in target country / city * Elements of engagement can include grants and other forms of support - investment, capacity building and knowledge sharing from the Alliance and its partners * Think about implementation requirements from the start - a part of a longer term process of engagement and transformation Risk assessments * Assess merit of options for entry strategies and * Create a mechanism to identify opportunities / risk assessments for each project or for selected constraints to successful projects countries * Members should have a strong role here given their operational presence on the ground * Link to concept of longer term partnership and sequence/package of interventions Flexible Choice of Mode of Execution Preference should be what works in any given * Preferred mode of execution should be determined context by Members / Client as part of the wider engagement process discussions / arrangements * Selected mode based on practical considerations and fit for purpose client needs * Allow to evolve over time Business Plan with Rolling Annual Plans Prepare 3 Year Business Plan with Rolling Annual * Establish objectives / results for the Alliance as a Plans whole, the Secretariat and key implementing Members within the context of Alliance supported activities * Align pillars to the new engagement model * Define mechanisms to leverage the strengths of the Alliance - especially coherence of effort and knowledge transfer / sharing * Establish priority action areas with budget Final Report 61 Evaluation of Project Implementation Modalities of the Cities Alliance GHK allocations * Secretariat to lead business plan preparation with participation of selected members * 3 Year Plan to be ratified by Exco / CG * Annual Plans monitored by Exco * Secretariat to report on results against business plan objectives Strengthen coherence of effort Key source of value-added BUT needs more . All CA Members active in a given country/city systematic approach to secure alignment among convene a (virtual?) meeting upfront to discuss members and joint working roles and responsibilities throughout the Grant / engagement period - define realistic areas where coherence of effort adds value to all partners * Nominate lead manager, preferably in country, to be the client engagement manager throughout the engagement process * Agree MoU outlining roles/responsibilities and co- ordination mechanisms for the whole engagement period and ratified by managers of each member - make a part of funding requests / CATF documentation Streamline grant making Critical to reduce transaction costs and timeframes to Simplify the Grant Application form / process complete (reduce interaction) * Grant Application processing time should be standardised and reduced: target should be less than 3 months given the size of the Grants and the need for flexibility to respond to opportunities Strengthen Knowledge and Learning (K&L) Key source of CA value-added BUT needs more Define K&L results targets as part of 3 Year systematic approach to knowledge capture and sharing Business Plan process - linked to wider CA results - cascade through the suite of CA activities framework development (in progress) Design K&L mechanisms as part of engagement strategy at country / city level CA products should have agreed results framework in place upfront and defined in evaluation criteria / agreements: Catalytic Fund, LSC country programmes and other CA initiatives Results of funded projects (all above an agreed threshold / sample of smaller projects) should be presented by grant recipients/partners at the CG meeting - this could be linked to other international events (e.g World Urban Forum, WB Urban Week) Create / link to product improvements - CDSs / SU / leading practice guides for policy development - and shared among members Final Report 62 Evaluation of Project Implementation Modalities of the Cities Alliance G HK ANNEXES Final Report 63 Evaluation of Project Implementation Modalities of the Cities Alliance GHKl Annex 1 Project List Country/City Project Activity CDS/SU Grant Project Implementing Status Start Date Actual Expected Number Amount Amount Body Completion Completion Date Date Africa Benin P109363 Urban development and rehabilitation CDS - 580,000 Member Approved 03/05/2006 Strategy for the city of Abomey Burkina Faso P099669 Strategy for Developing Greater CDS 330,000 325,000 Member Closed 03/05/2006 Not completed 30/06/2010 Ouagadougou and Improving Basic Infrastructure and City Services in Underprivileged Areas Cameroon P099682 Urban development and Poverty CDS 500,000 101,350 Client Active 08/12/2006 Not completed 31/12/2010 Reduction Strategy: City of Douala and its Greater Urban Area Malawi P111963 Preparatory Grant for Development of CDS 72,375 635,000 Client Active 30/06/2008 Not completed 30/06/2010 Lilongwe CDS Mali P110210 National program for slum upgrading and SU 360,000 121,825 Member Active 28/04/2008 Not completed 30/06/2010 reduction of substandard settlements in the cities of Mali - Cities of Mali without Slums Namibia P106508 Preparatory Study: Participatory City CDS 89,325 352,700 Client Closed 27/06/2007 31/03/2008 31/03/2008 Development Strategies in Namibia Niger P088327 CDSs for poverty reduction for Dosso and CDS 247,700 415,000 Client Closed 16/02/2004 31/01/2006 16/05/2005 Maradi Nigeria P121034 Preparation of State of the Cities Report CDS - 830,000 Client Approved - - - Senegal P099681 National programme for slum SU 430,000 1,100,940 Client Active 08/03/2007 Not completed 31/12/2010 Improvement and Slum Upgrading in Senegal's Cities South Africa P100698 Upgrading for growth: Implementing the CDS, SU 500,000 1,694,625 Member Active 19/05/2006 Not completed 30/06/2010 Breaking New Ground Policy within Ekurhuleni's City Development Strategy Swaziland P090595 Development of a Comprehensive Urban SU 524,625 180,312 Member Closed 14/07/2004 28/01/2008 31/12/2007 Upgrading Program for Mbabane Final Report 64 Evaluation of Project Implementation Modalities of the Cities Alliance GHK Country/City Project Activity CDS/SU Grant Project Implementing Status Start Date Actual Expected Number Amount Amount Body Completion Completion Date Date Tanzania P108994 Establishment of Tanzania State of the CDS 73,956 675,000 Client Active 10/01/2008 Not completed 30/06/2010 Cities Report (Preparatory Phase) Togo P115703 Greater Lome Urban Development CDS 370,000 1,110,000 Member Active 16/04/2009 Not completed 30/06/2010 Strategy Mozambique 1 P079602 Slum Upgrading and Vulnerability SU 495,000 1,220,000 Member Closed 29/07/2002 30/09/2004 30/06/2003 Reduction in Flood Prone Cities/Towns in Mozambique (Maputo, Chokwe, Tete, and Quelimane) Mozambique 2 P101077 Improving Water and Sanitation in SU 500,000 100,000 Member Closed 08/05/2006 Not Completed 31/03/2009 Quelimane City, Mozambique Mozambique 3 P098754 Slum Improvement Demonstration Project CDS, SU 75,000 49,080 Member Active 18/10/2005 Not Completed 31/12/2008 for Maputo City Mozambique 4 P105796 Preparatory Grant for the Development of CDS 42,000 49,080 Client Dropped 16/04/2007 09/04/2009 31/03/2009 a CDS for Vilankulo Mozambique 5 P105795 Preparatory Grant for the Development of CDS, SU 42,000 59,500 Client Dropped 27/04/2007 09/04/2009 31/03/2008 a CDS and Slum Upgrading Strategy for Chimoio Mozambique 6 P116501 Preparatory Grant for the Development of CDS 52,500 860,000 Client Active 27/01/2009 Not Completed 30/06/2010 a State of Mozambican Cities Report Mozambique 7 P115734 Slum Upgrading and City Development SU 353,000 103,500 Client Active 30/06/2009 Not Completed 30/06/2011 Strategy for Nampula City, Mozambique Mozambique 8 P121002 Mozambique Support for Upgrading the N/A 73,500 - Client Active 12/05/2010 Not Completed 30/06/2011 Chamanculo C Neighbourhood Maputo Municipality - Preparatory Grant Asia Philippines 1 P094656 Integrated Approaches to Poverty SU 500,000 1,725,000 Member Active 15/03/2005 Completed, 30/06/2008 Reduction at the Neighborhood Level - a project to be Cities Without Slums Initiative closed Philippines 2 P098173 City Development Strategies in CDS 541,100 1,406,100 Client Active 09/10/2005 Completed, but 31/12/2008 Philippines: An Enabling Platform for not audited Good Governance and Improving Service Final Report 65 Evaluation of Project Implementation Modalities of the Cities Alliance GHK Country/City Project Activity CDS/SU Grant Project Implementing Status Start Date Actual Expected Number Amount Amount Body Completion Completion Date Date Delivery Philippines 3 P104278 A Metro Manila 'Cities Without Slums' SU 500,000 2,925,000 Member Active 04/12/2006 Not completed 30/06/2010 Strategy Sri Lanka P108987 Pro-Poor Partnerships for Participatory SU 500,000 1,480,000 Client Active 30/06/2008 Not completed 30/06/2010 Settlement Upgrading in Sri Lanka Latin America and Caribbean Chile P108997 Support the implementation of the SU 498,200 9,512,800 Member Active 09/11/2007 Not