Report of the Evaluation of the Sustainable
Sri Lankan Cities and
Urban Governance Support Projects
The Team
R.B. Morapaya
T.G. Wijeratne
M. Dewasurendra
October – November 2005
Contents
Page
1
Executive Summary
1. Introduction to the study
1.1 The Team
1.2 The Time
1.3 The Objectives of the Study
1.4 The Method and the Approach
2. The Program Context
2.1 Logic of intervention
2.2 Conceptualization
2.3 Design
2.4 Changing Context of the Project
3 The Program Content
3.1 Phase I
3.2 Phase II
3.3 Phase III
4. The Program Outcome Analysis
4.1 The approach
4.2 Outcomes at National level
4.2.1 The Technical Support Unit (TSU)
4.2.2 Ministry of Urban Development
4.2.3 UN Agencies\ International Networking
4.3 Outcomes at Local Government Agency level
4.3.1 The Approach
4.3.2 Capacity Development
4.3.2.1
Knowledge Development
4.3.2.2
Skills Development
4.3.2.3
Attitudes
4.3.2.4
Assets created
4.3.3 Institutional Development
4.3.3.1
Approach
4.3.3.2
City Profiles
4.3.3.3
City Consultations
4.3.3.4
City Development Committees
4.3.3.5
Participatory Budgeting
4.3.3.6
Corporate Plans
4.3.3.7
Strategic Vision
4.3.3.8
Poverty Focus MDGs
4.3.3.9
Log Frame Analysis
4.3.3.10 Monitoring and Evaluation
2
4.4 Community level
4.4.1 The Demonstration Projects
4.4.2 Application of Knowledge and Tools
4.4.3 Attitude and Assets Creation
4.4.4 Institutionalization, Continuity and Sustainability
4.5 Training
4.6 Documentation
5. Overall Findings
6. Outcome Review
7. Lessons Learnt
7.1 Community Level
7.2 Local Government Agency Level
7.3 National Level
8. Recommendations
8.1 The Basis for Recommendations
8.2 The Recommendations
Annexes
1. List of References
2. List of People Consulted
3. Terms of Reference
ACRONYMS & ABBREVIATIONS
1.
2.
3.
4.
5.
6.
7.
ADB
CBO
CDC
CDS
DCB
ERD
EPM
-
Asian Development Bank
Community Based Organizations
City Development Committee
Community Development Society (Praja Mndalayas)
Decentralized Budget
External Resources Department
Environmental Planning Management
3
8. GOSL
9. GIS
10. IFAD
11. ITDG
12. ILO
13. IRDP
14. JICA
15. LFA
16. NORAD
17. NGO
18. MARGG
19. M&E
20. MC
21. MDTUS
22. MDGS
23. EMIS
24. MUD&PU
25. MPC&LG
26. PMU
27. SIDA
28. SCP-SL
29. SLIDA
30. SLILG
31. TSU
32. TOR
33. UGSP
34. UNCHS
35. UNDP
36. UMU
-
Government of Sri Lanka
Geographical Information System
International Fund for Agricultural Development
Intermediate Technology Development Group
International Labour Organization
Integrated Rural Development Project
Japanese International Corporations Agency
Log Frame Analysis
Norwegian Agency for International Development
Non Governmental Organization
Management of Resources for Good Governance
Monitoring and Evaluation
Municipal Council
Management Development and Trining Units
Millennium Development Goals
Environment Management Information System
Ministry of Urban Development and Public Utilities
Ministry of Provincial Councils and Local Government
Project Management Unit
Swedish International Development Agency
Sustainable City Programme – Sri Lanka
Sri Lanka Institute of Development Administration
Sri Lanka Institute of Local Government
Technical Support Unit
Terms of Reference
Urban Governance Support Project
United Nationals Centre Human Settlements (Habitat)
United Nations Development Programme
Urban Management Unit
The Executive Summary
The Urban Governance Support Project was jointly conceived by Housing Ministry and UN
Habitat in late nineties. It had four phases, starting off on environment planning and
management and then extending over to urban governance and poverty reduction. Its main
focus had been on participatory process. The project starting in Colombo core area has in
subsequent phases expanded geographical coverage to 18 municipalities and urban councils in
the west, south, central and north east Provinces of the country.
The project had a heavy involvement on technical support for capacity development through
training, international exposure and networking. It involves the community level, the local
authority level, the provincial council level and the national level.
4
The approach was to introduce working with the community, something new for local agencies,
learn by preparing City Profiles, City Consultations, Pilot Projects, Participatory Budgeting, and
Corporate Plans. Both NGOs and government training institutes were used. Many training
documents were prepared based on UN Habitat knowledge and experience. Much support was
derived from constant interactions with the UN system locally as well.
The outcomes are positive in the local authorities among the staff, and mayors. Close links with
communities has been established. More awareness is needed among elected representatives
to appreciate participatory processes. Some legal and institutional constraints have been
overcome by the leaders championing as agents of change. However institutional development
has to reach maturity in the last phase.
Some weaknesses are observed in the institutional structures at the national level. They are to
be resolved before the commencement of the final phase along with application of an exit
strategy ensuring a smooth transfer, continuity and sustainability into the Ministry’s Project
Division office from day one of Phase Four.
The changing national context places a high priority for the urban sector’s efficient
management. The country is expected to expand urbanization demographically. Poverty is
becoming a major problem in the urban centres, getting worse without a planned approach.
The project is recommended to go for its final phase with an exit strategy made operational from
day one of Phase Four. There will not be any new addition of urban authorities , but some will
be dropped out on the first come first to go basis. Participatory budgeting process is to be
introduced to all the agencies before exit. Changes are to be introduced at the national level by
reconstituting a National Steering Committee. Provincial councils will conduct the progress
review in each province. These changes should smoothly transfer the roles and functions of the
Technical Support Team to the Projects Division of the Ministry of Urban Development , ensure
what has been achieved and make the local agencies capable to sustain the achievements and
multiply.
1.
Introduction to the Study
1.1 The Team
The study was undertaken by a tripartite team consisting of three members i.e. an officer
from the Ministry of Finance and Planning Monitoring Division, one from a national
program with working experience in community level participatory methods (Community
Water Supply & Sanitation Project \Ministry of Urban Development and Water Supply),
recommended by the UN Habitat, and the third, selected by UNDP with regional
development and bi- lateral\ multi-lateral donor experiences.
5
1.2 The Time
The study was undertaken within a short period of four weeks. A special mention has to
be made that the field visits and interviews were undertaken in the weeks immediately
following the nomination for the presidential elections.
1.3 The Objectives of the Study
The specific objectives stated in the TOR are
a.
b.
c.
d.
1.4
Assess the progress by project towards achieving the overall outcome, including
the outputs delivered, their quality and timeliness, and make recommendations to
strengthen the approach for future programming.
Assess the factors affecting that progress, both positive and constraining and
make appropriate recommendations
Asses key UNDP and UN-Habitat contributions (inputs) to implementation, and
areas to be strengthened to better achieve the outputs and overall outcome.
Asses the partnership strategy and make recommendations for strengthening this
at all levels: community, city, provincial, national with all partners: public, private,
NGO\ CBO, training institutions and civic society.
The Method and the Approach
The evaluation will be conducted in accordance with UNDP’s Guidelines for Evaluators.
It is understood that this study is more an outcome evaluation rather than a more
rigorous project evaluation and would concentrate on results (whether, why and how the
outcome has been achieved, and the contribution of UNDP to a change in a given
development situation).
More than a rigorous data collection, aggregation, and analysis it will look for broad
encompassing outcomes and the extent to which program, projects, soft assistance,
partners interventions and synergies among partners contributed to its achievement.
The purpose therefore is understood as to enhance development effectiveness, to assist
decision making, to re-direct future UNDP assistance, to systematize innovative
approaches to Sustainable Sri Lankan Cities and Urban Governance Support Projects.
The study approach is to follow the project intervention structure at community, local
agency and the national levels, its claimed participatory and process planning model
with heavy inputs in human resource development that make institutional changes at the
three levels. The literature study will mainly be the three project reports, related
documents on its implementation management and human resources development and
the back ground material on sustainable cities concepts. A series of individual and group
interaction sessions were undertaken covering stakeholder categories. The list was
constantly updated for triangulation and validation was done through field and site visits.
The visit to Municipalities was based on the sequence of the phases, the size of the
Municipality and the geographical positioning i.e. Colombo Kotte , Matale and
NuwaraEliya Municipalities. * Batticaloa visit was supplemented by a meeting in
Colombo with the Commissioner, Engineer and Community Development Officer).The
site visits included NGOs , CBOs, and participating communities and demonstration
projects. Where ever available statistical information was gathered from the project
management unit. This added some quantitative dimensions to the analysis and
findings. The drawing of lessons and recommendations was however based on the
6
perceptions and insights emanating from long years of experience in development work
by the team members.
