ETHIOPIA: SECOND URBAN INSTITUTIONAL AND INFRASTRUCTURE DEVELOPMENT PROGRAM

(UIIDP-II)
INSTITUTIONAL AND CB DATA COLLECTION FOR ULGs (EXISTING UIIDP ULGs) FOR PLANNING AND
IMPLEMENTING CAPACITY BUILDING [Format 01A]

The capacity building for UIIDP-II will follow a bottom-up approach, first in identifying capacity gaps
of the ULGs, identifying demand side of the capacity building and supplementing with mandated
supply side capacity supports to be provided by the regional and federal levels. The Institutional data
collection of ULGs will be the first step towards designing a new program which will provide
maximum support in building their capacities that will help them perform their roles successfully and
achieve performance milestones for qualifying performance measures. This format is for data
collection of the ULGs currently implementing UIIDP I.

Objectives of data collection

The purpose of the data collection is to identify the current status of performance of ULGs with a
view to: (i) identify the critical capacity gaps in achieving the performance measures; (ii) as an
internal learning mechanism for the ULG management to gear up performance; and (iii) develop a
capacity building plan as a road map for planning and implementing capacity building for the ULG,
and to identify support required towards a more sustainable finance strategy.

Process Steps
The institutional data collection will be carried out by the ULG core staff facilitated by RMT/APA
team. The facilitation team carrying out the data collection will be oriented on the format and
smoother facilitation of the process. The initial orientation will also help pilot the data collection in
one or two ULGs as part of action learning. Involvement of the ULG leadership, administrative
leaders and core staff are required for the successful data collection. The data collection will be
facilitated across the ULGs by RMTs/APA consultants.

The data collection Tool

The institutional and CB data collection tool is given in 10 tables and the summary data is in Table
10. The data collection will be carried out for the 12 main thematic areas of ULG performance. The
summary information in Table 10 is grouped in four key result areas: (i) Institutional Performance;
(ii) Service Delivery Performance; (iii) Performance on LED urban resilience and gender
mainstreaming; and (iv) Human Resources Management. For each of the result areas, the indicators
based on which data collection will be carried out are drawn from MCs, PMs and other indicators.
Please note that this will be supplemented by the more quantitative excel sheet circulated to all
regions and ULGs with fiscal data on project implementation capacity.

For each of the indicators, the data collection will be done based on five parameters of: (i)
availability and adequacy of guidelines and systems; (ii) availability of updated training modules and
capacity building curriculum; (iii) adequacy and availability of technical assistance and on the job
support ; (iv) existence of opportunity for learning from peers including neighboring ULGs; and (v)
enabling support from the thematic institutions at region/federal level mandated with roles to
support in the specific area.

1
1. Basic Information about the ULG

Name of the ULG Merawi

The ULG City Grade 3

2. UIIDP Capacity Building Budget Execution in the last 4 years

Sl. Types of CB EFY 2011 EFY 2012 EFY 2013 EFY 2014
No. support Plan Exe Plan Exe Plan Exe Plan Exe
Total amount of
Performance grant 100,000 99,752 235,870 235,870 1,441,804 1,441,601.61,845,7671,845,652
accessed
1 Training 60,000 59,752 71,629 71,629 925,245.50925,245.5 1,385,5371,385,537
2 Consultancy - - - - - - - -
3 Goods 40,000 40,000 164,241 164,241 516,558.50516,356.1 460,230 460,115
4 Any other - - - - - - - -
(specify)
Total CB outlay 100,000 99,752 235,870 235,870 1,441,804 1,441,601.61,845,7671,845,652