completed 30/06/2010 programme to recover 200 Neighbourhoods through Capacity Building and Strengthening among Local Actors (Municipality and Community) and Public Services El Salvador P105739 Preparation of an Urban Development CDS 500,000 1,000,000 Member Active 28/03/2007 Not completed 30/06/2010 Strategy for the Region of La Paz in the Department of La Paz and San Vicente Middle East and North Africa Egypt 1 P089140 Alexandria City Development Strategy for CDS 200,000 275,000 Member Closed 30/04/2004 28/02/2006 31/12/2006 Sustainable Development - Phase I Egypt 2 P099290 Alexandria City Development Strategy for CDS 350,000 632,000 Member Closed 02/12/2005 02/09/2009 30/06/2008 Sustainable Development - Phase II Morocco P097317 Partnership Framework Agreement for SU 490,000 1,015,000 Client Active 20/09/2005 Not completed 20/09/2010 Ministry of Housing and Supporting and Monitoring of the Program Urban Development "Cities Without Slums" Tunisia P106904 Greater Sfax Development Strategy - CDS 245,000 765,000 Client Active 07/06/2007 Not completed 30/06/2010 Phase 2 Yemen 1 P093946 Medium To Long Term City Development CDS 200,000 357,500 Member Closed 04/01/2005 19/06/2009 31/03/2009 Strategy For Local Economic Development For Hodeidah And Mukalla Cities Yemen 2 P103920 Sana'a City: Medium to Long-Term City CDS 280,000 356,100 Client Active 14/10/2006 Not completed 31/12/2009 Final Report 66 Evaluation of Project Implementation Modalities of the Cities Alliance GHK Country/City Project Activity CDS/SU Grant Project Implementing Status Start Date Actual Expected Number Amount Amount Body Completion Completion Date Date Development Strategy for Sustainable Development Syria P111519 Aleppo CDS CDS 380,000 1,180,000 Member Active 04/05/2008 Not completed 30/06/2010 Final Report 67 Evaluation of Project Implementation Modalities of the Cities Alliance AnneX 2 Method: Description, Pro-forma and Scoring System Questionnaire pro-forma Table 1: Project at a Glance Project Title Total Project Cost Project Focus Other Project Focus Region City/Area(s) City/National Partner Cities Alliance Member(s) Sponsoring the Project Grant Recipient/ Implementing Agency Table 2: Timeline Submission date Threshold screening ITAs Comments Re-submission Notification of approval Signing of Grant Agreement (xxx) Completion date Project Summary Project objectives Project activities Expected impact & results Assessing the Grant Facility Administration Process Grant Application Process Was the Grant Application form easy to use and complete? How could it be improved? Final Report 68 Evaluation of Project Implementation Modalities of the Cities Alliance Were there any major problems in preparing and signing the Grant Agreement? If yes, what were they? Were there any variations from the guidelines in terms of timelines? Procedures? If yes... What were the causes? Is there any difference between member and client execution? What value did CA members add in the Grant Application preparation process? In the finalization of the Grant Agreement? Was the quality of the design improved through CA / Member participation? Did CA members respond to the queries of the client promptly? How can the process work better? What can the CA Secretariat and sponsors do to provide better support? Grant Execution Process Were there any variations, delays and/or change of scope, from the Grant Agreement? If yes... What were the major causes of variations from the GA? Who was responsible for the variations? Were the CA reporting requirements easy to use? Useful? Contribute to better project management/results monitoring? Were funds easy to access and administer? How well did the Grant Execution process fit into local systems? What value did the CA Members provide in assisting with the Grant supported activities? What value did the CA Secretariat in supporting Grant supported activities? What can be done to improve the Grant Execution process? By the Cities Alliance? By CA Members? By participating stakeholders /local executing agencies? Final Report 69 Evaluation of Project Implementation Modalities of the Cities Alliance Grant Completion Process Was the Grant completion process beneficial for capturing results? Was the Grant completion process useful as a learning process to improve future program / project design? Process Benchmarks Participation What stakeholders were involved in the CDS / SU formulation process? How were then involved? To what extent and how have the urban poor (and other vulnerable groups) been engaged in the CDS / SU formulation process? What were the results of the participation process in terms of improving awareness and knowledge of urban poverty? In terms of the likelihood of elaborating and implementing pro- poor policies, plans and investments? What were the existing participatory systems and how did CA improve them? Partnerships What partners were involved in the CDS / SU formulation process? This will seek to look at public - private partnerships, partnerships with civil society. How were they involved? What partners will be involved in the future implementation of the CDS / SU project strategies, plans and projects? How will potential partners be involved in the future implementation of the CDS / SU project plans and projects? Ownership To what extent is the CDS / SU working through existing (improved) local systems - procurement and financial systems? To what extent is the grant process linked into existing institutional structures and processes? For example, linked to existing planning and budgeting processes? Final Report 70 Evaluation of Project Implementation Modalities of the Cities Alliance Content Benchmarks Pro-poor focus To what extent are the outputs produced focused on contributing to better pro-poor urban governance, management and service delivery? To what extent are the outputs likely to contribute to future pro-poor outcomes? Institutionalization To what extent has the likelihood for systemic change for poverty reduction been secured? To what extent have roles and responsibilities for future implementation been clearly defined and agreed? To what extent do the responsible institutions / agents have the capacity to discharge the allocated roles and responsibilities? What capacity building requirements have been identified and how will they be implemented? To what extent are the results of CA support likely to be replicated and scaled up? (in the future will comparable activities be undertaken and achieve quality results without CA (or other external) support?) Linkages to follow on investment Have future resource and investment requirements to implement organizational changes, policy, plans and investment strategies been identified? Is there clear allocation of responsibilities for resource mobilization and investment? Have the funding sources been committed? How secure are the commitments? Catalytic effects Has CA engagement leveraged/triggered systemic changes towards poverty reduction which would not have happened without CA? Final Report 71 Evaluation of Project Implementation Modalities of the Cities Alliance G# K Traffic-light Scoring OWNERSHIP QUALITY VALUE ADDED Countries Participation Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- of key support for insitutionalizat follow-on (evidence of (evidence of raising members of grant-funded ion investment the activity to activity to (evidence of the executing/ actitivities (outputs (evidence of Depth of Level of pro- Participation Participation Partcipation of trigger pro- triggersimilar process implementing (evidence of specifying potential poverty poor focus of the urban of key key poor strategic acitivities in contributing to agency Government institutional resources assessment (extent of poor, stakeholders, Government planning other cities) better (evidence of Orders ! Edits) allocation of committed/pro (evidence of poverty focus vulnerable including civil departments process) understanding participation) responsibilitie posed to poverty Of groups and society, of urban s andlor support analysis outputs/recom women private sector poverty evidence of actions completed) mendations) issues) outputs recommended integrated into planning/Finan cial systems) Selectone... Selectone... Selectone... Selectone... Selectone... Selectone... Selectone... Selectone... Selectone... Selectone... Selectone... Selectone... Final Report 72 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , Annex 3 Traffic Light Scoring - Field Visits VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executingl grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committedipropos Poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban andlor evidence actions completed) poverty of outputs recommended) issues) integrated into planninglfinanci al systems) Cameroon Good N/A Good Fair Good Good Good Good Fair Good Good Good Urban The excellent Given that the Given that the Both the If