2.
2.1
The Program Context
Logic of Intervention
It is noted that the project, as it was conceived, was influenced by the thinking and long
years of experience both within the local institutional system as well as the UN system. The
local and international actors in Housing \ Settlement \ and Environmental had decisive
influence on the project design, content and approach. At a time when decades of
international collaboration in Sri Lanka was biased towards rural poor and agriculture, it is
significant that for the first time the interest of UN agencies were drawn towards the urban
sector. For several years, there was intensive engagement by GOSL on housing and
settlement planning for urban poor. It was clustered and housed within the urban
development and local government sectors. There was also a core set of senior government
officials increasingly interacting with the international development community. They
however were not there to continue the evolution of the thinking into the subsequent
documents. However, the first project document shows commitments to long term goals in
the sector. The Sustainable Colombo Core Area Project document has, under the sub
heading Host Country Strategy, a figure titled “Phasing of the National Program“, which is a
medium term strategy with four Phases of two years each, with a diagram giving a vital
overlap from one to the other i.e.
Phase I - The Demonstration Phase.
Establish the approach. Introduce and adapt “ management tools” of UNCHS Capacity
building. Public Private , Popular Partnerships. Application in Colombo Core Area. and
Western Province.
Phase II – The Consolidation and Initial Replication Phase.
Consolidate. Build upon. Replicate. Upscale through Bankable Projects. Three other
provinces. Capacity development of Ministry of Housing and Urban Development.
Phase III- The Deepening and Wider Replication Phase.
Further Deepening of the Process. Wider Replication. Additional Municipal Councils and
Urban Councils.
Phase IV – The Institutionalization and Follow-up phase.
Concentrate on institutionalizing the whole process at all three levels – local, provincial and
national. Support City level EPM initiatives.
It was also stated in the document that the Government’s National Program for Sustainable
Human Settlement represents a major effort to localize National Agenda 21 principles at the
Local Authority Level. In the context of possible changes in the project focus it was
creditable that they put together a medium term perspective. It was also needed in terms of
short two year project cycles and the long term nature of the goals of capacity development.
One could note that in the project documents developed subsequently, the innovative idea
of “Good Governance”, mentioned in the Second Phase and then in the third phase ”Urban
Governance”. The third phase introduced “Poverty Reduction” thus indicating the flexibility in
the process planning method to adopt to changing circumstances. It shows that the project
was strategically adapting and updating itself to changing focus in development thought.
7
Tracing backwards, one notes a heavy emphasis on Environmental Planning and
Management at the start, and then over to Good Governance in subsequent phases. The
learning process is also confirmed by the statement, “ the ‘core’ of the activities will include
participatory governance, poverty reduction and sustainable environmental management
synthesized from those applied and proven through the SCP-SL Phase I and II supported by
UNDP”.
One could note the design promoting an active process planning model, factoring in new
thoughts and experiences to the original thinking in terms of multiplying or redirecting the
emphasis and focus, building upon success, taking on failures and the gaps from the
learning process as opportunities for innovation – introduction of a learning cycle and
instituting a knowledge development culture.
2.2
Conceptualization
As was observed earlier, the First Phase was focusing heavily on environmental planning
and management concepts, strategies and tools as the entry point and the documents do
cover them quite adequately. The lead think tank Habitat had enriching and rewarding
knowledge for dissemination. As one goes on to the second phase and introduces Good
Governance, the concepts are elaborated, expressed and focused adequately in the project
documents. By that time, in the UN system, in some specialized agencies, UNDP
specifically, and also outside in development research forums, the thoughts on Good
Governance were getting formulated, developed and recorded in various documents. Even
currently Good Governance Inventories, indicators to monitor Good Governance and the
use of such indicators to set Goals, benchmark, and rating of organizations, application of
scorecards and spread of the core governance value to even the private sector in terms of
Corporate Social Responsibility are found. In the subsequent implementation management
the good governance principles were envisaged through participatory planning. The project
was to deepen beyond participatory planning in emphasizing good governance practices
and goals.
Capacity development too had not been fully conceptualized. (See outcome analysis section
for a conceptual presentation). It basically covers the elements of knowledge, skills,
attitudes and assets. All interventions in the final phase need to take these on board. This
will be dealt in the subsequent Outcome Analysis section.
2.3
Design
The project design setting three levels is logical to facilitate crosscutting interventions and
a vital three -way communication among three tiers for solving bottlenecks and upstreaming to policy decisions. However the subsequent experiences show that some
assumptions made on the basis of the institutional structures and the leadership
commitments was not given adequate facilitation e.g. professional secretarial services at the
national steering committees with analytical issues papers on policy alternatives. The
designed implementation management arrangements need reconsideration realizing that
local governments are thick in party politics. The representative democracy at the grass root
level needs expanded structures and tools for consensus orientation –a good governance
principle not fully developed in the project. The tools such as Urban Profile, and Urban
Consultation have to be further developed to formulate a Strategic Vision for the whole
program. Least of all, the top bureaucracy in public service and the elected representative
need to be periodically oriented to Good Governance Principles in their work routines.
8
2.4
Changing Context of the Project.
The concerns and the directions that evolved in the national policy context at the start of the
project and the concerns of the International Development Community and the UN Sri Lanka
Country Framework in relation to Environment, Poverty Reduction and Good Governance
are still current interests as seen from the papers submitted \ discussed \ statements made
at the Sri Lanka Donor Forum in Kandy. This study is undertaken at a time when the
manifestos of presidential candidates have been released and subjected to public debate.
Good Governance, Decentralization, Devolution, Local Government and Poverty Alleviation
are high at the top of the agenda. The context therefore to develop further into a new phase
\ support thinking of new projects to address poverty and urban contribution to national
growth strategies (even if they are not to be directly be funded by UN system), are well
justifiable.
Beyond capacity development and institutional development of local authorities the exercise
need to open up new frontiers on the roles and functions of urban centers in reaching the
projected high GDP growth rates which reinforce the ro0le of MDGs. In the concluding
phase with its rich experiences the project may facilitate a dialogue on this front along with
the adoption of an exit strategy.
3 The Program Content
3.1
Phase I
The design was based on the focus of Human Settlement Sector and the sub-sector of
Urban Development.
The relevant government sector was Housing and Urban
Development. The primary area of focus was Promoting Sound Environmental Management
and improvement of urban management. The focus was providing advisory services. The
Primary type of intervention was Capacity Building and Institutional Building. The secondary
type of intervention was Direct Support. The Phase I had a UN contribution of USD 250,000
i.e. around Rs. 25 million while government contribution was Rs. 2,795,000 in kind.
The budget lines had International Experts and consultants, EPM\Urban Management,
UNCHS mission costs, GIS mission costs, Urban Management Planners, Community
Development Specialists, Gender Advisor, Vocational Training, Documentation Specialist
and other National Project Personnel, International Meetings and Seminars, International
Workshops, City Consultations, Local Procurement of Equipment, GIS mapping Facility and
reporting costs.
No exercise is undertaken here to see percentages in the distribution of funds and actual
expenditures against the out puts and then the outcomes. The technical budget is directly
under the UN Technical Advisor’s Project Unit in the Ministry, while the local budget is under
the Ministry’s part time Project Director, the actual expenditure monitoring and the sharing of
information between the two arms seem to be minimal. Working arrangements at the
Ministry level between the Technical Advisor’s office and the ministry’s project office could
be more closely linked.
9
3.2
Phase II
Component One - was to consolidate, broaden and institutionalize Good Urban
Governance practices, principles and strategic planning process in the Municipalities of
Colombo, Dehiwala Mt. Lavinia and Kotte.
Component Two - was to strengthen capacities of the Western Provincial Council to support
effective devolution\ strengthen capacity of municipalities for sustainable development
according to Good Governance Principles and public \private popular partnerships.
Component Three - was to develop appropriate modalities at the national –levels to support
effective devolution\ to Provincial, Municipal and Urban Councils.
Component Four - was to further strengthening international and global linkages.
3.3
Phase III
In addition to continuing the work of Participatory Urban Governance Framework the project
is to be utilized for measurement of MDGs and target setting in the determination of local
priorities for allocation of resources. It is to use MDGs as local framework for development.
The UN system’s working arrangement related to different UN Agencies and the Country
Office role is not very clear to the recipient organizations. At times it leads to unfounded
expectations at the ground levels, which affects the management performance of the
project. Very often long after accepting a UN project the recipient agency start mentioning
about the imbalances between the technical expenditures and investment expenditures and
make comparisons to on going World Bank or Asian Development Bank projects. This
needs to be cleared to achieve a greater level of cooperation. This situation has to be
handled with transparency and consensus oriented dialogue by collaborators i.e. ERD, the
UN Country Office and visiting UN agency missions, and local partners.
