Inec / Urban Anna Tufvesson




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Sida


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INEC / Urban
Anna Tufvesson

2006-05-30

























TERMS OF REFERENCE
Part A: Evaluation of co-operation project between Union of Baltic Cities (UBC) and Lake Victoria Region Local Authorities Co-operation (LVRLAC), Inception Phase, 2004-2006
Part B: Rapid Review of Consolidation and Ownership of City Development Strategies in the Lake Victoria Region


1. BACKGROUND
1.1 Regional networking and Co-operation between UBC and LVRLAC
Sida has made a long-term commitment to support the sustainable development of the Lake Victoria region. One of the activities supported by Sida is to establish and develop a co-operation network for the local authorities in the Lake Victoria Basin. LVRLAC is a network organisation founded by the local authorities in the Basin in 1997. Sida has provided funding since 2000 to enable LVRLAC to develop as an organisation, mainly through co-operation with UBC. UBC is a network organisation for cities around the Baltic Sea that has a unique experience of city to city co-operation in a catchment area, within sectors such as institutional development, cultural exchange, environment and more. The objective has been to develop LVRLAC into an effective and active regional organisation for promoting sustainable development at the local level.
The first initial project phase in 2000-2002 was followed by a more structured co-operation in a second phase in 2002 –2004. An external Project Review was commissioned by Sida in 2004. Currently, and up til the end of September 2006, a so called “Inception Phase” is running;
Development objective:To develop, in partnership with Union of Baltic Cities, the competence of LVRLAC as a network organisation and to promote sustainable development of the Lake Victoria Region on democratic principles”

Project objectives:


  1. LVRLAC shall have a well-functioning general secretariat (…) plus country chapter secretariats that are well on their way towards the same capacity level

  2. LVRLAC shall – through its good and unique service delivery and improved internal communication – have an excellent network with active membership (…).

  3. LVRLAC shall have a good strategy, adopted by its Extraordinary General Assembly (2/2005), stating the organization’s vision, mission, goals, strategic directions, (…)

  4. LVRLAC shall have a solid action plan, adopted by its annual general assembly (second half of 2005), (…).

  5. LVRLAC shall, step-by-step, test the capacity of implementing projects and evaluate the outcomes. (…)

  6. LVRLAC shall have a well-functioning Women’s Network and a plan with clear targets and timetable (…).

  7. Following the adopted strategy and utilizing the lessons learnt from the implementation of the action plan, LVRLAC will prepare in co-operation with the UBC the proposal for project phase 3 to be submitted to SIDA”

At a lower level, the project activities are thereafter structured into a number of result areas and work packages.


A project proposal for a new phase of (sharply increased) Sida financial support was submitted in May, 2006, and is expected to take off in October, 2006. While in the previous phases funding has been channelled through UBC, it is expected that LVRLAC will now be a direct agreement partner to Sida.
As an input to the assessment of the project proposal, Sida needs information on the capacity of LVRLAC to adequately plan for and implement the project. There will be two activities contributing to this:

1) A system-based audit of LVRLAC, carried out locally in East Africa by a recognised audit company (see ToRs attached). 2) An evaluation of the current project phase, carried out by an international consultant.


1.3 City Development Strategies
Sida has since 2002 supported a programme aiming at introducing holistic, participatory planning methods in urban settlements on the shores of Lake VIctoria, facilitated by UN Habitat (“City Development Strategies”, CDS). Phase 2 of the programme is coming to an end in June, 2006, while some “bridging funding” will cater for certain activities in the period up til the end of September, 2006.
The overall objective of the CDS Phase 2 is to develop a regional approach to improved urban environment and reduced poverty in the Lake Victoria region. The phase 2 specific objectives are;

  • The implementation of the City Development Strategies in Phase One cities;

  • Establishment of a Lake Victoria Region Urban Development Network (LVRUDN);

  • Forging Links with Other Strategic Partners around the Lake Victoria Region;

  • Awareness raising, lobbying and advocacy at the regional level and mobilizing the necessary resources;

  • Strengthening the role of civil society organizations in sustainable urban development around the lake Victoria Region;

  • Technical Cooperation Support for implementation of region-wide activities for Sustainable Human Settlements Management.