outputs are Participation of The At the municipal A The project CA Development leadership of the actual project has been quantitative and delivered as urban poor and implementing level, the comprehensiv has been engagement and Poverty implementing implementation of successful by qualitative envisioned - there vulnerable groups agency (CUD) commitment of e set of executed has resulted in Reduction agency (CUD) is the strategies is metrics of assessments will be a significant and woman is very demonstrates the current strategies has using an increased Strategy: City evident in the yet to occur - it is ownership, that were improvement in good. The exceptional Mayor Douala is been excellent awareness of of Douala and processes difficult to assess participation, undertaken to Douala's physical implementing leadership high and the indentified to collaborative poverty issues its Greater undertaken and the actual level of collaboration and produce the environment and agency (CUD) set capacity and has Mayor has intervene in and at local, Urban Area in the results institutionalisation cohesiveness, the strategic plan for institutional out in the very broad legitimacy indicated that he key issues cooperative national and (Client) achieved. The at this point in opportunity for urban changes framework that will preliminary stages throughout the will continue to incl. ease of processes, regional level. participatory and time. However, linkages to follow- (e.g., economic, enhance urban of project local and play an active transport, The results of This increase collaborative the selection and on investment are physical, management that is development to extended and 'champion' revisions to these in awareness processes have prioritisation of encouraging. environmental, critical to poverty garner support and community. As a role in the commercial activities has been a produced new outputs do However, at this and institutional reduction. Second, participation from result, the implementation market sites, have catalyst for a internal abilities illustrate that point in time, there demonstrate a there has clearly these key groups. project planning stages of the reform and demonstrate new collective and capacities in institutional are limited concrete good depth of been a strengthening Up to 15 of these and strategy project. There reorganisation d that dialogue. Not the institutional capacities have indicators that poverty of local actors, which groups were phases have was good of land control targeted only is it organisations in been considered follow-on assessment. has created a better represented in captured a high representation agencies, strategies evident that Douala which and that the investment has understanding. organized degree of from district investment in can be there has been have fostered a priorities are been committed. Finally, the outputs of participatory participation. councils. provision of developed an increase in willingness and clearly integrated the process planning sessions The stakeholder Although the basic and, with awareness of ability to sustain into ongoing demonstrate a at the outset of the groups National services, adequate poverty issues participation in planning and considered approach project. These demonstrate a government was business financial - the results of the project. financial systems. on prioritised groups included high degree of adequate development support, can the strategic According to the Several of the investments for the women's groups, ownership of throughout the infrastructure, be sustained. development Mayor, this outputs city to enhance pro- traditional tribal each of the strategic etc. With the The project process means that more complement poor decision- group leadership, strategies that development successful has demonstrates people in Douala existing making, facilities etc. These groups have been phases of the implementatio demonstrate an will be able to initiatives, in upgrading and urban remain committed developed and project, it is not n of the d a level of understanding take ownership in particular management to and it appears that appear to be certain whether project and success that of the the process to infrastructure better respond to the they will form an committed to the or not it will the realization should structural guide the upgrading (e.g., practical needs of important element ongoing follow through of this set of capture the elements that development of drainage facilities vulnerable groups. in the development with policy, outputs, there attention of contribute to the future and waste water implementation of and planning and is opportunity policy poverty. economy. treatment the strategies that implementation financial support of 'scaling up' makers and facilities, as well have been of the project. in the or more. political as road concluded from the implementation interests in construction) project. stages. other cities. Final Report 73 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al systems) Malawi Fair Fair Good Good Good Fair Fair Good Fair Good Good Good Preparatory During Phase 1, Central The CDS process CA-funded the Phase 1 outputs Provided momentum The Centre for In addition to This is dealt with The upcoming Three other CA Grant for the preparatory government has has helped LCA preparatory Phase (as a State of is maintained, the Community CCODE, there previously. Phase 3 cities engagement Development phase of what is been regarded move from a state 1 of the CDS. In the City poverty-focused Organisation and was also Participation demonstrates (Blantyre, has had a of Lilongwe now seen as a 3 as a of Phase 2, analogue) were recommendations Development participation by was adequate, the intention Zomba and strongly City phase process, stakeholder disorganization, if Development of the oriented to a and proposals in the (CCODE), a professional and can be by LCA to Mzuzu) catalytic effect, Development there was mixed through Phases not near collapse, CDS, the City of pro-poor CDS are likely, association of slum bodies, the improved in implement on participated in large part as Strategy evidence of 1 and 2, and towards far Johannesburg perspective. The during dwellers, was Malawi Institute Phase 3. greater scale. actively in all a result of (Client) participation, as has supported greater mentored the LCA CDS produced implementation, to strongly involved in for Physical National The Gates major powerfully- the Lilongwe City LCA in its functionality. The in actually in Phase 2 is enhance the capacity discussion/consulta Planners and the government has Foundation workshops, committed Assembly was in efforts. CDS produced in developing the explicitly pro- of the LCA to tion of Phase 1 and Malawi Local been supportive. support which were involvement disarray which Parastatal Phase 2 Lilongwe CDS, poor and address and mitigate Phase 2 activities. Government represents intended to from the City limited general bodies (water, highlighted a which includes a addresses the urban poverty, CCODE also association. upscaling at be learning of participation from power, roads) Stabilisation comprehensive MDGs in its notably through emphasizes gender Phase 1 saw the level of platforms for Johannesburg. within the also Strategy for LCA, overview of the city, sectoral analysis improvement of and vulnerable detailed Lilongwe. The possible Provided administration. participated. In which proposed a vision statement, of governance, services and group concerns, institutional application to replication of implementatio There was strong 2009-2010, the short-term goals, objectives shelter and land, economic which are detailed analysis which the CA by the the CDS n of the CDS - support from the Ministry of improvements to and projects/ infrastructure development in the CDS was Ministry of process in or even then Chief Lands, Housing administrative activities. Funding and measures, document itself. workshopped by Lands, these cities, aspects Executive, who and Urban and financial estimated at environment, stakeholders, Housing and To facilitate thereof - stood down in Development systems which $250,000, was community including the Urban this, both occurs and 2008. His has made a are now under provided by COJ development Malawi Chamber Development Blantyre and thus plays an successor, grant implementation and LCA. For and economic of Commerce for a national Mzuzu are aware-raising however, was a application to and will be Lilongwe CDS development. and Industry. CDS and slum now involved demonstration key champion of the Cities continued in Phase 3, CA This is carried upgrading in an role, better Phase 2 which Alliance for a Phase 3. approved a grant in through in its program also extension of understanding drafted a CDS, country-wide the second half of proposed City demonstrates the UCLG- of urban assisted by the CDS and slum 2010 for $249,000 Vision, and in upscaling supported