4
The Program Outcome Analysis
4.1
The Approach
The analysis will focus and prioritize on the intended
outcomes either stated and
expressed more directly e.g. capacity development \ Institutional in the documents or in the
case of Good Governance from that fast growing body of knowledge ploughed back from
international bodies inclusive of UN system from field experiences.
Those that have been stated in the documents are
“Local authorities and communities in rural and urban areas involved in planning and
management including the provision of public services” through
a. Capacity Development and Institutional Development
b. Practice of participatory methods in environmental planning and management
leading to good governance practices.
c. Replication
Though the documents mention Capacity Development as an outcome. However a further
conceptualization of Capacity Development would have been useful to those involved to go
10
beyond training modules and lecture classes, to the Log Frame of the Project and thus to the
Project Planning Matrix. The present assessment would be based on the following concept.
Knowledge
+
Skills
=
Ability
+
Attitudes
+
Assets
=
Capacity Development
Willingness
The next vital outcome related to capacity development is the expected institutional
development. Adapting the internationally produced training modules, and then training staff at
different levels alone may not contribute to desired changes at institutional level. The outcome
assessment therefore uses the following reference points wherever applicable to assess the
outcomes of the Urban Governance Programme at different levels, locations, and institutions.
Some reference points often used in institutional assessments are :
(a) People (b) Objectives, (c) Structure(d) Strategies,(d) Tools and Techniques(e) Results, (f)
Intentions and Impacts (g) Organizational Culture and(h) Environment
Good Governance is stated in the title of Phase II of the project document. Thereafter the word
changes to Good Urban Governance in the title of Phase III project. An elaboration of the
Principles of Good Governance, since it is a new subject area could have been more useful in
the project documents as such. Somehow a few of the principles are included into the Tool Kit
developed for training. The elaboration in the training kits however, is definitely not sufficient to
create a system wide and an institution-wide knowledge among various actors. More vitally this
should have been developed into a separate module. One of the agencies involved in the
preparation of the modules and subsequent training is the Sri Lanka Institute of Local
Governance. One would expect this focus even quite independent of this project, in theirs own
program and therefore was not to be repeated by the project. However this was not the case.
The focus on the practice of Good Governance Principles as criteria to asses the outcomes of
the Urban Governance Program is to look to the future in intervention strategies. It is to look for
lessons learnt and to give recommendations for future. It helps to find solutions for the failures
and improve on the successes and fill the gaps. In terms of the growing interest in Good
Governance having a link to poverty reduction the lessons drawn will bring together donors in
the field.
The assessment of outcomes will use the Good Governance Principles drawn from related
literature as fallows :1.
2.
3.
4.
5.
6.
Representative and Participatory.
Authority and Responsibility.
Rule of Law and Legal Framework for Development.
Accountability.
Information and Transparency.
Responsiveness.
11
7.
8.
9.
10.
11.
Consensus Orientation.
Predictability.
Efficiency and Effectiveness.
Equity.
Strategic Vision.
4.2
Outcomes at National Level
4.2.1
The Technical Support Unit (TSU)
This unit is taken up for assessment as the first because of its crucial positioning as a
promoter \ maker of change. The outcomes are assessed on the basis of the organizational
structure and the work responsibilities given in job descriptions.
Innovative and committed technical support on a continuous basis from the project team in a
very trying institutional vacuum has enabled the outcomes to reach the ground level local
agencies gradually picking up the knowledge, skills, and attitudes and assets given through
the contracted NGO partners, training institutions, seminars, study tours and visiting foreign
technical advisors.
Initiated as a learning process, the TSU has delivered an extensive stock of very detailed
documents, adapted to local conditions from international experiences, and translated to
local languages and painstakingly probed and maintained the quality standards.
We also note that the internal project team meetings and minutes are being regularly
followed, but needs to be more brainstorming type of discussions from field level
interactions. However sharing experience from study tours, seminars attended by team
members have enhanced the outcomes. In view of the much privileged position the TSU
enjoys at the moment, it can give a lead to the urban sector, by introducing a learning
culture to be emulated by others.
While the think tank function was at satisfactory level in the form of documentation, however
in the more important dialogue sessions to impart that knowledge to the policy makers, there
is a weakness in the unavoidable institutional milieu.
A case in practice is the outcome of the Project Progress Review-Meeting held on 14
.06.2005. It is now assessed on the basis of the generally accepted norms in project
management. It is a nine page descriptive document without tables. It does not relate to an
Annual Programme of Work that is normally followed on the basis of the agreed Project
Document. Normally they also specify the components and activity-wise breakdowns,
against which quantitative and qualitative progress achieved are provided. It could also
indicate responsibility. The agenda of the meeting could bring out, apart from mere project
progress, issue papers, the decision for follow up action to monitor at the next meeting.
Without such guiding papers the participants from partner agencies were at a loss to follow
the progress. It is vital that simple practices such as a list of absentees should follow the list
of those present and copies of minutes be sent to them to maintain communication links.
Even though it is the last phase these refinements in project managements are needed to
be introduced.
The project team comprising of the Technical Support Unit and Project Management Unit
(PMU) face the challenge to produce such base documents as Annual Programs of Work.
Such planning culture is expected to be introduced, gradually through the project, to all the
selected local government agencies. It is necessary to base the Progress Reporting
Formats on Annual Program of Work, and conduct progress reviews meetings accordingly.
The absence of that project management discipline at the center creates communication
difficulties to partner agencies. It weakens the ability to win partners.
12
At the national level the sustainable cities program stands to gain by following some of the
principles of Good Governance such as developing a Strategic Vision for the program, in a
wide consensus oriented consultation, with other partners in the government\ public\ private\
peoples sector. Continued transparency need to be made for wider visibility for such a vital
program. Equity in terms of distribution of foreign trips need to be adhered. The project has
to build a public image that will result in a leadership positioning of the Sustainable Cities
Program\ or its successor. Among many projects in the urban sector, this project provides
the much needed Development Planning Orientation to the local agencies into which their
own budgetary plans and those of the other donor supported projects could be aligned for
coherence and compatibility. The PMU\TSU should by now develop many visible Graphs
\Tables\charts\ posters to display and add transparency. This was found to be done as
management and public awareness creating unit in Nuwara Eliya Municipality.
4.2.2
Ministry of Urban Development
The project document of Phase II provides an organizational structure for the
implementation management of the Program. The number and the spread of the
coordinating \implementing committees and positions such as national coordinators and
directors etc show the appreciation and concerns of the project designers. The complicated
and the cross cutting nature is seen from the very wide number of agencies at the national
level and then down to two more tiers at the provincial and local government agency level.
The already complicated nature gets worse compounded when at the national level; the
cabinet ministry functions get splitted and transferred at such frequent intervals of even two
years. At a time the local government function had been combined with plantation
management! The project promoting Good Governance Principles, which includes
“predictability”, is suffering from unpredictability! TSU and to move out physically from place
to place and in doing so even the PMU gets newly re-constituted in new ministries.
As frequent as the change of ministry functions, are also the changes of the top level
managers such as the ministry secretaries. The project suffers from lack of champions and
leaders. The Technical Support Team, the donor country office and the visiting technical
consultants are to go on advocacy sessions to get attention on project matters. Under
normal circumstances the role is the other way around. An important factor worth recording
is that the government officials find it difficult to attract attention to the project when it does
not offer much investment funds beyond technical support, however critical and strategic the
technical support is thought to be from the point of view of the project designers. It could be
more so when it is on Good Governance, with Transparency and Accountability as a
principle to promote. The project however had small investment funds to demonstration
projects. This strategy seems to have gone a long way to win champions at least at the
smaller local units. The exception seems to be Colombo, the start up agency.
The Ministry of Urban Development has established UGP-PMU within the Projects Division.
The ministry which
continues to provide the agreed coordination committee chairing
function, has found that the direct relationship of the local bodies was more outside their
area of authority. The National Steering Committee was, to be co chaired by the Secretaries
of MUD&PU and MPC&LG. The Projects Division of Ministry of Urban Development acts as
the secretariat. Much energy and synergy in the function of project steering need to be done
by bringing in the professional capacity for the project office, in terms of making the dialogue
session productive. Agenda could be more focused. Issue papers could provide the
necessary back ground for knowledge creation and decision-making. The Tripartite Review
Reports and the very resourceful mission technical reports have not been tabled for follow
up at this level. Unfortunately those reports themselves have not taken this issue for
resolution. Support to capacity development at Ministry though included, as a component
13
has not been properly followed. The weak links with the Local Government and Provincial
Councils Ministries and the relevant provincial councils themselves need resolution at a
high-powered forum before the fourth Phase commences.
