the operational manual for the secondary …€¦ · transforming settlements for the urban poor in...

Second Draft Operations Manual for the Secondary Cities Support Programme for

Transforming Settlements for the Urban Poor in Uganda (TSUPU) Final May 2011

MINISTRY OF LANDS, HOUSING AND URBAN

DEVELOPMENT

THE OPERATIONAL MANUAL FOR THE

SECONDARY CITIES SUPPORT PROGRAMME

FOR TRANSFORMING SETTLEMENTS FOR

THE URBAN POOR IN UGANDA (TSUPU)

FINAL REVISED MAY 2011

SUBMITTED BY LILIAN KEENE-MUGERWA (CONSULTANT)

CA Member Partners: The World Bank UN Habitat Slum Dwellers International (SDI) United Cities and Local Governments (UCLG) represented by Urban Authorities Association in Uganda (UAAU)

Other Partners: Ministry of Finance, Planning and Economic Development Ministry of Land, Housing, and Urban Development Ministry of Local Government Municipality of Arua, Jinja, Kabale, Mbale and Mbarara Makerere University Energy Sector Management Assistance Program (ESMAP) International City Managers Association (ICMA)



TABLE OF CONTENTS

1.0 INTRODUCTION.............................................................................................................. 9

BACKGROUND AND CONTEXT ........................................................................................... 9

1.2 AREAS OF OPERATION .................................................................................................. 11

2.0 PROGRAM DELIVERY AND IMPLEMENTATION PRINCIPLES ...................... 13

2.1 GUIDING PRINCIPLES .............................................................................................. 13

2.2 PROGRAM DESCRIPTION: THE SECONDARY CITIES SUPPORT PROGRAMME

FOR TRANSFORMING SETTLEMENTS FOR THE URBAN POOR IN UGANDA

(TSUPU) ................................................................................................................................... 14

2.2.1 PROGRAM OBJECTIVES ....................................................................................... 15

2.3 TSUPU PROGRAM COMPONENTS ............................................................................... 15

3.0 STRUCTURE AND FUNCTIONING OF PROGRAM .................................................... 24

3.1 IMPLEMENTATION AND INSTITUTIONAL ARRANGEMENTS .............................. 24

3.1.1 LINKAGE OF TSUPU TO SECTOR WORKING GROUPS ........................... 24

3.1.2 OVERALL PROJECT OVERSIGHT AND COORDINATION MECHANISMS............................................................................................................................................... 24

3.1.3 PARTICIPATION AND INCLUSION MECHANISMS ................................. 25

3.2 RESPONSIBILITIES AND DUTIES OF DIFFERENT PROGRAM PARTNERS /

AGENCIES ............................................................................................................................... 36

3.3 SUMMARY OF PROJECT MANAGEMENT STRUCTURE, COMMITTEES, ROLES

AND RESPONSIBILITIES ...................................................................................................... 45

3.3 PROGRAM ACTIVITIES, OUTPUTS AND OUTCOMES / SUMMARY MATRIX..... 58

4.0 PROCUREMENT GUIDELINES & ARRANGEMENTS .......................................... 63

4.1 COMMUNITY PARTICIPATION IN PROCUREMENT............................................ 64

44.2 ASSESSMENT OF THE AGENCY’S CAPACITY TO IMPLEMENT

PROCUREMENT ..................................................................................................................... 66

4.3 FREQUENCY OF PROCUREMENT SUPERVISION ................................................ 66

4.3 USE OF NATIONAL SYSTEM .................................................................................... 68

4.4 PROCEDURE FOR SHOPPING ................................................................................... 68

4.5 SOLICITATION DOCUMENTS TO BE USED .......................................................... 68

4.6 PERFORMANCE CONTRACTS.................................................................................. 68

4.7 PROCUREMENT IMPLEMENTATION ARRANGEMENTS ................................... 68

The Municipalities (Urban Local Governments) ........................................................... 69

4.7.1 PROCUREMENT PLANNING .......................................................................... 72



4.7.2 COMMUNITY UPGRADING FUND (CUF) AND PROCUREMENT ........ 73

4.7.3 MONITORING COMMUNITY UPGRADING FUND (CUF) ....................... 74

5.0 FINANCIAL MANAGEMENT ...................................................................................... 76

5.1 INSTITUTIONAL ARRANGEMENTS: ...................................................................... 76

5.2 FUNDS FLOW, BANKING & DISBURSEMENT ARRANGEMENTS .................... 76

5.3 FUNDS FLOW .............................................................................................................. 79

5.4 ACCOUNTING, FINANCIAL REPORTING AND AUDITING ARRANGEMENTS

80

5.5AUDITING: ......................................................................................................................... 81

5.6 CO FINANCING ARRANGEMENT ............................................................................ 82

6.0 PROGRESS REPORTING ............................................................................................. 83

6.1 REPORTING FRAME WORK .......................................................................................... 83

6.2 REPORTING ARRANGEMENTS ................................................................................... 85

6.3 REPORTING TABLE TO CA ....................................................................................... 86

7.0 IMPACT ASSESSMENT ..................................................................................................... 87

7.1 MONITORING AND EVALUATION ......................................................................... 87

7.2 LEVELS OF RESPONSIBILITY IN MONITORING IMPLEMENTATION ............. 87

7.3. RESULTS FRAMEWORK TSUPU.................................................................................. 91

7.4. RESULTS MONITORING ARRANGEMENTS TSUPU ................................................ 93

8.0 SOCIAL AND ENVIRONMENTAL SAFEGUARDS ................................................. 96

9.0 RESETTLEMENT POLICY FRAMEWORK ............................................................. 98

9.0 ANNEXTURE 1 BUDGET BUDGETS /COSTINGS TABLES ................................ 104

ANNEXTURE 2 OUTLINE TERMS OF REFERENCE/ RESPONSIBILITIES OF THE

..................................................................................................................................................... 120

ANNEX 3 CONSULTANTS/ PERSONEL ........................................................................... 121

ANNXETURE 4 RESEARCH GRANT GUIDELINES ....................................................... 123

ANNEXTURE FIVE ................................................................................................................. 128

GUIDLEINES FOR APPLICATION AND MANAGEMENT OF INTERNISHIP and

PUBLIC LECTURE SUB-COMPONENT OF THE TSUPU PROJECT ........................... 128

ANNEXTURE SIX GUIDELINES FOR APPLICATION AND UTILISATION OF FUNDS

FOR SUB-PROJECT FOR THE IMPROVEMENTS IN MUNICIPAL MANAGEMENT

AND PLANNING SYSTEMS SUB-COMPONENT OF THE TSUPU PROJECT ........... 135

ANNEXTURE SEVEN PROCUREMENT PLANS .............................................................. 141

ANNEXTURE SEVEN MUNICIPAL wide DEVELOPMENT FORUM CHARTER ...... 142



LIST OF ACRONYMS

AG Auditor General

CAP Chapter in the Laws of Uganda

CBO Community Based Association

CDS City Development Strategies CPC Community Purchase Committee

CPMCs Community Project Management Committees

CSOs Civil Society Organisations

CUF Community Upgrading Fund EMP Environmental Management Plan

ESMAP Energy Sector Management Assistance Program

EU European Union

FMS Financial Management Specialist

IBRD International Bank for Reconstruction and Development

IDA International Development Agency ICB International Competitive Bidding

ICMA International City Managers Association

LD Learning by Doing approach

LGA Local Government Act

LGDP Local Government Development Program

LGFA Local Government Finance and Accounting

LGFR Local Government Framework

LGMSDP Local Government Management Services Delivery Project

MAK Makerere University

MDG Millennium Development Goal

MDF Municipal wide Development Forum

MDP Municipal Development Plan

MDS Municipal Development Strategy

M&E Monitoring and Evaluation

MTEF Medium Term Expenditure Framework

MoFPED Ministry of Finance Planning and Economic Development

MoLHUD Ministry of Lands, Housing and Urban Development

MoLG Ministry of Local Government

NCHE National Council for Higher Education

NCST National Council of Science and Technology

NDP National Development Plan

NGOs Non-Governmental Organisations

NUDF National Urban Development Forum

NUP National Urban Policy



PDU Procurement and Disposal Unit

PPDA Public Procurement and Disposal of Assets Authority

PS Permanent Secretary

PSC Project Steering Committee RFQ Request For Quotation

SBD Standard Bidding Documents

SDI Slum Dwellers International

SMIDP Support to Municipal Infrastructure Development Project

SUS Slum Upgrading Strategy

SWG Sector Working Group

TAC Technical Advisory Committee

TTL Task Team Leader

ToR Terms of Reference

TSUPU The Secondary Cities Support Programme for Transforming

Settlements for the Urban poor in Uganda

UAAU Urban Authorities Association of Uganda

UCLG United Cities and Local Governments

UN United Nations

ULGA Uganda Local Government Association

UNDP United Nations Development Program

UNEP United Nations Environment Programme

USD United States Dollars

USA United States of America

UK United Kingdom

WAs Withdrawal Applications

WB World Bank



1.0 INTRODUCTION

This operations manual has been developed for the Ministry of Lands, Housing and Urban

Development (MoLHUD) and defines the institutional arrangements , relationships and

structures of the program entitled ‘THE SECONDARY CITIES SUPPORT PROGRAMME FOR

TRANSFORMING SETTLEMENTS FOR THE URBAN POOR IN UGANDA (TSUPU)’. This

operational manual has been developed taking into account its users/stakeholders namely; the

Ministry of Lands, Housing and Urban Development (MoLHUD), Ministry of Finance, Planning

and Economic Development (MFPED); The Cities Alliance (CA), the Ministry of Local

Government (MoLG): five participating municipalities of Mbale, Jinja, Arua, Kabale and

Mbarara, Slum Dwellers International (SDI), Makerere University and The Urban Authorities of

Uganda (UAAU).

A participatory approach was adopted to arrive at a shared criterion of responsibilities and

roles procedures and decision making processes for effective program implementation. The

process involved desk research, and interviews with key stakeholders/partners/agencies.

Consensus building Interviews and later workshops were carried out with key representatives

of the program stakeholders/partners to assess the preliminary and draft ideas of the operations

manual.

BACKGROUND AND CONTEXT Similar to other developing countries in Sub Saharan Africa Uganda is experiencing rapid

urbanisation. This is taking place amidst a history of conflict, widespread poverty and shrinking

peasant economies. This is exacerbated by unreliable energy supply and an acute scarcity of

resources available for local authorities. Uganda has a population base of 30 million and a high

population growth rate of 3.2% making it one of the fastest growing populations in Africa. This

exerts pressure on demand for land, housing, water, health, education, jobs and municipal

services as well as expected impacts on the environment. While Uganda still has a relatively low

level of urbanisation, it has a high rate of urban growth estimated at 5.1% per annum. Kampala

the capital city has a population of 1.5 million. Secondary towns are also with 50% of the urban

population now living in the 13 designated municipalities. It is projected that by the year 2035

Uganda’s population will have grown to 68.4 million of which 30% will be in urban areas. In

addition the country’s economic growth patterns averaging 6.7% over the last decade supports

the view that urbanization and agglomeration of people and higher order economic activity will

occur. Within this context while the secondary towns are presently still relatively small, unless

they are managed properly they will over time grow into large unplanned settlements.

There is dire need for the government of Uganda to proactively manage urbanisation to ensure

a better urban future for its residents. This requires building the capacities of both government

and urban poor communities to form a partnership to effectively manage urban growth prior to

the inevitable formation of large slums that sadly characterize so many countries.



The Government of Uganda has recognised the need to capture the positive impacts of

urbanisation, and seeks to devise a strategy to enhance competiveness of the urban sector in

order to harness its potential as a driver of economic growth. At the same time, the World Bank

through the Uganda Support to Municipal Infrastructure Development Project is in the process

of developing a significant pipeline of investments targeting thirteen 13 municipalities outside

of Kampala. The TSUPU programme is to work with a select five (5) of the thirteen (13)

municipalities. One of its main objectives is therefore to bring greater coherence of effort by

creating an institutional framework for different stakeholders to align their efforts and finance

towards common objectives. Key to building coherence is the alignment of purpose between

national and sub national governments, and urban poor communities. Since the early 1990’s,

Uganda has been undergoing a process of decentralisation with greater public participation in

local issues. Considerable power and decision making have already been devolved to Local

Governments. This has resulted in the creation of legal and institutional mandates that

empower local governments to make decisions on issues that fall within their jurisdictions,

promotion of popular participation and improvement in service delivery. While

decentralization lays a foundation for effective urban management the secondary cities are

faced with a number of critical challenges that if left unchecked will result in increasingly

marginalized urban poor communities and the growth of slums.

In order to respond to the National Development Plan (NDP) the MoLHUD has identified a

number of key challenges affecting orderly urban development that need to be addressed

within its mandate and these include:

- Rapid Population Growth

- Outdated Urban Regulations

- Weak Linkages between social, economic, financial and physical planning

- Very limited capacity of local governments

- Marginalized Urban poor

The MoLHUD has also shared the above challenges with the, CA, government and other

development partners. In response to which they have jointly identified a package of

interventions that collectively respond to the challenges identified. The overarching objective of

the TSUPU programme is therefore to create inclusive cities without slums in order to maximize

the potential of urbanization by proactively managing urban growth. This is also in line with

the National Land Use Policy, whose main goal is to ensure adequately planned land use

systems that provide for orderly and sustainable urbanisation, industrial and infrastructure

development.1 The policy sets out to enhance the quality of both rural and urban settlements

and strengthen land use planning at all levels. It further seeks to promote and encourage the

development of adequate and appropriate shelter for all, integrate provision of basic

infrastructure and services in human settlements and raise public awareness and promote

1 National Land Use Policy Page v and ix



participation in the implementation of land utilisation strategies.2 The TSUPU program is also in

coherence with the mandate of central and local governments as defined in the Local

Government Act Cap 243, Sections 95- 98 and the second schedule under section 30 and 31.

The TSUPU programme will thus contribute and support ongoing efforts of building the

capacity of local governments to enable them mitigate the challenges of rapid urbanization via

improved policy, planning and strategy formulation, enhanced and active community citizens

role and improved service delivery by facilitating partnership and collaboration among

stakeholders as a development approach.

1.2 AREAS OF OPERATION

The areas of operation have been selected taking into account regional balance, size and growth

rate as well as an equitable spread of resources. Two different types of secondary cities have

been identified as partners under the TSUPU program. The first category includes

municipalities selected on the basis of their institutional capacity and relative good governance,

while the second category includes municipalities selected on the basis of their trans-frontier

economic potential. These include:

a) Jinja

Jinja is the second largest town in Uganda with an approximate population of 132,150 and a

population growth rate of 3.2 % per annum. The town was historically the centre for trade and

industry within Uganda; however, much of the industrial base has either declined or

transferred closer to the markets in Kampala. Besides subsistence agriculture, the immediate

region is characterised by cash crop production such as tea, coffee and sugar. Due to the

obvious attraction of the Nile, a tourism industry is developing based on white water rafting,

horse riding, bird watching and bungee-jumping.

b) Mbarara

Mbarara municipality has an estimated population of 102,926 with a 5.1% annual population

growth rate. It is the major urban centre serving the south-western region. The economy is

based mainly on a spread of agriculture, commerce and trade, light and small scale industry

and informal sector activities.

c) Mbale

Mbale municipality has an estimated population of 86,642 and a 4% annual population growth

rate. Located in the eastern part of Uganda, Mbale is one of the biggest commercial towns in

Uganda. It serves as a regional link and gateway to Uganda, notably from Kenya. It is a

transportation hub with good access to roads and railway. It has untapped tourism potential

offered by the proximity to the Mount Elgon mountain range, rich biodiversity, historical

heritage and cultural attractions.

2 Page xiii



d) Kabale

Kabale municipality has a population of 54,407 and a 4% annual population growth rate. It is a

regional transport hub with road links to Kisoro, Kanungu, Kihihi, Ntungamu, and Rukungiri

districts. It is located close to the Rwanda border and has historically benefitted from cross-

border trade. In recent times, the economy has declined due to stricter controls over cross-

border movement with neighboring Rwanda. The municipality has a fledgling tourism industry

based on the mountain gorillas.

e) Arua

Arua municipality has a population of 39,250 and a population growth rate of 4% per annum. It

is an important local commercial centre and serves as a base for a large refugee population from

Sudan and the Democratic Republic of Congo. In recent years, this population has been the base

for dramatically increased cross-border trade. Furthermore, oil has recently been discovered in

close proximity to the town, and it is expected that this will serve to attract a wide range of

investments to the town as well as a large influx of new residents eager to search for work.



2.0 PROGRAM DELIVERY AND IMPLEMENTATION PRINCIPLES

The TSUPU programme is based on a number of guiding principles for its implementation

within democratic principles at both the structural and implementation level. At the structural

level, TSUPU is being implemented within the frame-work of local governments as defined in

the Constitution of the Republic of Uganda 1995 and the Local Government Act chapter 243 of

the Laws of Uganda as at 1st September 2008. Under the objective II of The Constitution

decentralization through devolution and transfer of powers from the central government to

local governments applies. Active participation and empowerment of all citizens at all levels is

to ensure people participation and democratic control in decision-making3. The state is thus also

mandated to take necessary steps to involve people in the formulation and implementation of

development plans and programmes that affect them under objective X.

The Constitution stipulates that the system of local government is to be based on democratically

elected councils based on adult suffrage4. The municipalities are described as lower local

governments and thus are bodies corporate with perpetual succession and a common seal, and

may sue or be sued in their corporate name and may, subject to the provisions of the

constitution, do enjoy or suffer anything that may be done, enjoyed or suffered by a body

corporate, while an administrative unit has no legal personality.5

Under TSUPU program, municipalities will perform specific functions and powers as

prescribed in the Local Government Act(LGA) They will initiate , encourage , support and

participate in self help projects and mobilize people , material and technical assistance in

relation to self help project. Within their mandate they will further monitor and supervise

projects and other activities undertaken by the Government, local governments and Non

Governmental organizations in their areas.

The following principles will guide TSUPU program implementation;

2.1 GUIDING PRINCIPLES

2.1.1 Support of national urban agenda

To strengthen and support the domestic urban initiatives of the Government of Uganda at both

national and sub-national levels such that the country is better equipped to upgrade slums and

proactively deal with, and benefit from, urban growth. The programme is designed to support

existing and new initiatives of the Government of Uganda in achieving these objectives.

2.1.2 Re-energise and link into past and on-going urban initiatives

3 Const, 1995 Obj ii & iii, Art 176 (2) 4 Art 176(1) 5 Section 7 LGA



To recognise that a number of actors (including CA members) have over many years been

engaged with a wide range of urban issues and that positive experience exists that needs to be

built on. However while this body of knowledge exists it has typically become victim to the

operational islands that often characterise development organisations and government. The

programme would aim to identify the fruit of these initiatives and bring them back into the

mainstream at national, municipal and community levels.

2.1.3 Promote community empowerment and participation

To recognise that for the urban poor to effectively engage with urban planning processes that

affect their lives it is important that such communities are actively mobilised and empowered to

participate in a meaningful way. Such processes should recognise the complexity of urban

communities and institutionalise a platform for dialogue that will ensure that each group that

makes up the community profile is given influential voice. A community profile would

typically be based on gender, age and ability criteria amongst others.

2.1.4. Promote multi-stakeholder participation.

To recognise that sustainable urban development is a product of multi-stakeholder

participation, and that the solution to problems and the response to opportunities only emerge

when partnerships are forged between such stakeholders. A space for dialogue should be

available where such partnerships can be forged. Key stake holders include over and above the

community representation, all organisations inside and outside of government involved in

service delivery and development.

2.1.5. Investment alignment

To bring greater coherence of effort by creating an institutional framework that enables a

myriad of stakeholders to align their efforts and finance towards common objectives. In

particular, this programme is designed to articulate with the urban investment programme

being jointly developed by the World Bank and the Government of Uganda. While the TSUPU

programme only provides modest financial resources, it is designed to facilitate additional

public and private investment into the urban sector by enabling a wide range of organisations

to find the institutional hooks on which to hang support programmes.

2.1.6. Skills alignment.

The institutional framework should also enable specialist organisations to link up with,

complement and strengthen the broader development initiative. Within this context CA

members and other agencies will work in partnership to support the TSUPU programme.

2.2 PROGRAM DESCRIPTION: THE SECONDARY CITIES SUPPORT

PROGRAMME FOR TRANSFORMING SETTLEMENTS FOR THE URBAN POOR

IN UGANDA (TSUPU) The Ministry of Lands, Housing and Urban Development has secured funds from the Cities



Alliance under a grant provided by the Billy and Melinda Gates foundation with contribution

by UNDP in support of the National Urban development Policy (NUP) development activity.

The program is being supported by the World Bank, UNDP with assistance from UN-HABITAT

and Habitat for Humanity.

The program will be implemented in partnership with the MoLHUD as the lead agency, the

identified five municipalities (Mbale, Jinja, Arua, Kabale and Mbarara), Slum Dwellers

International (SDI), Energy Sector Management Assistance Program (ESMAP), UN-Habitat,

Makerere University (MAK), Urban Authorities Association of Uganda (UAAU) and the

Ministry of Local Government (MoLG). The program will address key challenges such as rapid

urban population growth, outdated urban legislation, weak linkages between social economic,

financial and physical planning, marginalisation of the urban poor, as well as the very limited

capacity of local governments. It will further empower the urban poor to participate and engage

in decision making at the local level and demand for service delivery.

2.2.1 PROGRAM OBJECTIVES

The overall objective of TSUPU programme is to create inclusive cities without slums in order

to maximise the potential of urbanisation by proactively managing urban growth. The TSUPU

program has three specific output objectives;

At least 50,000 slum dwellers living in five selected municipalities actively engage in

both securing their rights and honouring their responsibilities through improved

urban governance and formalisation.

At least 50,000 slum dwellers households living in five selected municipalities

improve their qualitative and quantitative access to municipal services

The Government of Uganda (national and sun national) in partnership with

interested stakeholders develops effective and efficient inclusive urban development

policies and strategies enabling the better management of future urban growth

positively affecting the lives of 200,000 slum dwellers households nationwide.

2.3 TSUPU PROGRAM COMPONENTS

Objective 1: At least 50,000 slum dwellers living within the five selected municipalities

actively engage in both securing their rights and honouring their responsibilities through

improved urban governance and formalisation (US$871,500)

This objective serves to counterbalance the circumstances that marginalise urban poor

communities and infringe on their capacities to be full and active citizens. Perhaps the greatest

challenge for the urban poor is the constant threat of eviction and the exploitation they suffer



due to the lack of legal protections in the settlement and development of land. In many cities the

degree of marginalisation is so complete that urban poor households do not even exist on a

map. For the urban poor to be citizens they need to be secure, invest in their households and

actively participate in the process of finding solutions to community challenges

2.3.1. Set up phase of the project (195,500 USD, WB)

To ensure that certain activities are started while the larger programme agreements are finalised

the World Bank will manage a grant covering preparatory activities aimed at establishing the

institutional framework necessary to ensure clear roles and responsibilities and seamless cooperation and coordination between partners for the effective implementation of the TSUPU.

2.3.2. Capture and expand SDIs Learning by Doing approach to Rights and Responsibilities

(25,000 USD, SDI)

The fundamental premise underlying the TSUPU is the belief that all people have rights, but

how these rights are realised is a result of dialogue and engagement between communities,

local governments and service providers. It is through this active process of engagement that

creative partnerships emerge and new ways of sustainable service delivery are found. The

promotion of rights and reciprocal responsibilities is inherent in the Learning by Doing

methodologies of SDI but has not been fully developed as a methodology covering the diverse

aspects of this programme.

The objective of this activity is to enable SDI to document its Learning by Doing approach from

a Rights and Responsibility prism in order to refine and expand the approaches to effectively

enable urban poor communities to build the capacity to actively engage in constructive, result-

oriented public community dialogue. Presently SDI is linking its learning by doing approach to

three main interventions including saving schemes, enumerations and exchanges (refer activity

2.3.4, 2.3.5, and 2.3.7). Over and above the objectives of SDI’s current approaches the Learning

by Doing methodology will be expanded to include an understanding of urban government and

governance, community profiles (with a focus on gender), sustainable urban planning and

development, conflict resolution, and partnerships. By documenting this process, this approach

can be shared and understood by all actors nationally and internationally.

2.3.3. Establish Municipal wide Development Forums (81,000 USD, Municipalities)

This activity aims to formalise municipal-wide Development Forums where organised urban

poor, local government, service providers, private sector and other stakeholders meet on a

regular basis to exchange views, debate priorities and agree on common actions. The Forum is

convened and supported by the local authority. The chairing of the Forum would typically be

rotated between the different stakeholders constituting the forum management body. The

Forum is a basic institution that will inform pro-poor approaches to urban development at the

municipal level which implies significant representation from the communities of the urban



poor in all such forums. The Forum should ultimately be institutionalised as it is the

fundamental building block towards good governance and the creation of on-going public

community partnerships. Participation of women and youth in the Forum is essential, together

with a focus on their different perceptions, needs, roles and responsibilities in the urban setting.

It is envisaged that other existing institutionalised mechanisms of engagement would be

incorporated over time into the rationality of a single regular development forum.

2.3.4 Registration and survey of all households and small businesses located within slum

settlements (350,000 USD, SDI)

The act of registering and enumerating all household structures and businesses is a very

tangible step in the process of local government recognition and the building of an active

citizenship. A pre phase of the process is the development of Settlement Profiles in each

municipality before the larger enumeration and survey exercise takes place. While organisations

of the urban poor have proved that they are very effective in gathering data and conducting

enumeration exercises, it is essential that the data is accepted and formalised by the local

governments. The process is typically conducted in two steps where organisations of the urban

poor gather the necessary data and conduct the enumeration, and the local governments

verifies the data and signs off on the final product. The process would be in partnership calling

for the inputs of local planners and other key constituents that utilise data for planning

purposes. The validation of this community-based data by local authorities entails a tacit

commitment that such information will be incorporated into the planning processes of the

Municipal Development Strategies and also be integrated into relevant databases of local

government. All such data will be collected and shared in the spirit of good faith, and slum

dwellers will be protected by agreed safeguards against forced eviction.