3. Organization and management of UIIDP at ULG Level-Critical challenges in Implementation

Indicate Critical Institutional and implementation challenges

UIIDP
Sl. coordination Executive
Mayor City Manager
No. Thematic Areas Team (Focal Bodies
group)
1 Governance Issues-Person Turn Turn over
over, Succession planning, focal and
Operational policies not giving
attention
in a short
Managers Turn for uiidp
periods Turn
over within a short work
over problem
periods of time because for
with of time
some focal
it is
additional
work
2 Lack of attentions
for community
Planning and consultation
Budgeting leaving only for
UIIDP
coordination team
3 Need of CB Need 0f
budget to use to use budget for
CB Performance
for other other purpose
purposes
4 Not giving attention Not giving - Not giving
allocating budget for data attention attention
collection and registration allocating man allocating budget
Asset Management
power and budget for data collection
for data collection and registration
and registration
5 Lack of
Lack of utilizing utilizing
budget on time budget on
Public Financial Management
me

6 Procurement - Not
order

2
 project
Procure
ment
on time

7 - Luck of giving Luck of giving attention

attention for for revenue collection
revenue collection by supporting capacity
by supporting building budget or not
Own Source Revenue Enhancement
capacity building enough budgets to
budget or not encourage REP.
enough budget to
encourage REP.
8 Accountability and Transparency -

9 Un willingness to pay Un willingness to -

compensation pay
compensation
Environment and Social Safeguard Lack on
involvement
project site
selection on time
10 - Sometimes -
not giving
attention
Land Management and Urban
for plan
planning
when
constructing
projects
11 Site selection Site selection
problem not cleared sites problem not
Infrastructure selected for instance, cleared sites
electric poles selected instance
electric poles
12 Local Economic Development
13 Unwillingness of Not
allocating budget for allocati
training ng
Disaster Risk Management
budget
for
training
14 Lack of allocating enough - - -
Gender Main Streaming
budget
15 Service Delivery Not much
given attention
for service
delivery
16 Not giving attention for Not
HRM development giving
Human Resources attentio
n for
Management HRM
develop
ment

4. Most important supports required for smooth functioning

Indicate support required from different levels

Sl. Steering Technical
Line Bureaus RMT
No. Thematic areas Committee Committee
1 Planning CIP and Technical
and budget support
Budgeting training from RMT
from
urban

3
 and
infrastrue
bureau
2 Needs training Needs TA
CB Performance
RMT
3 Needs training Needs TA
Asset Management
from RMT
4 Public Financial Needs training Needs from TA
Management RMT
5 Needs training Needs TA Supporting
deciding to
Procurement organize
enterprises
on time
6 Training by different Needs TA -
aspects by capacity from RMT
Own Source Revenue
building budget that
Enhancement
helps to improve
revenue collection.
7 Accountability and Training Needs TA from RMT -
Transparency
8 Enough training from Technical
Environment and Social environmental training from -
Safeguard protection bureau RMT

9 Technical Technical
Land Management and training training -
Urban planning from plan from RMT
institution
10 Technical -
Infrastructure training
from RMT
11 Local Economic -
Development
12 HRM structure Technical GIS Giving attention
Disaster Risk
from bureau and training from for training
Management
zone RMT budget for DRM
13 Support from Giving -
women’s and attention
children’s affairs for training
Gender Main Streaming
bureau by giving enough
training budget for
gender
14 Supporting by giving -
Service Delivery
training
15 Supporting by giving Giving -
training attention
Human Resources for training
Management enough
budget for
HRM

5. UIIDP Capacity building support Directly facilitated by the ULG in 2014 (Demand side
programs)

4
 Details of each CB Modality carried out
Sl.
Thematic areas Details Technical Experience Guideline and
No. Training
Assistance Sharing systems
No. of - - 1 -
events
No. of - - 1 -
Planning and persons
1
Budgeting benefitted
Overall rating Good Average Poor Good Average Poor GoodAverage Poor Good Average Poor
(Put tick
mark) 
No. of 18 1
events
No. of 908 3
CB persons
2
Performance benefitted
Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
(Put tick
mark)  
Asset No. of - 1 - -
Management events
No. of - 5 - -
persons
3 benefitted