4.2.3 UN Agencies \ International Networking
An overall assessment of the contributions of the UN Agencies could be based on the various
critical roles, functions and facilitations made in the whole program cycle, from the time the
program was conceived right through the different stages, from conceptualization, situation
analysis of the urban sector, project formulation, project appraisal, implementation
management, monitoring, annual reviews, mission reports, and mid term evaluation. The
contributions come in different forms as an initiator, dialogue partner, knowledge transmitter,
promoter of ideas, pace setter,, technical partner, policy facilitator, fund raiser, and path finder
Each one of the two agencies, i.e. UNDP and UN Habitat have their own niche area of
specialization. UNDP contributed heavily in the initial thinking process with its country office staff
being well versed in the local situation after having long experience at grass root levels
involvements in community level social mobilization process, analysis of local government
management situations, decentralized planning, provincial medium term development plan
preparatory work, rights based interventions, and environmental projects through NGO\CBO
participation. The documented knowledge of project reports, seminar workshops and forums,
periodic reviews, implementation management field experiences, person to person contacts with
local bureaucracy and elected representatives went a long way in contributing to the design of
the SCP and its subsequent evolution towards Good Governance promotion.
UN-HABITAT with international experiences at networking and documented knowledge on
settlement planning, and sustainable city development was bringing in a rather new area of
knowledge and more of technical skills in environmental planning and management.
Apart from the specializations as above, both UNDP and UN Habitat had commonly shared
experience of participatory planning. While UNDP country office had the applied knowledge to
rural areas, the UN Habitat had it for cities. The common interest emerging in the UN system for
Poverty Reduction and Good Governance were areas in which the contributions of both
agencies are getting aligned and better focused.
From the start the contributions for project and program planning, methods, formats,
presentations, dialogues and implementation management had very positive contributions to
build the culture of team work in the urban and local government sector, hitherto unexposed to
these disciplines e.g. information gathering, analysis, indicator development, goal setting, policy
development, appraisal and strategic decision making.
The international exposure that was not available till now made a marked difference in the mind
set of the elected representatives (mayors of Colombo and Matale) and commissioners, medical
doctors, engineers, accountants etc has had a wide motivational impact, improved commitments
and became champions of the project course so much so that they have even made power
point presentations to share their experiences with others. It is unable to make any comments
on the distribution and the wide range of coverage in such international exposures.
Both UNDP and UN Habitat were represented in most of the vital meetings in the project cycle
e.g. Tripartite Reviews which gave directions for the evolution of concepts. The series of
documents listed in the annexes give an idea of this contribution.
Both UNDP and UN Habitat contributed to the efforts of national agencies in further fund raising
to the urban sector.
14
At all levels of human resource development and training UN Habitat made very significant
technical contributions.
One important contribution from UN Habitat was the very detailed Mission Reports that were left
behind after strenuous field visits and direct contacts with the stakeholders done on the basis of
an agreed TOR.
To asses the UNDP UN Habitat contributions to capacity development and institutional
development done over the years it takes more time than six years, because it involves
attitudinal change unlike assessing impressive and tangible physical structures or machinery.
4.3
Outcomes at Local Government Agency Level
4.3.1 The Approach
The assessment of the local government agency level is undertaken in terms of capacity
development, institutional development, application and practices of the process and steps
taken for institutionalization.
In terms of capacity development the focus will be on different categories of stakeholders such
as officials, community level and elected representatives. Assessment will be take into
consideration in terms of knowledge development skills development, attitude and assets
creation.
In the institutional development assessment focus would be on he practicing of the tools,
techniques and procedures in a continuous basis bringing about a lasting change into the
working cutter and the image of the local authority.
4.3.2
Capacity Development
4.3.2.1 Knowledge Development
In knowledge creation, a definite positive outcome is observed both among the policy makers
and support staff in hitherto unrecognized subject areas in municipalities such as environment,
planning, participatory development management and good governance principles. With regard
to good governance knowledge widely involved actors within and outside a municipality i.e. the
Mayor and elected representatives, at the startup orientation workshop, organized at the
municipality level would make a big difference which would enable the municipal commissioner
to champion those principles which they are doing. However the knowledge regarding good
governance need to be further deepened.
4.3.2.2 Skills Development
In terms of skills development the highly appreciative most updated international experience
based training modules which were further adopted to local conditions has been prepared,
15
translated into local languages, and intensively used in an extensive number of training
programs widely across the spectrum of actors / stakeholders in the local government arena.
At the discussion held in the Colombo MC it was pointed out that they had requested on the job
training in terms of preparing and managing consensus oriented coordinating meetings and
policy forums, and is now introduced into the training curriculum. It is noted that, this vital
training need is of paramount concern to highly compartmentalized working culture of
municipalities. It is also vital in the context of highly politically charged working environment of
local government. It is found that in Kotte Municipality they have innovated a very management
oriented minutes keeping format in summary form for follow up action and monitoring at the next
sitting. This culture was at times, not found even at the national level.
Computer and GIS skills are very well accepted and applied in places like Kotte MC. However
transfer of the trained persons affect the effective usage. It is observed in the case of N’Eliya, in
spite of the lack of such trained IT staff, the commissioner has shown ingenuity by hiring casual
hands and using technical college trainees. In many municipalities cadre problem needs to be
addressed immediately to achieve intended outcome.
In certain locations like Batticaloa and N’Eliya skills on participatory planning had its history
even prior to intervention of this project and had commenced immensely at the ground level e.g.
the work output of two Community Development Officers in N’Eliya and Batticaloa.
In terms of skills development in relation to project identification prioritization, planning and
execution in a participatory environment with the citizens, the enthusiastic officials do face
problems with the elected representatives, if and when the elected representatives have not
been exposed and oriented to appreciate the value of participatory process. It was pointed out
that it is a useful contribution if such orientation sessions are held at regular intervals for the
elected representatives. It was mentioned that even where they were tried their attendance was
rather low.
It is thought that immediately after an election to a local body it would be admirable to introduce
a practice of induction sessions of good governance principles to elected representatives which
would trace participatory process as one of the elements of good governance thus making them
to appreciate the overall context in which participatory planning take place.
4.3.2.3
Attitudes
To bring about an effective change in an organization and in the people belonging to that
organization the most vital factor is attitudinal changes. . It is felt that this factor has not been
well appreciated and emphasized though it had been incorporated, into the training modules.
In some instances of local authorities, reaching the project planned outcomes had been
hampered by negative attitude related to parochial and individual departmental interests or
blockade by procedural details e.g. the engineering staff does not pay enough attention to
appropriate technologies, but keep harping on big projects which are beyond the financial
resources available. However there are instances where attitudinal changes on account of the
knowledge, skills, exposure and practices that were brought about by the project has led to
excellent team work that has spread wide across the agency concerned as observed in the case
of application of GIS in Kotte MC and the linking of the tools and techniques of participatory
process into the work habits of the civil engineering and budget programming in Nuwara Eliya
MC.
4.3.2.4
Assets Created
16
In terms of assets creation, the two significant contributions from Sustainable City Program
were, over Rs.1 Mn. for pilot projects, and the computer hardware and software programmes.
The amount though marginal had generated outcomes with spread in Kotte, N’Eliya and Matale.
These assets creation had been very much appreciated and has resulted in providing the base
for environment related pilot projects, which are now impacting on some critical issues of the
community. They have been able to generate and attract additional investment from donors
such as JICA, ADB and in the N’Eliya MC DCB funding from a member of parliament. As an
outcome of partnership building strategy, though it is observed that private sector involvement
has not been fully exploited, Kotte and Wattala MC has however, made some progress towards
this end. As one looks to the future, such partnerships are very limited to be harnessed, locally.
MC N’Eliya is attempting to tie-up with cities in developed countries.
4.3.3
4.3.3.1
Institutional Development
Approach
The institutional development at local authorities is to be assessed in terms of outcomes in the
structures and procedures and working arrangements and the overall organizational culture of
the agency. This will be done in terms of series of elements that were introduced from the
project such as city profile, city consultation, city development committees, city working groups,
participatory budgeting, corporate plans. Some insightsmay also be useful in relation to strategic
vision, poverty focus MDG, MIS Log frame method and Monitoring and Evaluation.
4.3.3.2
City Profile
Preparation of City Profile has made a lasting contribution to the institutional development of the
Local Authorities. It’s strength lies in bringing together, the thus far diffused stakeholders to
focus on issues related to municipality development. Though it was done by contracted NGOs it
has however given an on- the- job training for the municipal team to continuously update it. The
provision of computer and related training has provided the needed capacity for the task.