2.3.5. The formation of local community savings groups (110,000 USD, SDI)

The activity will involve the provision of support to the urban poor and their organisations to

establish savings mechanisms that are controlled and managed by the urban poor themselves.

The savings groups enable poor households to access affordable finance. Internationally this

practice has been well documented as an effective component of the poor, especially women,

building their own capacity and increasing their organisational ability while gaining access

to affordable finance. It provides the means by which the poor can effectively demonstrate their

responsibilities, and participate as citizens working with government to secure land tenure and

invest in the upgrading of their own shelters and services. SDI has developed Learning by

Doing (LDI) methodologies that link the formation of saving groups to the mobilisation of slum

communities and the broader urban developmental agenda.

2.3.6. Participatory action research into issues that affect access to land and increased security

of tenure of the urban poor. (90,000 USD, MoLHUD)



In many towns in Uganda, the urban poor, and especially women do not have access to secure

tenure. This is a major impediment to development as security of tenure gives a sense of

permanence necessary to form the basis for increased investment in shelter. This activity aims at

supporting the establishment of systems that clearly define and protect rights and

responsibilities attached to urban land usage, occupation and ownership by facilitating

improvements in the legal framework that governs 1) the process by which settlement and

access to land occurs; 2) the processes that govern relocation due to state (national and local)

planning; and 3) tenant landlord relationships. The participatory action research will look into

rights and responsibilities of all parties with clear guidelines and recommendations on

mechanisms for conflict resolution. The underpinning principle governing this engagement is

that forced eviction of those dwelling in informal settlements will only be pursued as a last

resort after meaningful engagement with affected communities, and with resettlement options

that cause minimal disruption to their communal and economic life. This activity is linked to

and will be supported by the Municipal Development Strategy, the slum upgrading action

plans, and the Municipal and National Urban Forums in the TSUPU programme. As the lead

partner on this activity, the MoLHUD will ensure that the commissioned researchers engage the

municipal wide development forums in order to ensure that organised communities are fully

engaged in all aspects of the action research including methodology, and that relevant

community collected data is utilised.

Objective 2: At least 50,000 slum dwellers living within the 5 selected municipalities improve

their qualitative and quantitative access to municipal services (US$ 2,150,000)

This component supports the ongoing efforts of communities and local governments to improve

the quality and quantity of services available to the urban poor in the participating five

municipalities. The project does not promote a prescribed sector approach to urban

development, but rather the mobilisation of resources and the incremental delivery of services

according to agreed local plans and priorities. The activities provide incentives for communities

and local governments to continue to implement and scale up improved access to services for

the urban poor through enhanced capacity of communities to prioritise, plan and implement

small projects, the development of a long term inclusive Municipal Development Strategies

with Slum Upgrading Action Plans, and improvements in municipal management and planning

systems.

2.3.7 Formation and capacity building of Settlement level Urban Poor Organisations

(110,000 USD, SDI)

As part of mobilising urban poor communities it is important that local settlement level urban

poor organisations are empowered to effectively engage in local-level planning and to negotiate

with service providers. The basis for settlement level urban poor organisations is inextricably

linked to the establishment of savings groups (Refer Activity 2.3.6). Saving groups breed unity,



leadership and sense of common purpose that form the basis for these larger organisations at

the settlement and municipal level. The experience within the SDI network of these

relationships is that savings groups work as vectors for learning and cohesion within the greater

framework of settlement-level groups. With a strong focus on women, they work as well to

include the needs of women in local urban planning priorities. Commonly these groups already

exist in some shape or form, and SDI/ACTogether will engage with all such structures to craft a

system capable of empowering settlement level urban poor organisations so they over time can

both initiate and replicate local initiatives, which will be a key indicator of success.

2.3.8 The development of Municipal Development Strategies and Plans (450,000 USD,

Municipalities)

The purpose of this activity is to support the development of a long term Municipal

Development Strategy (MDS) in each of the five participating municipalities. Fundamental to

any MDS is the broad issue of local economic development and the strategic positioning of the

municipality into the larger sub-regional, regional, national and global economies. The

purpose of this activity is to strengthen planning at the municipal level through broad-based

participation and negotiated priorities. The MDS aims to bring coherence to disparate on-going

planning processes within a long-term vision for municipal development. It ultimately must

guide the preparation of the Municipal Development Plan (MDP) which is linked to Medium-

Term Expenditure Framework (MTEF), annual budget and annual transfers in order to be

sustainable. Working through the multi-stakeholder Municipal Development Forums (MDF’s)

will be developed that includes the following key elements:

- Land use plans—Physical urban growth needs to be managed. Such strategies need to ensure

the identification and provision of adequate, affordable land for future settlement.

- Slum Upgrading Strategy (SUS) and Planning for future urbanisation - An integral part of the

MDS is a citywide general SUS that addresses the concerns of the urban poor.

- Slum upgrading is often little more than a reactive set of sectoral activities, trying to repair

damage after the fact. Even while cities (and donors) are developing projects, and some slum

upgrading is taking place, new slum formation is in progress. A comprehensive approach to

slum upgrading needs to focus on the whole city, and deal with the systemic failures that gave

rise to existing slums. Unchanged, the same policies will cause the next generation of slums to

appear even as the current slums are being upgraded. This activity aims to draw the linkages

between slum upgrading and managed urban growth.

- Energy—Successful urban development requires energy for household consumption and

economic production by the urban poor. A MDS should answer the question as to how these

energy needs will be met.

- Environment —A key element of the MDS will be to develop an Environmental Management

Plan (EMP). The EMP proactively identifies both the environmental assets and environmental

challenges facing the community.

- Capital investment and revenue strategy —Too often the MDS concludes with no more than a



―wish list‖, with very little attention paid to how the investments and initiatives identified

would be financed including assessing domestic revenue collection.

- Municipal Development Plan – the plan which captures all the investments in the Municipality

to realize the municipal strategy and vision within a time frame consistent with the National

Development Planning frame work. As a principle the planning process undertaken should

ensure effective use and application of information developed through community-led

enumeration and survey activities and other relevant existing information.

The MDS will be financed following the development of a separate proposal. The proposal

submitted to the Cities Alliance should reflect a process that ensures that the MDS will be

developed in a manner that captures the priorities of participating municipalities and their

urban poor communities.

2.3.9 The development of detailed municipal Slum Upgrading Action Plans, 250,000 USD

(125,000 USD to Municipalities, and 125,000 USD to SDI)

Informed by the Slum Upgrading Strategy undertaken as part of the MDS process (Reference

2.3.8), this activity aims at facilitating the collaboration between communities, technical support

staff/agencies and local government in developing local slum upgrading action plans that meet

the real requirements of slum dwellers. The plans developed at settlement level will include the

identification of priority interventions with technical design and a bill of quantities enabling

future costing. Critically the plans identify structures requiring relocation, and the agreed

approach to undertaking such relocations. The plans will be developed based on the interaction

between community planning initiatives and appropriate technical support. A major issue to be

tackled will be the standards stipulated by the local authority, which are often unrealistic and

unattainable for slum dwellers except through incremental improvements.

2.3.10 The establishment of Community Upgrading Funds (CUFs) in each participating

municipality. (1,140,000 USD, Municipalities)

The fund has two clear overarching objectives: In the first instance the objective of the fund is to

enable settlement-based community organisations to access grants to finance initiatives that

meet certain clearly defined criteria. Access to small grants no larger than 15,000 USD enables

rapid and visible progress to occur while larger policy debates are taking place. In addition to

having a measurable impact on the quality of life of slum dwellers the process builds skills of

participatory planning and participation, and helps raising the profile of Settlement level Urban

Poor Organisations. Secondly, the fund enables constructive partnerships between local

government and Settlement level Urban Poor Organisations. The institutional location of the

CUF should help strengthen the systems of local governance and municipal service provision.

The institutional design of the CUF will as far as possible use existing mechanisms and

experience, and will be over sighted by a mechanism that includes political and official

representation from local government as well as representatives of Settlement and Municipal



level Urban Poor Organisations. It is envisaged that the fund will be in time be substantially

enlarged by contributions from national and municipal government and include contributions

from international agencies, the private sector, and the communities themselves. The process of

defining the operational characteristics of the fund will be inclusive of both the local

governments and SDI who have considerable experience in fund establishment and

management. It should build on good practices both within Uganda and internationally. The

activity entails the establishment of a CUF Operational Manual which describes clearly how the

fund will function including procedures to apply, criteria for evaluating applications, a

safeguards framework, as well as monitoring and supervision. The CUF Operational Manual

agreed by the municipalities, SDI, and Cities Alliance will be a pre-requisite for releasing the

first tranche for the fund (See Attachment).

2.3.11 Support for identified improvements in municipal management and planning systems

(180,000 USD, Municipalities)

A constraint to effective urban management is weak municipal management and planning

systems. Often relatively small changes in the management and planning systems of local

governments can have a big positive impact. Sometimes it is simply the enforcement of existing

bylaws or the clarification of procedures that can help resolve a problem. At other times it is the

weak management of information that hinders effective delivery. This activity aims to improve

the capacity of local government by investing in small changes to systems in the interest of slum

dwellers. The nature of these changes will be identified by each municipality after a process of

engagement with UAAU/ICMA especially focusing on internal systems. The funds will be

released from MoLHUD to each municipality on the basis of a proposal developed by the

municipality.

Objective 3: Develop effective and efficient inclusive urban development policies and

strategies enabling the better management of future urban growth positively affecting the

lives of 200,000 slum dweller households nationwide (US$ 996,500)

This component supports national level policy and practice knowledge management activities

essential for the promotion of a pro poor urban agenda. Activities supported under this

component includes a National forum for learning and dialogue, research into defined urban

issues to inform policy and practice, a nationwide campaign for sustainable urbanisation, and

the promotion of partnerships between universities and urban development actors for

developing responsive human capacities to the sector.

2.3.12 The establishment of the National Urban Development Forum (60,300 USD)

This activity aims at facilitating an internal in country debate on urban issues and, most

significantly on how urbanisation will gradually change the social and economic fabric of the

country. The National Urban Development Forum will be hosted by MoLHUD and managed by



executive committee drawn from the forum members. The Forum will be a platform for an

ongoing and structured dialogue focusing on the need to develop policy to resolve real

problems experienced by poor, heterogeneous urban communities. It is important that the

Forum finds away to enable inputs from the communities and the local authorities into the

national urban debate. Furthermore, the debate needs to be enriched by the participation of the

wide variety of actors who have urban programming experience both nationally and

internationally.

2.3.13The commissioning of action research into defined urban problems identified at the

National Urban Development Forum (135,000 USD, MoLHUD)

This activity supports the commissioning of practical research into defined urban problems

resulting in policy recommendations for more effective urban planning and management that

will support the development of inclusive cities.4 The activity makes resources available to

finance research on issues identified at the National Urban Forum. In the interests of building

local capacities the research is to be preferentially commissioned out as far as possible to

Ugandan universities who may identify appropriate partners for collaboration and support. In

addition, the Cities Alliance through its members will support the process by making available

international best practice.

2.3.14 The development of a National Urban Campaign (150,000 USD, Covered by National

Urban Policy Proposal)

This activity involves support for a national campaign on sustainable urbanisation. The process

involves the planning, collection of data and the packaging of information targeted at schools,

universities, civil society, religious groups and government. The objective of the campaign is to

increase widespread public understanding of the broad urban development agenda through the

creative use of media and other communication forms, tailored to Ugandan needs and

priorities. This campaign is an integral part of the Development of the National Urban Policy

and Strategic Urban Development Plan for Uganda project.

2.3.15To support the integration of Makerere University into the broader urban development

agenda through i) internships and ii) public lectures (90,000 USD, MoLHUD)

The ability to effectively manage urbanisation will ultimately depend on the capacity to train

and supply the municipalities with appropriately qualified personnel. The objective of this

activity is to provide the university with the opportunity to directly participate in the planning

and research processes at all three levels of the project—namely community, municipality and

national—and to help ensure that students are equipped with skills that Uganda will need for

decades to come. To this effect this activity aims to engage urban planning students and



students from other relevant fields to actively participate in practical planning and applied

research processes. Secondly, facilitate internships for students in a variety of relevant

institutions including the selected municipalities, MoLHUD, and SDI/ACTogether. In addition

support university-led public lectures series to raise the profile of urban development amongst

the academia and beyond.

2.3.16 The development of a municipal institutional leadership programme (229,500 USD,

ICMA/UAAU)

A key to successful local governance is the ability to effectively engage with stakeholders in a

way that inspires confidence and mobilises additional resources. This requires a political leadership capable of outreach and effective communication. This activity aims to build the

institutional leadership of both the operational and political spheres so that they work better as

a team and systematically improves urban management skills and more effective community outreach and communication. It is important that this training compliments other trainings offered by MoLG, the Uganda Local Government Association (ULGA), and other agencies. This activity is funded by Cities Alliance core funds, and a separate grant agreement between ICMA/UAAU will be prepared.

2.3.17 Development of the National Urban Policy and Strategic Urban Development Plan

for Uganda (450,000 USD, MoLHUD)

Uganda does not yet have a national urban policy to guide the urbanisation process, ensure

orderly development and enhance urban management. The proposed initiative seeks to develop

a national Urban Policy and Strategic Urban Development Plan for Uganda through a

participatory process facilitated through the National Urban Development Forum and other

forms of consultations. The policy will address issues of urban poverty, urban service delivery,

rural-urban migration and economic growth and regional balance. The details of the project are

described in a separate proposal that predates the TSUPU programme but has subsequently

been incorporated as part of the overall approach.



3.0 STRUCTURE AND FUNCTIONING OF PROGRAM

3.1 IMPLEMENTATION AND INSTITUTIONAL ARRANGEMENTS

The implementation and institutional arrangements under TSUPU have been designed to

ensure:

Maximum national and local ownership

Project implementation through stakeholder partnerships

Alignment of project implementation with national, municipal and community

structure such that they operate as an integrated whole.

Alignment of the TSUPU programme with existing institutional strengths and help

fill any gaps

Identification of the best institutional arrangements for efficiency and effectiveness.

TSUPU will operate on a partnership basis that in the first instance brings together the

following actors: 1) The World Bank Country Office, 2) National Government (MoLHUD,

MoLG, MoFPED) 3) Municipal Governments, 4) organised urban poor communities in

partnership with SDI, 5) Urban Authorities Association of Uganda (UAAU) in partnership with

ICMA. 6) Public Universities 7) Energy Sector Management Assistance Programme (ESMAP),

and 8) UN Habitat 9) Habitat for Humanity.

3.1.1 LINKAGE OF TSUPU TO SECTOR WORKING GROUPS

At the national sector level, this project contributes to the overall goals of the Lands, Housing &

Urban Development Sector Working Group (SWG) whose mandate is “to ensure rational and

sustainable use, effective management of land and orderly development of urban and rural

areas as well as safe, planned and adequate housing for socio-economic development”. The

directorate of physical planning and urban development and the project secretariat are

therefore charged with ensuring that the project contributes and benefits from the sector

working group.

This project is also aligned to the decentralisation SWG under the MoLG whose mission is to

coordinate, support and advocate for Local Governments for sustainable, efficient and effective

service delivery in the decentralized system of governance. The department of urban

administration represented on the TAC will therefore act as the liaison between the project and

this SWG. The MoLG is mandated amongst others to offer technical advice/assistance, support

supervision and training to all Local Governments including the municipalities.

3.1.2 OVERALL PROJECT OVERSIGHT AND COORDINATION MECHANISMS



At the national level, a project steering committee comprised of the Permanent Secretary

MoLHUD , MoLG and Permanent Secretary/ Secretary to the Treasury MoFPED, a

representative of the Cities Alliance / World Bank will be provide policy guidance and

accountability on behalf of the GoU. It will resolve high level matters pertaining to programme

implementation and to advise the implementers on policy matters within the MTEF and aid

framework for Uganda process.

To maximise synergies, strengthen coordination within existing mandates a thirteen member

Technical Advisory Committee (TAC) co-chaired by the Director of Urban Development and

Physical Planning-MoLHUD and the Director Budget- MoFPED will provide technical guidance

to the TSUPU project secretariat. It will be composed of; Director Urban Development and

Physical Planning , Director of Housing, Director of Lands, all from the MoLHUD , Director

Budget MoFPED, Commissioner Urban Administration MoLG, Town clerks from the five

municipalities, SDI, Urban Authorities Association of Uganda (UAAU), Makerere University

and UN- Habitat. TAC will provide a forum for professional oversight of the project activities

at the operational level, ensuring that the programme activities are implemented in accordance

with the agreed work plans and guiding principles.

The MoLHUD will be fully responsible for using existing structures for the overall coordination,

oversight, monitoring and evaluation of the TSUPU project. To this effect the Permanent Secretary-MoLHUD takes full responsibility for this function. The Permanent Secretary will

designate a senior official within the Department of Urban Development to coordinate the

TSUPU project.

At the municipal level, the Town Clerks office will provide coordination and overall reporting

within the mandate of local governments for the TSUPU project. The town clerk will designate a

senior official within the municipal administration to coordinate and serve as the focal point

person for the TSUPU project.

3.1.3 PARTICIPATION AND INCLUSION MECHANISMS

a) The National Urban Development Forum (NUDF)

A National Urban Development Forum (NUDF) will also be in place with the MoLHUD as the

secretariat. The NUDF will provide a platform and open space for dialogue and participation

amongst all stakeholders to influence policy and legal reforms for sustainable urban

development.

The NUDF will bring together the following stakeholders;

a) Urban researchers and professionals

b) Urban practitioners/ programmers

c) Urban poor representative for example tenants associations

d) National and international Urban experts, NGOs and associations dealing with

urban issues

e) The government( MoLG, MoLHUD, MoFPED) ;



f) The private sector( Informal sector groups, business associations)

g) Development partners;

The objectives for which NUDF is set up are to: –

(a) To provide space for dialogue amongst all stakeholders of the urban domain to

influence policy and legal framework pertaining to planning and management of

urban growth.

(b) To increase awareness of stakeholders and generate collective action to influence the

urban development agenda in Uganda.

(c) To promote collaborative applied urban research and sustainable practical solutions

to critical urban challenges.

(d) To shape thematic urban issues and identify research needs/ areas and share best

practices.

(e) Ensure capacity building of national universities in urban research.

(f) To improve coordination and networking arrangements among stakeholders in the

urban domain for purposes of exchanging information, knowledge and experiences

as well as mobilizing resources for implementation of urban development

programmes.

(g) To promote pro-active integrated participatory planning, development and

management of the urban environments amongst urban actors in urban areas.

(h) To organize regular conferences and training events for purposes of influencing legal

and policy reforms for effective urban development and management.

NUDF will have a nine member multi disciplinary executive committee elected from the

general membership. The executive committee will include; one representative of each category

of stakeholders;

a) One academician/ Researcher from public university.

b) Professional urban associations.

c) Urban practitioners/ programmers.

d) Urban poor organisations representative for example tenants associations.

e) International Urban experts.

f) NGOs and associations dealing with urban issues.

g) The Private Sector and Development Partners.

h) Independent Opinion Leaders on Urban poverty.

i) Representative of the Secretariat (MoLHUD).



The functions of the executive committee shall be as follows;

a) Serve as the governing body of the national urban

development forum which formulate policies to govern the effective operations of the

NUDF.

b) Oversee the promotion and realisation of the forum

objectives.

c) Approve the annual plan.

d) Attend all meetings and official forum functions.

e) Formulate the agenda of the national forum

f) Support the secretariat in organising policy dialogue on

urban poor problems.

g) To determine the criteria for membership of the forum.

h) Review and approve research agenda/topics for focusing

the urban research agenda/operations research.

i) Implement the decisions of the general membership.

j) Oversee and supervise the secretariat of NUDF housed at MoLHUD.

The term of membership for the Executive committee shall be three years with a renewal one

term. Members are eligible for re- election at least after one term of not serving on the Executive

Committee. The Executive Committee shall meet at least four times a year at the Secretariat of

the NUDF or at any other venue that may be agreed to by the executive committee.

b) The Municipal wide Development Forum (MDF)

At the Municipal level a Municipal wide Development Forum (MDF) will also be in place.

The overall goal of the MDF is : to provide a forum where organised urban poor, local

government, service providers, private sector and other urban stakeholders meet on a regular

basis to exchange views, debate priorities, set the agenda and agree on common actions. It will

contribute to good governance and the creation of on-going public community partnerships.

The MDF shall have a general assembly comprised of stakeholders who will include but not

limited to; urban poor representatives, municipal government, private sector; development

partners; professional bodies, CSOs/NGOs; the academia, media, religious leaders, opinion/

cultural leaders and individuals who share the ideal of the forums.

The MDFs will be linked to the NUDF through UAAU. The MDFs are independents of the

NUDF. The MDF shall also define the priorities and needs of the urban poor which the CUF

shall fund.



Each MDF shall develop a charter to govern its membership and operations based on guidelines

provided by the TSUPU secretariat and the MoLHUD (See Model Charter Annex SIX) The

MDFs will be convened and supported by the local authority. The MDF shall have an executive

committee and all members apart from the secretariat and municipal government will be

elected by the general assembly. The Executive committee size will be determined by the

members and in case shall not less than nine of which at least 1/3 should be female. The

Secretariat shall be hosted by the Municipal Council. The chairing of the MDF will be rotational

between the different stakeholders constituting the elected executive committee.

The objectives of the MDF are;

(a) To provide space for dialogue amongst all stakeholders of the urban domain to

influence policy and legal framework pertaining to planning and management of

urban growth.

(b) To inform pro-poor approaches to urban development at the municipal level

(c) To promote participation of women and youth in urban development based on their

different perceptions, needs, roles and responsibilities in the urban setting.

(d) To increase awareness of stakeholders about collective action to influence the urban

development agenda.

(e) To promote collaborative applied urban research to find sustainable practical

solutions to critical urban challenges.

(f) To improve coordination and networking arrangements among stakeholders in the

urban domain for purposes of exchanging information, knowledge and experiences

as well as mobilizing resources for implementation of urban development

programmes.

(g) To promote pro-active integrated participatory planning, development and

management of the urban environment amongst urban actors in urban areas.

(h) To organize regular conferences and training events for purposes of influencing legal


c) The Community Upgrading Fund (CUF)

The community upgrading fund will be independently managed by an Advisory Board/

committee established in each municipality. The Advisory Board/ committee will be appointed

by the Town of each municipality. The will provide over sight to CUF. It will be comprised of

ten members as follows;

a) Representative of MoLHUD (TSUPU National Secretariat ).

b) One Councilor to represent the Municipal Council seconded by the Municipal Council.



c) Two representatives of Settlement and Municipal level Urban Poor Organisations

elected from the Municipal wide Development Forum (MDF) one female and one male.

d) One representatives of Settlement and Municipal level Urban Poor Organisations

contributing to the CUF.

e) Representative of SDI.

f) Representative of Urban Authorities Association of Uganda (UAAU).

g) One representative of international agencies/ development partners contributing to the

fund.

h) One representative of the private sector.

i) Representative of TSUPU Secretariat at the municipality ( Ex-officio and Secretary).

The CUF is an initial start up fund provided under the TSUPU project that will promote rapid and visible progress to occur while larger policy debates on the urban poor and development are taking place. The overall goal of the CUF is to enable slum dwellers settlement-based community organizations to access grants to finance initiatives that meet the community needs under clearly defined criteria. The CUF has the following objectives;

1. To enable settlement-based community organisations to access grants and finance

initiatives that generates a measurable impact on the quality of life of slum dwellers. 2. To raise the profile of Settlement level Urban Poor Organizations in skills of

participatory planning and participation. 3. To establish constructive partnerships between local government and Settlement level

Urban Poor Organizations. 4. To strengthen the systems of local governance and municipal service provision.

The sources of funds for CUF are; the Government of Uganda through the TSUPU Project at the

establishment of the CUF, Municipal government and international agencies, the private sector

will contribute to the fund when the fund is piloted and lessons documented, the communities

themselves, the urban poor associations will also be expected to make contributions in a manner

and levels appropriate to them and could include cash, kind, time/ labour etc.

At the municipal level the MDF will play a critical role in identification of priority projects that

shall be supported by CUF. The project user committees in every municipality will support

MDF in the evaluation of proposals as detailed in the CUF sub-grant operations manual. The

MDF will also undertake community based monitoring of the grants supported under CUF.

The Town clerk’s office will host the TSUPU secretariat who will also serve as the CUF

secretariat at the municipal level. The designated project coordinators at the municipal level will

serve as the secretaries to CUF.



3.1.2 SUMMARY DESCRIPTION OF PARTNERS

Cities Alliance (CA)

By promoting the positive impacts of urbanisation, the Alliance supports learning among cities

of all sizes, and also among cities, governments, international development agencies and

financial institutions. With the proper support, cities are proven poverty fighters and engines of

economic growth. The Cities Alliance was created in 1999 when 10 donor governments joined

the World Bank. The Alliance is a broad and growing partnership that presently includes:

Local authorities, represented by United Cities and Local Governments (UCLG)

and Metropolis.

The Governments of Australia, Brazil, Chile, Ethiopia, France, Germany, Italy

,Netherlands, Nigeria, Norway, Philippines, South Africa, Spain, Sweden, United

Kingdom (UK), and United States of America (USA).

Shack/Slum Dwellers International (SDI) and Habitat for Humanity

International

The European Union (EU), United Nations Environment Programme (UNEP), UN-HABITAT

and the World Bank. Cities Alliance has joined UN-HABITAT and the major international

associations of local authorities to form a new partnership aimed at focusing on two key issues:

the growth of slums and the management of cities where slum growth was taking place. The

Cities Alliance has no country presence.

The Cities Alliance provides matching grants in support of:

City Development Strategies (CDS) that link the process by which local

stakeholders define the vision for their city and its economic growth and environmental

and poverty reduction objectives, with clear priorities for action and investment.

Citywide and nationwide slum upgrading in accordance with the Alliance’s

Cities Without Slums Action Plan (MDG Target 11), including promoting secure tenure,

access to shelter finance, and policies to help cities prevent the growth of new slums.