Good Average Poor Good Average Poor Good Average Poor Good Average Poor
Overall rating
(Put tick 
mark)

No. of 1 - 1 -
events
No. of 20 - 3 -
Public Financial persons
4
Management benefitted
Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
(Put tick
mark)
No. of 1 - 1 -
events
No. of 32 - 3 -
Procurement persons
5
benefitted
Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
(Put tick
mark)  
No. of 1
events
Own Source No. of 1
Revenue persons
6
Enhancement benefitted
Good Average Poor Good Average Poor Good Average Poor Good Average Poor
Overall rating
(Put tick 
mark)

7 Accountability No. of 1
and events
Transparency No. of 3
persons
benefitted

5
 Details of each CB Modality carried out
Sl.
Thematic areas Details Technical Experience Guideline and
No. Training
Assistance Sharing systems
Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
(Put tick
mark)
No. of 1
Environment events
8 and Social No. of 2
Safeguard persons
benefitted
Overall rating Good Average Poor Good AveragePoor Good Average Poor Good Averag Poor
(Put tick e
mark)

No. of 1 1
events
Land No. of 2 2
Management persons
9
and Urban benefitted
Planning Overall rating Good AveragePoorGood AveragePoor Good Average Poor Good AveragePoor
(Put tick  
mark)
No. of 1 1
events
No. of 36 1
10 Infrastructure persons
benefitted
Overall rating Good Average Poor Good AveragePoor Good  Average Poor Good AveragePoor
(Put tick
mark)

No. of 1 1
events
No. of 1 20
Local persons
11 Economic benefitted
Good Average Poor Good AveragePoor Good Average Poor Good AveragePoor
Development
Overall rating  
(Put tick
mark)

No. of - - 1
events
No. of - - 3
Disaster Risk persons
12
Management benefitted
Overall rating Good Average Poor Good AveragePoor Good Average Poor Good AveragePoor
(Put tick  
mark)

No. of 4 4 1
events
No. of 131 96 1
Gender Main persons
13
Streaming benefitted
Overall rating Good Average Poor Good AveragePoor Good Average Poor Good AveragePoor
(Put tick   
mark)
Service No. of - - - -
14
Delivery events

6
 Details of each CB Modality carried out
Sl.
Thematic areas Details Technical Experience Guideline and
No. Training
Assistance Sharing systems
No. of - - - -
persons
benefitted
Overall rating Good Average Poor Good AveragePoor Good Average Poor Good AveragePoor
(Put tick
mark)
No. of
events
Human No. of
15 Resource persons
Management benefitted
Overall rating Good Average Poor Good AveragePoor Good Average Poor Good AveragePoor
(Put tick 
mark)

6. CB Support received from the UIIDP Regional Mobile Team/Federal Team 1 in 2014 (Supply side
programs)

Details of each CB Modality carried out

Sl. Thematic
Details Experience Guideline and
No. areas Training Technical Assistance
Sharing systems
No. of events 1 2 - -
No. of 1 1 - -
persons
Planning and benefitted
1
Budgeting Overall rating Good Average Poor Good Average Poor Good Average Poor GoodAverage Poor
(Put tick mark)  
Suggestion for -
Improvement
No. of events 1 2 -
No. of 20 -
persons
benefitted
Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
(Put tick mark) 
Giving attention for -
training before work
CB begins. And computer
2 skill training isn’t given
Performance
please give attention for
the future
Suggestion for Training at federal level
Improvement is basic but not given
last year please give
attention.
At the end working on
HRM is basic specially
on leadership training
for uiidp leaders
3 Asset No. of events 1 1 -
Management No. of -
persons 1 1
benefitted
Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
(Put tick mark)   