The project has hitherto introduced the methodology of City Development Strategies in six cities:



  • Phase 1: Kisumu (Kenya), Kampala (Uganda), Musoma (Tanzania).

  • Phase 2: Homa Bay (Kenya), Entebbe (Uganda), Bukoba (Tanzania).

A project proposal for a new phase of (sharply increased) Sida financial support was originally submitted in December, 2006, and is expected to take off during the 3rd quarter of 2006.


Having entrusted project implementation to a UN organisation such as UN Habitat, with its own recognised quality assurance systems, Sida has not played a direct role in monitoring the progress of the project. As an input to the assessment of the new project proposal, however, Sida needs some independent information on the success of the project up to date in certain key areas.
1.3 Rationale of a combined study
The two projects mentioned above are key elements of the Sida “portfolio” of region-based support to local authorities in the Lake Victoria region. To a large extent, they support the same organisations, All (6) CDS towns are also prominent members of LVRLAC. The two projects have many common interests at different levels; Networking, developing and sharing of good practices, promotion of participatory planning, good governance, improving access to funding for development projects, environmental concerns, among others. The projects also often experience similar challenges; Lack of political will and implementation capcities, lack of coordination, etc.
Largely in parallell, during 2006, the two projects conclude their second phases, and prepare to enter their third (and possibly/probablyfinal) phases of Sida support. It is obvious that every opportunity should be taken to coordinate the necessary evaluations and assessments, for efficient use of resources at all levels, and for identification of any further opportunities to create synergies between the projects.

2. PART A: EVALUATION OF THE UBC-LVRLAC PROJECT


2.1 Purpose
The purpose of the evaluation is to inform Sida about successes and challenges in previous project phases, in order to:

  • Furnish independent advise to UBC and LVRLAC on how best to operate and on how to best design and implement future projects

  • Prepare a decision about future Sida support to LVRLAC.


2.2 Stakeholder involvement
The main stakeholders in the evaluation are Sida, UBC, LVRLAC, and LVRLAC member authorities. While the evaluation is commissioned by Sida, it is also obvious that conclusions and recommendations will be useful to all stakeholders. They should therefore be involved in:

  • The preparation of ToRs, methodology and work plan (Sida, UBC, LVRLAC)

  • Giving their views on project successes and failures (all)

  • Discussing and commenting on preliminary findings (Sida, UBC, LVRLAC)

  • Receiving the final conclusions and recommendations from the evaluation (all)


2.3 Evaluation questions
The overall questions to be answered are:

  • Whether, for the UBC/LVRLAC Inception Phase, expected outputs have been produced, and project objectives have been achieved.

  • The degree of acceptance of and adherence to key recommendations from the 2004 project review.

Sida in particular needs to know how successful the capacity building of LVRLAC has been. While limiting the scope of this study to the current Inception Phase, it inevitably relates back to the accumulated results of past capacity building efforts. The following table of “Milestones in developing LVRLAC management capacity” from the Inception Phase project document can be used for reference:




Network management

Topic

Goal

Progress schedule

Strategy

Creation and adoption of feasible strategy for the development of the organization

Spring 2005

Action Plan

Creation, adoption and implementation of an effective action plan to implement the strategy and concretely strengthen LVRLAC

Autumn 2005-

Communication strategy and practices

As part of the strategy process, to develop for LVRLAC effective communication strategies and practices to fulfill them

Autumn2005

LVRLAC Newsletter

With regard to above, develop and start a regular newsletter service to LVRLAC members and partners

Summer 2005

Mailing and e-mailing distribution lists and services

Strengthen the traditional and virtual dissemination channels within the organization and towards partners by updating and extending the channels

Summer 2005

Standing Committees

Activate and further develop the structures and activities of the standing committees and the Women’s network

Autumn 2005

Partnership-building

Create new partnerships with other organizations

On-going

Secretariat capacity

Effective secretariat with capable staff and sufficient resources to create and implement the needed management capacity