Sustainable financing strategies for cities to attract the long-term capital

investments needed to upgrade infrastructure, improve accountability for service

delivery, and demonstrate stable revenue streams to more effectively leverage domestic

capital.

The World Bank-Uganda Country Office

The World Bank is vital to project success and the WB Uganda Country office will play the role

of pivotal Cities Alliance member for a number of clearly defined reasons:

The World Bank has a strong country presence, a strong urban investment

pipeline, and a clear interest in urban programming.

- and the WB has accumulated knowledge of both government and urban

issues is essential to legitimately and effectively accompany the process and offer

targeted and meaningful advice/coaching.



It has a strong capacity to convene both the donor community and diverse

government ministries.

The World Bank is positioned to play a pivotal check-and-balance role on the implementation of

the project. It has a substantial loan pipeline in excess of $100 million targeting urban

infrastructure projects within the 13 municipalities of Uganda. Ultimately, urban development

and economic growth depends on capital investments. Within this spirit, the World Bank is

packaging a substantial investment loan. The World Bank is the essential actor that can ensure

that such alignment successfully occurs.

At the global level TSUPU is supported by UN Habitat

As the United Nations agency for human settlements mandated to promote sustainable urban

development and adequate shelter for all. The UN Habitat has an internationally recognised

body of global knowledge and skills.

National Government

Three ministries will be directly involved in the management arrangements of the TSUPU

programme and hold the national mandate for functions assigned. Each of the ministries has an

important discreet function that needs to be coordinated for success. The ministries are: i)

Ministry of Finance, Planning and Economic Development (MoFPED), ii) Ministry of Lands,

Housing and Urban Development (MoLHUD), and iii) Ministry of Local Government (MoLG).

A co-governance agreement between the three ministries will be entered into that clearly

defines the working relationships between the different ministries and the leadership role of

MoLHUD.

Municipal Councils

It is at the municipality level where slum dwellers engage with government on a daily basis.

The municipality is the key partner of the community in the pursuit of public community.

partnerships to resolve problems and unleash creative energy. They have their mandate from

the LGA, 1997 Cap 243and from decentralisation policy.

Slum Dwellers International (SDI)

SDI is a transnational network of slum dweller organisations united at city and national level to

form federations of the urban poor. SDI uses exchanges, saving schemes and enumerations as

mobilising and developmental tools, creating accountability, self-reliance and financial and

human resource management skills amongst the urban poor.

Urban Authorities Association of Uganda (UAAU) and International City Managers

Association (ICMA)

The Urban Authorities Association of Uganda (UAAU) and the International City Management

Association (ICMA) have entered into a formal partnership to assist the GoU to successfully

implement the TSUPU program. The partnership has two objectives: Objective one is to

improve the capacity of UAAU to be a more effective and sustainable municipal association



representing the interests of urban local governments in Uganda. Objective two is to increase

the capacity of the 5 municipalities by improving their urban management and planning

systems to meet the goals of the TSUPU programme. As emphasised in the description of the

activity it is important that the trainings complement initiatives by the MoLG, the Uganda Local

Government Association and other actors.



3.1.3 INSTITUTIONAL LINKAGES AT THE NATIONAL LEVEL

SUPPORT

GRANT AGREEMENT

SUPPORT Co- Governance

Agreement

SUPPORT

REPORTING

SUPPORT

SUPPORT

SUPPORT

UN HABITAT CITIES ALLIANCE

MoFPED

MoLHUD

SETTLEMENT LEVEL URBAN POOR,

SAVINGS GROUPS, URBAN POOR

COMMUNITY, LC1,

WB MoLG

UAAC/ICMA

SDI/

ACTOGETHER

MAKERERE

UNIVERSITY ARUA, JINJA, KABALE, MBALE, MBARARA

ESMAP



3.1.4 INSTITUTIONAL LINKAGES AT THE MUNICIPAL LEVEL AND TSUPU

SECRETARIAT

SUPPORT

RESEARCH

LESSONS

RESEARCH REPORTING

SUPPORT

Participation and dialogue

SUPPORT

SUPPORT APPLICATION FOR GRANTS

SETTLEMENT LEVEL URBAN POOR, SAVINGS GROUPS, URBAN

POOR COMMUNITY , LC1,

UAAC/ICMA

SDI/ACTOGETHER

MAKERERE

UNIVERSITY

MoLHUD

TSUPU Secretariat

NUDF Secretariat

Municipal wide Urban Development

forum

Priority definition

Community Upgrading Fund

FIVE MUNICIPALITIES ARUA,

JINJA KABALE MBALE,

MBARARA

Community Upgrading Fund

HABITAT FOR

HUMANITY

Community

Upgrading

Fund



3.2 RESPONSIBILITIES AND DUTIES OF DIFFERENT PROGRAM PARTNERS

/ AGENCIES

SUMMARY OF AGENCY / INSTITUTIONAL ROLES AND RESPONSIBILITIES AGENCY/

INSTITUTION

CATEGORY ROLES AND FUNCTIONS REPORTING

REQUIREMENTS

Cities

Alliance/WB

GLOBAL Conduct supervision missions and receive and

review reports from MoLHUD, UAAU/ICMA

and SDI.

Reporting back to the donors.

Document the process and lessons learned in

partnership with other actors.

Monitor the project through quarterly visits.

Constant and ongoing troubleshooting.

Engage to provide advisory services to the

global Land Services and Citizenship for the

urban poor.

Bring to bear on gender, youth, land, and

housing finance and other matters as they arise.

Ensure that a separate grant agreement with

ICMA/UAAU for development of a municipal

institutional leadership capacity building

programme is in place.

Support the process of making available

international best practice in research

commissioned by the NUDF.

Annual

Progress

Narrative and

Financial

Report

Annual

Performance

Report

AGENCY/

INSTITUTION

CATEGORY ROLES AND FUNCTIONS

The World Bank

Uganda Country

Office

GLOBAL/

COUNTRY

Facilitate the establishment of the

institutional arrangements that are

described in the grant agreement for the

Set-Up phase.

Act as the lead member on behalf

of the CA membership; provide advice to

and maintaining ongoing dialogue with

other in-country CA members and the

MoLHUD.

Ensure that the World Bank

country Office actively engages with the

national and municipal urban dialogue.

Align urban investment programs

such as the ―Uganda Support to Municipal

Infrastructure Development Project such

that the participatory planning processes

that the TSUPU program will promote

Part of CA



AGENCY/

INSTITUTION


REQUIREMENTS

inform investment choices.

Represents Cities Alliance on the

Project Steering Committee.

Ministry of

Finance Planning

and Economic

Development

(MoFPED)

National/Go

vernment

Sign a co-governance agreement between

the three ministries that clearly defines the

working relationships between the different

ministries and the leadership role of

MoLHUD.

Overall financial aspect of the project

including: management of the designated

account, accounting, disbursement and

replenishment.

Preparing annual interim financial reports

and auditing.

Co Chair Project Steering

Committee.

Annual

Financial

Report to

CA/WB

AGENCY CATEGORY ROLES AND FUNCTIONS

Ministry of

Lands, Housing

and Urban

Development

(MoLHUD)

National

Government

Overall full responsibility for the project

implementation.

Serve as project Secretariat, set existing

structures for the overall coordination,

oversight, monitoring and evaluation of the

TSUPU programme.

Assign appropriate dedicated capacity to

realise the mandated role of the ministry.

Nurture and build partnership among

operational partners and interested

agencies.

Align Project to Land, Housing and Urban

Development SWG.

Ensure the quality and timeliness of

implementation and that the programme

complies with the Operational Manual.

Together with the partners conduct annual

performance reviews, recommend required

budget adjustments and changes in the

Operational Manual.

Manage activities under its direct

implementation responsibility, consolidate

reports and financial statements received

Quarterly

Narrative and

Financial to

MoFPED

Annual Narrative

and Financial to

CA

Annual

Performance

Report to CA



AGENCY/

INSTITUTION


REQUIREMENTS

from municipalities and submit to

MoFPED/CA/WB.

Provide Secretariat for the NUDF.

Ensure through a formal co-governance

agreement inter-governmental coordination

and cooperation.

Promote cross-learning between the five

selected municipalities.

Monitor and facilitate the effective flow of

funds to the selected municipalities.

Provide constant and regular oversight of

municipalities’ activities and ensure report

back to the Cities Alliance as defined in the

grant agreement.

Advocate for mobilization of national and

local government resources to enhance the

CUF.

Ensure that researchers engage the

municipal wide development forums in

order to ensure that organised communities

are fully engaged in all aspects of the

action research including methodology,

Ensure that relevant community collected

data is utilised.

Submitting annual interim financial and

audited reports to WB/CA at the agreed

intervals.


Ministry of

Local

Government

(MoLG)

National

Government

Execute mandate within decentralisation

policy and LGA.

Links project to decentralization SWG

Inspect, monitor and ensure that there is

compliance by municipalities with all

statutory requirements and central

government policy directives.

Ensure that the participating municipalities

comply with the following norms:

Project is captured in the Municipal

Development Plan.

Project fund is captured in the municipal

mid-term expenditure framework (MTEF)

and annual budget is approved by council.

Records of receipts and expenditures for

Quarterly

and

Annual



AGENCY/

INSTITUTION


REQUIREMENTS

projects are properly kept for statutory

audit as required by law for all public funds

The Town Clerks as accounting officers for

each municipality are held responsible for

project funds and success (outputs).

Project funds are used for the intended

purposes.

Ensure that Internal Auditors regularly

reviewing the fund utilisation and

expenditures and conducting inspection

audit of use of project funds.


Municipal

Councils of

Mbale,

Jinja,Kabale,Mba

rara, Arua

MUNICIPAL

/ LOWER

LOCAL

GOVERNM

ENT

Key partner of the community in the

pursuit of public community partnerships

to resolve problems and unleash creative

energy.

Appoint within its existing structures a

TSUPU programme coordinator.

Town clerk responsible for the performance

of TSUPU with regards to planning,

financial management and overall

implementation quality and reporting.

Strengthen programme and promote

municipal government at both the political

and administrative level for ownership of

the process.

Drive the project at the local level to ensure

project success.

Ensure that a Council resolution supporting

the programme is passed and recorded.

Incorporate community-based data into the

planning processes of the Municipal

Development Strategies relevant databases

of local government.

Develop and submit proposals to TSUPU

secretariat for changes in municipal

management and planning systems

necessary to strengthen management.

Have overall accountability for the use of

funds at a local municipal level.

Records of receipts and expenditures for

projects are properly kept for statutory

audit as required by law for all public funds

Ensure timely progress and financial reports

Quarterly

narrative

progress and

financial

reports to

MoFPED

MoLG

MoLHUD



AGENCY/

INSTITUTION


REQUIREMENTS

to MoLHUD/MoLG.

Ensure alignment of local community

planning and outcomes to municipal

planning and budgeting process.

Incorporate initiative into the existing

organisational structure of municipality

namely; MDF, CUF, participatory process of

budgeting, planning, service delivery,

monitoring and evaluation.

Provide ongoing technical and project

planning support to the Settlement level

Urban Poor Organisations.


Slum Dwellers

International

(SDI)/

AcTogether

Enter into partnership between slum

dwellers and local and national government

to ensure success in long-term incremental

upgrading of slum areas.

Use exchanges, saving schemes and

enumerations as mobilising and

developmental tools, creating

accountability, self-reliance and financial

and human resource management skills

amongst the urban poor.

Document and roll out the methodology of

Learning by Doing.

Work closely with Local Government

(municipality) staff to ensure coordination

and cooperation on the ground.

Report directly to CA with copy to the

municipalities and the MoLHUD.

Develop institutional capacity at the

municipal level to support slum dwellers to

engage with integrated local development

planning processes.

Engage with settlement level urban poor

groups and savings groups.

Craft a system capable of empowering

settlement level urban poor organisations to

initiate and replicate local initiatives

. Link international experience to the local

context.

Identify lessons learned and link to national

urban development forum.

Annual

Progress

and

Financial

Report

Annual

Performan

ce Report




AGENCY/

INSTITUTION


REQUIREMENTS

Urban

Authorities

Association of

Uganda (UAAU)

and International

City Managers

Association

(ICMA)

Support

Partners

ICMA/UAAU will ;

Support UAAU to increase its

organisational capacity as a national

municipal association assisting in providing

urban management technical assistance and

training to the five municipalities.

Enhance the capacity of the municipalities

to engage with their communities.

Improve the capacity of UAAU to be a more

effective and sustainable municipal

association representing the interests of

urban local governments in Uganda.

Increase the capacity of the 5 municipalities

by improving their urban management and

planning systems to meet the goals of the

TSUPU programme.

Ensure that the trainings complement

initiatives by the MoLG, the Uganda Local

Government Association and other actors.

The Urban Authorities Association will :

Facilitate that issues concerning local

governments are clearly identified,

understood, and presented to the NUDF for

discussion.

Identify effective practice and facilitate cross

flow of information between local

governments.

Support processes to develop the capacity of

local government to better meet its

development agenda.

Progress

Report

and

Financial

Report

Annual

Performan

ce Report


Habitat for

Humanity

Uganda

G

lobal/Nat

ional

partner

Engage with the institutional framework

developed under the TSUPU programme to

support slum dwellers improve their housing.

Share local and international knowledge

pertaining to incremental housing construction

and finance. Link expertise on incremental

housing construction and finance into the

municipal development strategy process.

Link local level knowledge to the NUDF

Aligned partner actively support

TSUPU principles and objectives.

Manages its programme

TBD



AGENCY/

INSTITUTION


REQUIREMENTS

independently.


Makerere

University and

other universities

National

Universities

and Research

Institutions/

Local partner

Actively engage with the project planning

processes as a means of gaining practice

based experience for both students and

educators.

Link into the NUDF and play a role in the

participatory research commissioned by the

forum.

Present research findings to the NUDF.

Collaborate with other universities to

realize shared expertise in urban

development issues under commissioned

research.

Conduct in partnership with ESMAP, a

scoping study on energy use and access in

the five municipalities.

Participate in the planning and research

processes at the community, municipality

and national levels

Engage urban planning students and

students from other relevant fields to

actively participate in practical planning

and applied research processes.

Facilitate internships for students in a

variety of relevant institutions including the

selected municipalities, MoLHUD, and

SDI/ACTogether.

Organise university-led public lectures

series to raise the profile of urban

development amongst the academia and

beyond.

TBD


Energy Sector

Management

Assistance

Program

(ESMAP)

Support

partner

Support the government of Uganda to

formulate and implement policy reform

measures and strategies to enhance Small

and Medium Enterprises’ (SME’s)

productivity as users of modern energy

services.

Link with the mechanisms created under

the TSUPU programme to disseminate best

TBD



AGENCY/

INSTITUTION


REQUIREMENTS

practices in empowering SMEs to help

promote productive uses of energy.

Conduct in partnership with Makerere

University, a scoping study on energy use

and access with clear policy

recommendations.

Link energy expertise into the municipal

development strategy process.

Link results of local level scoping and

research to national forum.

Second Draft Operations Manual for the Secondary Cities Support Programme for Transforming Settlements for the

Urban Poor in Uganda (TSUPU) Final May 2011

3.3 SUMMARY OF PROJECT MANAGEMENT STRUCTURE, COMMITTEES, ROLES AND RESPONSIBILITIES Committee/ Office Functions Composition Mode of operating

Programme Steering

Committee (PSC)

The PSC shall be the

program steering

framework.

Objective: To resolve high level

matters pertaining to

programme implementation

and to advise the implementers

on policy matters within the

MTEF and aid framework for

Uganda process.

Provide the official mechanism for

policy discussion, coordination

and guidance urbanisation within

the framework and processes of

Government.

Receive and review progress

reports collated by the TSUPU

Secretariat and to take action as

necessary to ensure that progress

towards project objectives is

documented and assessed.

To ensure that the project

activities are reflected in each

Ministries plans and budgets so

that their undertakings to provide

resources especially manpower

are fulfilled.

Promote national level urban

development policies and

practices that are essential to

promotion of a pro poor urban

agenda.

Monitor the national campaign on

sustainable urbanisation and

ensure linkages with the TSUPU

program.

Provide a forum for resolving high

level and policy matters that may

arise during the implementation

of the programme.

PS/ Ministry of Lands Housing

and Urban Development.

PS/ Ministry of local Government

PS/Sec to Treasury , MOFPED.

Country Representative the World

Bank (CA hosting agency).

Project Coordinator Serves as

Secretary to PSC.

To be convened when

there is business



Committee/ Office Functions Composition Mode of operating

Raise the profile of the TSUPU

program and the national and

urban forum initiative and the

CUF.

Ensure that funds are committed

to the sustainability of the CUF.

Providing the

programme/framework for co-

financing for the TSUPU

Programme.

PS/MoLHUD

Objective Overall management

and

administration/implementation

of the TSUPU programme

Champion TSUPU activities

(Overall Project Management and

Coordination).

Be the official GOU focal point of

TSUPU project.

Actively engage key officials to

resolve policy and major technical

issues affecting the project.

Designating respective officers to

work as the project, who shall be

responsible for the overall co-

ordination.

Ensuring TSUPU issues are

addressed in the Lands, Housing

& Urban Development SWG.

Support resource allocation to the

sustainability of the CUF.

Permanent Secretary (MoLHUD). Supported by the

Steering committee and

counterpart in MoLG

and MoFPED.

TSUPU PROJECT

Technical Advisory

Committee(TAC)

Objective: To provide a forum

for professional oversight of

Advise the Secretariat on technical

issues relating to urbanisation.

Review, monitor and approve the

programme work plan, budgets

and quarterly progress reports.

Director Physical Planning and Urban

Development MoLH&UD Co- (Chair)

Director Budget Ministry of Finance,

Planning and Economic Development

(MoFPED), Co- (Chair).

Quarterly meetings

Quarterly progress

report, Minutes, work-

plans and budgets.




the project activities at the

operational level ,ensuring that

the programme activities are

implemented in accordance

with the agreed work plans

Periodic evaluation of programme

implementation against objectives.

Provide guidance (policy and

technical) to components on

programme activities and resolve

technical and coordination issues.

Highlight and resolve, technical or

coordination issues impacting on

project progress.

Discuss topical issues that may be

affecting the municipalities and

the urbanisation agenda.

To act an operational level

information focal point for the

various stakeholders in the

project.

Ensure that the TSUPU project is

captured in the MDPs

Approve terms of reference for

consultants.

Director Lands MoLHUD

MoLHUD Director of Housing ,

Director of Lands,

Commissioner Urban Administration

MoLG.

Project Coordinator TSUPU Town

clerks(Mbale, Kabale , Mbarara, Arua

and Jinja).

Slum Dwellers International (SDI) /

ACTogether.

Urban Authorities Association of

Uganda (UAAU) and International

City Managers Association (ICMA)

UN – Habitat.

Habitat for Humanity Uganda

Makerere University College of

Technology and Design, College of

Agriculture and Environmental

Sciences, College of Humanities and

Social Sciences.

TSUPU National Project /

Coordinator

Objective: Undertake

supervision/daily management

of the project activities to

ensure objectives as achieved

Set-up administrative and

management arrangements to

enable implementation of Project

activities/ Secretariat.

Review/develop project work

plans; budget plans, risk and

sustainability plans.

Monitor performance activities

under their respective activities;

Reviewing implementation and

expenditure plans.

Commissioner Urban Settlements

MoLHUD.

Implement activities as

part of regular work

program.

Report Quarterly to

relevant stakeholders;

MoFPED, PPDA

Steering Committee,

TAC

SWG annual reviews.




Prepare progress and performance

of the project reports .

Manage/coordinate all

procurements under the TSUPU

in accordance with the agreed

framework;

Manage/coordinate

implementation of accounting

framework for TSUPU for

components.

Provide financial management

and accountability guidelines for

the TSUPU ;

Set-up/implement systems and

infrastructure for all processes to

support TSUPU.

Manage/coordinate M&E

framework for the programme;

Provide secretarial support to the

PSC, NUDF and TAC.

Manage and supervise Project

staff and consultants engaged on

the programme.

Provide information to PSC, TAC

on all TSUPU technical matters.

Provide policy briefing papers to

the Lands, Housing & Urban

Development SWG, Quarterly

report to the PSC and TAC, take

minutes of the convened TAC and

PSC meetings , Secretary to the

NUDF. Relay information to other




TSUPU stakeholders .

Ensure that the TSUPU project is

captured in the Lands, Housing &

Urban Development SWG .

Ensure that the commissioned

researchers engage the MDFs and

NUDFs.

Ensure that urban poor organised

communities are fully engaged

and captured in all aspects of the

action and operational research

including methodology.

Ensure that relevant community

collected data is utilised.

Updating procurement plans

Development of a separate

proposal for development of MDS.

TSUPU Municipal / sub-

national Project /

Coordinators

Review/develop project work

plan, budget plans, risk and


Monitor performance activities

under their respective TSUPU

project activities at that level.


expenditure plans.

Report to TAC on the progress

and performance of the project.

Implementation of the M&E

framework.


procurements under the TSUPU in

accordance with the agreed PPDA

Town Clerk/ Official Designated

by Town Clerk.

Work closely with the

MDFs

Submit required

financial reports to

MoFPED/MoLG

Submit required

quarterly progress

reports to MoLHUD,

Submit required

procurement reports to

MoLG, MoLHUD,

PPDA/MoFPED,

Performance

improvement proposals

submitted to MoLHUD




framework.

Manage/coordinate

implementation of accounting

framework for TSUPU for

components.

Provide secretarial and technical

support to the project user

committee and the MDF.

Prepare terms of Reference for

consultants.

Prepare proposals for

management systems performance

improvement.

Support the university wide

internship programs at the

municipality level.

Develop and submit to

UAAU/ICMA leadership training

and capacity building needs.

LINE MINISTRY

DEPARTMENTS

Objective: Support the

TSUPU project in adherence

to guiding principles for the

project


procurements under the TSUPU in

accordance with the agreed

framework.

Undertake all assignments

delegated to them by the project

coordinator.

Procurement Officers.

Finance/Accounts Officers.

Support Staff.

Other Departments.

Commissioners.

Support project

structures

NUDF Provide a platform and open

space for dialogue and

participation amongst all

stakeholders to influence policy

and legal reforms for sustainable

urban development.

Urban researchers and

professionals.

Urban practitioners/ programmers

Urban poor representative for

example tenants associations.

National and International Urban

Convening by

Secretariat

General assembly and

Executive committee.




Identifying research agenda for

participatory action research.

Commissioning action research

through TSUPU

coordinator/MoLHUD.

Participatory action research into

identified urban research agenda.

Facilitate participation in the

development of the national urban

policy and slum urban

development plan for Uganda.

experts, NGOs and associations

dealing with urban issues.

The government (MoLG,

MoLHUD, MoFPED).

The Private sector (informal sector

groups, business associations).

Development partners.

Municipal Councils / sub

national Implementing

Agencies

Objective: To implement the

TSUPU activities at the

municipal level and supervise

those at the community level

Meeting the entire set of minimum

conditions before the CUF is

disbursed.

Utilising the TSUPU funds for

earmarked activities as prescribed

in the TSUPU operational

manuals.

Responsible for receiving and

disbursing the TSUPU and CUF.

Maintain all supporting

documents regarding

disbursement and utilisation of

financial resources at source,

which shall be produced on

demand for audit purposes.

Ensuring the overall monitoring

and evaluation of Programmes

being implemented under its

jurisdiction and quarterly progress

reports submitted to MOLH&UD.

Incorporation of community-

Municipal Councils.

Town Clerk.

Procurement and disposal unit.

Municipal urban forum

Urban Poor / Slum dweller

associations.

Town Clerks Procurement

Officers.

Programme /Finance/Accounts

Officers.

Technical Staff e.gMunicipal

Engineers

Support Staff.

Through provision of

the operational manuals

for the TSUPU.




based data into the planning

processes of the Municipal

Development Strategies and in

relevant database.

Contribute to assessing the

technical issues relating to CUF

Feedback to CUF beneficiaries as

part of ongoing learning and

capacity building.

MDF Provide a forum where

organised urban poor, local

government, service

providers, private sector and

other stakeholders meet on a

regular basis to exchange

views, debate priorities, set

development agendas and

agree on common actions.

Contribute to good

governance and the creation of

on-going public community

partnerships.

Identify projects for CUF

support

Identify. municipality

management systems

functions that need

improvement.

Monitor implementation of

CUF supported projects.

Stakeholders.

Urban poor representatives,

municipal government, private sector;

development partners; professional

bodies, CBOs,NGOs; the academia,

media, religious leaders, opinion/

cultural leaders and individuals who

share the ideal of the forums.

General assembly.

Executive Committee.

Convening by municipal

government.

Dialogue with municipal

governments.




Community Upgrading

Fund Advisory Board /

Committee

Provide over sight of CUF.

Approve proposals that

address projects identified by

the Municipal Wide Urban

Forum.

Review evaluation committee

reports.

Award grants.

Monitor projects approved

through quarterly field visits.

Representative of MoLG

Representative of MoLH&UD.

Representative of MoFP&ED.

One Mayor to represent the five

municipalities.

One town clerk to represent the

municipalities.

One representatives of Settlement

and Municipal level Urban Poor

Organisations

Representative of SDI.

Representative of TSUPU

Secretariat.

UAAU.

One representative of international

agencies/ donors.

One representative of the private

sector.

Overall oversight,

transparency and

accountability

Bi annual meetings

Project User committee Appoint an evaluation

committee for each round of

proposals received based on

the nature of proposals

received.

Chairperson

Four other members nominate

by a town clerk among the

public officers of the district

employees in the municipality

and approved by Secretary to

the treasury ( Municipal

engineer,

Legal adviser.

As defined by LGA and

PPDA regulations.

Parish Development

Committees

Incorporate data from survey

and enumeration/profiling in

the planning of the parish.

According to Local Government

regulations.

As defined by LGA.

Local Council 1 Verify and make According to LGA As defined by LGA.




recommendations to the MDF

about urban poor settlement

level organizations applying

for CUF.


activities in area funded by

CUF.