4.3.3.3
Management Information System (MIS)
The establishment of an information management system has been mentioned in the document
as an outcome but it has not so far being materialized. Apart from the updating of the city
profile as mentioned in the above section, that goes to form some elements of the MIS, it should
also facilitate and enhance both the plan formulation process and implementation management
in relation to MDGs. It would also be a key element to facilitate networking with other partner
organization and enhance transparency of budgetary process and achieve compatibility and
coherence with other public sector investments such as Decentralised Budget (DCB) and
Provincial council investments. It is seen as an essential element in the next phase.
4.3.3.4
City Consultation
The city consultation has been introduced as a key element of environment planning and
management, an entry point to participatory process. As in the case of city profile it is felt that it
should be repeated on a regular basis as an annual feature. The municipal capacity to repeat
the session appears to be positive. However from the point of having it as a planning tool one
may try to generate Strategic Visions in such forums.
17
4.3.3.5
City Development Committee
The number of working committees that were formed on issues specific pilot project that
formulated project proposals in Colombo MC appears to have been replaced with other
arrangements due to over demand and repetitive nature of the exercise. However a most
appreciated institutional feature in the subsequent stage is formation of the City Development
Committee, which has enhanced the hitherto compartmentalized city departments into a
common dialogue forum. Though not statutory these committees are getting institutionalized
into the administrative procedures on the basis of commitments of commissioners and Mayors.
This has added on to the three statutory working committees of Finance, Planning, and Health
where legally there was no provision to accommodate community participation. The City
Development Committees which brings together the functionaries of the above committees
could now easily interact with the community and thus upstream the participatory process. If
this practice continues it will give positive results even though no legal enactments are made.
4.3.3.6
Participatory Budgeting
Introduction of participatory budgeting in the Colombo MC is another significant achievement of
the participatory process. The Mayor of Colombo MC during his budget speech in 2004
highlighted the importance and his strong desire to implement participatory in the Colombo MC
as a way of meeting the public demands through partnership approach.
Participatory budgeting can be used as a tool to ensure long term sustainability of the
administrations people centered participatory approach to decision making. Accordingly a series
of activities were planned by MC such as another repetitive awareness programmes and city
consultations work shop specifically meant as preparatory work for participatory budgeting. This
round generated budgetary proposals from group work. Subsequently the proposals received
were analysed and grouped according to the municipality districts and departments and the
nature of the proposals. Subsequently city consultation workshops were held with participation
of relevant representations from community, business groups, members of councils etc.
At these city consultation workshops participants were requested to prioritise the proposals.
These were subsequently analyzed with a weighted number through which priority order of all
proposals were listed and finalized. At the CMC 2006 budgeting process the list of proposals
was circulated offering more emphasis to the proposals received through workshops. It was
stated by the mayor that 14.37% of the total capital expenditure would be set apart from the
budget 2006 to accommodate participatory budget proposals. Hence the participatory budgeting
approach has become fully institutionalized which is a commendable outcome. This would
certainly be setting a benchmark for the other cities in the program and as an indicator to
set goals. The introduction of participatory budgeting is to be gradually introduced into
other cities in the sequence of work steps.
4.3.3.7
Corporate Plans
A commendable initiative has been made by the Technical Assistance Team in initiating the
process of preparing a Corporate Plan in Nuwara Eliya Municipality. It is also noteworthy that
they followed a strategy of selecting one of outstation local agency, which has shown vitality and
ingenuity to adopt changes. The document has given the energetic team the N’Eliya MC a most
needed Vision, which we find, was not emanating from the previous exercises of the Profile and
City Consultation. This excise would bring about a link between participatory process
18
budgeting, and annual work program preparation with fund raising and partnership
development.
This is a worthy tool to replicate on a demand driven basis in places such as Kotte MC, where
such a demand seems to exist. It also need to be a statutory requirement several years hence
once the agencies are provided with the technical capacities to do so.
A disturbing feature that affects the project outcomes being realized satisfactorily by some
urban councils such as Nuwara Eliya, Matale, and Batticaloa is the crucial factor of under
staffing. It appears that cadres had been decided nearly 2 decades ago and not been upgraded
to cater to emerging and growing urban functions. Adding fuel to fire was the fact that the
Treasury circular that prevented even the filling of existing vacancies. This has debilitated the
ability to provide efficient and effective services and cater to increasing demand from various
development projects given by donor agencies. As was shown in the section analyzing the
National Level outcomes the repetitive requests from he municipalities had failed to achieve
results because the expected outcomes of up streaming to national level problem solving,
steering and policy formulation arrangement have failed and the Project Facilitation Committee
Mechanism is non existence.
4.3.3.8
Strategic Vision
City Profiles and City Consultations does not appear to have developed a strategic vision
through a process of guided brainstorming / dialogue sessions of representative / stakeholder
gathering. This lacuna has affected realizing the outcomes in relation to long term planning.
There is lack of a clear long-term direction to achieve set goals related to such a Vision. It is
now felt necessary that from the community level participatory process in each ward or locality
that this be introduce upward to the municipality levels. It is noted that somehow the concept is
now getting in through the excise of corporate planning. .
4.3.3.9
Poverty Focused MDGs
Lately, an exercise to incorporate MDGs and contributions to poverty reduction in the Local
Authority has been initiated. Developments of Local Authority poverty profiles are ongoing. As
was discussed in the section on the project context, the fact that sustainable cities programme
in it’s next phase should take into consideration the requirement of inclusion of MDGs due to the
importance given by the government policy frame and UN Country Strategy framework for Sri
Lanka. However it needs to be mentioned this exercise should not be purely inward -looking
into the poverty pockets of local authority. The strategic thinking should try to incorporate into
the role and functions that are already emerging for the urban centers as growth centers of a
particular region / Province / District with linkages to a hinter land on the one hand, and to the
national growth center in a market economy.
Thus it is felt that at this point that exercise of developing city poverty profiles should
meaningfully link to the national strategies developed by National Physical Planning
Department, Provincial Medium Term Investment Development Plans now completed, and to
the National Economic Development Council’s Poverty Cluster as well.
In this context one could bring out the fact that N’Eliya city was expected to limit its physical
expansion, recover its environment and re-establish its competitive advantage as a holiday
resort only.
Field visits to the demonstration projects related to urban solid waste management showed that
the sustainable cities program along with JICA has established well integrated intervention with
19
community participation that has resulted in efficiency and effectiveness of the investment and
the technology and even going to extent of income generation to some households. This shows
that at local agency level employment generation in the informal sector, graduating such
processes through training and technical advisory support is important. Some NGOs on their
own can continue to play the role of intermediary to facilitate the CBOs e.g. ITDG, ILO
supported Start and Improve Your Business Program.
Though not directly related to the present program intervention strategy for the purpose of
record on urban poverty reduction one need to mention that the ever increasing in migrant from
rural sector into the urban centres creating new demands on urban residential facilities is the
most crying demand which is beyond the responsibility of the local agency but is the most
pressing reason for urban congestion and poverty.
4.3.3.10
Log Frame Analysis
In terms of human resources development, and institutional capacity development the tools and
techniques that has been developed and introduced, needs to be associated with the practice of
Log Frame Analysis (LFA), in terms of planning cycle and developing plans of operations. This
does not seem to have got the needed attention in the training modules and therefore need to
be introduced at relevant levels.
The log frame sets goals, outcome, outputs activities and inputs on a logical basis with
assumptions at each level when the process is graduated upwards. Even though now doubt
has arisen about its logic being realized however it provides a framework for communication
and its being utilized by donors frequently to appraise and evaluate project. Therefore it needs
to be introduced at the formulation stage.
4.3.3.11
Monitoring and Evaluation
As was the case in terms of MIS, in the case of M&E, mention is made in project document
regarding establishing a system. However we do not see such a system developed and
practiced with regular reporting in terms of Annual Programs of Work, analysis of the output,
comparisons and bench marking and recommendations on issues for solution at program
review meetings more meaningfully and upward up streaming to the National Steering
Committee for policy making.
As a consequence it was not possible to get a quantitative analysis for review. What is being
tabled as progress report are project related implementation bottlenecks for a solution. What is
discussed at the national level are those that should be taken up at municipal or provincial
levels from where only specific issues should be up streamed.
It is necessary for the project institute a proper monitoring system should be developed.