Autumn 2005

Network evaluation

Capability to regularly analyze and evaluate the services and development potential of LVRLAC

Autumn 2005

Financial management

Topic

Goal

Progress schedule

Financial viability

Effective collection of membership fees, providing for core funding of the organization

Autumn 2005

Network budgeting

Capability to create sound and balanced budgets for the organization

Spring 2005

Network accounting

Transparency, full identifiability of all costs and income

Spring 2005

Financial audit

Organizing successfully annual audits of LVRLAC

Autumn 2005

Project budgeting

Capability to create project budgets fulfilling the requirements of most usual external funding agencies

Autumn 2005

Project accounting

Capability of creating and keeping project accounts with project specific budget lines

Autumn 2005

Financial monitoring and reporting

Capability to monitor and control expenditure on-line and produce regular financial status reports (both network and projects)

Spring 2005

Project management

Topic

Goal

Progress schedule

Identification of project needs

Capability to identify the needs of the LVRLAC members

Summer 2005

Feasibility analysis

Capability to analyze the potential of LVRLAC to respond to members respective needs by projects

Autumn 2005

Identification of useful funding sources

Capability to identify and analyze internal and external funding sources for project implementation

Autumn 2005

Project planning

Creating feasible project plans – responding to members needs, network’s potential and availability of funding

Autumn 2005

fund-raising

Creating and submitting feasible funding applications to specific and/or open calls of funding agencies, plus capability to effectively liaite and negotiate with funding agencies

Autumn 2005

Project implementation

Capability to (independently) effectively implement, evaluate and report the projects

2006

Project policy (and follow-up)

Creation of a (cyclic) project policy as part of LVRLAC Action Plan

Autumn 2005

In addition, the successes and challenges in the following areas are of particular interest to Sida:



  • Networking and communication; Their true extent, their reach, and their relevance at various levels, both as concerns local authority capacity building, and project implementation (planning and monitoring).

  • Gender mainstreaming and action

  • Partnerships and collaboration mechanisms such as those with UBC, Globe Tree, SIPU, UN Habitat, EcoVic, and others.

  • Environment Pedagogic Centres (EPCs), which have been proposed for wider replication in future projects.

  • Member authority (beyond the LVRLAC focal persons):

    • recognition and appreciation of LVRLAC,

    • involvement in LVRLAC project planning and monitoring.

  • Existence and appropriateness of procedures for micro-project planning and implementation.


2.4 Recommendations and lessons
The evaluation shall give forward-looking recommendations for each of the above priority areas. Particular emphasis shall be given to identifying the most successful methods of capacity building of LVRLAC.
Any opportunities for creation of further synergies with the CDS project shall be identified.
2.5 Methodology
The Consultant shall develop and propose the methodology to be used, using the indicative guidelines below. It is expected that the work shall consist of:

  • Review of documentation (see the attached list of documents)

  • Field work for verification and for collection of complementary information and views

Field visits should be made to:



  • LVRLAC Secretariat in Entebbe.

  • Three (3) LVRLAC National Chapters (sub-secretariats), located in Kisumu (Kenya), Jinja (Uganda) (check!) and Mwanza (Tanzania).

  • Six (6) LVRLAC member authorities.

  • UBC Environment Commission in Åbo, Finland

The LVRLAC member authorities visited should include the three (3) ones selected for the CDS study (see below). These are all large or medium size urban centres, with long standing membership in LVRLAC. In addition, one more rural based/ more recent member authority in each country shall be selected and visited. The Consultant should consider to include one or more member authority having an EPCs; The first EPC was set up in Kisumu.


Due to time constraints, it is possible that the field visit to UBC in Åbo can not take place. If not, the Consultant shall propose alternative mechanisms of collecting views and information from UBC.
Field work methods proposed to be used include:

  • Key informant interviews

  • Semi-structured group discussions

  • Retrieval of physical proof of communication within LVRLAC

  • Collection of other relevant data and documentation

Key informant interviews are expected to include but not be limited to:



  • Sida (Stockholm and Lake Victoria Initiative (Embassies of Nairobi and Kampala))

  • UBC Environment Commission

  • Members of LVRLAC’s Executive Committee

  • Staff of LVRLAC Secretariat

  • LVRLAC focal points in member authorities

  • Other key staff in LVRLAC member authorities (including also those not directly involved in LVRLAC activities)

  • Representative(s) of LVRLAC’s Women’s Network

  • The local consultant who will have carried out the System Based Audit of LVRLAC (expected in July, 2006).