Report to Parish Development

Committee

Verify data from survey and

enumeration/profiling exercise

by signing off the findings.

Community Project

Management Committee

Identifying items and services

that need to be procured and

the sources for the

implementation of their

approved grants.

Prepare procurement plans

with CPCs Agreeing what ,

quantity, packaging

requirements, estimating costs

of the package , identifying

possible sources of the goods

and services, selecting the

procurement method and

deciding when to but the

goods or services needed

Review progress of project

implementation.

Democratically elected by the

organisations and have

representatives of the communities

they serve for each project.

Have representatives of the

communities they serve for each

project.

Will comprise of nine members

one third of whom should as a

minimum be women

Planning and review

meetings.

Quarterly meetings and

progress reporting to

MDF.

Democratically elected

by the organisations

Minutes of meetings.




Undertake corrective action

when they review progress

Seek technical advise from

TSUPU secretariat at the

municipality.

Report on progress to MDF.

Community Purchase

Committee

Procurement planning.

Procurement appraisal and

approval

Identifying items and services that

need to be procured and the

sources,

Scrutinize and sanction /approval

of items and services to be

procured Monitor value for

money in the delivery of procured

items and services.

Reporting back the project

management committees and the

project user committee.

Chairperson, treasurer and

secretary of the lower

administrative unit and two

other members elected by the

MDFs and formally nominated

by the chairperson of contracts

committee according to

regulation 42(4).

Quarterly Meetings and

reports based on

duration of project

Minutes of meetings.

Community Development

Assistants and

SDI/AcTogether

Train member organisations on the

CUF guidelines, accountability,

monitoring progress and reporting.

procurement procedures and

guidelines under CUF. Develop the capacities of the

urban poor settlement

organisations to apply for

CUF

SDI/ Actogether Staff and

CDAs

Quarterly

community

workshops and

review meetings

Trainings and

capacity

building

sessions

Review of




Monitor the implementation

of the CUF and other TSUPU

project activities at the

community level.

Support urban settlement

level poor organizations to

make periodic reports to

Offices of Town Clerk

community

progress reports

Settlement Level Urban

Poor Organizations,

Subscribe and participate in

dialogue at MDF.

Identify priority needs and

present them at the MDF.


activities in area funded by

CUF

Report to MDF.

Apply and implement project

under CUF.

Engage in local-level planning

Negotiate with service

providers.

Make periodic progress

reports to office of Town

Clerk/designated officers or

community development

assistants/PDCs/community

According to own constitution. Promote

participation and

inclusion

Community project

review meetings




members.

Saving Groups Promote learning and

cohesion within settlement-

level groups.

Work to include the needs of

women in local urban

planning priorities.

Facilitate poor household

access affordable credit.

Invest in upgrading own

shelters and services

Mobilization of slum

communities.

Contribute to CUF.

According to own constitution. Promote participation

and inclusion.



3.3 PROGRAM ACTIVITIES, OUTPUTS AND OUTCOMES / SUMMARY MATRIX

INPU

T USD

ACTIVITY OUTPUT OUTCOME ASSUMPTION

Objective 1: At least 50,000 slum dwellers living within the five selected municipalities actively engage in both

securing their rights and honouring their responsibilities through improved urban governance and

formalisation

195,000

1.1 Set-Up Phase of the

Project.

Preparatory activities for the

institutional framework in

place.

Clear roles and

responsibilities and seamless

cooperation and coordination

between partners.

Before the

programme kicks

off certain

institutional

arrangements

need to be in

place.

25,000 1.2 Capture and expand

SDIs learning by doing

approach to Rights and

Responsibilities.

SDI’s learning by doing

approach better includes

rights and responsibilities. The

approach is documented and

disseminated to partners

within and outside the

programme.

SDI’s learning by doing

approach actively

incorporates rights and

responsibilities, and actors

within and outside the

programme understands the

methodology.

The lack of

knowledge of and

inability of

communities to

actively engage

for their

realisation of

rights and

responsibilities

impedes the

development of

local solutions

81,000 1.3 Establish Municipal

wide Development

Forums (MDFs).

A forum in each of the 5

municipalities where the voice

of the urban poor is articulated

and heard, key problems

identified and partnership

solutions sought, partners held

Consensus-based planning

and negotiated public

community partnerships

based on rights and

reciprocal responsibilities.

Regular, result-

oriented dialogue

occurs between

service providers,

slum dwellers,

and other



to account for assumed roles

and responsibilities and local

issues inform the MDS.

organised

stakeholders,

resulting in

negotiated

solutions to local

problems.

350,000 1.4 Registration and survey

of all households and

small businesses located

within slum settlements.

All household members in

slum settlement registered.

All small business (informal

and formal) registered.

A community oriented data

base of socio/economic

realities.

Communities mobilised and

empowered in the process of

enumeration and data

collection.

Greater sense of

responsibility to the

household and greater

ownership by the household.

A major barrier to

citizenship and

addressing

services is lack of

information on

slum settlements,

and lack of an

address.

110,000 1.5 The formation of local

community saving

groups.

Increased access to affordable

finance by poor households.

Incremental increase in the

quality of housing.

A major barrier to

investment in

incremental

housing is lack of

accessible finance

for the poor.

90,000 1.6 Participatory Action

Research into issues that

affect access to land and

increased security of

tenure of the urban

poor.

Clear policy recommendations

on improved legal access to

land and increased security of

tenure discussed at municipal

council and national

government level.

Improved household

investment into incremental

housing that derives from an

increased sense of land tenure

rights.

That an improved

sense of security

of tenure results in

increased

investment in

shelter.

Objective 2: At least 50,000 slum dwellers living within the five selected municipalities improve their qualitative

and quantitative access to municipal services.

110,000 2.1 Formation and Capacity

building of Settlement

Settlement level Urban Poor

Organisations empowered in

Empowered citizen

organisations with high level

That slum dweller

rights will only be



Level Urban Poor

Organisations.

community development

techniques and participatory

planning processes.

participation of women able

to effectively promote the

realisation of their

community rights.

realised through

the active

involvement of

slum dwellers.

450,000 2.2 The development of

Municipal Development

Strategies (MDS).

A MDS for each of the 5

municipalities that includes;

- Plan for future urbanisation

that proactively makes land

available for urban poor

- Slum Upgrading strategy

- Focus on adequate energy

for household production

and consumption

- Environmental

Management Plan

- Local Economic

Development Plan.

Municipalities are able to

proactively respond to the

opportunities of urbanisation

by guiding future sustainable

urban growth and

investment.

Unplanned

municipalities

with no strategic

vision will always

be reacting to

slum formation

and never

responding to the

opportunities of

urbanisation.

250,000 2.3 The development of

detailed Slum

Upgrading Action Plans.

Slum communities and local

government engage and

develop action plans in

identified slum settlements.

The alignment of local

planning initiatives with

national and multi-lateral

funding.

Consensus plans

that incorporate

public-community

partnerships

provide the basis

for national and

multi lateral

funding.

1,140,00

0

2.4 The establishment of

Community Upgrading

Funds (CUF) in each

participating

municipality

The implementation of

community-based projects that

increase community cohesion

through joint action leading to

an improved living

environment

Increased collaboration

between local authorities and

communities better

institutionalised.

Greater

collaboration

between

communities and

local authorities

enables the

resolution of small

problems. Often



the resolution of

small things such

as painting a

previously

unpainted school

or landscaping a

vacant lot can help

build community

cohesion.

180,00 2.5 Support for indentified

improvements in

municipal management

and planning systems.

Systems operating with

increased efficiency and

effectiveness.

Improved levels of service

delivery.

Small system

changes can have

a significant effect.

Objective 3: The Government of Uganda (national and sub national) in partnership with interested stake holders

develops effective and efficient inclusive urban development policies and strategies enabling the

better management of future urban growth positively affecting the lives of 200,000 slum dweller

households nationwide

60,300 3.1 The establishment of a

National Urban

Development Forum.

An inclusive debate on urban

issues leading to policy

recommendations.

A clear definition of problems

and the establishment of an

urban policy agenda.

That the regular

meeting of

practical urban

actors publicly

focusing on urban

issues will help

raise the profile of

the urban

development

agenda.

135,000 3.2 The commissioning of

action research into

defined urban problems

identified at the

National Urban

Key problems identified

through national forum

process better understood and

inform national urban policy

formulation.

Policy changes leading to

improved urban planning

and management.

Inappropriate

planning systems

and policy

frameworks are a

major impediment



Development Forum. to managed

urbanisation and

service delivery.

3.3 The development of a

National Urban

Campaign.

Greater public and political

awareness on the need for

sustainable urban

development.

The national profile of the

urban agenda is raised.

The urban agenda

will only be fully

promoted when

citizens

understand the

issues and how

they relate to

them.

90,000 3.4 To Support the

integration of Makerere

University into the

broader urban

development agenda

through i) internships

and ii) public lectures.

Opportunities for interactive

planning with a practice-based

approach

Produces Planners trained in

relevant skills to better

support national and local

urban planning.

National and local

government develops an

improved capacity to plan.

A major

impediment to

effective planning

is the disconnect

between planning

education and the

practical needs of

local

governments.

194,500 3.5 The development of a

Municipal Institutional

Leadership programme.

Improved institutional

leadership.

Improved institutional

performance.

A strong positive

correlation exists

between

institutional

leadership and

service delivery.

450,000 3.6 Development of the

National Urban Policy

and Strategic Urban

development plan for

Uganda.

Urban Policy crafted and

adopted by National

government.

A national vision and

framework in place that

guides the management of

current and future

urbanisation.

Sustainable

urbanisation is

best achieved

supported by an

enabling urban

policy framework

Revised Draft Operations Manual for the Secondary Cities Support Programme for


4.0 PROCUREMENT GUIDELINES & ARRANGEMENTS

Procurement under the proposed project shall be implemented at the national, sub national and

at community levels. At the national level the Ministry of Land, Housing and Urban

Development, at the sub national / municipal level the five individual municipalities of Mbale,

Jinja, Kabale, Arua and Mbarara and by NGOs namely the International City managers

Association (ICMA) in partnership with Urban Authorities Association of Uganda (UAAU) and

Slum Dwellers International (SDI). At the community level the communities through their

urban poor and slum dweller associations.

Level Institution

National Ministry of Lands Housing and Urban Development

Sub National

Municipalities of Mbale, Jinja, Kabale, Arua and

Mbarara

Community Communities

Urban poor and slum dweller associations

Community Purchase Committees

NGOs International City managers Association (ICMA) in

partnership with Urban

Authorities Association of Uganda (UAAU) and Slum

Dwellers

International (SDI)

Procurement under the project will be carried out by the financing or development CA and WB

(World Bank’s Guidelines: Procurement under IBRD Loans and IDA Credits (May 2004, revised

October2006and May 2010) and Guidelines: Selection and Employment of Consultants by World Bank

Borrowers (May 2004, revised October 2006 and May 2010), and the provisions stipulated in the

Legal Agreement. For each contract to be financed under the project the different procurement

methods or consultant selection methods, the need for prequalification, estimated costs, prior

review requirements, and time frame are agreed between the Government of Uganda and the

Cities Alliance project team in the Procurement Plan. The Procurement Plan will be updated at

least annually or as required to reflect the actual project implementation needs (See Annexure

X). The procurement plans at the sub national, Community and NGO levels will also indicate

for each contract the method for procurement of goods and works, and method for selection of

consultants. The plan will also indicate the planned and actual for each contract, the need for

pre-qualification, estimated costs, prior review requirements, and time frame for key processing

activities. The Procurement plan will be updated at least semi-annually or as required to reflect

the actual implementation progress of each contract against planned benchmarks.



Existing national laws on procurement (PPDA, 2002) will inform the procurement process in

line with the WB guidelines.

Procurement of Goods: Goods procured under this grant will include: office equipment. The

procurement will be undertaken using Bank’s standard bidding documents for all ICB and

National Standard Bidding Documents (SBDs) SBD agreed with the Bank .

Selection of Consultants: Consultants (individuals and firms) will be selected under the grant

to undertake; audit of grant accounts, development of slum upgrading strategies,

development of environmental management plans, preparation of operational manuals,

research in defined urban problems and development of the national urban policy. Short lists

of consultants for services estimated to cost less than $200,000 equivalent per contract may be

composed entirely of national consultants in accordance with the provisions of paragraph 2.7 of

the Consultant Guidelines (See annexure X for list of consultancies).

4.1 COMMUNITY PARTICIPATION IN PROCUREMENT TSUPU is conceived within the context of decentralization and empowerment of the urban

poor. The involvement of the communities in procurement will contribute to engagement of the

urban poor in securing their rights and honouring their responsibilities through improved

urban governance and formalisation, delivery and access to municipal services and further

development of inclusive urban development policies.

The delivery of goods and services especially under the CUF may/will therefore involve;

call for the participation of local urban poor communities’ associations and/or nongovernmental

organizations (NGOs) in civil works and the delivery of non-consulting services, or (b) increase

the utilization of local know-how, goods, and materials, or (c) employ labour-intensive and

other appropriate technologies, the procurement procedures, specifications, and contract

packaging within the CUF at this level shall be suitably adapted to reflect these considerations.

The activities eligible for the community participation under the CUF are yet to be determined

since the grants will be awarded to Settlement Level Urban Poor Organizations, and the

procurement plans are not yet developed and the activities themselves will be carried out

directly by the community.

Small value contracts for goods and both non-consulting and consulting services, and a large

number of small works scattered in the municipalities will be procured using the CDD

principles.

Procedures include Shopping, local competitive bidding inviting prospective bidders for goods

and works located in and around the local community, direct contracting for small value goods,



works, and non-consulting services, and the use of community labour and resources.

1. Community procurement will be undertaken in the municipalities through procurement

committees elected democratically from the respective communities in line with the LGA

and CDD guidelines. Community procurement will be done in the municipalities through

Community Purchase Committees (CPCs) elected democratically from the respective

communities in line with the LGA, LGMSD manual and CDD guidelines. The CPCs will

comprise of the chairperson, treasurer and secretary of the lower administrative unit and

two other members elected by the MDFs and formally nominated by the chairperson of

contracts committee according to regulation 42(4).

2. Settlement and Municipal level Urban Poor Organisations implementing projects will have

Community Project Management Committees (CPMCs) which will identify what needs to

be procured for the implementation of their approved grants. These too will be

democratically elected by the organisations and have representatives of the communities

they serve for each project. These will comprise of nine members one third of whom should

as a minimum be women.

3. The CPC and the (CPMC) will undertake a procurement planning process. This will involve

agreeing on what to buy and how much to buy, packaging requirements by putting like

items together, estimating costs of the package , identifying possible sources of the goods

and services, selecting the procurement method and deciding when to but the goods or

services needed. See

The details of the applicable procedures have been be specified in the CUF operations manual

(See Attached). Community participation shall include work done by community members

using their own equipment and tools. The specific community procurement arrangements

specified in the CUF Operations Manual have been developed along the following principles:

a) Procurement shall be simple and easy enough to be understood and

implemented by local staff and the community.

b) It shall be sufficiently transparent to permit real competition among suppliers

and to facilitate control in the selection of suppliers and use of funds.

c) Procurement shall use simple standardized documentation.

d) Simplified procurement procedures shall be applied. These procedures shall

however seek to ensure economy, efficiency and transparency. Simple standardized

documentation shall be used.

e) Decision making on procurement shall be the responsibility of the delegated

Community Procurement Committee which shall consist of not less than five (5)

members. Decisions shall all be made collectively.

f) Simplified Records of the procurement process and the decision making process

shall be kept.



Operating Costs: The grant will finance the operating costs of the various implementing

agencies that directly relate to project implementation. The project’s operating costs will

include: fuel and maintenance for project vehicles; stationery; communication expenses;

subsistence allowances for authorized travel; workshop venues and meals and equipment.

These items shall be procured through shopping.

44.2 ASSESSMENT OF THE AGENCY’S CAPACITY TO IMPLEMENT

PROCUREMENT Procurement under the Municipalities will be carried out by their Procurement and Disposal

Units which are fully staffed with a Senior Procurement Officer, a Procurement Officer and

Assistant Procurement Officer with the exception of Kabale and Mbarara which have only

two(2) out of the three(3) required staff. All the municipalities have contracts committees which

review and approve key stages of the procurement process. The key risks for the municipalities

is limited experience in conducting procurement which is being mitigated by training the

procurement staff under the Bank supported Local Government Management and Service

Delivery Project (LGMSDP) and the participation of communities in procurement. Given the

limited procurement to be conducted at the municipalities the residual risk is moderate.

Procurement under the MoLHUD will be conducted by the Ministry’s Procurement and

Disposal Unit which is fully staffed with a Principal Procurement Officer, Senior Procurement

Officer and a Procurement Officer. The Ministry also has a fully established contracts committee

that reviews key stages of the process.

4.3 FREQUENCY OF PROCUREMENT SUPERVISION In addition to the prior review supervision to be carried out from Bank offices, the Bank shall

carry out at least one supervision missions to visit the field to carry out post review of

procurement actions annually.

4.2.1 SUMMARY OF PROCUREMENT MONITORING MATRIX AGENCY/ INSTITUTION FREQUESNCY OF SUPERVISION / MONITORING

The World Bank Uganda

Country Office

Monitor MoLHUD, ICMA/UAAU and SDI adherence to WB

and national procurement guidelines

Annually as part of mission.

Ministry of Finance Planning

and Economic Development

(MoFPED)

Monitor adherence to procurement guidelines as part of the

Annual audits and quarterly report reviews.

Ministry of Lands, Housing and

Urban Development (MoLHUD)

/ TSUPU Secretariat

Annual interim financial and audited reports to Cities

Alliance at the agreed intervals.

Monitor implementation of all procurements under the

project.



AGENCY/ INSTITUTION FREQUESNCY OF SUPERVISION / MONITORING

Review overall procurement plans as part of

implementation plans on quarterly basis.

Ministry of Lands, Housing and

Urban Development (MoLHUD

Procurement and Disposal Unit

(PDU)

Contracts committee to monitor the PDU to ensure adherence

to the Procurement Plan and all the applicable guidelines

under the PPDA regulations and in conformity with the

World Bank regulations.

Quarterly procurement review meetings.

Review progress on procurement implementation and direct

in a timely manner on actions required to make good any

shortcomings on the implementation.

Report on procurement plan indicating how each contract

on the plan has progressed.

Ministry of Local Government

(MoLG)

Inspect, monitor and ensure that there is compliance by

municipalities with all statutory requirements including

procurement guidelines on quarterly basis.

Ensure that Internal Auditors regularly reviewing the fund

utilisation and expenditures and conducting inspection

audit of use of project funds and procurement plans.

Town Clerks /Municipal

Councils of Mbale,

Kabala,Mbarara, Arua and Jinja

Have overall accountability for the use of funds at a local

municipal level including procurement.

Monitor implementation of procurement plans on quarterly

basis.

Procurement report to form part of quarterly reporting.

Urban Authorities

Association of Uganda (UAAU)

and International City Managers

Association (ICMA)

Adherence to procurement guidelines and procurement

plans.

Procurement report to form part of quarterly reports.

CUF Board Monitor procurement under the grant agreements during

site visits and review of progress reports.

Municipal wide Development

Forum

Monitor the implementation and award of projects to urban

settlement level organisations.

Be part of the CUF monitoring committee.

Community Purchase Committee Preparation of procurement plans.

Appraisal and approval of procurement of goods and

services.

Settlement Level Urban Poor

Associations / Groups

Monitor the delivery and quality of procured goods and

services.

Representation on the project user/ procurement committees

and evaluation committees.

Participation in evaluation of bids as observers.



4.3 USE OF NATIONAL SYSTEM

All contracts following National Competitive Bidding, and other lower procurement

procedures (shopping, and selective tender for smaller works contracts) will follow the national

public procurement law (The PPDA Act, Local Government Act Cap 243 and the Local

Governments (Public Procurement & Disposal of Assets) Regulations 2006. All procurement

related activities at the second and third level will comply with the national system except

where the two conflict. Specifically the Contracts Committees shall continue to perform their

oversight functions at each of the key procurement stages.

4.4 PROCEDURE FOR SHOPPING For clarity and removal of doubt, the following procedures will be followed for shopping.

Request for quotations (RFQ) shall be from as many suppliers or contractors as practicable, but

from at least three. The RFQ and quotations shall be in writing and the quotations shall be

submitted and opened at the same time. The request for quotations (RFQ) shall contain all

required specifications (and drawings, if needed, in case of works); standards etc. to enable the

supplier or contractor provide a complete quotation. Invited bidders shall be required to

acknowledge receipt of the RFQ and copies of this acknowledgement shall be kept on the

respective procurement files. Bidders shall be allowed a minimum of five (5) working days for

preparation and submission of quotations. Each supplier or contractor from whom a quotation

is requested shall be informed of the place, time and method of submission of quotations and

whether any elements, apart from the charges for the goods or services themselves, such as

transportation and insurance charges, customs duties and taxes, are to be included in the

quotations or not. Each supplier or contractor may only give one price quotation and may not

change this quotation, once the quotations are submitted and opened. No negotiations shall

take place with respect to a quotation submitted by the supplier or contractor.

4.5 SOLICITATION DOCUMENTS TO BE USED The standard tender documents for procurements of Supplies, Works and Non-Consultancy

Services prepared and issued by the Public Procurement and Disposal of Assets Authority

(PPDA) will be used for the national and sub-national procurement levels.

4.6 PERFORMANCE CONTRACTS

Framework Contracts for common small value supplies and other regularly procured goods

and services will be procured quarterly so as to enable implementing agencies to place orders

for urgently needed supplies at short notice, at a competitive price.

4.7 PROCUREMENT IMPLEMENTATION ARRANGEMENTS The MoLHUD Procurement and Disposal Unit (PDU) is headed by a Principal Procurement

Officer (PPO) who is supported by a Senior Procurement Officer and a Supplies Officer. The

Procurement office is run with consultation from a contracts committee shall monitor the

Procurement Unit to ensure adherence to the Procurement Plan and all the applicable



guidelines under the PPDA regulations and in conformity with the World Bank regulations.

This shall include quarterly procurement review meetings to be attended by the project

coordination staff. The main purpose of the quarterly meetings will be to review progress on

procurement implementation and direct in a timely manner on actions required to make good

any shortcomings on the implementation. The procurement officer in charge of TSUPU will

prepare for the quarterly meetings an update of the procurement plan indicating how each

contract on the plan has progressed/will progress and highlighting emerging issues (if any) that

require the meetings consideration.

The MoLHUD shall provide adequate space and equipment for the project coordination office

including enough storage space for housing procured items before verification and delivery to

the point of use.

The Municipalities (Urban Local Governments)

Local Government Act Cap 243 was amended and is in harmony with the PPDA Act. This

culminated in the preparation of the Local Governments (Public Procurement & Disposal of

Assets) Regulations 2006. The harmonisation and the regulations led to the creation of contract

committees in all districts and municipalities.

The main risk for procurement under LGs under this project is the misuse of CUF Grants

without following the PPDA Regulations 2006.

The following measures shall be implemented to manage the risk identified at appraisal:

1) Only municipalities that have established Procuring and Disposal Units shall be eligible for

the Community Building/Upgrading Grants. The Procurement Staff shall receive orientation

about the TSUPU program from MoLHUD under the leadership capacity building

component of the program

2) The MoLG in conjunction with the PPDA shall conduct annually, audits of procurement in

Municipalities as required under the LGA. This will be part of the accompanying

documents for annual reporting from the Municipalities to MoLHUD/MoLG and the

CA/WB.

Community participation in procurement will be applied

Procurement at the municipal level will be guided by the following adapted CDD guidelines.

1) Settlement and Municipal level Urban Poor Organisations representatives will be co-

opted into the project user/ procurement committees and evaluation committees.

2) Evaluation of bids will be undertaken in transparent manner and representatives of

Settlement and Municipal level Urban Poor Organisations will be invited to observe the

processes of opening bid documents.

3) Community procurement will be done in the municipalities through procurement

committees elected democratically from the respective communities in line with the



LGA and CDD guidelines as elaborated in section 4.1 above. The involvement of MDFs

in the CPCs will also serve as risk mitigation measure since they will be elected and

accountable to the MDFs. A similar principle applies to the democratically elected

PMCs.

4) The CPC and the project management committees (PMCs) will undertake a procurement

planning process. This will involve agreeing on what to buy and how much to buy,

packaging requirements by putting like items together, estimating costs of the package ,

identifying possible sources of the goods and services, selecting the procurement

method and deciding when to but the goods or services needed. See below format of

procurement plan

Revised Draft Operations Manual for the Secondary Cities Support Programme for Transforming Settlements for the


SAMPLE PROCUREMENT PLAN

(I)

REF

NO

(ii)

Contract

Descripti

on

(iii)

Estimated

Cost

(iv)

Procureme

nt

Method

(v)

Plan Vs

Actual

(vi)

Bid

invitatio

n date

(vi) Bid

Closing

date

(viii)

Evaluatio

n Report

Ready

(ix)Dat

e of

Contra

ct

Award

(x)

Contract

Amount

in

Uganda

Shilling

s

(xi)

Date

for

recei

pt

(xii)

Com

ment

s

(I)

REF NO

(ii)

Contract

Description

(iii)

Estimated

Cost

(iv)

Procurement

Method

(v)

Plan Vs

Actual

(vi)

Bid

invitation

date

(vi) Bid

Closing date

(viii)

Evaluation

Report

Ready

(ix)Date

of

Contract

Award

(x)

Contract

Amount

in Uganda

Shillings

(xi)

Date

for

receipt

(xii)

Comm

ents

4. The details of the applicable procedures are specified in the CUF operations manual attached.



4.7.1 PROCUREMENT PLANNING

A detailed procurement plan is attached in annex (X)

The Thresholds for procurement methods and prior review shown below will be used for

procurement methods on the procurement plan

Procurement

Type

Contract Value Threshold Procurement / Selection

Method

1. Works and

Technical

services

Estimated value exceeds Ug. Sh.

100,000,000 or US$ 50,000 whichever is

greater.