4.4
The Community level
4.4.1
The Demonstration Projects
The participatory process as conceptualized in the tool kit is for stakeholders. It is for the
purpose of the management of city affairs. In Sri Lanka, for the last two decades, there were
20
rich experiences related to participatory processes in projects such as the Change Agent
Program of the Rural Development and Training Centre and the Integrated Rural Development
Program (IRDP) such as Hambantota (NORAD), Matara (SIDA), Badulla (UNDP-IFAD). The
core principal around which the concept and programs of participatory development was
anchored in the core value of empowerment. It was never treated as an end in itself but as a
means to an end. In that particular case it was poverty reduction.
In the Urban Governance Program documents i.e. Tools to Support Participatory Urban
Decision Making, page 12 explains the participatory process and the tools that support it. There
the central focus is to bring four phases of participatory forces to interacting with each other
sequentially and at each phase interact in Participatory Urban Decision Making. Therefore,
unlike in the earlier experiences of participatory development, the tool kit is filled up with
technical details of project planning. The outcome of this process is expected to lead to the
outcome of capacity development at the community level, in terms of knowledge, skills,
effectiveness and assets. A closer look at the details in the Framework for Participatory Urban
Decision Making shows a list of highly professional and technical elaboration of the outcomes
on involvement, commitment, agreement, monitoring and up scaling of replication.
It is also credit worthy to note that under each phase a series of tools are mentioned along with
the stated purpose with relevant good urban governance norms. Our assessment now would
be to find from the progress review and monitoring documents and from other field level studies
whether these outcomes have been realized and to make our own assessment from interactions
and observations from the field level. This will be done in terms of the outcomes in knowledge,
skills, attitudes and assets.
As is found in several other donor funded projects the execution had been contracted to some
selected NGOs who had experiences in both urban development and participatory methods.
4.4.2
Application of Knowledge and Tools
Knowledge and skills development at community level in urban environments, had never before
been so well addressed according to the conception of both municipal authority decision makers
and the participating community.
We observe, that at the demonstration project level, in most of the cases, the application of the
knowledge and the tool kits had been satisfactorily done so much so that one may tend to feel
that it is even overdone at some locations, at some times. The pilot project process had
generated interest among other local government agencies, which continue to visit them for
purpose of learning e.g. Dehiwala - Mt.Lavinia Solid Waste Management Program. We also
observed some forms of attitudinal change that had occurred through this participatory process
directly among the poor participatory groups in poverty pockets in Nuwara Eliya. Some have
been critical that this attitudinal change had not up streamed to the urban middle class.
However a very interesting case to prove that it can happen, and also has the ability for
replication, is seen in Jayewardenepura–Kotte at Gangodawila.
4.4.3
Attitudes and Assets Creation
A noteworthy outcome of the participatory process is that among the communities, attitudes
towards the local authorities and the policy makers have changed for the better.
However, this has happened also because, the other components of the Urban Governance
principles of the project has facilitated a positive image creation for each local authority such as
attitudinal changes among the officers and elected representatives e.g. the office layout has
21
changed. Transparency is introduced in terms of visible posters and displays e.g. Nuwara Eliya
MC office. In a focus group meeting with the Mayor and the heads of departments of Colombo
municipality it was apparent that the participatory process begun at the community level through
the exercise of Profile and City has opened direct communication between the unresponsive
officers and very specially the poverty stricken underserved residential areas which has resulted
in providing channels of positive communications. This appears to be so when the leadership is
given from the top management.
4.4.4
Institutionalization, Continuity and Sustainability
The entry strategy of demonstration projects and the use of contract NGOs is understandable.
However, in the midstream of the four phases of the Urban Governance Project, it is now
required to develop an ‘ exist strategy ’ for the contract NGOs in each location by a time bound
development of interest groups in to Community Based Organizations (CBOs). Working them in
to a ward wise CBO amalgamation – federation – forum that get registered in the municipality,
recognized entity named “Praja Mandalaya”.
Reinforcing the participatory process it is observed that all the local government agencies have
instituted a City Development Committee (CDC), a noteworthy outcome from the project
intervention, which accommodates representatives from CBOs. However, this CDC is not a
statutory body. To further strengthen the community participation process, either the CDC has
to be made a statutory body or amendments need to be done to the statutory committees
namely the Finance Committee, Planning Committee etc. to include public representation or
both.
The present cadre of the Community Development Officers cannot handle the detailed
participation process that is envisaged in the tool kit. When and if the CBOs are to be
strengthened, to do so it needs continuous facilitation and support, in terms of dialogue forums
for consensus orientation and the other related good governance values. It was seen in Nuwara
Eliya and Batticaloa, with earlier exposures to UNICEF and other such participatory and social
mobilization processes, the individual Community Development Officers motivation have been
very well coupled to the skills developed from the urban governance tool kit. It is therefore
observed that where applicable, in addition to the technicalities of the tool kit more exposure
could be done in terms of social mobilization and empowerment, which means ability to vocalize
and bargain in a Rights Based Society.
In terms of assets creation though the project has made no commitments, it was observed that
on their own initiatives Kotte Municipality has provided different incentives and even supported
secretarial capacity development in the Praja Mandalayas registered with them. In some
instances it is noted that the contracted NGOs themselves had given such basic requirements.
This may be one way to ensure continuity and develop an exit strategy for contracted NGOs.
4.5 Training
Training component is the key intervention strategy adopted to bring about the change in
capacity at all levels, the community, the municipality, the province and the national level
training covers knowledge, skills, attitudes and assets. The subject areas of environment and
planning, governance, community behavior, communication, office management and public
relations, project planning etc. were covered adequately. The specific skills needed for the
project outcome were covered in the HABITAT Training Kits. Some gaps were covered from
22
specialized training agencies (there were twelve such partner agencies listed) both in the public
and private sector such as SLILG, SLIDA, Provincial Training Centers (MDTUs), and Center for
Urban and Regional Planning (CURP) and contracted NGOs at grass root level.
The training had a fair mix of classroom and field exposure. All this was happening for the first
time in some places of local government. The training documents developed, translated, printed
and distributed contributed heavily to attain project outcomes. The IT related training very
especially in the new packages of GIS and EMIS were pathfinders in local government.
Foreign study tours, seminars and meetings made attitudinal changes. They helped to win
champions for the project. This was so important at a time when the project was otherwise not
well received due to lack of investment funds. However the representation of the beneficiaries
could have been more balanced to cover the multitude of stakeholder categories. One could not
find any guidelines or selection criteria. Some officers on the verge of retirement seem to get
routine trips while some others never get such opportunities, very specially where the younger
set of field level officers should get such exposures to ensure continuity and sustainability.
It appears that not much attention had been paid for the very important aspect of training on
monitoring and evaluation. This raises another requirement of planning skills i.e. some
awareness on Logical Framework Analysis. It is noted that the project has also developed a
training plan. However, there is a need to do tracer studies and bring the lessons of learning
back to the planning circle.
A noteworthy action that helps the exit strategy is the innovative idea of Training of Trainers
now introduced for MDTUs for the Cetral and Western Province. The recent introduction of a
Good Governance Diploma Program at SLIDA which had been engaged by the project as a
training partner goes a long way to meet a felt need. It is gratifying to note that a Review of the
Capacity Building Agenda for 2004-2005 if implemented can greatly improve the content in
relation to areas such as Effective Meetings to make elected members familiar with the
concepts and strategies of effective meetings for better decision making.
A training module is needed in the under performing area of Participatory Partnership
Programming .
4.6 Documentation.
The project’s outcome regarding the volume and the quality of various types of documents
produced over the years is impressive. The quality of the documents was raised through
international contributions, as many of them were joint effort. A variety of UN-HABITAT
documents in training handbooks were adapted and translated into local languages. It is
noteworthy that some documentation relating to project management outcomes were
undertaken e.g. on lessons learnt.
Further areas needing improvement are, introduction of habits of maintaining field reports that
goes into lessons learnt and issue papers at regular time intervals. It is also noted that hardly
any documentation is found in the form of reports and documents from those who participated in
international training courses, workshops, seminars and innumerable number of meetings.
Also along with that no culture had been built to share the knowledge with others through
dissemination. It was also found that if the key project documents were translated to local
23
languages, very specially the UN Documents which are presented in Log Frames, then it would
have made a long way to create an awareness among the stakeholders on the project and also
to make a vitally needed image building exercise and transparency. In this instance more use of
audiovisual techniques e.g. power point usage in meetings and training classes, is
recommended.
5
Overall Findings
5.1
The project has evolved over the years to expand its geographical and substantive
coverage. Currently it covers 18 municipalities and Urban Centers including 4 cities in the North
and East. They are at different stages of absorbing the changes that are introduced. At the
same time, the project has expanded its focus to include promoting participatory urban
governance, urban poverty reduction, while continuing with sustainable urban environmental
management.