7
 Details of each CB Modality carried out
Sl. Thematic
Details Experience Guideline and
No. areas Training Technical Assistance
Sharing systems
Throughout 4yrs Federal MT should
the federal mobile give technical
team did not give assistance regarding
Suggestion for training for AMP Arc GIS software,
Improvement Focal, hence please and experience
give attention. sharing with other
best cities in
Ethiopia.
No. of events 1 1 1
No. of 1 1 1
Public persons
4 Financial benefitted
Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
Management
(Put tick mark)   
Suggestion for
Improvement
No. of events 1 2 1
No. of 3 2 2
persons
Procurement benefitted
5
Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
(Put tick mark)   
Suggestion for
Improvement
No. of events 1 2 1
No. of 1 1 1
Own Source persons
Revenue benefitted
6
Enhancement Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
(Put tick mark)
  
Suggestion for
Improvement
No. of events 1 2
No. of 3 3
Accountability
persons
7 and
benefitted
Transparency
Overall rating Good Average Poor Good Average Poor Good Average Poor Good Average Poor
(Put tick mark) 
Needs attention for
Suggestion for the future by
Improvement giving training and
TA
No. of events 1 2
No. of 2 2
persons
Environment benefitted
8 and Social Overall rating Good AveragePoor Good Average Poor Good Average Poor Good Average Poor
Safeguards (Put tick mark)
 
Suggestion for
Improvement
9 Land No. of events 1 2
Management No. of 2 2

8
 Details of each CB Modality carried out
Sl. Thematic
Details Experience Guideline and
No. areas Training Technical Assistance
Sharing systems
persons
benefitted
Overall rating Good Average Poor Good Average Poor Good AveragePoor Good Average Poor
(Put tick mark) 
Suggestion for
Improvement
No. of events 1 2 1
No. of 1 1 1
persons
10 Infrastructure benefitted
Overall rating Good Average Poor Good Average Poor Good AveragePoor Good Average Poor
(Put tick mark)   
Suggestion for
Improvement
No. of events 1 2
No. of 1 1
persons
Local Economic benefitted
11
Development Overall rating Good Average Poor Good Average Poor Good AveragePoor Good Average Poor
(Put tick mark)  
Suggestion for
Improvement
No. of events 1 2
No. of 3 3
persons
benefitted
Disaster Risk
12 Overall rating Good Average Poor Good Average Poor Good AveragePoor Good Average Poor
Management
(Put tick mark)  
GIS training and
Suggestion for
computer skill
Improvement
needs attention
No. of events 1 2
No. of 1 1
persons
Gender Main benefitted
13
Streaming Overall rating Good Average Poor Good Average Poor Good AveragePoor Good Average Poor
(Put tick mark)  
Suggestion for
Improvement
No. of events - 2
No. of - 3
persons
Service benefitted
14
Delivery Overall rating Good Average Poor Good Average Poor Good AveragePoor Good Average Poor
(Put tick mark) 
Suggestion for
Improvement
15 Human No. of events - - - -
Resource No. of - - - -
Management persons
benefitted
Overall rating Good Average Poor Good Average Poor Good AveragePoor Good Average Poor
(Put tick mark)

9
 Details of each CB Modality carried out
Sl. Thematic
Details Experience Guideline and
No. areas Training Technical Assistance
Sharing systems
Giving attention for Giving attention for TA Attention IS not given
Suggestion for training with budget for HRM Experience
Improvement sharing give attention
for the future.
1. Those ULGs directly supported by FMT

7. Details of CB Support Received from the UIIDP Regional Implementing Agencies (RIA) in 2014

No. Rating Suggestions

Sl. Type of No. of
Name of of Good Average Poo Total for
No CB beneficiari Duration
Agency event r Cost Improveme
. support es
s nt
Environmen Training 1 9 5days  41572
tal Consultan -
1 protection cy
authority Goods -
Any other -
women and Training 2 1 7days  7250
children’s Consultan
2 affairs cy
Goods
Any other
Anti- Training 1 5 days  4550
corruption Consultan
3 Bureau cy
Goods
Any other
Finance and Training 10 5days  46180
economy Consultan - - - -
4 bureau cy
Goods
Any other
Audit Training 3 5days  13650
bureau Consultan
5 cy
Goods
Any other