Open Bidding

Estimated value of the works does not

exceed Ug. Sh. 100,000,000 or US$

50,000 whichever is greater

Restricted Bidding

Below Ug. Sh. 80,000,000 or US$ 40,000

whichever is greater.

Shopping / Selective

bidding

Estimated value does not exceed the limit

provided in Regulation 108 which is 100

currency points.

Micro Procurement

2. Supplies Estimated value of the supplies

exceeds Ug. Sh. 70,000,000 or

US$ 35,000 .

Open Bidding

Estimated value of the supplies does

not exceed Ug. Sh. 70,000,000 or US$

35,000.

Restricted Bidding

Estimated value of the supplies does

not exceed Ug. Sh. 30,000,000 or US$

15,000

Quotations Procurement

Estimated value does not exceed the

limit provided in Regulation 108

which is 100 currency points

Micro Procurement



3. Consulting

Services and

Training

With firms above US$ 100,000 QCBS/Least Cost

With individuals above US$ 50,000 Individual

With Firms below US$ 100,000 CQS/LCS

With Individuals below US$ 50,000 Individual

Services Estimated value of the services

exceeds Ug. Sh. 50,000,000 or

US$ 25,000

Open Bidding

Estimated value of the services

does not exceed Ug. Sh.

50,000,000 or US$ 25,000

Restricted Bidding

Estimated value of the services

does not exceed Ug. Sh.

30,000,000 or US$ 15,000

Proposals Procurement

Estimated value does not exceed

the limit provided in Regulation

108 which is 100 currency points

4.7.2 COMMUNITY UPGRADING FUND (CUF) AND PROCUREMENT

The CUF will be implemented at three levels the national level, municipal and the community.

Each district in Uganda has a contracts committee under the Local Government Act (LGA)

section 94A. A municipal council is mandated to establish a municipal contracts committee to

serve the municipality. It also caters for the procurements of the divisions and lower local

government councils within its jurisdiction. It comprises of a chairperson and four other

members nominate by a town clerk among the public officers of the district employees in the

municipality and approved by Secretary to the treasury, they also seek services of a legal

adviser in the course of their work. The members are appointed with due regard to their

technical competence and skills required to discharge functions. The town clerk is not a member

of this committee.



The LGA under Section 94E empowers the contracts committee to delegate its functions of

procurement to a user committee and this includes any project unit or community groups

working under the authority of the procuring and disposing entity. The proposals /

applications to CUF in each municipality will be sent to and received by the TSUPU secretariat

of the municipality. The TSUPU secretariat will undertake administrative work like receiving

CUF applications, putting up notices, preparing contracts.

The evaluation committee for purposes of CUF will be the contracts committee of the

municipality modified to ‘Project User Committee. It will appoint an evaluation committee for

each round of proposals received based on the nature of proposals received. The evaluation

committee will provide room for representatives of the MDF to seat in as observers during

evaluation of proposals under CUF as part of the monitoring of the process. The project user

committee will evaluate proposals that address projects identified by the MDF and submit them

to the CUF board for approval through the Office of the Town Clerk /TSUPU secretariat at the

municipal level.

The Contracts committee comprises of the chairperson and four other members nominate by a

town clerk among the public officers of the district employees in the municipality and approved

by Secretary to the treasury such as the Municipal Engineer) and legal adviser members who

represent the local government/ municipality. It will be modified to include one SDI

representative, two representatives of settlement and municipal level Urban Poor Organisations

elected at the municipal forum.

Applications to the CUF will be submitted to the TSUPU project coordinator/secretariat of the

municipality who will serve as the secretary to the project user committee of CUF. The project

user committee of CUF will appoint an evaluation committee for each round of proposals

received and based on the nature of proposals received and source for relevant expertise from

the community. The evaluation committee will submit a report which will be discussed by the

CUF advisory board.

The CUF Advisory Board will approve the proposals based on the evaluation committees’

recommendations. The Secretary Project user committee of CUF/ project coordinator will

communicate to the applicants the decision of the award following which funds will be

disbursed to the settlement and municipal level Urban Poor Organisation.

The settlement and municipal level Urban Poor Organisations will submit periodic progress

and financial reports to the project coordinator designated by the Town Clerk and the Town

Clerk will submit the reviewed progress reports to the TSUPU national coordinator at

MoLHUD. An independent CUF Operational Manual which describes clearly how the fund

will function is attached.

4.7.3 MONITORING COMMUNITY UPGRADING FUND (CUF)



DECSRIPTION OF AGENCY/ GROUP LEVEL OF MONITORING

Cities Alliance and WB Overall project goals.

MoFPED Mandate

MoLHUD Mandate

MoLG Mandate within LGA, books of

accounts , audit etc.

TSUPU Secretariat Overall project implementation.

TSUPU coordinator at the municipal level /

Town Clerk Office.

Overall project of assigned

activities.

The Parish Development Committees Approved and priority needs of

community.

Local Councils at the village or ward/[parish

level (or their representatives)

Project implementation of

approved project.

Municipal Urban Development Forum (MDF)

in each municipality

Project implementation of

approved project.

Monitor project user committee

submissions in line with

recommendations.

Settlement level Urban Poor Organisations Project implementation of

approved project and priorities

agreed at MDF.

Beneficiaries / urban poor individuals Project implementation of grants

approved to the urban poor

associations.



5.0 FINANCIAL MANAGEMENT

The objectives of the project’s financial management system are to ensure that funds are used Only for their intended purposes in an efficient, accountable, transparent and economical way while implementing agreed activities.

5.1 INSTITUTIONAL ARRANGEMENTS:

Based on the implementation and institutional arrangements (Section D) the Ministry of Lands,

Housing and Urban Development (MoLHUD) is responsible for the Financial Management for

the funds received from Cities Alliance for activities implemented by MoLHUD and

Municipalities for the grant agreement signed with the MoFPED GoU. Slum Dwellers

International (SDI) and International City Managers Association (ICMA) (on behalf of UAAU)

are the other two agencies which will be receiving the grants directly from Cities Alliance for

implementing the project. Both agencies have established internal control systems and

procedures and prepared accountability guidelines to be used for activities implemented by

them. At the local community level, sub grants will be provided by five Municipalities which

have been currently identified. The funds for these municipalities to implement activities will

be disbursed from the Ministry of Finance based on the authorisation provided by MoLHUD.

The sub grants to communities will depend on community proposals developed with other

implementing agencies and the Municipalities, the detailed methodology of the disbursement

and utilisation of the funds will be clearly detailed in the operational manual which is being

currently developed by MoLHUD under the supervision of the World Bank. The GoU has good

internal control systems and procedures with accountability guidelines in accordance with the

Treasury Accounting Instructions and Public Finance and Accountability Act, 2003 which will

be followed to manage the sources and uses of funds at the MLHUD and Municipality level.

The other partners, SDI and ICMA will follow their own current financial system to manage

finance.

Separate assessments were conducted on these agencies and the financial system and the

internal controls were found to be satisfactory. However, reporting formats are tailor made for

these agencies in such a manner that activities are clearly linked to the expenditures that were

agreed with Cities Alliance. The guidelines and procedures relating to access and use of funds,

accountability requirements, functions and duties of various staff engaged in the

implementation and over sight of the project will be documented in the operational manual.

5.2 FUNDS FLOW, BANKING & DISBURSEMENT ARRANGEMENTS

National Level: The MoLHUD will open two bank accounts after authorization by the Ministry of

Finance, Planning and Economic Development and maintained by the Ministry for purposes of



implementing the project as follows:

(a) Designated Account (DA): Denominated in US dollars where disbursements from the

MoFPED will be deposited.

(b) Project Operating Account (POA): This will be denominated in local currency.

Transfers from the Designated Account (for payment of transactions in local currency) will be

deposited on this account in accordance with project objectives.

These bank accounts shall be opened at Bank of Uganda in accordance with government

procedures in the names of MoLHUD. The signatories to the project accounts will be in

accordance with the Treasury Accounting Instructions/ Public Finance and accountability Act,

2003. The overall FM responsibility is with the Permanent Secretary who is the ultimate

accounting officer in the ministry assisted by the Principal Accountant who is signatories to

these bank accounts while the day-to-day transactions and reporting will be done by a

dedicated Accountant within the ministry. Disbursements from the IDA into the Designated

Account will be based on agreed tranches detailed in the disbursement letter according to

deliverables agreed with MoLHUD for each tranche.

Initial cash flow forecasts upon which the first tranche disbursement will be made from the

grant should be prepared after the grant agreement is fully executed and a duly authorized

Withdrawal Application by MoFPED is submitted to WB/IDA. Subsequent tranches for the

additional cash replenishment required into the Designated Account will be provided along

with the Withdrawal Applications. The interim financial reports together with the Withdrawal

Applications (WAs) will be reviewed by the Bank’s Financial Management Specialist (FMS) and

approved by the Task Team Leader (TTL) before the request for disbursement is processed by

the Bank’s Loan Department. The grant funds will be used only for pre-agreed categories of

expenditure as indicated in the Grant Agreement. The disbursement/funding will be made in

tranches by linking to activities which will lead to improve the monitoring and evaluation.

Subsequent disbursements will be based on withdrawal applications accompanied with

adequate FMR (in agreed formats.)

Sub National: The selected 5 municipalities will make provisions in their annual plan, funds

requirement for the activities that will be implemented at the sub national level. The funding

for community level activities with the municipalities will be provided to the communities as

sub grants. A project account will be opened at each of the 5 Municipalities to which MoFPED

will transfer funds. The transfer of funds will be based on the endorsements/clearances

provided by MoLHUD. The disbursement to the municipalities will follow government

procedures for activities agreed in the municipality’s annual plan for community activities.

Use of Financial Management Reports (FMRs)



Disbursement to the five municipalities will be made quarterly on the basis of Financial

Management Reports (FMRs).Each implementing agency will be responsible for the preparation

and timely dissemination of the FMRs on a quarterly basis.

For the activities to which the municipality are responsible, the municipalities will on a

quarterly basis, based on accountability for the already advanced amounts by the MoFPED send

the quarterly requisition to MoLHUD which will be the basis for the quarterly transfer of funds.

Reports produced on a quarterly basis to support requests for replenishment of the Designated

Account will include the following:

a) Financial Statements: These provide information on the sources and uses of funds and by

project activity, forecasts of expenditure, amount of disbursement requested and a

reconciliation of the Designated Account.

b) Project Progress Reports: These provide information on project implementation progress in

physical and financial terms using monitoring indicators, including identifying deviations

from plan and explaining reasons for such variations.

c) Procurement Management Reports: These indicate the status of procurement and contract

commitments and expenditure including source of supply data for contracts subject to the

Bank's prior review, as well as post-review contracts above a certain threshold.

Annual Financial Statements and Annexes for the project will include:

a) A Statement of Receipts and Payments showing funds from TSUPU and Counterpart

Funds separately, a summary of expenditures analysed under the main headings and by

main category of expenditures, both for the current fiscal year and accumulated to date.

b) A Statement of Fund Balance showing accumulated funds for the Project, bank balances as

well as other assets and liabilities of the Project, if any;

c) Notes in respect of significant accounting policies and accounting standards adopted by

management when preparing the accounts and any supplementary information or

explanations that may be deemed appropriate by management in order to enhance the

presentation of a “true and fair view”.

d) Designated Account Statement showing deposits and replenishments received, payments

substantiated by withdrawal applications, interest that may be earned on the account and

the balance at the end of the fiscal year;

e) A Reconciliation between the amounts shown as “Received by the Project and that shown

as having been “Disbursed” by them.

f) Implementation Report, which is a narrative summary of the implementation progress for

the project.

g) Summary of Credit Withdrawals using IFR, listing individual withdrawal applications by

reference number, date and amount.



The Community Upgrading Fund

The CUF Funds will be disbursed in one instalment after ascertaining that the proposals have

been approved. The funds will be included in the quarterly transfer to the municipalities. The

MoLHUD will be including the required amount in the quarterly forecast to MoFPED as part of

the FMR and these funds will be deposited on the MoLHUD Designated Account. The

MoFPED will then transfer the quarterly requirement to the MoLHUD for on onward transfer to

the municipalities Local Governments. The municipalities are responsible for accountability for

this fund to MoLHUD which in turn accounts to MoFPED.

Slum Dwellers International: The agreed funds will be transferred to the project account opened

by SDI as stipulated in the disbursement letter.

The accounting and recordkeeping for sub grants managed by ACTogether will also be aligned

to that of SDI and ACTogether will similar to the five municipalities also report on a quarterly

basis, based on accountability for the already advanced amounts by SDI send the quarterly

requisition to SDI which will be the basis for the quarterly transfer of funds. These reports will

also be copied to MoLHUD and the municipalities’ town clerk. International City Managers

Association: ICMA will be opening a separate bank account to receive the funds. An advance

will be provided as the first tranche on countersignature of the grant agreement and submission

of withdrawal application to CA.

5.3 FUNDS FLOW



5.4 ACCOUNTING, FINANCIAL REPORTING AND AUDITING

ARRANGEMENTS

Accounting Financial Reporting

National Level: The MoFPED and MoLHUD will use the government’s public financial

management system for managing and recording the eligible expenditures. Project

expenditures will be recorded and reported by the MoLHUD Project finance division. For

reporting to Cities Alliance an IFR has been agreed and the template will be an attachment to

the grant agreement. MoFPED will provide the MoLHUD project unit with the information on

the sources and uses of funds since they are the authorised signatory of the grant agreement.

The reporting frequency to Cities Alliance will be semi-annual.

Sub National Level: The funds received by the Municipalities will be accounted and recorded in

accordance with the financial management of GoU. Each of the five (5) identified

Municipalities will report the fund utilisation of activities implemented by them directly to

MoLHUD every quarter to be incorporated into the financial reports submitted by MoLHUD to

Cities Alliance.



Slum Dwellers International: The funds received from the Bank on behalf of Cities Alliance will

be accounted, recorded and reported by SDI. The report generated will be shared with other

implementing agencies of the same activities. Since the agreement is separate with SDI, a semi-

annual reporting will be followed. The reporting format has been agreed with SDI. SDI will be

receiving expenditure reports from ACTogether for the sub grants given on a quarterly basis for

reporting. SDI will use its own financial management system for accounting and recording for

generating periodic financial reports. Cities Alliance has given grants to SDI in previous

occasions and the financial management and internal control mechanism with SDI was found

satisfactory and the same will continue in this project also.

International City Managers Association (ICMA): The funds received from the Non Core funds of

Cities Alliance will be received in a newly opened project account. The utilization of the funds

will be accounted, recorded and reported by ICMA and reported directly to Cities Alliance in

the reporting format agreed. ICMA has completed the Financial Management Questionnaire

and the overall view of the Financial Management system followed and the financial risk is

satisfactory to Cities Alliance on behalf of the World Bank. The financial reports will be

submitted biannually along with the project progress report. On completion of the project,

ICMA will hire an independent auditor and submit a certified audit report to CA within 3

months after the project closing date. ICMA will seek clearance of the TOR for the auditor

prior to hiring.

5.5AUDITING: National Level & Sub National Level: The Auditor General (AG) will appoint independent

auditors acceptable to the Bank. The MoLHUD will provide an acceptable TOR to Cities

Alliance and the World Bank. The appointed auditors will audit the ministry and the

municipalities as entities including the project accounts. The AG will submit the annual audit

report to Cities Alliance on behalf of the Bank within six months of the end of each fiscal year.

The audit reports will also provide opinion on the compliance with the Grant Agreement for

activities at the national as well as municipal level.

Slum Dwellers International: SDI will conduct project audit including the activities implemented

by ACTogether (sub grants) and submit an audit report at the end of the project period.

However entity audit reports will be provided to cities alliance within six months from the end

of each fiscal year of the interim period of the project. For this purpose SDI will hire

independent auditors acceptable to Cities Alliance on behalf of the World Bank. SDI will also

hire internal auditors for continuous audit of project accounts. This will enable SDI to cover all

the implementing agencies. The appointed external auditors will sample the project audit

based on the internal auditor reports.

ICMA: The grant agreement is separate; hence ICMA will appoint independent auditors

acceptable to Cities Alliance on behalf of the bank. A project audit report will be submitted



within 3 months at the end of the project period by the auditor giving an opinion on the project

implementation and certifying the consolidated IFRs.

5.6 CO FINANCING ARRANGEMENT The co financing arrangement to be adopted does not neatly fall under the traditional World

Bank “joint co financing” or “parallel financing” mechanisms. The arrangement will adopt

some features of joint co-financing in the sense that all co financiers will finance the same

project activities; each financier will establish and maintain separate disbursement

arrangements. The desired outcome of this arrangement would be a co-financing framework

that would allow funds to flow evenly for the appropriate expenditures related to the project.



6.0 PROGRESS REPORTING

The Transforming the Settlements of the Urban Poor in Uganda (TSUPU) is considered as part

of the mainstream activities of the Ministry of Lands, Housing and Urban Development. The

monitoring will be implemented by the ministry as described in the operations manual, but

based on the results framework spelt out in this document. This involves collecting data, reports

and deliverables, analysing them, and sending consolidated reports regularly to Cities Alliance.

SDI and UAAU will report separately to Cities Alliance since they have independent grant

agreements, however, they will also submit their reports (Annual progress report and financial

report, and Annual Performance report) to the municipalities and the ministry for their

information.

The MoLHUD is the overall responsible organisation for the supervision and monitoring of the

TSUPU programme. In the spirit of partnership and coordination of effort, all ToRs prepared by

the partners (including MoLHUD) should be circulated to all partners for a minimum of 5

working days so that they have an opportunity to comment on the ToRs.

6.1 REPORTING FRAME WORK For the purpose of TSUPU, the following reports will be required by Cities Alliance;

1. Annual progress report and financial report submitted by the MoLHUD by December

31st each year. Each municipality would prepare a progress report, and quarterly

financial reports which will be reviewed and consolidated by the MoLHUD. The

MoLHUD will prepare an overview report, attaching municipal level submissions.

2. Annual Performance Report submitted by the MoLHUD by 30th of June each year. Each

municipality would prepare an Annual Performance report which will be reviewed and

consolidated by the MoLHUD. The MoLHUD will prepare an overview report,

attaching municipal level submissions. The annual performance report includes:

a. Progress Report

b. Financial Report

c. Report on the annual performance focusing on the performance measures

indicated in the outcome indicators.

d. Action Plan for the next year consisting of a detailed annual activity plan,

budget, and procurement plan.

3. SDI will submit as a semi-annual progress report and financial management report

copies to MoLHUD and the municipalities.



4. International City Managers Association (ICMA will submit: financial reports biannually

along with the project progress report to CA.

The MoLHUD and the MoLG will require the following from the five municipalities;

1. Annual progress report, annual performance report, Quarterly financial management

reports , financial Statements with information on the sources and uses of funds and by

project activity, forecasts of expenditure, amount of disbursement requested and a

reconciliation of the Designated Account, quarterly project progress reports and

procurement management reports.

2. Community Upgrading Fund; The MoLHUD will require quarterly and annual

progress reports with fund management utilisation certificate as specified in the CUF

manual from the municipalities. The CUF Board through the secretariat / town clerk

will submit an annual progress report to MoLHUD

3. The MoLHUD will require quarterly and annual narrative and financial progress reports

from Makerere University.

4. The NUDF will submit quarterly and annual reports to the MoLHUD through the

secretariat.

5. SDI/ ACtogether will submit to MoLHUD and the municipalities’ quarterly progress

reports and semi annual progress and performance and financial reports to CA.

6. MDF will submit the quarterly and annual performance reports to the town clerk

through the TSUPU coordinator who will in turn prepare the same for the municipal

council.

The municipality will require the following reports;

The Settlement level Urban Poor Organisations/ Community Based Organizations (CBOs)

benefiting from the CUF will submit quarterly narrative and financial progress reports. Where

the approved grant is anticipated to be implemented in less than three months, then the

respective settlement level urban poor organisation will submit a terminal final report on

project implementation and financial accountability immediately after completion.



6.2 REPORTING ARRANGEMENTS



6.3 REPORTING TABLE TO CA

Report Year 1 Year 2 Year 3 Responsible

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Progress Report and Financial Report X X X MoLHUD

Annual Performance Report X X X MoLHUD

SDI Progress Report and Financial Report X X X SDI

SDI Annual Performance Report X X X SDI

UAAU Progress Report and Financial

Report

X X X UAAU

UAAU Annual Performance Report X X X UAAU

CA Supervision

CA Supervision Missions X X X X X X X X X X X X Cities Alliance

Mid Term Review CA X Cities Alliance

Independent Evaluation X Cities Alliance



7.0 IMPACT ASSESSMENT

7.1 MONITORING AND EVALUATION

The Transforming the Settlements of the Urban Poor in Uganda (TSUPU) is considered as part

of the mainstream activities of the Ministry of Lands, Housing and Urban

Development(MoLHUD). The monitoring will be implemented by the ministry as described in

this operations manual guided by the results framework spelt out in this project document. This

involves collecting data, reports and deliverables, analysing them, and sending consolidated

reports regularly to Cities Alliance. SDI and UAAU will report separately to Cities Alliance

since they have independent grant agreements, however, they will also submit their reports

(Annual progress report and financial report, and Annual Performance report) to the

municipalities and the ministry for their information.

The MoLHUD is the overall responsible organisation for the supervision and monitoring of the

TSUPU programme. In the spirit of partnership and coordination of effort, all ToRs prepared by

the partners (including MoLHUD) should be circulated to all partners for a minimum of 5

working days so that they have an opportunity to comment on the ToRs.

7.2 LEVELS OF RESPONSIBILITY IN MONITORING IMPLEMENTATION

While MoLHUD is the overall responsible organisation for monitoring, Cities Alliance is

responsible for reporting annually to the donor. The Cities Alliance will make bi –annual visits

which will include a progress review meeting involving all partners. Once a year this will

include site visits to all the five municipalities. The Cities Alliance will also perform a mid-term

review evaluation after two years of project implementation. An independent evaluation will be

conducted at the end of the project. To assess sustainability and the longer term outcomes of the

programme, an assessment will be conducted two years after programme completion

The monitoring and programme reporting will take place at various levels ranging from the

review of the overall TSUPU project, to review of the performance of the investment as per the

table below:

Level Purpose Means/tools

TSUPU project

funding partners

(CA/WB/UN-

Habitat), Project

Steering Committee

Review the overall

progress of the TSUPU

toward achieving its

development objective

and outputs.

Annual post review of

procurement actions

Quarterly visits by CA

WB Supervision missions to visit the field.

Quarterly Progress review meeting with

CA involving all partners.

Annual CA site visits to all the five

municipalities.

Mid-term review evaluation after two



years of project implementation.

Independent evaluation at the end of the

project.

Sustainability and the longer term

outcomes review two years after

programme completion.

Semi-annual implementation.

Supervision/Support Missions.

Programme Steering Committee meetings

and reports.

Quarterly Technical Advisory Committee

(TAC) meetings and reports;

Key Programme Indicators (log-frame)

Progress reports.

Financial management reports.

Audit reports.

MoFPED Compliance with minimum

requirements for funding

allocation.

Assessment of Project

progress for budget control

and scheduling.

Review of the administrative and financial

management capacity.

Transfer Tracking Studies.


and reports.

Quarterly meetings in the Technical

Advisory Committee (TAC) meetings.

Key Programme Indicators (log-frame).


Audit reports.

MoLHUD

Technical Advisory

Committee (TAC)

Assessment of Project

progress for budget control

and scheduling.

Extent to which SDI and

AcTogether are

empowering settlement

level urban poor

organisations to initiate and

replicate local initiatives.

Mainstream activities into

each Ministries plans and

budgets.

Linkages with the TSUPU

to other programs.

Ensure broad-based

participation and

negotiated priorities under

MDS/SUP/MDPs/CUF.

Insure integration of public


and reports

Quarterly meetings in the Technical

Advisory Committee (TAC) meetings;

Periodic evaluation of programme

implementation against objectives.

SWG annual reviews and reports

Key Programme Indicators (log-frame)


Audit reports.

Quarterly progress reports.

Annual Performance Report.

Receive and review progress reports.

Work plans; budget plans, risk and


M&E framework for the programme.

Monitor performance activities under their

respective activities.




and private universities

into the TSUPU project and

beyond. Monitoring the

internship placements.

expenditure plans.

Support supervision field visits.

Municipality

councils and

administration

Ensure that the pilot

municipalities have

sufficient administrative,

HR and financial capacity

to perform their functions

under the TSUPU project.

Assignment of project

coordinator and secretariat

and resources.

Ensure performance of

activities assigned at the

municipality level

Ensure meaningful

participation of community

members especially

settlement level poor

organisations.

Ensure meaningful

application of TSUPU

outcomes to improving

planning and services

delivery at the municipality

level.

Quarterly reporting (financial and output

formats).

Review of performance as part of the MTR

Final performance review.

Compliance inspection by MoLG.

Audit reports.

Backstopping visits by

TAC/NUDF/UAAU/ICMA/SDI.

Review/develop project work plan, budget

plans, risk and sustainability plans.

Financial reports to MOFPED/MoLG

Progress reports to MoLHUD.

Procurement reports to MoLG, MoLHUD,

and PPDA/MOFPED.

MDF Changes in municipal

management and planning

systems necessary to

improve services delivery.

Changes in municipal



strengthen management to

support slum dwellers

initiatives.

Ensure that

recommendations of MDF

are integrated into

MDS/SUP/MDPs/NUP.

Participatory action research

General assembly.

Executive Committee meetings and

reviews of MDS/MDPs.

Dialogue with municipal governments

Representation reports from CUF and

beneficiaries.

Representation meetings at NUDFs

Field visits to selected CUF sites and other

TSUPU project sites in the municipality

Technical support reports from

municipality/Divisions to settlement Level

Urban Poor Organisations applying for

CUF and other TSUPU project.

Settlement level

Urban Poor

Organisations

Changes in municipal



MDF progress reports.

Project user committee reports.

CUF beneficiary project management



CUF project

beneficiary

management

committees and

Community

Purchase Committee

(CPC)

strengthen management to

support slum dwellers

Ensure that the urban poor

have the sufficient capacity

to participate actively in the

planning and monitoring of

the investments.