poverty will City of upgrading. This to the LCA, which the objectives potential. For mentorship develop further Johannesburg. application has builds on the earlier stated and impact and scheme with and the The CE been jointly support from the CA activities sustainability, the South impetus spearheaded this made with UN- and the COJ, and designed to a far larger African cities towards process, and Habitat, with which aims to implement the program will of Ekurhuleni systemic promoted it sponsorship by support LCA to CDS. be required. and change will through the city JICA, World move from strategic eThekwini continue. administration. Its Bank and planning to (Durban) institutionalization UNDP. It is implementation. respectively, (or seen as a LCA has also which will be mainstreaming), complementary secured a $2.6 part funded is a proposed initiative to the million grant from by the task for Phase 3, CDS the Bill and Melinda Ministry of implementation. Gates Foundation Lands grant if for an informal awarded. settlement service upgrading project. Final Report 74 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al systems) T Senegal Fair Fair N/A N/A Good Fair N/A N/A Good National Submission of The national Too early to tell. Originally, it was The draft The level of pro-poor Both partners and The National and Too early to Too early to Despite the Program for Baseline/Analytic government is anticipated that the Analysis has focus is noteworthy - members report implementing district tell, although tell - weaknesses in Slum reports indicates technically a co- implementation of reportedly been provided outputs are that there has been agency (FDV) government is by virtue of However the process and Improvement participation of financier of the the strategy would submitted in the delivered as no participation of has a broad role involved in the the intended reticence of the lack of and Slum the implementing project. be funded by last two weeks. envisioned. Pro-poor urban poor, in the Dakar process. The scope of the the demonstrable Upgrading in agency and other Although the Senegal's Previous outputs are as vulnerable groups region, as does national program (e.g., Association commitment Senegal's members/partner national government (HIPC deliverable, follows: 1. Further and women at this the AMS. government national), if of from both Cities - s is sufficient, government funds).and Baseline Data develop "Senegalese stage in the Despite the undertook the delivered Senegalese regional and 'Senegalese albeit behind supported investment budgets (history, trends, Cities without Slums" process. It was leadership and survey activities successfully, Mayors (as national Cities Without schedule. Yet, efforts to of the relevant mapping program, including reported that the 'reach' of these to support the the program indicated in government Slums' the visibilityand complete the cities/townships - as cartography) logistics, monitoring analytic stage of two cartography could be used the field stakeholders, (Client) commitment of Baseline study well as KfW was clearly and evaluation; project organizations, assessment in as a model for interviews) the CA key members (carrying out (through FDV), if oriented to a 2. Identify development is'too the participation the diagnostic scaling-up. perhaps does engagement (e.g., World surveys to strategies are pro-poor opportunities to technical'for these of key phase. District not bode well has resulted in Bank, UNDP, support the compatible with perspective. It is mobilizing groups. stakeholders, governments for the an increased etc.) were cartographic government (e.g., not known at public/private including civil are involved but objective to awareness of deemed to be analysis), the Senegal/ German) this point how investment to realize society and the there is some replicate in poverty issues low, & did not co-financing priorities. This the 2nd output main objectives; private sector scepticism on other at local, meet obligations are remains to be seen. explicitly 3. Strengthen has been limited the part of cities/regions national and expectations of yet to To date, there is no addresses pro- capacities of in the analytic district . regional level. the implementing materialize The concrete evidence poor issues, MUAT/FDV in stages of the authorities as to This increased agency (FDV). Association of of firm MDGs, etc. in its prevention and project. It the validity of in awareness The participation Senegalese commitments to sectoral improvement of appears that the the project. has been a of Habitat is the Mayors has follow-on analysis. substandard local catalyst for a exception and is contributed investment. Habitat housing; sponsorship and new collective cited as key to $50,000 seems confident 4. Strengthen the funding agencies dialogue. The progress made to (money that these follow-on urban development do not see the early stages of date. There are received). This investment observatory in value of the project and clear signs the contribution commitments will Senegal (responsible engaging the completion Association of needs to be not pose problem. for poverty community of the analytic Senegalese tempered with assessment/progress stakeholders and and diagnostic Mayors now have the information reports on meeting affected early on phases has philosophical collected in the MDGs); in the process. provided a problems with the field study 5. Document renewed program which seems to /disseminate Best interest in the fundamentals. suggest that the Practices/Lessons systemic Since the project new executive Learned under the causes of was first of the AMS "Senegalese Cities poverty and envisaged, there disagrees with without Slums" provoked an has been a the fundamental program and exchange of leadership principles of the communicate them ideas and change in many project. to the local, national discussions. of the city and international members of the community. AMS. Final Report 75 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al systems) Mozambique FFair Good Fir Fair Fair Faio Fair Fair Slum There was First phase The project was The project had a Outputs in the The pilot process in Reasonably good Although more Aside from Tripartite If well- The Improvement interest in the results were conceived as an very useful project focused Chamanculo C was participation was limited, there MMC, little other discussions disseminated incremental Demonstratio project from limited, adjunct to the first instigative impact. on piloting new oriented towards witnessed from the was also Mozambique mentioned , there is changes in n Project for Maputo Municipal including a phase of the two In 2007 discussions methodologies improving conditions community, participation government earlier, were reasonable attitude the Maputo City Council (MMC), series of socio- phase 2007-2016 began on of of the urban poor; including from the wider involvement was informed by chance of project (Member) but this did not economic World Bank- development neighbourhood this catalysed further organisations of community, visible. the replication -- produced are translate initially studies, surveys funded Maputo cooperation improvement, concern and urban poor, including experience of with this becoming well- into participation, of services Municipal between Brazil and backed by involvement, as women, youth and business the Maputo facilitated by known, with which (solid waste, Development Italy, with third evidence alongside, with a pro- slum dwellers, interests and a City project, the this assisted mobilisation storm water and Program (MMDP counties. One (surveys, poor emphasis. wide range of notably in involvement by scaling-up. difficulties also drainage, and 1), known as the theme of the Italian- studies) in which representative sensitizing the of Eduardo served to water) and land time of the first Brazilian Triangular the community institutions. community to Mondlane frustrate. MMC use, phase as the Cooperation conditions, and mobilizing University itself eventually topographical ProMaputo Programme characterized by it for a Faculty of took the lead in and cadastral program. This (IBTCP) that poverty, were participative Architecture, finalizing project maps. MMC's was directed at resulted is the assessed. approach for which is activities, with later stronger making systemic upgrading of improving active all outputs including role was to financial, "degraded" city neighbourhoo over revised mapping, influence MMC organizational neighbourhoods. d conditions. Mozambique including a policy on and institutional Maputo was In November in cadastre for a informal reforms within identified as a 2009 IBTCP neighbourho small part of the settlements, but Maputo's priority city for approved a od bairro, and the this came municipal intervention. proposal for a improvement. issuing of some significantly government Through 2008 and two year 200 land titles. ate/r. structure. This 