8. CB support facilitated by the ULG’s non-UIIDP funding for EFY 2014

Sl. Name of Type of CB No. of No. of Duration Rating Total Suggestions for
No. Agency support events beneficiaries Good AveragePoor Cost Improvement
1 Training - - - - -

10
 Consultancy
Goods
Any other
Training - - -
Consultancy
2
Goods
Any other
Training - - -
Consultancy
3
Goods
Any other
Training - -
Consultancy
4
Goods
Any other - -
Training
Consultancy
5
Goods
Any other

9. Suggestions on most preferred Capacity support

Indicate Rank Order for the most Preferred CB Modality
Sl. Most preferred (indicate 1 for the most preferred, 2 for the next and so on)
Key Functional Area
No. agency 1 Hands on Modules / Peer to Others specify
Training
TA Curriculum Peer
1 Planning and RMT 1 2 3 4
Budgeting
2 CB Performance RMT 1 2 3 4
3 RMT and 1 2 3 4
Asset Management
federal MT
4 Regional 1 2 3 4
Public Financial finance
Management bureau and
RMT
5 Procurement RMT 1 2 3 4
6 Revenue 1 2 3 4
Own Source Revenue
bureau and
Enhancement
RMT
7 Accountability and RMT 1 2 3 4
Transparency
8 Environment and REPA bureau 1 2 3 4
Social Safeguard
9 Land Management Plan institute 1 2 3 4
and Urban planning and RMT
10 Infrastructure RMT 1 2 3 4
11 Local Economic RMT 1 2 3 4
Development
12 Disaster Risk RMT 1 2 3 4

11
 Management
13 Women’s 1 2 3 4
Gender Main
Streaming
affairs and
RMT

14 Bureau of 1 2 3 4
Service Delivery urban and
infrastructure
and RMT
15 Human 1 2 3 4
Human Resources
resource
Management
bureau
1
on-site teams/RMT; RIA; Federal Agencies; University (specify); Others (specify)

10. Summary CB Information

Based on the data collected in Table 1 to 9 and as a group exercise workshop involving key
functionaries of the ULG the summary CB information will be collected in Table 10. The summary
situation will be stated in two modes: (i) record in the form of one or two bullet points the most
important highlight of the indicator being assessed; and (ii) based on the information recorded color
code the cell with green, amber and red color indicating traffic lights status. The green indicates that
the ULG is almost self-sufficient in terms of capacity for that particular aspect of the indicator, amber
indicates that some capacities exist but need external support and red indicates less than adequate
current situation and require all round capacity support. An example of filling in the summary
information is given below:

APA Score Enabling support

Learning sharing
ACPA Minimum Conditions/ Performance (existing ULG)/ Guidelines and Training Module/ Technical from responsible
Focus Area and Knowledge
measure/ indicator current status Systems CB Curriculum assistance Regional/Federal
exchange
(new ULG) Entity
 Citizen
0  One module on  Visited
Planning and engagement  No handholding  Two regional
Participation of citizens in the planning process  No citizen citizen neighbouring ULG
Budgeting framework in yet workshops held
meeting engagement for learning
place

The format for recording summary CB information is in Table 10.