Ensure that the

communities have sufficient

capacity to participate in

planning and

implementation of

programs under the CUF.

Assess implementation of

the proposals by the

municipalities to TSUPU on

improvement of systems

and how systems are being

responsive to the slum

dwellers.

Definition of priority needs.

committee reports.

CUF beneficiary project community

purchase Committee procurement reports

Participatory action research outcomes and

reviews.

Community CUF/TSUPU review meetings

with technical officers from the

Municipality.

Technical support reports from

municipality/Divisions to settlement Level

Urban Poor Organisations applying for

CUF and other TSUPU project

Delivery and appraisal reports for

procured services/items.

Beneficiaries / urban

poor individuals

Ensure that the

communities have sufficient

capacity to participate in

planning and

implementation of

programs under the CUF

and SUP projects sub-grant

activities.

Ensure that the

community’s priority needs

are captured in MDPs and

MDS.

CUF grants participation and outputs

progress reporting.

Community meetings and reviews on

TSUPU project.

Participatory action research.

Membership records to settlement level

urban poor organizations.

MDF reports.



7.3. RESULTS FRAMEWORK TSUPU

Objective 1 Project outcome indicators Use of project outcome Information

At least 50,000 slum dwellers living in five

municipalities in Uganda actively engage in both

securing their rights and honouring their

responsibilities through improved urban

governance and formalisation.

# of Slum dwellers actively participating in

development processes at the municipal level

disaggregated by sex and age.

To assess the effectiveness of the level

of participation during the project

implementation and inform the

process for future improvements.

Intermediate Outcomes Intermediate Outcome Indicators Use of intermediate Outcome

Monitoring

Outcome 1.1: Slum Dwellers are mobilised and

able to participate in decision making processes.

% of slum dwellers organised in the five

municipalities and capacitated to engage

disaggregated by sex and age.

# of Municipal Development Forums Held.

To assess the level of organised

mobilisation the community, if the

structure for dialogue is in place, and

whether the process is gender and age

inclusive.

Outcome 1.2: Improved security of tenure. % of settlements enumerated and officially

validated.

% of slum dweller households that invest in

incremental housing.

To assess whether enumeration and

validation of settlements has resulted

in a increased sense of permanence,

leading to incremental investments in

housing.


At least 50,000 slum dwellers living within the

five selected municipalities improve their

qualitative and quantitative access to municipal

services.

% Increase in the coverage of social and municipal

services in slum settlements.

To assess the effectiveness of

empowerment activities at both

community, local government and

national level.


Monitoring

Outcome 2.1

More resources are mobilised for service delivery

# of service delivery projects in slums through

public/private – community partnerships

To assess the effectiveness of the

methodologies used to leverage



projects in slums through public/private –

community partnerships

additional resources through

public/private – community

partnerships

Outcome 2.2: Municipalities are able to better

plan and proactively respond to the

opportunities of urbanization.

Pro poor MDS’ in the 5 municipalities developed

that:

- Plan for future urbanisation and proactively

makes land available for urban poor.

- Includes a slum upgrading strategy

- Focus on adequate energy for household

production and consumption

- Includes a Local Economic Development

strategy

- Includes an Environmental Management Plan

To assess the content and quality of the

MDS’


The Government of Uganda (national and sub) in

partnership with interested stakeholders

develops effective and efficient inclusive urban

development policies and strategies, enabling the

better management of future urban growth and

positively affecting the lives of 200,000 slum

dweller households nationwide.

A national pro poor urban development policy and

strategy developed and adopted by GoU.

% increase in investment targeting urban poor.

To assess improved knowledge and

recognition on the issues and

challenges of sustainable urbanisation

in Uganda.


Monitoring

Outcome 3.1

An ongoing inclusive debate on urban issues.

# of research reports with policy recommendations

developed.

# of National Urban Forums held.

To assess whether research is

successfully commissioned by the

National Urban Forum and policy

recommendations are developed.

Outcome 3.2:

Improved responsiveness of national training

institutions to the needs of national and local

government.

# of partnerships between Government and

universities.

# of government officials receiving institutional

To assess whether establishing

universities as partners in the TSUPU

programme leads to actual

collaboration between the government



leadership training and universities

Outcome 3.3:

Increased budget allocation targeting urban

development.

% increase budget allocation targeting urban

development.

To assess whether increased public

and political awareness on the need for

sustainable urban development leads

to increased investments in the urban

sectors.

7.4. RESULTS MONITORING ARRANGEMENTS TSUPU

Target Values (Cumulative) Data Collection and reporting

Outcome Indicators Baseline Year 1 Year 2 Year 3 Frequency and

reports

Data Collection

Instruments

Responsible

for data

collection

Objective indicator 1

# of Slum dwellers actively

participating in development

processes at the municipal level

disaggregated by sex and age

To be taken

year 1 by

SDI

5000 25000 50000 Yearly performance

report from

MoLHUD

SDI registers and

minutes from

municipal forums

MoLHUD

collects data

from SDI and

municipalities

Outcome indicator 1.1

% of slum dwellers organised in the

five municipalities and capacitated to

engage, disaggregated by sex and age

# of Municipal Development Forums

Held

To be taken

year 1 by

SDI

10 %

4

25 %

8

50 %

16

Yearly performance

report from

MoLHUD

Yearly report from

SDI

SDI registers

Progress report

MoLHUD

collects data

from SDI and

municipalities


% of settlements enumerated and

officially validated

% of slum dweller households that

invest in incremental housing

To be taken

year 1 by

SDI

5 %

50 %

10 %

100 %

15 %

Yearly performance

report from

MoLHUD

Yearly performance

report from SDI

Municipal registers

SDI registers

MoLHUD

collects data

from SDI and

municipalities




% Increase in the coverage of social

and municipal services in slum

settlements

Taken by

SDI during

settlement

profiling

5 % 10 % 15 % Yearly performance

report from

MoLHUD

Settlement Profiles MoLHUD

collects data

from SDI and

municipalities


# of service delivery projects in slums

through public/private – community

partnerships

To be taken

year 1 by

MoLHUD

5 30 100 Yearly performance

report from

MoLHUD

Yearly performance

report from SDI

National and local

government

budgets

MoLHUD


Pro poor MDS’ in the five

municipalities developed

Propos

als

develo

ped

5

munici

palitie

s

Progress reports Proposals

developed

MDS approved in

the local council in

all 5 municipalities

MoLHUD

collects data

from

municipalities


A national pro poor urban

development policy and strategy

developed and adopted by GoU

% increase in investment targeting

urban poor at municipal and national

level respectively

To be taken

year 1 by

MoLHUD

10%

1

15%

Yearly performance

report from

MoLHUD

National Policy and

GoU resolution

National and Local

Government budget

MoLHUD

collects data

from

municipalities


# of research reports with policy

recommendations developed

# of National Urban Forums held

4

1

4

2

8

3

16

Yearly performance

report from

MoLHUD

Minutes from

National Urban

Forum

MoLHUD


# of partnerships between

Government and universities

# of government officials receiving

N/A 2

200

4 6 Yearly performance

report from

MoLHUD

Contracts and ToRs

Certificates

MoLHUD

collects data

from UAAU



institutional leadership training


% increase budget allocation targeting

urban development

To be taken

year 1 by

MoLHUD

0 %

10 % 15 % Yearly performance

report from

MoLHUD

National and local

Government budget

MoLHUD

collects data

from

municipalities



8.0 SOCIAL AND ENVIRONMENTAL SAFEGUARDS

The Government of Uganda, in conformity with the Constitution and The Local Government

Act of 1997 and, in particular, in its CAP 243 transferred the responsibility for service delivery

from central to Local Government (LGs). The second schedule of the Act decentralised

environment and natural resources management to LGs. It is within this context that this project

has to ensure safeguards for the environment.

To ensure that investments are carried out in an environmentally and socially sustainable

manner, the MoLHUD, in collaboration with the National Environmental Management

Authority (NEMA) will ensure that all projects for Slum Upgrading are subjected to

environmental audits (scoping) and those project deemed to have substantial impact on the

social and environmental impact will be subjected to a full Environmental and Social Impact

Assessment (ESIA) as required by the NEAM Statute. Consequently, an environment and social

impact mitigation plan (ESIMP) including a resettlement action plan (RAP) will have to be

developed for such projects. This project should recognise the time implications for the

engaging the ESIA and should have this factored into their work plans. All districts in the

TSUPU program are fully equipped with the District Environmental Offices to undertake the

initial audits where recommended. Where projects are approved to full ESIA, competent

consultant will be hired in accordance with the PPDA act. This will be done centrally by the

MoLHUD to ensure quality and supervision of consultant by the lead project agency and lesion

with NEMA.

It will be the responsibility of the MoLHUD and the municipalities to ensure that the

Environmental and Social Mitigation Plan are incorporated into commissioned or contracted

out works related to the project.

Under the TSUPU numerous small construction works are envisioned to take place under the

various components. The various TSUPU documents, agreements and contract documents shall

include environment and social mitigation plan as sanctioned and approved by NEMA.

Slum Upgrading Action Plans

One project output is the development of slum upgrading action plans in each slum settlement.

These plans will be developed in the context of the more general slum upgrading strategies and

environmental management plans developed as part of the Municipal Development Strategy

process. It is these action plans that the programme will seek to have funded via the national

budget or multi lateral donor assistance. It is envisaged that safeguards assessments will be

undertaken within defined project proposals, and prior to funding being released.



Community Upgrading Funds

The programme makes small grants available (maximum 15 000 usd) to settlement level

organizations for small initiatives to be implemented at a community level. Clear safeguard

measures and procedures have been included in the CUF operations manual.



9.0 RESETTLEMENT POLICY FRAMEWORK

ANNEX 1: Application of the Environmental and Social Management Framework and the

Resettlement Policy Framework prepared and disclosed to the TSUPU

programme

One of the main objectives in the Transforming Settlements of the Urban Poor in Uganda – A

Secondary Cities Support Programme (TSUPU) is to bring greater coherence of effort in urban

development by creating an institutional framework for different stakeholders to align their

efforts and finance towards common objectives. Key to building coherence is the alignment of

purpose between national and sub national governments, and urban poor communities. In

broad terms the TSUPU programme can best be described as ―Technical Assistance‖ to the

Government of Uganda with reference to urbanization in general and secondary towns in

particular, with elements of community driven development.

The TSUPU programme in the first instance supports national government through the

Ministry of Lands, Housing, and Urban Development to develop a national urban policy that is

linked to a structured dialogue between relevant urban actors at national, municipal and

community level. Secondly, the programme aims to improve the capacity of secondary towns to

manage urbanisation and growth through the development of Municipal Development

Strategies and Plans and institutional capacity building. The TSUPU programme actively

promotes citizenship and participation in the planning processes. It is programmed that this

planning exercise is aligned to future investments including the World Bank Uganda Support to

Municipal Infrastructure Development Project (USMIDP) in planning. Thirdly, the programme

promotes the development of small CUFs that enables communities to access funds for

community driven initiatives.

To build on previous efforts and avoid duplication, the TSUPU programme will adhere to the

Environment and Social Management Framework (ESMF) and Resettlement Policy Framework

(RPF) prepared and disclosed under the World Bank Local Government Development and

Service Delivery Programme (LGSDP) 5. The rationale behind this is that the sub-projects in the

LGSDP are similar to the small grants under the TSUPU programme and cover the same

municipalities using similar implementation arrangements. The ESMF and RPF for the LGSDP

provide general analytical principles and procedures/guidelines that can be easily adapted in

the implementation of the TSUPU programme:

SN ACTIVITY APPLICATION OF ESMF PROVISIONS



NO

1.1 Set up phase of project –

Institutional Framework in

place

Based on the proposed Institutional

Framework Under Section 2 and Clear roles

in amongst different levels of local

government and involve stakeholders for

effective application of ESMF provisions.

1.2 Capture and Expand SDIs

Learning by Doing

Approach to Rights and

Responsibilities

Through Consultative Workshops familiarise

the ESMF provisions to stakeholders

including communities and highlight the

role s and responsibilities

1.3 Establish Municipal wide

Development

Familiarise the development forum in five (5)

municipalities with the benefits and impacts

of service delivery in Section 7 of the ESMF.

1.4 Registration and survey of

all households and small

businesses located within

slum settlements

The information will be gathered by the

communities and shared with other

stakeholders. The information will for many

be a starting point for negotiation in access to

services The RPF will apply and ensure that

the data gathered will not be used for any

forced resettlement and that any

displacement of persons or assets or loss of

access to natural resources and services must

be covered by compensation and attenuation

of all impacts due re installation to an

appropriate site (p14). During this exercise,

physical, cultural resources will also be

mapped, respected and can inform planning

at a later stage. During registration and

survey there will also be informed consent

from all respondents reached

1.5 The Formation of local

community saving groups

As part of SDIs mobilisation strategy, the

saving groups are important platforms where

information about ESMF and RPF can be

communicated. As much as possible

principles that safe guard members deposits

and participation in running of the savings

groups will be promoted.

1.6 Participatory action research

into issues that affect access

to land and increased

security of tenure of the

urban poor.

To enhance participatory approaches to

research, the participatory planning and

management guidelines referred to in the

ESMF p7 will be employed. Also all ethical

standard and guidelines governing research



in the country (protocol clearance) will be

adhered to and will form part of the

conditions for grant/consultancy awarding

2.1 Formation and capacity

building of settlement level

Urban Poor Organisation

When facilitating the meetings, familiarise

the ESMF provisions to the communities and

highlight their roles and responsibilities.

2.2 The Development of

Municipal Development

Strategies

Conduct of Strategic Social and

Environmental Assessment and integration

of recommendations for environmental and

social protection with Municipal Strategies.

As part of the preparation of the SSEMP Ops

on physical cultural resources, natural

habitats will be considered.

2.3 The development of detailed

municipal upgrading

investments

Application of environmental and social

screening procedure detailed in Section 8 of

the ESMF.As part of this process specific

ESMFs to be integrated for the proposed

investments.

2.4 The establishment of the

CUFs in each participating

municipality

The sub project will be covered by the ESMF

in their planning, construction (if applicable)

and operation phases The ESMF provides an

overarching checklist of activities related to

the development of a) water supply systems,

b) roads, c) drainage systems, d) sanitation, e)

solid waste management, and f) general

construction (See document Environmental

Checklist for Sub-county/Division/Town Council

Local Governments, 2004), which encompass

the likely projects derived from the small

grants for the Community Driven

Development projects in the TSUPU

Programme. The screening process outlined

in the ESMF can be adopted, eliminating the

steps that are not applicable for the small

investments. An adapted checklist will be

developed as part of the operational manual

for the CUF. Similarly, the RPF brings good

guidance to how resettlement should be dealt

with. When a project under the CUF is

identified, if it requires any resettlement, a



Resettlement Action Plan with a monitoring

plan will be prepared, agreed, and

implemented. The matrix table 1 on page 59

in the RPF will as such bring important

guidance when screening the projects under

the fund

2.5 Support the formation of

identified improvements in

municipal management and

planning systems

This activity supports small changes in the

management and planning systems of local

governments. The nature of these changes

will be identified by each municipality and

orient around information management.

3.1 The establishment of a

national urban development

forum

The policy dialogue will facilitate an urban

policy for sustainable urban development

that ensures environmental and social (E&S)

protection, through effective linkages

between urban concerns and E&S policies.

3.2 The commissioning of action

research into defined urban

problems identified at the National Urban

Development Forum

To enhance participatory approaches to

research, the Participatory Planning and

Management Guidelines referred to in the ESMF p 7 will be

employed. Also all ethical standard and

guidelines governing research in the country (protocol clearance) will be adhered to and

will form part of the conditions for

grant/consultancy awarding

3.3 The development of a National Urban Campaign

This activity involves support for a national campaign on sustainable urbanisation. The process involves the planning, collection of data and the packaging of information targeted at schools, universities, civil society , religious groups and government

3.4 To support the integration of Makerere University into the

broader urban development agenda through i) internships and ii) public lectures

This activity aims to engage urban planning

students and students from other relevant fields to actively participate in the practical

planning and applied research processes. As

such they will be involved in the application of ESMF

through the SSEMPS in the Municipal



Development Strategies.

3.5 The development of a

municipal institutional

leadership programme

This activity aims to build the institutional

leadership of both the operational and

political

local government spheres so that they work better as a team and systematically improves urban management skills and more effective community outreach and communication ( ESMF 9.2 on capacity building

3.6 Development of the National

Urban Policy and Strategic

Urban Development Plan for Uganda

The environmental policies and the

social/poverty reduction strategies outlined

under Section5 of the ESMF provides a good background on Uganda’s intent and

attempts to ensure environmental and social

protection. The relevant parts of these policy provisions could be taken up as an integral

part of urban policy dialogue.



9.0 ANNEXTURE 1 BUDGET BUDGETS /COSTINGS TABLES

BUDGET SUMMARY - TRANSFORMING SETTLEMENT OF THE URBAN POOR IN UGANDA INDICATIVE BUDGET FOR 3 YEARS (20010-2013) Recipient/Implementer wise

Name of the Implementer/Recipient

SOURCE of

FINANCIN

G

TOTAL

TYPE OF EXPENDITURE

Project and

Grant

Admn

Consultancy

Services

Training/

Workshops/

Seminars

Disseminati

on Others

LSC source of Financing -

The World Bank - Uganda LSC 195,500.00

25,500.00

76,000.00

72,000.00

17,000.00 5,000.00

Ministry of Land Housing & Urban

Development/MOF LSC 417,000.00

41,700.00

129,000.00

148,300.00

38,000.00 60,000.00

Municipalities/MOF LSC 1,430,000.00

29,000.00

60,000.00

72,000.00

9,000.00 1,260,000.00

Slum Dwellers International LSC 595,000.26

53,552.63

15,884.47

422,000.00

103,563.16 -

Subtotal of LSC financing 2,637,500.26

149,752.63

280,884.47

714,300.00

167,563.16 1,325,000.00

CA Core fund proposal in place

3.6 Dev of NUP (MoFPED/MoLHUD Core 450,000.00

40,000.00

140,000.00

100,000.00

150,000.00 20,000.00

3.5 MILP (ICMA/UAAU) Core 229,500.00

30,000.00

156,300.00

28,200.00

10,000.00 5,000.00

Subtotal of Core Fund financing 679,500.00

70,000.00

296,300.00

128,200.00

160,000.00 25,000.00

Grand Total Project Financing by CA $3,317,000.26 $219,752.63 $577,184.47 $842,500.00 $327,563.16 $1,350,000.00

Funding TSUPU proposals to

come



Activities Proposed Implementi

ng Agency CA Core Funds

Cofinancin

g Agency Cofinance

2.3 (i) SU Action Plans (Municipality)

Municipali

ty 125,000.00

2.3 (ii) Slum Upgrading Action Plans

(SDI) SDI 125,000.00

2.2 The MDS) [Municipality]

Municipali

ty 450,000.00

Subtotal CA Core Fund for proposals to

come 700,000.00

GT of the TSUPU Program $4,017,000.26

IMPLEMENTING AGENCY – THE WORLD BANK – YEAR 1

SET-UP Phase TRANSFORMING SETTLEMENT OF THE URBAN POOR IN UGANDA

CITIES ALLIANCE financing funds from LSC GRANT ($195,500)

Type of Expenditure

Component/Activity Total

Project

Implementation

, Supervision &

Administration

(US$)

Consulting

Services

(US$)

Training, Cap

Bldg &

Workshops

(US$)

Dissemination

Costs

(US$)

Other

costs i/

(US$)

YEAR ONE

1.1 Setup Phase of the Project

Develop Operational Manual

20,000

15,000

-

2,000

3,000

Development of MOU and Co-governance

Arrangements

7,000

3,000

2,000

-

2,000

Launch of quarterly National Urban Forums

33,000

3,000

25,000

5,000

-

Launch of Municipal Forums -



10,000 - 10,000 -

Development of Municipalities &

Development of Strategies proposals

25,000

15,000

5,000

5,000

-

Preparation of detailed Slum Profiles of 5

Municipalities

50,000

15,000

30,000

5,000

-

Local Government Capacity Assessment of 5

Municipalities

25,000

25,000

-

-

-

Subtotal for YR 1

170,000

-

76,000

72,000

17,000

5,000

Project Administration & Supervision

25,500

25,500

-

Grand Total of Core fund financing to

World Bank

195,500

25,500

76,000

72,000

17,000

5,000



Budget Activities

IMPLEMENTING AGENCY – MINISTRY OF LANDS, HOUSING AND URBAN DEVELOPMENT

CITIES ALLIANCE financing funds from LSC GRANT ($417,000)

Type of Expenditure


Project

Implementation

, Supervision &

Administration

(US$)

Consulting

Services

(US$)

Training, Cap

Bldg &

Workshops

(US$)

Dissemination

Costs

(US$)

Other costs

i/ (US$)

YEAR ONE

1.6 Participatory Action Research on

Security of Tenure

25,000

-

12,000

8,000

5,000 -

1.6(ii) Research on security of tenure

20,000

-

12,000

8,000

-

1.6(ii) Research with policy

recommendations presented to NUDF

5,000

- - - 5,000 -

3.1 National Urban Development Forum

18,000

-

3,000

15,000

- -

3.1(iii) Convene quarterly forums each

year.

- - - - - -

3.1(iii) Convene quarterly NUDFs each

year.

15,000

- -

15,000

- -

3.1(iv) Identify and approve research

agenda

3,000

-

3,000

- - -

3.2 The commisioning of research into

defined Urban problems

45,000

-

28,000

10,000

7,000 -

3.2(i) Commission research agenda

38,000

-

28,000

10,000

- -

3.2(ii) Policy recommendation presented

at NUDF

7,000

- - - 7,000 -

3.3 Sustainable Urbanization Campaign - - - - - -



3.3(ii) Organize events and disseminate

the materials to targeted audience.

- - - - - -

3.4 Support the capacity of Universities

30,000

- -

10,000

-

20,000

3.4(i) Students to actively participate in

practical planning and applied research

7,500

7,500

- -

3.4(ii) Internships for Students

20,000

- - -

20,000

3.4(iii) Organize public lectures.

2,500

- -

2,500

- -

Subtotal for YR 1

118,000

- 43,000

43,000

12,000

20,000



YEAR TWO

3.1 National Urban Development Forum - - - - - -

1.6 Participatory Action Research on Security

of Tenure

50,000

-

25,000

18,000

7,000

-

1.6(i) Research on security of tenure

43,000

-

25,000

18,000

- -



7,000

- - -

7,000

-


21,150

- -

21,150

- -


year.

21,150

- -

21,150

- -



45,000

-

28,000

10,000

7,000

-


38,000

28,000

10,000

- -


at NUDF

7,000

- - -

7,000

-


30,000

- -

10,000

-

20,000



7,500

7,500

- -

3.4(ii) Internships for Students

20,000

- - -

20,000


2,500

- -

2,500

- -

Subtotal for YR 2 146,150 - 53,000 59,150 14,000

20,000



YEAR THREE

3.1 National Urban Development Forum - - - - - -

1.6 Partiicipatory Action Research on

Security of Tenure

15,000

-

5,000

5,000

5,000

-

1.6(i) Research on security of tenure

10,000

-

5,000

5,000



5,000

- -

5,000

-


21,150

- -

21,150

- -


year.

21,150

21,150



45,000

-

28,000

10,000

7,000

-


38,000

28,000

10,000

- -


at NUDF

7,000

- - -

7,000

-

3.3 Sustainable Urbanization Campaign - - - - - -

3.3(i) Design & plan the campaign

targeted at schools, Universities, civil society,

religious groups, communities, municipal

authorities and Govt.

- - - - - -

3.3(ii) Organize events and disseminate

the materials to targeted audience.