The Consultant shall consider if and how to inform informants and organisations on beforehand and request them to prepare their inputs to the evaluation in various ways.



3. PART B: RAPID REVIEW OF THE CDS (UN HABITAT) PROJECT
3.1 Purpose
The purpose of the rapid review is to give Sida an independent snapshot of the degree of progress and success of the project, in order to prepare a decision about future Sida support.
3.2 Stakeholder involvement
The main stakeholders in the rapid review are Sida, UN Habitat, and participating cities (including local authorities and CSOs). While the rapid review is commissioned by Sida, it is also obvious that conclusions and recommendations will be useful also to others, in particular to UN Habitat. They should therefore be involved in the preparation of ToRs, methodology and work plan, give their views on project successes and failures, discuss and comment on preliminary findings, and receive the final conclusions and recommendations from the review.
3.3 Review questions
One major indicator will be reviewed; The extent to which the CDS approach is owned by the participating cities. Three questions warrant answers:

  • To what extent the CDS (process and product) is widely known in the cities

  • To what extent the CDS document is actually recognised as a guide for all development interventions in the city (including externally funded projects)

  • To what extent the CDS approach (planning methodology) has been taken up as “standard” in the cities


3.4 Recommendations and lessons
The rapid review will limit itself to conclusions on the degree of ownership of the CDS approach by the participating cities. It should further identify, recognise and document the differing characteristics of the selected cities, and their differing history of participation in the project, and the conclusions should be made in this perspective.
Any opportunities for creation of further synergies with the CDS project shall be identified.
3.5 Methodology
The Consultant shall develop and propose the methodology to be used, using the indicative guidelines below. It is expected that the work shall consist of:

  • Review of documentation (see the attached list of documents)

  • Field work for varification and for collection of complementary information and views

The methodology for the rapid CDS review shall form an integral part of the one developed for the LVRAC evaluation described above (section 2).


Field visits should be made to:

  • Three (3) out of the six (6) CDS cities. One city in each country shall be selected. Both “Phase 1” and “Phase 2” cities shall be represented among them.

Key informant interviews are expected to include but not be limited to:



  • Sida (Stockholm and Lake Victoria Initiative (Embassies of Nairobi and Kampala))

  • UN Habitat (Nairobi)

  • CDS focal points in the selected cities

  • Other key government staff in the selected cities (including also those not directly involved in CDS activities)

  • Representative(s) of at least one concerned CSO in each of the selected cities.



4. WORK PLAN AND SCHEDULE
It is expected that at least 80% of the Consultant’s time shall be spent on Part A, and the remaining time on Part B.
The Consultant is expected to perform part of the work (approximately 10-12 days) in Lake Victoria Region. If possible, part of the work (approximately 2 days) will be spent in Åbo, Finland. The Consultant is also expected to visit Stockholm at least once to present the results of the study.
The field work in Lake Victoria region is expected to commence no later than August 1st, 2006. On July 28th, 2006, LVRLAC holds its Annual General Assembly in Mwanza, Tanzania. The Consultant may propose to attend this event, in order to get exposed to LVRLAC members, steering organs and working practice. It is however not recommended to undertake other field work in the region before this date, due to the expected unavailability of key LVRLAC staff.
Preparatory work should begin as soon as possible, however not before July 1st due to expected submission dates of certain key progress reports.
Draft reports (Part A and Part B) are expected to be submitted to Sida no later than Friday 25th of August. Sida, UBC/LVRLAC and UN Habitat shall thereafter provide comments within two weeks. Final reports shall thereafter be prepared within one week.
The following shall be developed by the Consultant and discussed with Sida before proceeding with the field work:

  • Final methodology and evaluation questions

  • Details of the work schedule, including the programme for field work

The following shall be contributed by Sida:



  • Consultations and information sharing with all relevant stakeholders on the purpose and work plan of the evaluation/review before commencement of work

  • All basic documentation concerning the projects before the start of the assignment (see tentative list attached)

  • Introductory letters and contact addresses to Sida, LVRLAC Secretariat and Un Habitat.