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 Table 10: Summary CB Information
Key Result Area-I: Institutional Performance
Enabling support
Learning sharing
ACPA Minimum Conditions/ Performance measure/ Guidelines and Training Module/ Technical from responsible
Focus Area Last APA Score and Knowledge
indicator Systems CB Curriculum assistance Regional/Federal
exchange
Entity
No module-on
CIP with AAP, Annual budget, Annual Procurement plan, Visited neighboring
3 CIP manual citizen RMT support Training
Asset Management plan and REP ULG for learning
Planning and engagement
Budgeting Participation of citizens in the planning process 1
Budget Appropriation 3
Capacity Building performance 2
Asset Training
Visited neighboring
Asset Asset Management Plan 4 management No module RMT support ULG for learning
Management manual
Asset Inventory 6
Visited neighboring Training
Accounting and timely reporting 4 FMGT manual No module RMT support ULG for learning
Use of Ibex 2
Monthly cash and Bank Reconciliation 2
Public Financial
Management Audit opinion 3
Audit compliance 2
Internal Audit 3
Fixed asset and Stock Management 4
Procurement Visited neighboring Training at regional
Annual Procurement Planning 2 No module RMT support
manual ULG for learning level
Procurement Individual Procurement Transactions 8
Procurement Outcomes 5
Visited neighboring Training at regional
Updated REP 2 REP manual No module RMT support
ULG for learning level
Own-source
Revenue Increase in Revenues 3
Enhancement Revenue Planning 2
ULG co-funding 3
Accountability Standards guide Visited neighboring Training at regional
Municipal Services Delivery 6 No module RMT support
and lines ULG for learning level
Transparency Public Dissemination of Information 3

13
 Submission of quarterly Progress Report 1

Citizen complaint system 1

Environmental Training at regional

Visited neighboring level
Environment Screening of Capital projects 3 and social guide
No module RMT support ULG for learning
and Social lines
safeguards
Preparation of ESIAs, ESMPs, RAPs 3
Implementation of RAP 4
Visited neighboring Training at regional
Land, Land mgt guide ULG for learning level
Statutory structure plan/ Expansion Plan 5 No module RMT support
Management lines
and Urban Effective Land Management 5
Planning

Key Result Area-II: Service Delivery Performance

Learning Enabling support
Training
ACPA Minimum Conditions/ Performance measure/ Guidelines and Technical sharing and from responsible
Focus Area Last APA Score Module/ CB
indicator Systems assistance Knowledge Regional/Federal
Curriculum
exchange Entity
Visited
Urban Urban neighboring ULG
Training at regional
Infrastructur Progress of implementation of physical targets in the CIP infrastructure No module RMT support level
for learning
e manual
Maintenance Plan 10
Maintenance
Maintenance Budget 10
Performance
Actual Maintenance 10
Quality of VfM audit 24.21
Infrastructur
Implementation of previous VfM audit recommendations 5
e

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Key Result Area-III: Performance on LED, Urban Resilience and Gender Mainstreaming
Learning Enabling support
Training
ACPA Minimum Conditions/ Performance measure/ Guidelines and Technical sharing and from responsible
Focus Area Last APA Score Module/ CB
indicator Systems assistance Knowledge Regional/Federal
Curriculum
exchange Entity
Visited neighboring Training at regional
Job Creation 20 LED manual No module RMT support ULG for learning level
Local
Economic
Development Public, Private Dialogue 10
Micro, small enterprises 10
Visited neighboring
Risk maps for DRM 12 DRM manual No module RMT support ULG for learning Training at regional
Urban level
Resilience Emergency Response Institutional Structure 8
ERP 10
Gender Visited neighboring
Women’s voice and rights 7 mainstreaming No module RMT support ULG for learning Training at regional
Gender level
Mainstreamin manual
g Women gender mainstreaming system 13
Economic empowerment 10

15
Key Result Area-IV: Human Resources Management
Learning Enabling support
Training
ACPA Minimum Conditions/ Performance measure/ Guidelines and Technical sharing and from responsible
Focus Area Last APA Score Module/ CB
indicator Systems assistance Knowledge Regional/Federal
Curriculum
exchange Entity
All minimum Visited neighboring
Staffing/HR Availability of Staffing plans (sanctioned strength, ULG for learning Training at regional
condition are HRM manual No module RMT support
level
plans available strength) based on organizational assessment
100% fulfill
Job Description for each positions showing skills and
Job competencies
Descriptions ToR including deliverables as part of staff engagement
signed
Performance Staff self-assessment
Appraisal Supervisor assessment of performance

16