- -


30,000

- -

10,000

-

20,000



7,500

7,500

- -

3.4(ii) Internships for Students - - -



20,000 20,000


2,500

- -

2,500

- -

Subtotal Yr 3 111,150 - 33,000 46,150 12,000

20,000

Grand Total Yr 1 - 3 summary of funding to MoLHUD


Project

Implementatio

n , Supervision

&

Administration

(US$)

Consulting

Services

(US$)

Training,

Capacity

Building and

Workshops

(US$)

Dissemination

Costs

(US$)

Other costs i/

(US$)

1.6 Partiicipatory Action Research on

Security of Tenure

90,000

-

42,000

31,000

17,000

-


60,300

-

3,000

57,300

-

-



135,000

-

84,000

30,000

21,000

-


90,000

-

-

30,000

-

60,000

Total 375,300 - 129,000 148,300 38,000 60,000

Project

Implementation/Supervision/Administrati

on

41,700 41700

Total LSC grant for MLHUD 417,000 41,700 129,000 148,300 38,000 60,000



IMPLEMENTING AGENCY – MUNICIPALITIES (5)

Activities - TRANSFORMING SETTLEMENT OF THE URBAN POOR IN UGANDA

CITIES ALLIANCE financing funds from LSC GRANT (1,430,000)

Type of Expenditure


Project

Implementatio

n ,

Supervision &

Administratio

n (US$)

Consulti

ng

Services

(US$)

Training,

Capacity

Building

and

Workshops

(US$)

Dissemina

tion Costs

(US$)

Other costs i/

(US$)

YEAR ONE

1.3 Establish Municipal wide Development

Forum

27,000 - -

24,000

3,000

-

1.3(i) Convene at least 6 Forum each year in 5

Municipalities

27,000 - -

24,000

3,000

-

2.4 Operationalize Community Upgrading Funds 380,000 -

20,000

-

-

360,000

2.4(i) Safeguards and oversight as per OM 20,000 -

20,000

-

-

2.4(ii) Disbursement of grant as per OM 360,000 - - 360,000

2.5 The improvement of municipal management

and planning systems

50,000 - - -

-

50,000

2.5(i) Manage Sub Grants for system

improvements

50,000 - - -

-

50,000

Subtotal for YR 1 457,000 -

20,000

24,000

3,000

360,000

YEAR Two


Forum

27,000 - -

24,000

3,000

-



1.3(i) Convene 6 Forum each year in 5

Municipalities

27,000 -

24,000

3,000

2.4 Operationalise Community Upgrading Funds 380,000 -

20,000

-

-

360,000

2.4(i) Safeguards and oversight as per OM 20,000 -

20,000

-

-

-

2.4(ii) Disbursement of grant as per OM 360,000 360,000

2.5 The improvement of municipal management

and planning systems

130,000 - - -

-

130,000

2.5(i) Manage Sub Grants for system

improvements

130,000 - -

-

130,000


20,000

24,000

3,000

360,000

YEAR Three


Forum

27,000 - -

24,000

3,000

-

1.3(i) Convene 6 Forum each year in 5

Municipalities

27,000 -

24,000

3,000

2.4 Operationalize Community Upgrading Funds 380,000 -

20,000

-

-

360,000

2.4(i) Safeguards and oversight as per OM 20,000

20,000

2.4(ii) Disbursement of grant as per OM 360,000 - 360,000


20,000

24,000

3,000

360,000

Summary for Yr 1- 3

Activity

total

Project

Management

Consulti

ng

Services

Training/

Workshop

Disseminati

on

Other (Sub

grants)

1.3 Establish Municipal wide Development Forum

81,000

-

-

72,000

9,000

-

2.4 Operationalize Community Upgrading Funds



IMPLEMENTING AGENCY - SLUM DWELLERS INTERNATIONAL

TRANSFORMING SETTLEMENT OF THE URBAN POOR IN UGANDA

CITIES ALLIANCE GRANT REQUEST under LSC

($ 595,000)

Type of Expenditure

Component Total

Project

Implementat

ion,

Supervision

&Administra

tion (US$)

Consultin

g Services

(US$)

Training,

Capacity

Building and

Workshops

(US$)

Dissemina

tion Costs

(US$)

Other costs

(US$)

Prep phase

1.2 Capture and expand SDIs learning by doing approach

to Rights and Responsibilities

-

-

-

-

-

-

1.4 Registration and survey of all households and small

businesses located within slum settlements

32,185

8,211

2,289

9,632

12,053

-

1.5 The implementation of an appropriate savings-based

financial model that enables poor households to gain

17,816

4,000

-

13,816

-

-

1,140,000 - 60,000 - - 1,080,000

2.5 The improvement of municipal management and

planning systems

180,000

-

-

-

-

180,000

Sub Total to Municipality

1,401,000

-

60,000

72,000

9,000

1,260,000

Project Administration

29,000

29,000

Grant Total funds

1,430,000

29,000

60,000

72,000

9,000

1,260,000



access to affordable finance

2.1 Formation and capacity building of settlement level

urban poor organisations

-

-

-

-

-

-

Sub Total Yr 1

50,000

12,211

2,289

23,448

12,053

-

YEAR 0ne

1.2. Capture and expand SDIs learning by doing approach


25,000

-

7,895

17,105

-

-



152,937

4,000

1,374

127,768

19,795

-




39,013

2,000

-

16,303

20,711

-

2.1. Formation and Capacity building of settlement level

Urban Poor Organisations

43,368

6,053

-

37,316

-

-

Sub Total Yr2

260,318

12,053

9,269

198,492

40,505

-

YEAR Two



-

-

-

-

-

-



87,168

3,368

1,832

63,053

18,916

-




37,908

2,000

-

16,303

19,605

-



66,632

8,579

-

58,053

-

-

Sub Total Yr 3

191,708

13,947

1,832

137,408

38,521

-

YEAR Three





-

-

-

-

-

-



77,711

13,342

2,495

49,389

12,484

-

1.5The implementation of an appropriate savings-based



15,263

2,000

-

13,263

-

-



-

-

-

-

-

Sub Total Yr 4

92,974

15,342

2,495

49,389

12,484

-

Grand Total of SDI financing under LSC

595,000

$

53,553

$

15,885

$

422,000

$

103,563

$

-



IMPLEMENTING AGENCY : INTERNATIONAL CITY MANAGERS ASSOCIATION

Capacity Building of UAAU and 5 Municipalities for Urban Management and planning process and more effective and

sustainable municipal association representing the interests of Urban Local Govt in Uganda

CITIES ALLIANCE financing funds from LSC GRANT

Type of Expenditure

Component Total

Project

Implemen

tation ,

Supervisio

n &

Administr

ation (US$)

Consulting

Services

(US$)

Training,

Capacity

Building and

Workshops

Dissemina

tion Costs

(US$)

Other

costs i/

(US$)

YEAR ONE

Project Launch including formation of 5 Pilot Leadership Team and

the UAAU leadership, and a two day workshop in Kampala focused

upon creating the foundational leadership for undertaking the

specific activities of the grant

24,526

17,726

4,800

2,000

-

Conduct 3 days of meetings/workshops to assess "Organizational

gaps" that stand in the way of achieving the goals of the TSUPU

project

57,575

48,775

6,800

2,000

-

Conduct an additional 4 days of meeting/workshops focused upon

the priority needs emerging from each of the Management

improvement Plans

57,575

48,775

6,800

2,000

-

Conduct 2day UAAU Conference to include all the pilot

municipalities, as well as other urban governments, to launch the

new Municipal Leadership Institute, and to highlight the Lessons

learned from the TSUPU Project.

24,526

17,726

4,800

2,000

-

To put in place a comprehensive program to improve the capacity,

and ensure the sustainability of UAAU as an effective municipal

20,548

13,548

5,000

2,000



Grand Total Set-Up phase + Yr 1 - 3 summary of funding to SDI

Summary Set-Up phase + Yr 1 - 4

Component Total

Project

Implementati

on ,

Supervision

&

Administrati

on (US$)

Consulting

Services

(US$)

Training,

Capacity

Building and

Workshops

(US$)

Disseminati

on Costs

(US$)

Other

costs

(US$)

1.2 Capture and expand SDIs learning by doing approach to

Rights and Resposibilities

$25,000.00 $0.00 $7,895.00 $17,105.00 $0.00 $0.00



$350,000.26 $28,921.05 $7,989.47 $249,842.37 $63,247.37 $0.00


financial model that enables poor households to gain access

to affordable finance

$110,000.00

10,000

-

59,684

40,316

-



$110,000.00 $14,631.58 $0.00 $95,368.42 $0.00 $0.00

Grand Total financing to SDI $595,000.26 $53,552.63 $15,884.47 $422,000.00 $103,563.16 $0.00

association by ICMA/UAAU

Develop the internet based "Mentoring Partnership" between ICMA

and the 5 Town clerks in the pilot municipalities.

9,750

9,750

Subtotal for YR 1

194,500

-

156,300

28,200

10,000

-

Project Administration & Supervision

35,000

30,000

5,000

Grand Total of Core fund financing to ICMA

229,500

30,000

156,300

28,200

10,000

5,000



ANNEXTURE 2 OUTLINE TERMS OF REFERENCE/ RESPONSIBILITIES OF THE

PROJECT COORDINATOR

Disseminate the operations manual as part of development of a detailed plan with key

stakeholders to achieve the project outputs as specified.

Monitor and control performance against the approved project plan.

Report to the Permanent Secretary and take corrective action as directed.

Act as a link between the municipalities and the MOLG and MoLHHUD including

providing regular progress reports.

Act as the Secretary to the Steering Committee and the Technical Advisory Committee.

Identify gaps in technical and other expertise and commission additional expert inputs

where required.

Provide Secretarial and administrative support to enable the various project

management structures to carry out their allocated tasks.

Collate and distribute detailed project plans and management arrangements, project

progress and other reports.

Commission and manage external inputs required by the project under the Direction of

the Permanent Secretary.

Administer and account for the project use of the resources and budget within the set

guidelines.

Manage the day to day operations of the secretariat and directly employed secretariat

staff.

Qualifications

Senior Official in the Ministry of Lands Housing and Urban Development / Preferred

level of Commissioner/ sufficient Seniority to liaise effectively at high levels.

An experienced project manager with broad urban management background.

Extensive experience of participative planning and intervention in urban management

projects.

A professional experience in technical and urban planning social development and other urban

management disciplines.



ANNEX 3 CONSULTANTS/ PERSONEL

INSTITUTION ACTIVITY QUALIFICATION

SDI Enumerations,

community profiles

(with a focus on

gender)

Urban planning

Social sciences

Demographics

Gender

Registration and

survey of all

households and small

businesses located

within urban

settlements

Social sciences

Demography

Gender expert

Documenting lessons

learnt

Community participation

Social Development

Gender

Municipalities Institutionalisation of

Municipality Urban

Wide Forums

Decentralisation

/Participation

Institutional Development

Research into defined

urban problems

Urban poverty specialists

Sociologist/Gender

Legal

Development of

municipal development

strategies

Urban planning

Ministry of Lands

Housing and Urban

Development

Participatory action

research improved legal

access to land and

increased security of

tenure through the

establishment of

Land management

Community Resilience ,

participation

Land tenure

Human Rights



systems that clearly

define and protect

rights and

responsibilities attached

to urban land usage,

occupation and

ownership and land

lord tenant relations

Social Development

Gender

Governance

Development of a

proposal that reflects

the priorities of

participating

municipalities and their

urban poor

communities.

Development of

environmental

management plans.

Social Development

Information Management

Surveying

Environmentalists

Development

programming

Audit of grant

accounts,

Development of the

national urban policy.

Audit/ Auditor General

Urban poverty

Policy analysts

Social Development



ANNXETURE 4 RESEARCH GRANT GUIDELINES

THE SECONDARY CITIES SUPPORT PROGRAMME FOR TRANSFORMING

SETTLEMENTS FOR THE URBAN POOR IN UGANDA (TSUPU)

RESEARCH GRANT GUIDELINES

1.0 BACKGROUND

Activity The commissioning of research into defined urban problems resulting in policy

changes leading to improved urban planning and management (150.000 USD$).

Coordinator: MoLHUD

This activity seeks to respond to the need to undertake detailed research into key constraints of

the existing urban planning and management systems and to develop policy for political

consideration. The activity makes resources available to finance coherent research on issues that

have been identified at the National Urban Development Forum. It must be noted that the

question of urban land has been identified and programmed as a result of the project design

and is part of this process. In the interests of both building local capacities and tapping into

international best practice the research is to be preferentially commissioned out as far as

possible to public Ugandan universities. The Universities will together with the MoLHUD

identify support partners where needed (UN Habitat and others). Indeed, this programme has

identified a key role for national universities, which can provide direct services to local

governments and contribute to the national urban debate.

Output: Detailed studies on issues pertinent to managed urbanisation flagged and prioritised at

the national urban forum.

Universities and research institutions (mandate)Provide technical support to the

municipalities to undertake CDS and slum upgrading planning processes .Actively engage with

project planning processes as a means of gaining practice based experience for both students

and educators .Undertake participatory research related to urban land, housing, planning and

management, in partnership with UN-Habitat and link into National Urban Forum .

Ensure sufficient capacity is developed through university-to-university cooperation

(supported through international cooperation with a Cities Alliance member country) to enable

the university to effectively engage and use the opportunity to build sustainable institutional

capacity.

UN-HABITAT

- Support the skills and need-assessment process and help design and implement appropriate

training and capacity building programmes.



- Support CDS and slum upgrading processes by providing technical support and skills transfer

to the municipal planners and university.

- Undertake participatory research related to land, housing, planning and urban management in

partnership with universities.

RESEARCH GRANT GUIDELINES/PROGRAM SNAPSHOT

Title of the research project:

Purpose To provide financial support of research and scholarship by selected academic units

Deadlines: To be determined by the TAC and NUDF

Eligibility Available to all public and private universities established academic staff from the

rank of Lecturer and above.

Grant Amounts: On average, grants are in the $10,000 - $15,000 USD.

Research Program Description

The Permanent Secretary-MoLHUD call for members of the Public Universities in Uganda;

Academic units of Environment and Geographical Sciences, Technology and Design, and

School of Law; School of social Sciences for financial support of research projects through the

TSUPU Research Grants Program. This research program is sponsored by The Cities Alliance,

World Bank, Government of Uganda, Slum Dwellers International (SDI) and other partners.

The goal of the TSUPU research support program is to support and encourage the development

of detailed research into key constraints of the existing urban planning and management

systems and to develop policy for political consideration. The activity makes resources available

to finance coherent research on development issues that have been identified at the National

Urban Development Forum.

Proposals will be peer reviewed by TSUPU research subcommittee and selected according to

research discipline.

Applications for research funding and proposal submission will be submitted to the TSUPU

project coordinator-MoLHUD

Eligibility Criteria

Funds disbursed to units (collaborative and multi-disciplinary teams under the supervisor of

the lead department (head of department)

Budget/Funding



Funding for the studies will not exceed USD 15, 000/= for each commissioned study.

The TSUPU Research Grants will provide support for the following categories of expenditure:

• General expenses of research, such as supplies, materials, services, that are essential to the

project including publication charges

• Equipment essential to the research being proposed. Equipment requests should relate to the

approved project, even though the equipment may be used beyond its conclusion.

• Travel costs, including subsistence, which are essential for the conduct of the research,

Travel to professional meetings, to report on research findings.

Funding under this project does not include payment for honorarium as researchers based at

public universities are already remunerated under the public service scheme for teaching and

carrying out research.

Application Preparation

In preparing proposals for this program, an applicant should remember that the review

Sub-committees cannot include specialists in every field. It is very important, therefore, that

proposals communicate the significance of the work to the TSUPU project, as well

as provide enough detail to permit technical evaluation by those more familiar with the area.

The proposal application contains the following components:

• Cover Sheet. The first page of each proposal must be the program cover sheet,

completed according to its directions

• Compliance Requirements Form. This form must be submitted, indicating which areas

of compliance (if any for example compliance with national guidelines from National Council of

Science and Technology)) will be required for the project. If your proposal is selected, funding

will not be released until the compliance requirements have been met and certified.

• Budget Form. These should also be attached to provide additional information. The

appropriateness of the budget will be considered during the evaluation process, and

budgets may be adjusted by the review committee.

Each item in the budget must be justified as expenditure required by the research plan and not

available through other sources.

If large items of equipment are requested, this section must indicate whether similar equipment

already exists on campus and, if so, how fully it is currently utilized and why the equipment

was not requested as part of the recruitment package (consult your department's head or

college administrator for the correct course buyout amount in case already existing equipment

will be used by the research team).

• Letter of Support (1-page limit). This should be completed by the applicant's department head

and college head who should endorse the proposed research project

• Overview (1-page limit). This section should briefly describe, in a way that can be

understood by evaluation committee members in areas different from your own:

a. The research question you propose to answer (first paragraph),

b. The contribution of this research to the theory, methodology, practice or literature



in the field of urban poor inclusive management and secondary cities upgrading efforts

worldwide and locally

c. How this research differs from earlier research in the field,

d. How this project will contribute significantly to TSUPU program

• Research Plan (4-page limit). This section should provide a detailed description of what you

propose to do and its purpose and significance; identify relevant research questions; and

establish the merit and feasibility of the project. It should describe in detail methods and

procedures, facilities available, and a timetable for completing the work. It should describe the

dissemination plan that must emphasise the use of public lectures to raise the urban

development agenda in the country among the academia and other stakeholders.

• Future Support and external support (1-page limit).

Potential sources of support for continuing the program initiated by the grant should be

identified. If external support will be required, such support agencies should be specified.

Application Deadlines

Proposals will be submitted every quarter of the financial year 2011/12 (July, October, January,

May) on the last day of the respective month (quarter).

Proposals submitted to the project coordinator: TSUPU Project MoLHUD-Directorate of Urban

Development. P.O.BOX…………Kampala

Proposals should be signed by the applicant and the lead department/unit head.

Applicants should submit seven copies

Evaluation Criteria and Procedures

General

a. Does the proposal communicate the importance of the TSUPU project in its objectives and

goals?

b. Have the proposal format guidelines (especially page limits) been followed?

Significance

a. Is the importance of the TSUPU project (captured within its field) made clear?

b. Is the proposed field of study within the scope of the TSUPU project and areas identified by

NUDF/MDF and does it contribute to/strengthen the University's research program?

c. Will successful completion of the project have an impact upon the TSUPU project and

academic growth of the university?

Does the proposal tap in to international best practice, the universities / identify appropriate

partners for collaboration and support.

Project Design

a. Are the objectives clearly defined, and is the basic question to be answered clearly

identified?

b. Are all necessary facilities available?

c. Does the proposed research team have the necessary background and expertise?



d. Are the research project activities well planned, and do they realistically fall within an

appropriate timetable? /are they achievable?

Budget

a. Have all items requested been justified?

b. Is the amount requested reasonable and consistent with the total funding available to

this grant program?

c. If equipment is requested, has the possibility that it is already available elsewhere on

campus been addressed?

d. If support for graduate students is requested, is it clear that their activities are essential to the

proposed research program?

Review Subcommittee Structure

Applications for research will be peer reviewed by a TSUPU select sub-committee convened

from the national steering committee with co-opted experts in the relevant fields.

Award Procedures and Conditions

All research carried out under the TSUPU project Research Grant will also be is subject to all of

the University's standing policies regarding research and quality control. All research teams of

proposed research projects must obtain the necessary approvals from National Council of

Technology and their relevant academic units (college/school or faculty where applicable)

approval before commencing work. Financial support awarded cannot be released until these

acceptance forms, when appropriate, have been submitted and approved.

Time Period

The TSUPU research grant will used with one year after approval so as to feed the findings into

the TSUPU program design and implementation. Funds not used within the award year will be

forfeited and returned to the TSUPU project

Reports.

The initial report, summarizing what has been accomplished during the grant period,

must be received by the third quarter of following award year. The final report, including

information on publications and grant proposals generated as a result of the grant, must be

received by the end of the 12 month of the award year.

Acknowledgement

All reports out of this project must acknowledge the fact that financial support for the research

project was made possible by the TSUPU project and must cite the TSUPU/CA partners.



ANNEXTURE FIVE

GUIDLEINES FOR APPLICATION AND MANAGEMENT OF

INTERNISHIP and PUBLIC LECTURE SUB-COMPONENT OF THE

TSUPU PROJECT

Introduction and Background

Under the sub-component: To support the integration of Makerere University into the

broader urban development agenda through i) internships and ii) public lectures (90,000

USD, MoLHUD)

The TSUPSU project recognizes that the ability to effectively manage urbanisation will

ultimately depend on the capacity to train and supply the municipalities with appropriately

qualified personnel. The objective of this activity is to provide the university with the

opportunity to directly participate in the planning and research processes at all three levels of

the project—namely community, municipality and national—and to help ensure that students

are equipped with skills that Uganda will need for decades to come. To this effect this activity

aims to engage urban planning students and students from other relevant fields to actively

participate in practical planning and applied research processes. Secondly, facilitate internships

for students in a variety of relevant institutions including the selected municipalities, MoLHUD,

and SDI/ACTogether.

In addition support university-led public lectures series to raise the profile of urban

development amongst the academia and beyond. The sub-component fall under Objective 3 of

the TSUPU project: Develop effective and efficient inclusive urban development policies

and strategies enabling the better management of future urban growth positively affecting

the lives of 200,000 slum dweller households nationwide6. These guidelines provide a

working framework for application for funds under this sub-component by universities to

enable universities place their students (preferably urban planning students) for practical/skills

based training in urban planning and management in a variety of institutions including selected

municipalities, MoLHUD, SDI/ACTogather, UAAU/ICMA, MoLG e.t.c. Funds under this sub-

component will also enable universities raise the profile of urban development and

management studies (discipline).

Understanding and defining the concept of Internship under the TSUPU?

An internship is any carefully monitored work or service experience in which a student

6 This component supports national level policy and practice knowledge management activities essential

for the promotion of a pro poor urban agenda. Activities supported under this component includes a

National forum for learning and dialogue, research into defined urban issues to inform policy and

practice, a nationwide campaign for sustainable urbanisation, and the promotion of partnerships between

universities and urban development actors.



has intentional learning goals and reflects actively on what she or he is learning through

experience and observation. Sometimes this is also called learning by doing.

For purposes of the TSUPU project the internship sub-component will therefore be defined as

the activity to include/encompass the following:

Duration: Anywhere from 1-4 months Will full-time for the time engaged.

Student involved will not-paid a salary but will be entitled to a subsistence stipend provided by

the university.

Internships will be part of carefully monitored/supervised program and evaluated for academic

credit by the university, and will be guided by the respective universities internship policies

Internship program under the TSUPU project will therefore promote academic and/or personal

development of the students.

Internship program under the TSUPU project will also be seen to promote the community

outreach programs of the universities involved

GUIDLEINES FOR PROPOSAL DEVELOPMENT FOR APPLICATION OF INTERSHIP

FUNDING FROM TSUPU/MoLHUD PROJECT

The proposal for consideration for internship placement funding will be submitted by

corresponding universities to the TSUPU secretariat at MoLHUD and will be reviewed by a

select sub-committee of NUDF appointed by the contract committee of the MoLHUD

A. Internship Application/proposal format

The internship-project application/proposal should not be more than 10 single-spaced typed

pages A. Additional information may be attached as an annex. The proposal should include the

following sections:

COVER PAGE AND SUMMARY

a. Title of the applying university; and a sub-title of the internship project clearly stating that it

is for consideration

b.Name and address of the university institution (college, school, institute) applying for funds

under the internship sub-component

c. Names of internship sub-component project coordinator in the relevant university college,

school or institute;

d.Date of submission

e. Place of proposed placement (Municipality, MoLHUD, MoLG, SDI e.t.c)



2. UNIT/COLLEGE/SCHOOL/INSTITUTE INTERNSHIP BACKGROUND STATEMENT

This section should provide a clear description of the college internship background It should

include information on:

a. The history or background on the university unit applying for internship placement funds

(structure, legal status, number of students and courses offered at undergraduate and

postgraduate level.

b. The previous and current internship programs (placements) run by the university unit

applying for the internship placement funds.

c. Gaps/challenges in the current internship program/placement run by the applying university

unit

d. Evidence that the applied for internship placement funds will address a funding gap and will

also contribute to the university academic growth and community outreach programs

e. How the internship placement program contributes to national human resource capacity

strengthening in the public and private sectors over the long-term

f. Approval statement/recommendation of top university management

3. INTERNSHIP PLACEMENT FUNIDNG OBJECTIVES

a. What are the specific internship placement objectives – that will directly be achieved as a

result of the placement funding being sought? The internship placement funding objectives

should be as SMART as possible (for example how many students will benefit, what kind of

knowledge will they benefits or be able to apply over what time)?

4. INTERNSHIP PLACEMENT IMPLEMENTATION MODALITIES.

This section should describe in detail how the internship placement funding sub-project will be

implemented; procedures to be followed to and required materials resources to achieve the

project objective. This section should include the following information;

a. Current management structure for internship management in the applying unit’s b. Who

(Department) will be responsible for implementation (management); who will be doing what,

when and where?

c. Current resources that will be used for implementation.

d. Additional resources and skills that will be required for implementation from the TSUPU

project and justification.



e. Responsibility for reporting on the project progress to University management,

college/school/institute board, MoLHUD/TSUPU Secretariat.

5. MONITORING & EVALUATION

This section should describe the monitoring and evaluation arrangements of the internship

placement for which funding is being sought. This section of the application/proposal for

funding for internship placement should describe the following;

a. Which/who (office/department) will be in-charge for M&E from an academic and

administrative point of view/perspective.

b. The procedures, techniques and frequency of project monitoring and reporting on progress of

internship placement once funds are secured.

c. Variables/parameters for monitoring internship placement progress, outputs and outcomes.

6. EXPECTED OUTOCOMES OF THE INTERNSHIP PLACEMENT SUB-PROJECT

This section should be described in detail and clearly:

a. Expected internship placement outputs.

b. Expected outcomes in terms of university academic policy on internship and community

outreach.



7. TIMETABLE

This section should include a schedule of activities for the duration of the internship placement

sub-project for which funds are being applied. Normally, TSUPU grants under this sub-

component the internship placement funding run for 12 months. However, university operate a

long vacation internship program of about 3-4 months and will therefore be required to make

applications that clearly stipulate and fall within their calendar internship months/programs.

8. BUDGET

This section should be clear and each type of cost activity justified. The budget should include

both direct and indirect costs and corresponding taxation values where possible.

a. Direct project costs (student’s upkeep costs, transport, communication e.t.c.).

b. Indirect costs (administrative overheads for monitoring, report writing e.t.c).

c. University/student’s contribution - The budget should specify the value of any contributions

from the recipient institution or other local funding source to this activity.

9.0 ELIGIBILITY CRITERIA

Only the public and private universities with the following training/academic components will

be eligible for funding for internship placement support for the TSUPSU/MoLHUD project;

urban planning and management, survey and architecture, civil engineering, environment and

public health, public administration, sociology, social work and social administration,

economics, gender and women/youth studies and ICT.

10.0 BUDGET/FUNDING CRITERIA

Funding for the internship placement will not exceed USD 25,000 for each university. One

proposal per year will be accepted form each university. The funding sought is anticipated to

cover a minimum of $700 for each student supported per year. The various university units

(colleges, faculties, school as may apply will be free to cooperate and apply as one university as

the management of the university may advise).

The TSUPU project grants under the internship placement will provide financial support for

the following categories of applications:

a. Non-Government sponsored students since government sponsored students are already

catered for under government sponsorship.

b. Travel costs, including subsistence, which are essential for the implementation of the

internship sub-project.

c. Funding under this project does not include payment for salaries for staff based at the

universities as these are already remunerated under their salary schemes. However part of the

funds may be used for supervision.



10. APPLICATION PREPARATION

1. Letter of Support (1-page limit). The application/proposal should include a letter of support

from top university management.

APPLICATION DEADLINES

1. Applications/proposals will be submitted at the beginning of every academic (October,) on

the last day of the respective month.

2. Applications/proposals submitted to the project coordinator: TSUP Project MoLHUD-

Directorate of Urban development. P.O.BOX…………Kampala.

3. Applications/proposals should be submitted in seven hard copies.

11. EVALUATION CRITERIA AND PROCEDURES

General

a. Does the internship placement application/proposal contribute to the importance of the

TSUPU project in its objectives and goals?

b. Have the application/proposal format guidelines (especially page limits) been followed?

c. Is there approval and recommendation from top university management?