2009 discussions project called linkage facilitated occurred between Support for the later the parties on the the Upgrading institutional shape and scope of of the learning and such an Chamanculo adaptation intervention. C mentioned Neighbourhoo alongside. d, prospectively budgeted at $2,700,000 with funding envisaged from Italy, Brazil and CA. Final Report 76 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al systems) Mozambique Good Good Good Fair Fair Fair Fair Fair Good Good Fair Fair Preparatory The project is The project is As alongside. Investment in the The project See alongside. The community As above, There is now a The If the To date, Grant Support designed, in now well There has also tripartite project is motivates for was strongly although more strong integration of experience of project for Upgrading similar fashion to underway, with been a close to $3 m. greater mobilised in the limited, there integration with the project the two CA experience is the its predecessor's keys outputs in sharpening of Further investment resources to go first Maputo City was also MMDP II, the with MMDP II Maputo certainly Chamanculo linkage with the form of an scope with one of prospects look into land use Slum project participation second phase of and the projects, known with C ProMaputo, to operational plan the outputs now reasonable and the regularisation (above); their from the wider 2007-2016 tripartite MMDP Iand urban sector Neighbourho support and to lay for the tripartite conceived as a project is linked to and participation has community, World Bank project II and community in od the ground for the project, and the monitoring and MMDP II. infrastructure continued in this including funded Maputo represents upcoming Mozambique; (Client) larger tripartite application for evaluation and service project. business Municipal good tripartite broader implementation CA funding of framework for the improvements to interests and a Development upscaling. project is dissemination project, Support $500,000 tripartite project. benefit mostly wide range of Program (i.e., disseminated is required to for the Upgrading already urban poor representative ProMaputo II). , replication raise of the completed by residents of institutions. This, in turn, is is certainly awareness on Chamanculo C MMC. Chamanculo C. linked to the possible. urban poverty. Neighbourhood. Evidentiary base tripartite project. MMC is clearly is pro-poor Government taking the lead oriented, as are departments here and is recommendation and deeply committed s. development to the project. partners are working together. Mozambique Good Fair Fair Fair Fair Fair Fair Good Fair Fair Fair Fair Slum Participation by National Production of There was good The highly As alongside: The consultative The consultative Process already The good The project The training Upgrading the City Councils government outputs was good linkage with a participative outputs were process involved all process led to a detailed linkages with experience programme in and of Maputo, was involved in -- environmental Global planning directed at reducing stakeholders, comprehensive incorporated other regional strongly particular Vulnerability Chokwe, Tete a very land use plans for Environmental process was vulnerability of poor highlighting national training national projects influenced certainly raised Reduction in and Quelimane in comprehensive each city, flood Facility Disaster focused on the communities, and community programme, government in continued, but the design of awareness on Flood Prone developing consultative protection Preparedness and needs of poor, improving representatives. featuring some important but it appears that the the Cities and measures to process, measures, Vulnerability vulnerable urban neighbourhood imaginative and not decisive the project Quelimane requirements Towns in reduce the especially on training manuals Reduction project in communities conditions. useful methods position, outputs were project, and for flood risk Mozambique vulnerability of local and courses. the lower Limpopo and (manuals, not later flood management (Member) communities environmental Integration within Basin, particularly neighbourhoods. posters, card disseminated risk in poorer living in flood planning. (limited and weak with regard to land game). Elected as widely as management communities. prone areas, Territorial at the time) use planning. But leaders, hoped after initiatives in through planning policy municipal no major additional community the project. Mozambique. environmental and law systems was funds were representatives Significant land use planning proposals were reasonable. procured. and technical investment in and service also outputs. staff were all the cities upgrading was involved. concerned in very good. the flood management field did not occur. Final Report 77 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al systems) Mozambique Fair Good Good Fair Fair Fair Fair Fair Fair Fair Fair Fair Improving Despite a drawn- The project did Planning While there has not The analysis of The The project was Key Participation WaterAid's The project As alongside: Water and out formulation make methodologies been large-scale land use and recommendations participatory in stakeholders in from QMC continued built on the the outcome Sanitation in and application improvements and the plans that follow up on the infrastructure and improvements in nature, in fact civil society also seems to have investment Flood Cities was not Quelimane process, and and innovations were developed initiative - an and service planning and ambitiously so, and appear to have been at already noted, experience in negative as City delays during with and for are innovative investment proposal conditions services, including incorporated input been afforded expected levels, but project did aiming to such, and (Member) execution, owing QMC in and involved submitted by UN- highlighted the community facilities, from urban poor good but there is little not go to improve linkage with largely it appears planning QMC. HABITAT to the situation in poor reflected the needs stakeholders. opportunities to evidence of scale in the water and Danida 7 (now to lack of methods, in the European neighbourhoods of poorer urban participate other way that was sanitation 13) cities municipal setting up of Commission was and the lack of residents. through the government initially hoped conditions in project capacity and community not accepted - infrastructure process which involvement. for. slum areas, demonstrated limited financial structures and some incremental and services, as was and can be sharing of management in building investment has well as urban characterized by seen as knowledge and procedures, community occurred, largely and land use workshops, inspiring the experience. Quelimane facilities, and through WaterAid planning. meetings, etc.. Nampula But the Municipal Council did improve continuing the project impression is (QMC) some municipal support of the (below) -- but that participated well services and Community performance performance in securing infrastructure, Committees and here was could have outputs. notably water centres that were perhaps been stronger. supply and established under below high roads. the project. expectations, Sanitation give the outputs were larger scale largely not of the budget completed. (which, Documentary paradoxically outputs (plans, , may have schemes) are of impelled too high quality. high a level of ambition). Final Report 78 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al systems) Mozambique uFair Fair Fir Fair Fair Fair Fair Fair Fair Fair Slum A lengthy Delays desribed The project is As alongside -- too Too early to Design is strongly The project is The project is See alongside. The project Because of There is a Upgrading formulation and alongside based on the early to assess, but assess, but pro-poor, and it is designed to designed to offer has real spatial scale reasonable and City approval process actively development of possibilities of likelihood also likely this will be improve services opportunities for potential for and project chance, given Development and long delays frustrated partial further investment fair carried through in and conditions for participation of making location, efforts made at Strategy for in start-up meant political buy-in urbanisation are also fair. implementation. urban poor. key innovations in there are dissemination, Nampula City initial limited and created a plans for all 11 stakeholders, urban and city opportunities that the project (Client) participation by negative city including local region (thus for a larger can offer a Nampula perspective on neighbourhoods and regional on a wider influence and model or Municipal Council the project. which will government. spatial scale hence also inspiration for (NMC). Facilitation by cumulate