  • Feedback on proposed work schedules and draft reports

The following will be contributed by the project implementing organisations (UBC/LVRLAC and UN Habitat) upon timely request:



  • Names and contact addresses of organisations and individuals

  • Any complementary information necessary (through documentation or interviews)

  • Feedback on proposed work schedules and draft reports



5. REPORTING
Two separate reports shall be prepared for Part A and Part B respectively.
The contents of the Part A report shall:

  • Consider the report format in Sida’s Evaluation Manual, Annex B

  • Reflect the areas of particular interest to Sida (see sections 2.3 and 2.4 above)

  • Be presented along with a completed Evaluations Data Work Sheet

  • Not exceed 30 pages, including an Executive Summary not exceeding 2 pages

The contents of the Part B report shall:



  • Reflect the areas of particular interest to Sida (see sections 3.3 and 3.4 above)

  • Not exceed 10 pages, including an Executive Summary not exceeding 1 page.



6. EVALUATION TEAM
The work shall be carried out by one or two consultants.
The Consultant shall possess the following qualifications:

  • Experience from development co-operation projects in Africa (planning and implementation)

  • Experience from evaluations or reviews

  • Proven good communication skills

  • Fluency in the English language

  • Experience from working with local authorities, and.

  • Experience from working with organisational development and / or management issues in public institutions

It is also considered a merit if the Consultant has knowledge of the Lake Victoria region, experience of working with local authorities associations, experience in urban development planning, as well as knowledge of Sida.



7. BUDGET
The ceiling amount is SEK 300 000 including reimbursable expenses.

8. ATTACHMENTS
1. Tentative list of documents

2. ToRs for System-based audit of LVRLAC


Attachment 1: Tentative list of documents
On UBC/LVRLAC:

  1. Draft (at least) Report from the System-Based Audit of LVRLAC (expected by the end of July, 2006)

  2. Draft Inception Phase Completion Report (UBC/LVRLAC, expected by the end of June, 2006)

  3. Minutes from the Project Review meeting in Jinja, April 2006 (not yet available)

  4. Draft Project Proposal for the next phase of Sida support (LVRLAC, version May 2006)

  5. Draft LVRLAC Action Plan (LVRLAC, version March 2006, or updated version whenever such is prepared)

  6. Cumulative progress report for the Inception Phase (UBC/LVRLAC, March 2006)

  7. LVRLAC Strategic Plan (LVRLAC, 2005)

  8. Project document for the Inception Phase (including LFA and budget)(UBC/LVRLAC, 2005)

  9. Internal assessment memos for the Inception Phase (Sida, 2004-06)

  10. Final report of Phase 2 of the UBC/LVRLAC cooperation project (UBC/LVRLAC, 2005)

  11. Report of the external Review of the project (2004)

On CDS:


  1. 2nd Draft Project Proposal for the next phase of Sida support (UN Habitat, May 2006)

  2. Cumulative progress report for Phase 2 (UN Habitat, 2006)

  3. Performance analysis of CDS Phase 2 (desk review) (Sida, 2006)

  4. CDS documents for each of the three selected cities (draft or final versions, as available)

  5. Project document for Phase 2 (UN Habitat, 2003)

  6. Internal assessment memos for Phase 2 (Sida, 2003-06)

  7. Final report of Phase 1 (UN Habitat, 2004)

  8. Report of the external Review of the project (2004)

  9. Some other document (from UN Habitat?) analysing the degree of consolidation of CDSs in the respective cities

On Sida:


  • Strategy for Swedish support to the Lake Victoria Basin 2004-2007.

  • “Looking back, moving forward: Sida Evaluation Manual”, 2004







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