Significance

a. Is the importance of the TSUPU project-sub component strengthening linkage between

university and public delivery system (captured within its proposal) made clear?

b. Does the application/proposal for internship contribute to/strengthen the municipality

management systems for social services delivery capacities?

c. Will the municipalities/other placement places like MoLHUD, MoLG have the capacity and

facilities for supervision of the interns?

Project design

a. Are the objectives clearly identified and defined, and are they (SMART)?

b. Are all necessary facilities clearly described and relevant?

c. Does the university build on its internship program by proposing counter contribution in

terms of facilities and personnel for supervision of the interns?

d. Will the municipalities/other placement places like MoLHUD, MoLG have the capacity and

facilities for supervision of the interns?

e. Does the proposal mention a clear mentorship activity for the relevant staff involved at the

placement site?

Budget



this sub-grant program for each university?



c. If equipment is requested, has the possibility that it is already available at the university been

addressed or described in the proposal?


Applications will be peer reviewed by a TSUPU select sub-committee convened from the TAC

NUDF, MoLHUD contract committee (granting and agreement will be by the Contracts

Committee of MoLHUD.

Reporting

All project carried out under the TSUPU project sub-component on internship will also be

subject to overall reporting procedures and formats of the TSUPU project by the

MoLHUD/TSUPU. For purposes of this sub-component on internship funding, all recipient

universities will be submit to the TSUPSU project secretariat one final progress report after four

months and one final financial report after four months. No university will be eligible for

further funding until a comprehensive final progress and financial report has been accepted by

the MoLHUD/TSUPU secretariat.

Time Period

The TSUPU sub-component on internship placement sub-grant will used with one year after

approval. Funds not used within the award year will be forfeited back to the TSUPU project

(secretariat).

Acknowledgement

All reports out of this sub-project component must acknowledge the fact that financial support

for the project was made possible through the TSUPU project with financial and technical

support from the following partners; WB, CA, SDI and Government of Uganda.



ANNEXTURE SIX GUIDELINES FOR APPLICATION AND

UTILISATION OF FUNDS FOR SUB-PROJECT FOR THE

IMPROVEMENTS IN MUNICIPAL MANAGEMENT AND PLANNING

SYSTEMS SUB-COMPONENT OF THE TSUPU PROJECT

6.1 BACKGROUND AND INTRODUCTION

One of the sub-components7 that will be supported by the TSUPU project under objective 2 will

be the Support for identified improvements in municipal management and planning

systems. The TSUPU protect recognizes that one of the constraints to effective urban

management is weak municipal management and planning systems. Often relatively small

changes in the management and planning systems of local governments can have a big positive

impact. Sometimes it is simply the enforcement of existing bylaws or the clarification of

procedures that can help resolve a problem. At other times it is the weak management of

information that hinders effective delivery. This activity aims to improve the capacity of local

government by investing in small changes to systems in the interest of slum dwellers. The

nature of these changes will be identified by each municipality after a process of engagement

with UAAU/ICMA especially focusing on internal systems. The funds will be released from

MoLHUD to each municipality on the basis of a proposal developed by the Municipality. These

guidelines are part of the overall guidelines under the TSUPU project and aim at providing a

working framework for application and management of funds under this sub-component of

TSUPU project.

6.2 MUNICIPAL PROPOSAL GUIDLEINES FOR IMPROVING MUNICIPAL

MANAGEMENT AND PLANNING SYSTEMS

The proposal for implementing identified improvements in municipal management and

planning systems will be submitted to the TSUPU secretariat at MoLHUD and will be reviewed

by the contract committee of the MoLHUD

A. Proposal format

The sub-project proposal for the implementation of the identified improvements in municipal

management and planning systems should be at least 10 single-spaced typed pages and

should be based upon outcomes of the MWUDF and the process of engagement with

UAAU/ICMA. Additional information may be attached as an annex. The proposal should

include the following sections:

7 This sub-component falls under: Objective 2 of the TSUPU project that supports the ongoing efforts of

communities and local governments to improve the quality and quantity of services available to the urban poor in

the participating five municipalities.



1. COVER PAGE AND SUMMARY

a. title of the project; the title of the project should clearly demonstrate that it is

addressing issues of improvements in municipal management and planning

systems

b. name and address of the municipality applying for funds under this sub-

component

c. names of sub-component project coordinator in the municipality;

d. date of submission; and

e. summary/abstract - a single paragraph summary of the proposal (not exceeding

300 words); summarizing the management and planning issues that have been

identified for improvements in municipality management and planning

systems, how they will be implemented and anticipated outputs of the project in

relation to improving efficiency and effectiveness in the planning and

management systems of the municipality particularly for social services delivery

for the urban poor

2. PROJECT PROBLEM(S)

This section should provide a clear description of the planning and management process

problem/challenge (s) identified that needs to be improved It should include

information on:

a. the management and planning relevance of the identified problems/challenges

at the municipality;

b. an overview of how the identified problem/challenges relate to and affect service

delivery at the municipality; and

c. a statement as to how previous attempts to resolve the identified management

and planning problem have failed or been limited by several factors including

funding that is being sought under this sub-component

d. Evidence that the identified management and planning system related challenges

is priority of MWUDF or as a result of the engagement with UAAU/ICMA

e. How the implementation of the applied for project (funding) will contribute to

the solution of the planning and management problem(s) identified at the

municipality;

3. PROJECT OBJECTIVES

a. General Objectives - the overall aims of the project; and

b. Specific Objectives - the elements of the project which are/will directly address

the identified planning and management related problem or sub-problems at the

municipality. The project objectives should be as SMART as possible

4. PROJECT IMPLEMENTATION MODALITIES AND METHODS.

This section should describe in detail the project implementation design; procedures to

be followed to and required materials resources to achieve the project objective. This

section should include the following information;



a. Who (Department) will be responsible for the project implementation

(management) based on the current or assigned mandate and

justification/rationale

b. Current resources that will be used for project implementation

c. Additional resources and skills that will be required for project implementation,

d. Responsibility for reporting on the project progress to Council, MWUDFs,

MoLHUD/TSUPU Secretariat

5. MONITORING & EVALUATION

This section should describe the monitoring and evaluation arrangements of the project

to be implemented. This section of the proposal should describe the following;

a. Which/who (office/department) will be in-charge for M&E,

b. the procedures, techniques and frequency of project monitoring and reporting (in

line with other TSUPU sub-project at the municipality level e.g., TSUPU),

c. Variables/parameter for monitoring project progress, outputs and outcomes.

6. EXPECTED RESULTS AND IMPACT ON PLANNING AND MANAGEMENT

SYSTEMS FOR SERVICE DELIVERY

These should be described and could include:

a. Expected project outputs,

b. Project outcomes in terms of improving systems for service delivery.

7. TIMETABLE

This section should include a schedule of activities for the duration of the project.

Normally, TSUPU grants under this component will be running at 12 months duration.

8. BUDGET: CEILING TO BE DETERMINED for each municipality for each year?

This section should be clear and each type of cost justified

a. Direct project costs

b. Indirect costs

c. Municipality Contribution - The budget should specify the value of any

contributions from the recipient institution or other local funding source to the

project.

d. Use the budgeting formats provided under the budgeting regulations?



ELIGIBILITY CRITERIA

Only the five pilot municipalities (Mbale, Jinja, Arua, Mbarara and Kabale) under the TSUPU

project will be entitled to funding under this sub-component (support for identified

improvements in municipal management and planning systems)

BUDGET/FUNDING CRITERIA

Funding for the studies will not exceed USD ……………………/= for each project proposal. One

proposal per year will be accepted form one Municipality.

The TSUPU project grants under the Support for identified improvements in municipal

management and planning systems will provide support for the following categories of

expenditure and will also exclude:

1. General expenses of project implementation, such as supplies, materials and services

that are essential to the project implementation. Under this sub-component, no funding

will be provided for salaries for staff already employed by the municipality (local

government) except for expatriate staff that may be hired for purposes of implementing

the project under this sub-component.

2. Equipment essential to the project being proposed. Equipment requests should relate to

the approved project, even though the equipment may be used beyond its conclusion.

3. Travel costs, including subsistence, which are essential for the implementation of the

project within the municipality and outside; travel to professional meetings, to report on

findings and sharing of experiences with other municipalities or stakeholders.

4. Funding under this project does not include payment for salaries for staff based at the

municipalities as these are already remunerated under the public service scheme.

APPLICATION PREPARATION

1. In preparing proposals under this sub-component program, an applicant should

remember that the review sub-committees cannot include specialists in every field. It is

very important, therefore, that proposals communicate the significance of the work to

the TSUPU project, as well as provide enough detail to permit and financial technical

evaluation by the evaluation committee.

2. Letter of Support (1-page limit). The project proposal should include a letter of support

from UAAU and minutes of the MDF as relevant supporting documents that the project

falls within the identified planning and management related challenges at the

municipality.

APPLICATION DEADLINES

1. Proposals will be submitted every quarter of the financial year 2011/12 (July, October,

January, May) on the last day of the respective month (quarter).



2. Proposals submitted to the project coordinator: TSUP Project MoLHUD-Directorate of

Urban development. P.O.BOX…………Kampala

3. Proposals should be signed by the TC and recommended by Mayor.

4. Applicants should submit seven copies

EVALUATION CRITERIA AND PROCEDURES

General

a. Does the proposal communicate the importance of the TSUPU project in its objectives and

goals?

b. Have the proposal format guidelines (especially page limits) been followed?

Significance

a. Is the importance of the TSUPU project-sub component on planning and management

systems strengthening at the municipality (captured within its proposal) made clear?

b. Is the proposed project within the scope of the TSUPU project and in areas identified by

MWUDF and through the UAAU/ICMA engagements?

c. Does the proposal contribute to/strengthen the Municipality planning and managements

systems for social services delivery capacities for the urban poor?

c. Will successful completion of the project have an impact upon the municipality social services

delivery capacities?

d. Does the proposal propose to learn from best practices from other municipalities and town

authorities?

Project design

a. Are the objectives clearly identified and defined, and are they (SMART)?

b. Are all necessary facilities clearly described and relevant?

c. Does the municipality propose counter contribution in terms of facilities and personnel?

d. Are the relevant personnel in planning and service delivery involved on the project as

learning beneficiaries and mentors?

e. Does the proposal mention a clear mentorship activity for the relevant staff involved?

Budget



this sub-grant program for each municipality?

c. If equipment is requested, has the possibility that it is already available at the municipality

been addressed or described in the proposal?

d. If support for staff skill enhancement/capacity building is requested, is it clear that their

activities are essential to the proposed project outcomes (improving planning and management

systems for services delivery?




Applications for research will be peer reviewed by a TSUPU select sub-committee convened

from the NUDF and TSUPU Secretariat in line with MoLHUD contract committee requirements.

Reporting

All project carried out under the TSUPU project sub-component on municipality planning and

management systems improvement projects will also be subject to over reporting formats of the

TSUPU project

Time Period

The TSUPU sub-component on municipality planning and management systems strengthening

grant will used with one year after approval so as to feed the findings into the overall

municipality annual planning and budgeting framework. Funds not used within the award year

will be forfeited back to the TSUPU project (secretariat)

Acknowledgement

All reports out of this project sub-component must acknowledge the fact that financial support

for the project was made possible by the TSUPU project.



ANNEXTURE SEVEN PROCUREMENT PLANS

See Appendix X

MoLHUD

SDI

ICMA/ UAAU



ANNEXTURE SEVEN MUNICIPAL wide DEVELOPMENT FORUM

CHARTER

THE CHARTER

FOR

XMUNICIPAL DEVELOPMENT FORUM (MDF)

2010

X MUNICIPAL COUNCIL, P.O BOX...X

TABLE OF CONTENTS

PREAMBLE

ARTICLE 1- ESTABLISHMENT AND INCORPORATION OF MDF

ARTICLE 2- VISION OF MDF

ARTICLE 3- MISSION OF MDF

ARTICLE 4- PRINCIPLES OF MDF

ARTICLE 5- OBJECTIVES OF MDF

ARTICLE 6- FUNCITIONS OF MDF

ARTICLE 7- ORGANISATION

ARTICLE 8- MEMBERSHIP AND FEES

ARTICLE9- FUNDING OF MDF

ARTICLE 10- REPROTS OF MMDF AND STATEMENT OF ACCOUNTS

ARTICLE 11- AMENDMENT OF CHARTER

ARTICLE 12- DISSOLUTION OF MDF

ARTICLE 13- ENTRY INTO FORCE

ARTICLE 14- DEPOSITORY AND REGISTRATION

PREAMBLE

WE, THE DELEGATES TO THE FIRST X MUNICIPAL DEVELOPMENT FORUM

CONFERENCE ON SUSTAINABLE URBAN DEVELOPMENT MEETING AT XMUNICIPAL

COUNCIL HALL IN X ON 8th JULY 2010

RECOGNISING the need for a forum to bring together all stakeholders in the urban sector in

Municipality to share and discuss the crucial challenges associated with urbanization;



CONSCIOUS of the inadequacies of the existing structures for example uncoordinated

approaches to urban planning, development and management, duplication of roles and

responsibilities amongst various actors, wasteful use of resources, inadequate access to

information, limited capacity among various actors at different levels, lack of awareness on the

importance of integrated planning, low priority accorded to urban sector issues by local and

national governments and weak sectoral inter – linkages which result in inefficient use of

resources, inappropriate planning approaches, unsustainable urban development concepts,

urban sprawl and informal settlement or slum development MINDFUL that X Municipal

Council in particular is experiencing high rates of population growth and urban growth

demonstrated by the uncontrolled growth and expansion of unplanned informal settlements,

the rising levels of urban poverty, the worsening levels of unemployment and under

employment, the increasing numbers of street children, the escalating crime levels and the

expanding informal sectors;

RECALLING the fact that the world is urbanizing at a very high rate and that it is estimated

that by 2025 the two (2) out of every three (3) persons will be living in urban areas, with Uganda

envisaged to have the highest urban growth rate over the period and that this has a lot of

implications in terms of planning for the needs of the increased urban population;

CONSIDERING that the rate at which urbanization is taking place especially in Uganda calls

for serious attention to tackle the challenges posed by lack of mechanisms that enhance

integrated planning, development and management, lack of cooperation, networking and

collaboration amongst various actors in the urban sector, inadequate resources to implement

urban planning, management and development programmes;

EMPHASISING the need to effectively implement planning legislation in the form of planning

standards, regulations, principles and procedures as well as the aspects of informal settlements

and public involvement in the planning process;

AWARE that it is advantageous to eliminate wasteful resource use, avoid duplication and

enhance bottom-up planning participatory and identification of priorities;

CONSIDERING that sustainable urban development involves ensuring well planned and

managed urbanization process which leads to the development of urban centers in which there

is adequate housing for all with access to safe water, proper sanitation, affordable energy,

sustainable land use, efficient transport system, sound urban economy, quality environment

and adequate disaster and risk management capacity;

RECOGNISING the need to create the X Municipal Development Forum (MDF) as a

permanent forum for networking, sharing and disseminating information, promoting

cooperation amongst various actors in the urban sector to ensure advancement and

sustainability of the MDF network, advocating for prioritization of urban sector issues in the



overall national development agenda and promoting integrated planning and management of

urban growth;

MINDFUL that MDF will have a major role in enhancing broad –based consultations that will

offer stakeholders an opportunity to contribute to the planning process development of

planning policies and planning concept as well as facilitating access to information and

assessment of experiences;

AND FURTHER MINDFULL that MDF will fill the gap that has subjected various actors to

plan and operate in isolation yet all urban system is interlinked;

BEARING IN MIND that we have poor health seeking behaviour,

RESOLVING to act in concert for the establishment of MDF,

THE UNDERSIGNED, AGREE AS FOLLOWS:

ARTICLE 1- ESTABLISHMENT OF THE MDF

1. MDF is Local Urban Forum for all stakeholders in the urban sector that will bring

together individuals and representatives of governmental and non-governmental

institutions, organizations of the urban poor as well as voluntary organizations at the

local level and shall be called X Municipal Development Forum.

2. X Municipal Development Forum will be situated in X municipality drawing

membership from all divisions and other institutions in the municipality including all

stakeholders in the public and private sectors and individuals. The X will be the

geographical boundary and seat for the X Municipal Development Forum- MDF.

Membership to the MDF will consist of individuals and representatives from all the

urban area and other institutions/ organizations. The leadership and management of the

MDF will mainly be composed from the membership through the conveyance of free

and fair elections.

ARTICLE 2- VISION OF MDF

Sustainable urban development through dialogue and participation.

ARTICLE 3 – MISSION OF MDF



To provide a platform for dialogue and participation amongst all stakeholders to influence

policy and legal reforms for sustainable urban development.

ARTICLE 4 - PRINCIPALS OF MDF

MMDF shall be based on the following principles-

a) Collective responsibility of all stakeholders in ensuring sustainable urban development;

b) Integrated planning frame work for sustainable urban development;

c) Effective coordination amongst all urban stakeholders enhances complementarities of

roles;

d) Local cooperation arrangements and networking enhances local capacities and

capabilities;

e) Bottom-up broad -based stakeholder participatory consultations ensures stakeholder

empowerment and ownership;

f) Resource mobilization for sustainable and viable urban development.

ARTICLE 5 - OBJECTIVES OF MDF

The objectives for which MDF is set up are to:-

a) To provide space for dialogue amongst all stakeholders of the urban domain to

influence policy and legal frame work pertaining to planning and management of urban

growth.

b) To increase awareness of stakeholders about collective action to influence the urban

development agenda in X and Uganda as a whole.

c) To promote collaborative applied urban research to find sustainable practical solutions

to critical urban challenges.

d) To improve coordination and networking arrangements among stakeholders in the

urban domain for purposes of exchanging information, knowledge and experiences as

well as mobilizing resources for implementation of urban development programmes.

e) To promote pro-active integrated participatory planning, development and management

of the urban environments amongst urban actors in urban areas.

f) To organize regular conferences and training events for purposes of influencing legal


ARTICLE 6- FUNCTIONS OF MDF

MDF’s goal is to contribute towards the promotion of sustainable development in X Municipal

through enhancing continuous cooperation and networking, advocacy and lobby, research and

training and access to support priority programmes in X Municipality.

a) To monitor the implementation of resolutions pertaining to policy and legal reforms;



b) Compiling information on sustainable urban development initiatives and disseminate it

to stakeholders;

c) Playing a coordinating role in prioritizing identified national and local urban

development initiatives and facilitating sourcing of funding and technical support at all

levels;

d) Enhance broad-based consultations to generate consensus on challenges of urban

growth;

e) Planning and organizing future annual and quarterly fora.

f) Facilitating applied research on planning and management of urban development

issues;

g) Maintaining a website for purposes of disseminating information and best practices and

transferring of knowledge;

h) Undertaking lobby and advocacy campaigns to facilitate prioritizing of urban

development issues on X Municipality, regional and national and great lakes region;

i) Preparing a publicity materials to update members about developments in the urban

sector;

j) Recommend interventions aimed at addressing urban development issues in X

Municipality and Uganda as a whole;

k) Facilitating networking and applied research initiatives;

l) Disseminate and give value added information related to urban development issues

pertinent to X Municipality and Uganda as whole including information on new fields

of research, donor identification and professional exchange and training programmes.

ARTICLE 7- ORGANISATION

MMDF shall have the following organs-

a) The Council;

b) The Executive committee ( to be constituted by the representatives of the stakeholders);

c) The thematic working groups that will be composed by the Executive committee;

d) The Secretariat of MDF.

A. The Council

1. The Supreme authority of MDF shall be the Council which shall also be the General

Assembly of MDF.

2. The membership of the Council shall comprise all stakeholders who may include

a) Division Urban Forum

b) The Executive Committee

c) The Secretariat

d) The stakeholders who will include but not limited to the following;



The government;

The Private sector;

Development partners;

Professional bodies;

CBOs;

NGOs;

The Academia

Media;

Religious leaders;

Opinion/ cultural leaders;

Individuals who share the ideal of the forums.

3. The Council shall appoint the patron as an over seer of MDF.

4. The Council shall hold one annual summit to be held at a date as may be determined by

the committee.

5. A decision of the Council shall be by simple majority of at least 2 third of the members

present at a meeting.

6. The Council shall make appropriate resolutions to be implemented by the respective

stakeholders.

7. The Council shall ensure effective Execution of the functions of the forum.

B. Executive Committee

1. The Executive committee shall be the governing body of MDF.

2. The Executive committee shall be elected by the Council from the general assembly and

shall comprise-

a) The President;

b) The Vice president;

c) The Executive secretary;

d) Nineteen Executive committee members.

The Executive committee will be constituted of 19 Executive committee members from the

stakeholders who will comprise of representatives of the following stakeholders;

a) The government (2)

b) Private sector (3)

c) Development partners (2)

d) CBOs (1)

e) NGOs; (1)

g) SDI (1)

h) The Academia (2)



i) Media (1)

j) Religious institutions (2)

k) Professional bodies (1)

l) Opinion/ Cultural leaders (1)

m) Individuals (2)

3. The Executive Secretary shall be the secretary of the Executive committee and the head

of the MDF Secretariat.

4. The functions of the Executive committee shall be-

a) To implement the decisions of the Council;

b) To coordinate the Council, the Secretariat and the thematic working groups;

c) To supervise the staff of the Secretariat;

d) To oversee the implementation of activities by the Secretariat;

e) Any other functions that the Council may direct.

5. The Executive committee shall meet at least six times a year at the Secretariat of the

Municipal Development Forum or at any other venue that may be agreed to by the

Executive committee.

6. A decision of the Executive committee shall be by simple majority of the members

present at a meeting.

7. A member of the Executive committee shall hold office for a period of two years and is

eligible for re -election for one other term.

8. A person shall cease to be a member of the Executive committee if that person-

a) Tenders a letter of resignation to the Executive committee;

b) Ceases to belong to the institution which he or she represents at the Executive

committee;

c) Is disqualified by the Executive committee or the Council for unprofessional conduct;

d) Dies, or is permanently declared insane.

9. The terms and conditions of service of the Executive committee shall be determined by

the Secretariat.

10. The Executive committee may constitute Thematic Technical working Groups to

undertake in –depth analysis of critical issues and challenges identified in urban

development and propose recommendations for consideration.

D. Secretariat

1. The Secretariat shall be hosted by the X Municipal Council and it shall be headed by the

Executive Secretary who shall also be the accounting officer of MDF.

2. The Executive Secretary shall report to the Executive committee.



3. The Executive Secretary shall be a person knowledgeable in urban development issues

and shall be a Ugandan.

4. The Executive Secretary shall be assisted by an administrator and other staff as the

Executive committee shall determine.

5. The Executive committee shall determine the terms and conditions of service of the

Executive Secretary and the other staff of the Secretariat.

6. The Secretariat shall have the following functions-

a) To implement the decisions of the Executive committee;

b) To coordinate the activities of the Executive committee and thematic working groups;

c) To record and maintain minutes of the Council and the Executive committee and

distribute them to members, as appropriate;

d) To maintain a register of the members and their voting representatives;

e) To act as the linkage between the members and development partners;

f) To coordinate the thematic working groups;

g) To pan and organize meetings, quarterly urban fora and the Annual Urban Summit; and

h) Other functions that the executive committee may assign.

ARTICLE 8- REGISTRATION AND MEMBERSHIP

1. Members shall be registered with MDF after pledging in writing to abide by this charter

and to act in good faith and to the best of their ability in the application of the policies

and procedures established by this charter or by the council and shall indicate their

pledges by affixing to this charter the signature of the person authorized to represent the

member.

2. Membership to MDF shall remain open and anybody who will join MMDF after the

launch shall;

i) Submit a written application to the secretariat.

ii) The executive committee shall review his/her application.

iii) The application shall be subjected to the council for approval.

iv) A written response shall be given to the applicant.

v) A certificate of membership shall be issued to this new member.

ARTICLE 9- FUNDING OF MDF

1. Funds of MDF shall comprise-

a) Proceeds from MDF activities including registration fees from summits organized and

any other moneys realized from subscriptions for the newsletter and other publication;

b) Support from partners including the central government;



c) Contributions from development partners;

d) Donations from members.

ARTICLE 10- REPORTS OF MDF AND STATEMENT OF ACCOUNTS

1. The Secretariat shall prepare quarterly reports of activities of MDF to the Executive

committee and shall include in the report information relating to the finances,

administration and management and the work of the Secretariat.

2. The Executive committee shall, basing on the reports of the Secretariat, and in

conjunction with the Secretariat, submit an annual report to the general assembly of the

Council indicating the work and outputs of MDF for the preceding year, the

administration, financial and management issues, finances, estimates for the proceeding

year, forecasts of MDF in the proceedings financial year.

3. The annual report shall be disseminated to the members of MDF, X Municipal Council,

development partners in Mbarara and the UNUF Secretariat.

ARTICLE 11- AMENDMENT OF CHARTER

1. The Executive committee may submit to the Council proposals for amendment of

provisions of the Charter.

2. This Charter may be amended by the council at the general assembly attended by the

majority of the members present.

ARTICLE 12- DISSOLUTION OF MMDF.

1. MMDF may be dissolved by a resolution of the general assembly passed by 75% of the

members present and the meeting at which the resolution is taken, after a six months

notice to all the members, specifying the proposal for dissolution.

2. In the event of the dissolution of MDF, all debts and liabilities that may have been

legally incurred on behalf of MDF shall be fully discharged and the remaining funds

given to organizations with similar objectives as MDF, as may be agreed to by the

general assembly.

ARTICLE 13- ENTRY INTO FORCE

This charter shall enter into force upon signing by all the members of the council or their

representatives.

ARTICLE 14- DEPOSITIORY AND REGISTRATION



1. This Charter shall be deposited with the Secretariat of MDF which shall submit certified

true copies of the charter to all the members.

2. This Charter shall be registered by the Executive Secretary of MDF, with relevant

authorities or with such other organizations as the Council may determine.

SIGNED AT……………………..on the……………………in the year 2010.

S/N NAME OF

MEMBER/INSTITUTION

NAME AND TITLE OF

REPRESENTATIVE MEMBER/

INSTITUTION

SIGNATURE

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.