in a than previous replication in other initiatives Mobilization CA regional City-Wide Slum CA projects in northern part focused on the problems are representation Upgrading Plan Mozambique) of urban poor, ascribed to an based in Brazil and the planning Mozambique. particularly at initial mismatch has recently elaboration of a methodologie city region between assisted in CDS for the city s in a city level. municipal much improving itself and the whose procedures and the situation, surrounding national CA requirements, Nampula District. importance is and Implementation is perhaps miscommunicatio only now under- n on this between underway, but recognised. NMC and CA. possibility of institutionalization is fair. Final Report 79 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al systems) Mozambique FFair Good Fir Fair Fair Faii Fair Fair Preparatory Despite delays, ANAMM Given its A budget of This application As in previous cell. Consultation Consultation As already All proposed The SOC report, if Grant for the the grant output consulted with preparatory $932,500 is is supported by Recommendations process included process included stated, this was sponsor proposed developed, Development of a full-scale cities (Maputo, nature, overall proposed with CA a report which will follow properly in representation from many key limited, but can members are implementing would of a State of application to CA Nampula and institutional to contribute outlines relevant the full State of Cities urban poor. stakeholders, improve during to provide co- partnership represent a Mozambican for the Quelimane), support with $460,000 primarily issues in the Report, if produced and appears in- development of financing as appears to consolidated Cities Report preparation of a national partners was to ANAMM as urban sector, (i.e., funded) line with the SOC report. are DANIDA, represent a and larger- (Client) State of the government reasonable. recipient. GTZ, UN- and provides a preparatory SACN, workable scale effort to Mozambican ministries and HABITAT, and comprehensive scope of grant. ANAMM itself, ownership produce data Cities Report was development UCLG are proposed bibliography of 23 involved vehicle for and a nonetheless partners, but as sponsor source material, municipalities, the purpose municipal or produced and there is limited members. Much of this is the Ministry of of developing city-focused submitted in July evidence of real urban poverty- State a State of the perspective on 2010, with influence on focused. Administration Cities report Mozambique's ANAMM playing government at (MAE), the through a urban the lead role in its this point. If the Instituto collaborative, challenges, development. SOC report is Nacional de multi- highlighting funded, this Estatistica stakeholder urban poverty. may still occur. (INE) and the process, Centre for including Sustainable urban poor Urban interests. A Development national-level (CDS-ZU). report is envisaged, but this would involve cities across Mozambique. Final Report 80 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al sytems) Philippines Fair GodFair Fair Fair Fair Far Integrated Minimal Neither the National ADB loan was put Focus of the Low-income housing Some involvement, Some but not city None. None. Metro Created an Approaches involvement of metro wide government had on hold. No project was on schemes proposed but could have extensive governments wide slum awareness of to Poverty the League of slum strategy no confidence in substitute local informal settlers- but the proposed been better had the involvement. were involved, eradication the need to Reduction at Mayors, although nor the the local financing funding source was the urban poor. development relied focus changed but minimal strategy was tackle the the there was active associated ADB agency, nor the ever committed. too heavily on towards slum engagement of never problem of Neighbourho engagement of loan was ability of subsidies, and there upgrading rather the metro wide approved. informal od Level - a the participating approved. beneficiaries to was too little focus than relocation and bodies. National Development settlements. Cities Without cities. Only pay. Local on slum upgrading. redevelopment, government schemes But there was Slums passive governments and major new land agencies were were reliant no political will Initiative involvement of were unwilling to development passive. on direct and to follow (Member) national borrow for schemes. cross through. government shelter-- subsidies agencies. compounded by and for local national governments government to borrow. expecting sub An sovereign unsustainabl borrowing by e program in large cities, the long- term. Philippines Good Fair Good Fair Fair N/A Fair Good Fair Good N/A City City governments Planning CDS process Priority projects Part of the CDS is for the whole Urban poor groups Wide Focused mainly Focused on Participating CDS applies to Development were extensively system integrated into the were identified and planning city, not just the poor. participated, but engagement of on city the city as a cities wish to overall city Strategies involved - project changed-- planning system. included in the process, but no only as part of the interest groups, governments whole, not just continue and development. (CDS) in the originated in became more Many CDSs. But very little specific focus overall process that including who were the urban update their Next stage is Philippines: response to the strategic in participating cities funding has been overall. involved other academe, extensively poor. But CDSs. change the An Enabling request of the city outlook and continue the sourced except for stakeholders. chambers of involved. there was Others want focus towards Platform for authorities. participatory in process, and some small commerce, Minimal insufficient to develop local economic Good nature through others now want projects. major involvement of focus on local their own development Governance the to participate. businesses, civil national economic CDSs, and and planning and institutionalisati society and non government development seek capacity for climate Improving on of the CDS government agencies. Active within the development change. Service process. organisations. engagement of CDSs. accordingly. Delivery the LCP. (Client) Final Report 81 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al systems) T Philippines- Good Fair Fair G Good Good Good Fair Fair Fair Good A Metro PUI had little Interest was The model was The ADB loan 100% focus on Focus mainly on Pilot schemes Civil society and HUDCC There is little Although the Some Manila "Cities direct shown in not really tested which was the urban poor urban poor involved extensive some private supported the evidence that approach is increased Without involvement, and developing the in its entirety--not prime funding communities. communities and participation of the sector entities- project but were the sound, it awareness Slums" there was too concept, but one project was source was Extensive their supporting non urban poor and building not very active. government requires within the Strategy in little involvement there was not funded to test the cancelled, after the analysis carried government similar groups. suppliers and DBP initially did will support extensive private sector. Support of and support of enough support concept from disbursement of out. organizations construction not understand and finance community A better the Metro national for beginning to end. about only one third companies were or support the the approach consultation understanding Manila Urban government. implementation. of the available widely involved. concept. Later in future, and patience of urban Services for Development funds. No local they adopted a and cannot poverty within the Poor Bank of the funds were made more positive be applied local Investment Philippines (DBP) available to stance, but universally. It governments Program as the main continue the when the ADB is unlikely to in whose areas (Member) channel for program. loan was be replicated the pilot funding cancelled they widely. projects were subprojects did not provide located. whose feasibility funds was assessed themselves. under the initiative, showed too little interest until too late in the process. Final Report 82 Evaluation of Project Implementation Modalities of the Cities Alliance G HK , VALUE ADDED Projects OWNERSHIP QUALITY Participation of Level of Level of Linkages to Pro-poor focus Participatory approach Scaling-up Replication Awareness- key members of support for institutionalizati follow-on (evidence of (evidence of raising the executing grant-funded on investment Depth of Level of pro-poor Participation of Participation of Participation of the activity to activity to (evidence of implementing activities (outputs (evidence of poverty focus the urban