5.2
The project interventions are gradually getting institutionalized into the management
structures, procedures, tools and techniques at different levels. It is stronger at community level
getting incorporated into municipality promoted \registered civic societies, Community
Development Society-CDS (Praja Mandalayas)
5.3
Training capacities have been built within the concerned agencies with some agencies
still showing weaknesses in the work norms, ethics, quality of delivery and the technologies
used.
5.4
The build up of national level capacities all round in the form of influential consultative
mechanisms analyzing urban governance to develop and contribute to policy decisions is weak.
5.5
Links established to the provincial councils is also extremely weak leading on to
problems of continuity and sustainability.
5.6
Individuals at different levels who got motivated through exposure to knowledge, skills,
attitudinal changes and increased assets give continued leadership and champion the process
in different forums.
5.7
Documentation in terms of training material has been maintained at a fairly intensive
tempo and quality levels compared to many other such capacity development programs and are
getting translated into local languages. In terms of project management related documentation
improvements could be done, with more concerted efforts to disseminate and share.
5.8
Partnering though a new culture to local authorities, and even to the whole public
service, with regulatory blockages to its practice has been championed through at the level of
communities but further efforts are needed at higher levels of private sector and with the
sources of public funding e.g. the DCB, Provincial Budgets and line agencies.
5.9
In comparison to what it was before and also in comparison with those local agencies
that were not covered by UGSP, in those covered by the project, the local authorities and
communities
are involved at different stages of knowledge and practice in planning and
management including the provision of public services.
5.10 The most noteworthy at the national level, in up-streaming UGSP is the final draft of the
Cabinet Paper now awaiting for the next vital step at the Ministry of Local Government.
24
6
Outcome Review
From the analysis and the findings given in the above sections more specific conclusions are
drawn.
6.1
Partner cities are gradually structuring themselves internally sharing information for
improved decision making. However empowering of partners, improvements to transparency
and accountability, need more sophisticated indicator based goals and interventions.
6.2
City consultation process has assisted decision makers to prioritize pro-poor issues
gradually but need to get into an annual planning cycle as is now happening with participatory
budgeting and corporate planning.
6.3
Participatory governance has improved in so far as initiating a consultative process
accommodating people based needs in budget planning but need to be closely monitored on
the basis of indicators on percentages.
6.4
Cross sectoral action planning has begun to strengthen pro-poor environmental
governance in specific instances and getting widespread with demonstration effect of success
stories but need to maintain the tempo.
6.5
Documentation and up-scaling city wide and mainstreaming lessons learnt suffers
mainly due to weak institutional mechanisms at national levels.
6.6
City administrations have been innovative in using the IT technologies even
institutionalizing application of some software packages but legal impediments do restrict the
process, again due to weak mechanisms to upstream the need for changing the circulars,
administrative guidelines and parliamentary enactments.
7.
Lessons Learnt
7.1
Community Level
7.1.1 Though very closely linked to each other, participatory process alone will not lead to
outcomes on Good Governance. They are core values that need to be practiced system-wide by
people and institutions in public service and communities involved- CBOs, NGOs and INGOs.
7.1.2 In terms of participatory knowledge and skills building, in addition to environment, there is
a necessity to cover areas such as, self reliance, motivation, consensus oriented dialogue,
articulation and expression of group interests, bargaining, pressure group formation etc the
rights based development as referred to by UN documents.
7.1.3 Attitudinal changes attempted needs continuous and direct contacts maintained over a
long period of time and is beyond a project “entry- exit” mentality, though the donor
involvements require such exit strategies.
25
7.1.4 As is done by Kotte Municipality and by Margg in Ratnapura, some minimum level of
assets building such as provision of stationery, goes a long way to achieve sustainability of
community participation.
7.1.5 Initiation of a participatory process in urban governance through contracted
NGOs\Consultants, based on Tool Kits provided, need to have an Exit Strategy, which may
differ from location to location set on a ‘Vision” for a community after a three year intervention.
7.1.6 It is now time to build a replicable model of an external- change-agent supported
Participatory Urban Governance at Community Level in a selected location that should catch the
continued interactions with the participatory budgetary process.( the plan preparation and the
reports and updates of profiles and City Consultations).
7.1.7 The participatory methods presently practiced does not seem to attract the participation
of the middle class neighborhoods and therefore it needs a different approach e.g. Citizens
Committees e.g. calling for budget proposals as is the practice of the central government.
7.1.8 It is learnt that the Community Development Officers should be equipped to take over
the functions of the NGO consultants within the stipulated time for the exit of the external
change agent.
7.2
Local Government Agency Level
7.2.1
Need Proper Monitoring Mechanism
Need to establish a proper monitoring mechanism by each LA to ensure the sustainability of the
participatory process developed until the results are achieved.
7.2.2
Reporting progress to Project Director
As there is no accepted format to submit the monthly progress to the PD a structured format
with some time target and achievements be prepared in a form where outputs and outcomes
are measured.
7.2.3
City Profiles
City profiles have made a lasting contribution to the institutional development of LA. As it has
focused on issues related to the municipality development it is very important to keep this city
profiles updated annually with some modifications if necessary.
7.2.4
Participatory Budgeting
It was noted that the Colombo MC has accommodated 14.37% of annual expenditure for the
project received through the participatory process. Maintain their figure as a bench mark for
future assessment of the performance of the participatory budget process.
7.2.5
Waste Disposals
Learning technicalities on the job is long lasting, as in the case of Nuwara Eliya solid waste
management project to extend the life span of the project by additional 10 years through
segregation of waste materials at the source.
26
7.2.6
Non Cooperation Mentality of MCs elected Representatives.
Non corporation mentality of some MC elected representatives with other government
institutions, could be due to political party affiliations, e.g. where such MCs belong to the
opposition party to that of the ruling party in Parliament.
7.3 National Level
7.3.1 Process planning method adopted over an eight year , four phase horizon cannot be
kept on proper tract without the national and tripartite level institutional arrangements
functioning as “think tanks”.
7.3.2 Capacity development program face immense challenge to gain support of stakeholders
when in the same field, parallel to the same project, there are other projects implemented with
big investment funds.
7.3.3 External exposures if properly selected and followed up on return, can provide good
champions.
7.3.4 One may produce many good documents other than the project reports, but if such
documents are not channeled into a learning process, such as issue papers etc. into the
National Steering Committees, the top administrators do not get communicated.
7.3.5 Use of modern audiovisual support at meetings help to raise the levels of discussions,
focus and results achieved.
7.3.6 If more attention was given to other aspects of Good Governance than only for
participation, the results would have reinforced the effectiveness and efficiency of UGSP.
7.3.7 The choice of a Process Planning Approach is justifiable when adequately guided to
enrich from internal and external experiences as was the case here. However when the the
project focus is transformed over time, a paradigm shift in the design and strategies is more
appropriate rather than step by step extensions.
8.
Recommendations
8.1
The Basis
The recommendations are based on (a) overall findings and the lessons learnt as given in the
previous sections, (b) on the basis of the objective set for Phase Four in the original document
which is “ Institutionalizing & Follow up Phase” i.e. to concentrate on institutionalizing the whole
process at all levels – local, provincial and national, (c) and section 3.1 of the TOR.
For the purpose strategizing recommendations for the next phase, the local government
agencies covered by the project are grouped into three categories based on the maturity
reached and the sequence of their entry.
Group I - The first come group, which are comparatively strong and urbanized, citizens more
open to change and exposure, with strong private sector, with pressing environmental problems
of slums, solid waste and urban poverty. They are the Colombo core area municipalities. The
27
changes introduced have begun to get gradually internalized into the procedures and structures.
They are becoming a part of the institutional culture with repetitions, updating and regularizing.
Further consolidation takes place with the introduction of participatory budgeting and the
Corporate Plan preparation with a planning calendar linking to the budget, cross departmental
dialogues and E Governance links on web.
Group II - Municipalities that entered as the second lot in the outstation provinces of somewhat
more developed Southern, Central and Sabaragamuwa Provinces. This group has gone through
the first steps of City Profiles, City Consultations and Pilot projects through participatory
process. They have also institutionalized City Development Committees into their organizational
structures. They will now get into participatory budgetary process and Corporate Planning.
These will require at least minimum two years practice and repeat cycles, which could be less
time consuming now that the material and first practice locations are available for
demonstration.
Group III - Those municipalities and urban councils that came in phase III. They are rather
smaller and more remote outstations where receptiveness could be more positive but giving
problems due to the distance from Colombo for closer servicing. They have to be planned for
two year involvement at the entry itself. The more condensed and encapsulated strategies and
distance-learning modes may be needed.
Group iv- Those Local Agencies not yet covered by the project. They are expected to be
serviced as a part of their normal extension work by the Ministry’s Urban Development Division
using the capacities developed by the successful outcomes from the project.