poor, key key trigger a pro- trigger process agency (evidence of specifying potential assessment (extent of poverty vulnerable groups stakeholders, Government poor similar contributing (evidence of Government institutional resources (evidence of focus of outputs/ and women including civil departments strategic activities in to better participation) Orders I Edits) allocation of committed/propos poverty recommendations) society, private planning other cities) understandin responsibilities ed to support analysis sector process) g of urban and/or evidence actions completed) poverty of outputs recommended) issues) integrated into planning/financi al systems) T Syria Good Fair Fair Goo Good Good Good Fair Fair Fair Good Aleppo City The project is A Memorandum The current So far the project One output of The five focal areas Participation is one of the strongest Central It is likely to A couple of In order to Development financed by GTZ on Sustainable institutional has identified very the project was (local economic elements of the project. This is also administration scale up given towns have approach a Strategy and implemented Urban framework is very few potential an assessment development; urban regarded as a novelty approach by participation is the fact the already wider public, (Member) jointly by GTZ Development in weak, therefore financial resources of the informal service delivery and project stakeholders, as there is no moderate, it project was approached the project has and the Syria was the project aims and no firm settlements in disaster precedent of participation in Syria. participates at fed into the GTZ to been branded Municipality of prepared with at restructuring of commitments have Aleppo which management; urban Each focal area is represented by a the major national investigate as Aleppo (MoA). the support of the administrative been made in this produced rapid environment; urban Working Group composed of volunteers forums and it is Urban support for 'Madinatuna' The participation the GTZ Urban and financial respect (indicative profiles of the 28 spatial development; coming from the public & private sectors consulted Development similar CDS (='Our City') is evident from Development management end date is June settlements administrative and as well as civil society. Workshops have through the GTZ Policy. The grants. and an both sides, which Program (UDP). structure within 2011). The MoA (50% population financial been organised with the participation of national actual Another CA awareness is demonstrated This current the MoA. The has limited lives in informal modernization) young adults from informal settlements umbrella implementatio project raising by the active project was fed final structure has resources to settlements in originally included in with the aim to involve them in the CDS program. n may recently campaign was participation at into this been designed commit for CDS Aleppo). Several the application have process. however face started in launched. workshops, document, and is currently implementation but other been extended by impediments, Damascus, Activities Steering which ultimately under discussion most importantly it assessments two: informal including whereby the included: Committee/Worki contributed to with the MLA. has limited power of were completed settlements; and weak local project team forum ng Group the approval of The MoA is resource allocation, and GTZ made children & youth. governance visited the discussions; meetings, etc. the Urban expected to have as important available all the These two have the and Aleppo CDS dissemination Strong ownership Development departments decisions are made other documents strongest pro-poor institutions, team to find booths; leaflets from part of the Policy in 2010. specifically at central level. produced focus and top down out about and MoA and the The Ministry of dedicated to The MoA also through is UDP consequently outputs decision their information members of the Local urban services; assumes that the project. are aiming reducing making, lack initiative. panels; Working Groups Administration informal donor community urban poverty (eg. of legal base website. has been (MLA) is a settlements; CDS will be available to resettlement plans; enabling land detected, stakeholder of & LED, etc. The provide financial delivery of training titling. the project and intended outputs support for CDS for young people Nevertheless, participates at will create clear implementation. living in informal each Working major allocation of (GTZ has an settlements, etc.) Group workshops and responsibilities, agreement with expressed dissemination prepare job MLA until 2016 for interest to seminars. specifications and its UDP). keep However, it is complete a Madinatuna not consulted training needs going after the on a regular assessment. end of the basis. project. Final Report 83 Evaluation of Project Implementation Modalities of the Cities Alliance Annex 4 Meeting Records Name Affiliation Position Email Cameroon field mission -11-15th October 2010 Mr. Jean Yango Communaute Urbaine Directeur des Etudes, de Douala (CUD) de la Planification Urbaine et du Developpement Durable Mr. Franck LEROY Agence Frangaise de Program Manager Developpement (AFD) Mr. Patrick MARTIN City of Douala; Douala Technical Advisor to the Delegue du gouvernement (Mayor) Mr. Ga6tan MANDENG Communaute urbaine Director of Major de Douala (CUD) Projects Mr. Lami MARTIN Communaute urbaine Ingenieur de Genie de Douala (CUD) Civil Dr. Fritz NTONE City of Douala; Douala Del6gue du NTONE gouvernement (Mayor) Mr. Peter TANIFORM Infrastructure Project, Transport Specialist The World Bank and Project Manager Mr. YONDO National Chamber of Director of Technical Commerce, Mines, Assistance and Industry, Trade and Training Handicrafts Ms. Jacqueline GEFECOP - Douala President Elisabeth MBOGSI (NGO representing woman issues in agriculture development) Ms. Anne-laure Agence Frangaise de Division Collectivites ULLMANN Developpement (AFD) locales et Developpement Urbain Malawi field mission - 21-24th September 2010 Ms. Wendy Ovens Wendy Ovens Consultant to Lilongwe wovens(woa.co.za Associates City Council Ms. Sara Hoeflich United Cities and Local Project Manager UCLG s.hoeflich(@cities- Governments Mentoring Programme, localqovernments.or Malawi 9 Mr. Kelvin Mmangisa Lilongwe City Council Chief Executive Officer kmmanisa(coldsto rage.co.mw Mr. Yohane Nyanja Lilongwe City Council Director: Commerce, ynyanjayahoo.com Trade and Industry Mr. Dalitso Mpoola Lilongwe City Council Director: Planning dmpoola(yahoo.co m Senegal field mission - 13-18th September 2010 Mr. Mamadou Lamine Organisation: General Administrator Final Report 84 Evaluation of Project Implementation Modalities of the Cities Alliance DIOUF Fondation Droit a la Ville (FDV) Mr. Papa Demba Fondation Droit a la Directeur Administratif NIANG Ville (FDV) et Financier Mr. Bassiou DIOUF Fondation Droit a la C.1 Ville (FDV) Mr. Malicki COLY Fondation Droit a la Social Superviser Ville (FDV) Dr. SERIGNE UN Habitat Program Manager MANSOUR TALL Mr. EL HADJI GUEYE Association des Maires General Secretary du Senegal Association des Maires Deputy Chief du Senegal Mozambique field mission - 18-25th October 2010 Ms. Kate Kuper World Bank Project Manager, Slum katekuperl (@cqoogle Improvement mail.com Demonstration Project for Maputo City Mr. A. Louis Helling Independent Consultant to Slum alhellinq(earthlink.n Consultant Improvement et Demonstration Project for Maputo City Mr. Mathias Spaliviero UN-HABITAT Human Settlements mathias.spaliviero(D Officer, responsible for unhabitat.orq UN-HABITAT projects in Mozambique Mr. Daniel Biau UN-HABITAT Director: Regional and daniel.biau(unhabit Technical Cooperation at_0rg Division Mr. Silva J. Magaia UN-HABITAT Program Manager Silva.maqaia(Dunha (previously Councillor, bitat.org Urban Planning, Maputo Municipal Council (MMC)) Mr. Luis Nhaca MMC Councillor, Urban nhacaluis(a_yahoo.co Planning m.br Mr. Mauricio Viera MMC Advisor to MMC mmonteirovieira(uo I.com.br Mr. Kim Hermind Nampula Municipal Advisor to NMC kimhermind(tdm.co Council (NMC) (previously Advisor to .mz Quelimane City Municipal Council) Mr Dionisio Cherewa National Association of Secretary General; chrewad(yahoo.co and Mr. Abel Municipalities of Program Officer m.br Manhique Mozambique (ANAMM) belmino.manhique(@D qmail.cor Philippines field mission - September 2010 Eden Pintor-Garde UN-HABITAT Program Manager Elisea G. Gozun Earth Day Network Chairperson Philippines City Development Former Project Director Strategies of the Final Report 85 Evaluation of Project Implementation Modalities of the Cities Alliance League of Cities of the Former Secretary Philippines Department of Environment and Natural Resources Christopher Pablo World Bank Senior Operations Officer (Infrastructure) Ma. Tata Tolosa- World Bank Consultant Martinez Rowena P. Dineros Housing and Urban Technical Officer Development Coordinating Council Michael Lindfield Regional and Principal Urban Sustainable Development Specialist Development Department Asian Development Bank Florian Steinberg Southeast Asia Urban Development Department Specialist Asian Development Bank Feliciano R. Belmonte, Philippine House of the Incumbent Speaker of Jr. Representatives the Philippine House of Quezon City the Representatives Former Mayor of Quezon City Jose 'Lito' L. Atienza City of Manila Former Mayor of City of Manila Syria field mission - 26-28th October 2010 Dr Thomas Pritzkat GTZ Project Manager, Thomas.pritzkat(qt Aleppo Urban z.de Development Project Dr Maan Chibli Municipality of Aleppo Mayor of Aleppo Alp-cityh@net.sy Mr Lian Touma GTZ Finance Officer, Aleppo Lian.touma(a@qtz.de Urban Development Project Mr Boutros Merjaneh General Manager, Member of Urban pecbym(scs- Planning Execution Environment Working net.org Consulting Group Mr Raed Arslan Volunteer Member of Urban Services Working Group Ms Dalia Moukayed Municipality of Aleppo Coordinator and Member of Urban Environment and Spatial Planning Working Groups Mr Caesar Kabbash CEO, Kabbash Co. Member of Urban Caesar(kabbash.co International Trading Economic m Development Working Group Mr Fateh Oliver Expert for LED, Aleppo Member of Urban Oliver.hamoui(cimo Hamoui Chamber of Industry Economic nline.de Development Working Final Report 86 Evaluation of Project Implementation Modalities of the Cities Alliance Group Ms Ghada Rifai Volunteer Member of Children and Youth Working Group Ms Razan Abdul Architect, Architecture Member of Informal rawal()_scs-net.orq Wahab & Interior Design Settlements Studio Final Report 87 Evaluation of Project Implementation Modalities of the Cities Alliance G HK Annex 5 Presentation of Findings and Signposts Mexico City - 15/17 November 2010 C CHK DtIesAIWme Objectives CitiesAlliance TOR: Evaluation of Project clvowa ien dnt andt of non-ndtt f implemem i de,vel opment and 51lumupgra din-g projects in citis or at national levEl should roide eidence o assess th aoeicaiirrr and efcf s of Erdient Implemenation fl d0 ies and remnber] irpementation modlities. of the Cities Allianceeviden bas will be usd to provid *rCuic- t tim AM - -srce Findings and Signposts d ft, easeof adeininiaon andthe quair of pro ipm- - orm-riovn ov ?ths and 'ree. -1-i *Guidance or cArategic aswelI as rmnagerial-l deision-malking Mexico City - 15/17 November2010 pro a n-and iusis buppon to tne imprnertatron of tie Lities Aliance medium I erm ne CA busness mode. GH St a egy and tie coresopnding GH K CiteSAlliNce Headlire Findings G H K UlOSA]IWie Approach and Method Grnt Admi.istraiimi Procs (GAP) Desk Reie tn ie * ng , -comp, aa pictinu arproceses: n 33 t Fi o te GAP: ite e of COherence of Effort men and quality getting a fix on =rhalengng - iced pT erast theprrtfoili ormance .... A r. h iseoh of ftente frt - romApplian to E-att ition- thelikeiiltado'f CA e. osslrussoe addedib2 *Multiple interviews write CA Seceaiat Meirblers tintneIeue.OoiE-stie- Field imvestigatbm *Ther ino n, errInb5senoeon.alaed5esl n,:-ent Asia Philippi (Member(2), Clieit (i) iCtNerbm Afrim: Syria (Meeer) - Tr ln b iIb-Sahran c- Careroon [Clintj, Senega(client, Mdlawhi q (Ceeot), Mozambique (2 Member,4 Clientr 1.Joint) * CA coItril-tas to be-t evIllades a , ,rbor paoevty nd mo pA iidpabry nZ-porpl 0nnirapproahes: irses pseibil to pe-por* Sarnai rrica da -Te : Esiir benchmiarl efig pirojii qualiqy, ownerfti and neirits NutionIdand Local [-sI. r .1h N Primrrily qualiati asent bused on doelaremion and - Aignmsentossn nitig,l,ore l & -el1 vest ey.sreyse fdria inehai ree r a ertino tior. MultStitrgl ng eran to spanr up eao trprsocr rjmn toteMuletple. * e Sub-Saharano~ inIew Afi- aeon[let, _ih_ASc eea(let,Mlw Grant AdnAini-tration G HK CifieS AJWM Pracoss (GAP) GProject GH K CitdesAlliawc "Mind the Gap' DsRveKItvw 33 P: *ina- Final Reporti8 Evaluation of Project Implementation Modalities of the Cities Alliance G HK DiesAlliane Case Study Scorecard GH K CifiesAllat Case Evidence: GH K Duala CDS Cbaerrs -- - A New Beginning this study opened my Lm. ,Ie mind" (Mayor) -ai.onraOa.e. aaal pit 00 Ia it* Srong local awnarshiip among local ltakahlder- (Maye. ClD C.C, - Enttmd -ith Hambr- playlag Lim 0 ~ c.a. - a- -a kanrel, in Facilita paeflipaory / .- pie-poer approactua ad aidancas . cnio eb asafor urban polleydialgue - CohbaraaateEfort. WB&AliD so a * Gratatus oationmalpolty aadligiba e orlna nt im SHK Mia Findns Testin CAHK Four Pillars: Meeting Value Proposition the Chalenges ? Value Propositizn camersma nla trartdeCom - at re yp p ntaa ,nws Cao ymegrma *tFemilki arr-ls Pca grarfb.uui e f i a.nlo r ang - s Catalytc Fun leapsllealue L a a Knowledge & Learning n a lag ate t dC mmtul n icto & Adva-yn . .u. a ae.r 1 Final Report 89 Evaluation of Project Implementation Modalities of the Cities Alliance G H K Washington D.C. - 11 March 2011 G H KC OtISAiILMMe TOR CitiesAlliance ;Iftiitoa Ulr&OWojtS'2- :,trd - EAdence of~~~~~~- 4 norcmn ,,, l,dt1luld- uowd -- t FAjri I oO oorg Evaluation of Project .. Implementation Modalities Findirgs and Recommendations Washington I I March 101 I theAhau.ea.o..daOi.a MI..di,..a F.... C H K * O~wO OtIm * Bonito eFincings General Observations ooalityt atoandminrsrtrattlon.andonhe isntnnpihno GH K 2-dn A owoaershipOun ofo comordatins lectso -olnnkttipreotoroag b.iidENI Cl-ft n nibr ut-atio Logical Progression d Recommendations tt- t Shngn o Cr-ent Mackinge JSrotreamrtenlined itOOtWOittOVCA Business Mlolel Focused on Partnership il e Strangthr Colt ona of Eifed K, aid. Lou-J. . a y Risk Assessment *l MOtito PO cot tF- WG.ttstlJoOtO tCC Flfxible ChtuiLv uF Audf2 ufExetuburm * -os a N -oot -I.-oOO Prepare 3 Year Business Plan with miling fh N=clienr Annual Plan * rplStrengther Knoelce and Leaming *i. Rammar mca of jnk aiai11 L1wn o ami wdy ask f G H K CitiAlAiO eccmmendatins GH K COSM Recomrnerdations SAreoane gnft So th rI n11t AeptMo p0k r. I p,-.: CA ltooness mnuouel F,--4 i0 -. ,l~otoW tnano ot r:o P'.1kinq-c OitcI. in - -t&i) v,.400 foutosed vcl / V-h ttptId.t tto - t- O nd tIUhtpto d.c M.-otona G . tW Sho1d ltnGeA, r alron r ions cot ati Sr-ef. o s t-odard md tlgl radoosd b*6f _,[ _.. __I_ii 1 J dht.ai* it *ttbaoa o otrtr adt asadrla ? satd a .u.o M-toto !.o wIShat o *orrnersippa laner patartha titan grcool o1dttmcod k do.g lharWo too t. An-uto aid I11. p.t-a iO - a t nr. at wnp tf Final Report 90 Evaluation of Project Implementation Modalities of the Cities Alliance K G H GH K CiteAlli Recommendations G H K CikeAlile Recommendations GiWil-mhru Osital. Coawmiat Conlnewd Strengthen aa AllrWf Risk Asses-ments un atOlo- to Mio-if opoOa r-ueyi Colana o gf conve (vtaa- i ta etig 4p [F-Lto dlsiff Asoesmrnit of tatait to s-ccedsfl poject Effort: Koy sorce of a and *p-mattl. Eht-ghblA Iat grant / option. for enry * Ma1rtordid h as . tno la her gi-n dhW viu-added BUF ngap.-t dpi pe-aerl ealitareawcraetn ik ohra a paseian the ground t h *akiskto neptlof larger ter p a c Paml, A ed "e "w" o allp tmaqw. to secure aignmnent ongagemyarnt p- ciaieso Its among menbers and - Aogre. Hldt utdimig rifrsposbttl ard s- joint orking odiranion nradianismsror tOewhOS iegagemenet pedeod Make arid rald by manaegers o DFach A part of furdi ragqu!t / CAr? meera- GH K CitinAllia" Recommendations G H K CitieAlliate Recommendations GilunhathruGocYeaal.ru Fle-blx Chice of Pa- a . -d a Prepare 3 Yea- *sbetih agactl.eoy rasulfoe. ta teU e a M onOfSertorebV / Clita part 1t. tedr mrSt Pln Husis i wratle,the Suratent Hndhey lempl.eting p A The prefereere should eRaadiment ptas ditilettloras antgement Ralling Atamu.1 irb T%I Within te c beodaatmarrksinany - sWad md beaad oo preall Manld-111nt Lad * Align PI o the no, agagaMarnt mdal givn anex and ft to for purpe -Alkiw ne eds -vl- -ve Him *1D0n. -ud-aism to la1-rag.e .6-VUagh. aptily cnnae Or Start rnd DF the Alaftod - kon-Ifldd laefiff I haling * Estabihh priry alion ars Withtbidgat allindio * 9a lead buaimes plar preparetl wint partletle oft OUd Mrosht * 3 Yar Plam to be rmlld by E I CG * Annual PlansMoeitord by ECO * Scratat rport ta tal gaiant buoe plainab"at GH K CitNnAllixt Recommendations St-jiathen tirlhi kUh tuoNeSr.lt -L af A V.-a Etin- Kn oAertd_qle and Piu ProrIo - li.ed to .-- /r CAn-t Mane-ook Leaeiag: Key d_aloP--a (It #n te toFe o CA a- .,,eo. K&L pndelntac ot 01 og.0at Added BUT _A, oo,o attf -mbsoly f dity teal -CAptaduotctlaod ha- .graad .ftre treeewok In olarro S/to Jfl aa up UP.M Hraa*d darted Is a Ierrit d.f o Wroott gcaot can" yeSfle Food, LSC eaumirp pNthreae and~~~shain -1 Raoit of-nbdpoe ol h a agreed cacde thrumgh the dholld * oF=hollar projacta) thriahold I mdalpla ste oFCA octivities ithiaed 8f"n aA1001OWpM*t at Hoe Cfl reating -tisH 00n4 to linked 6 otheor a"rottional a-vtt 64u Werl Uth Fe-t, WRO JtAa Mh6.k) *h9 Iat &&hi to pOdd lip-mitcarttl - CDS f SU.J guemtr policy d-aotpManet- Hod leading phadtit* tshrWad aroog iaobam Final Report 91