8.2 The Substantive Recommendations
8.2.1 It is recommended that the project go for Phase Four, the final two year term as
envisaged in the original document, the best strategy option left in terms of the strengths and
weaknesses in the project observed right through out this study, and to make sure that what has
been gained get sustained.
8.2.2 Re-prioritize the final phase in a participatory dialogue session with representatives of all
the stakeholders, all local agencies to get participatory budgeting and Corporate Plans, and the
participatory process to be instituted through the Community Development Officers.
8.2.3 No new local agency enters into the program. The Ministry of Urban Development
supports those local government agencies that show keen interest in good urban governance
directly.
8.2.4 The project exit strategy from local government agencies be on the basis of “first to
come first to go” , following the sequence of entry.
8.2.5 Reconstitute \ revitalise\ rename the National Steering Committee with Secretary Local
Government Ministry as co chair on a regular basis by person, a additional representatives from
the Ministry of Finance and Planning\ Private Sector Chambers of Commerce\ Finance
Commission Chairman\ representative from Mayors Association, and one each from the NGOs
and CBOs\ Central Environmental Authority.
8.2.6 National Steering Committee is given strong professional secretarial support from the
Urban Development Ministry’s Projects Coordination & Programming Division.
28
8.2.7 Ensure a smooth transfer and continuity of the UGP function, by attaching the Technical
Support Unit, (presently running more independently from a separate office), both physically and
functionally, into the Projects Division of the Ministry to function under its Director with all formal
contacts built on the Ministry levels.
8.2.8 The training coordination and field operations to be absorbed and retained in the Ministry
while terminating other contract staff as the redundancy occurs in the gradual transformation
process. The Ministry’s Projects Coordination & Programming Division to internalize and
institutionalize the training coordination function. The recommendations from the training review
study recently concluded, including those related to additional contents of participatory methods,
M&E, LFA, MIS and Good Governance to be continued.
8.2.9 With the reconstituted Steering Committee, recharge the Partnering Process, apart from
private actors, also with the public funds such as DCB and Provincial Councils.
8.2.10 Adopt a planned change over of the NGO contracted training into the relevant
government and semi government institutes. The Community Development Officers be trained
to service the CBOs, supported by the UGP field level officers, who would be absorbed into the
Division.
8.2.11 Institute a process to transfer some aspects of the field level implementation
management and monitoring process of UGSP to the relevant Provincial Local Government
Commissioner’s office. Accordingly, the monthly progress review is to be held in the relevant
provincial office with project office representative in attendance and reporting back. What comes
out of them that need national attention is to be taken up at Quarterly National Steering
Committee meeting.
8.2.12 Provide strategic support to the Mayor’s Forum with secretariat to be active and
sustainable from a Cess Fund \ Foundation and link them to international networks.
8.2.13 On-going Millennium Goals Indicator exercise to be closely linked to the Corporate
Planning and Participatory Budgeting exercise of local government agencies to internalize the
Millennium Goals Process.
8.2.14 The good work of documentation to be linked to the Urban Development Division of the
Ministry and strengthen \ ensure continuity by jointly doing an exercise of case studies, tracer
studies etc that are to be tabled to the national Steering Committee.
8.2.15 The Phase Four Project introduce the vital Management Information System and
Monitoring and Evaluation system into the Local Government Agencies.
8.2.16 Follow up on the draft cabinet paper on Local Government and other issues that may
arise in the project final phase e.g. statutory recognition to City Development Committee,
statutory requirement for Corporate Plans for Local Government Agencies, revision of local
government staff cadres,
8.2.17 Introduction of a scorecards and a rating system for local government agencies
gradually to achieve island-wide coverage is recommended.
8.2.18 Selection for foreign training and study tours and exposures should be guided by a set of
selection criteria with transparency and equity with only one trip per person of whatever status.
The list to be tabled at quarterly steering committee meetings.
29
8.2.19 The project to support the Ministry of Local Government and Provincial Councils \
Planning Division to apply the Urban Governance Tools to a selected Pradeshiya Sabah and
develop a replicable model in collaboration with SLILG.
Annex1
List of References
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
Project document Sustainable Cities –( Colombo Core) Phase I . May 99 (61 pages)
Sustainable Cities Programme Phase II 2001 ( 34 pages)
Urban Governance Support Project Phase III 2003 (15 pages)
Tripartite Review Report 2001 (7 pages)
Tripartite Review Report March 2003 (4 pages)
Tripartite Review Report December 2004 (4 pages)
The Second Country Cooperation Framework for Sri Lanka July 2001 ( 12 pages)
Guidelines for Outcome Evaluation UNDP Evaluation Office 2002 (27 pages)
Localizing MDGs to meet the Urban Challenges in Sri Lanka 2004-2005 August 2004 (6
pages)
Report of the Project Appraisal Consultation (PAC) meeting October 2003 ( 3 pages)
Developing of an Integrated Solid Waste & Water Management Plan for Oliyamulla
Settlement Wattala UC Sep. 2004 2 pages
Development of an Integrated Solid Waste Management Plan for Kotte MC Sep 2004 (2
pages)
Policy and Strategy for Local Government Capacity Building M \Housing & Plantation
Infrastructure (33 pages)
United National Development Assistance Framework Sri Lanka 2002-2006 Jan.2001 (39
pages) Tools to Support Participatory Urban Decision Making April 2003 (97 pages)
Miles Newsletter Vol. 1 Issue 1 Year 2004 ( 8 pages)
Sustainable Cities Sri Lanka Programme 1999-2004 Jan 2004UN Habitat UNEP ( 34
pages)
18. Documentation of lessons learnt in the Sustainable Sri Lanka Cities Programme.
Capacity Building on a shoestring UNHABITAT Sept 2003 (Pages 78)
Sustainable Sri Lanka Cities Programme Phase I & II Self Evaluation Report- Institute for
Housing and Urban Development Studies April 2004 ( pages 42)
List of Additional Readings
1.
2.
3.
4.
5.
Capacity Development for Decentralized Poverty Reduction in Uva Wellassa Dry Zone,
working draft April 2005, UNDP – Ministry of Agriculture.
Tools for policy influence in natural resource management – power tools. International
Institute for Environment and Development, www.policy-power tools.org
Draft framework – Decentralized Development Management Programme, April 2002, to
UNDP-Sri Lanka.
Governance and Development Issues and constrains Edgardo Boeninger – proceedings
of the World Bank Annual Conference a Development Economies1991 IBRD / The
World Bank 1992.
The King’s Report on Corporate Governance – Nov. 1994.
30
6.
Developing Strategic Thought Ed. Bob Garrat Harper Collins Publishers1996.
Annex 2
List of People Consulted
1.
2.
3.
4.
Mr. Prasanna Gunawardene
Mr. Nihal Somaweera
Mr. D.P.Hettiarachchi
Mr. S.O.Z.Moulana
:
:
:
:
5.
6.
7.
8.
Mrs. R.K. Fernando
Mr. Chris Radford
Mr. Gunasinghe
Dr. Pradeep Kariyawasam
Management
Mr. Sarath Fernando
Mr. U.G. Ekanayake
Mr. G.R. Prematilake
Mrs. N.I. Azoor
H.M.U. Choolaratne
Mr. W.Ratnayake
Mr. Y.M.S. Gunasekera
Ms. Indika Ranasinghe
Mr. H.L. De Silva
Mr. A.L. Presanna
Mr. S. Maheswaran
Mr. Hohamed Hilmi
Mr.W.M.D.B. Dissanayake
Mr. B.C.R. Bobapajohn
Dr. G.A. Bertinus
Mr. S.M. Sujith
Mr. A.g.M. Abeyratne
Dr. Fahmy Ismail
Ms. Harshani Gunawardhana
Mr. Rangajeewa Ratnayake
Mr. Janake Ranaweera
Mr. Nawaneethen
Mr. K.W.K. Premadasa
Mrs. Padma Karunaratne
Mr. K.D. Chithrapala
Mr. Thosapala Hewage
Mr. Laxman Perera
Dr. Fredrick Abeyratne
Mr. P.H. Sugathadasa
Mr. A.H.Gamage
Provincial Council
:
:
:
:
Mayor, Colombo MC
Addl. Sec. M/UDSWS
SAS M/PC &LA
Consultant – General Management
SLILG and Project Coordination
Registrar Centre for Urban & Reg. Planning
Senior Human Settlement Officer UN-Habitat
Consultant SLIDA
Chief Medical Officer Health CMC Project
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
:
Commissioner – MC Kotte
Dev. Asst. MC Kotte
Secretary Gangodawila CBO
National Training Coordination, SCDP
SENANATHA – Programme Officer
Commissioner – N’Eliya MC
Accountant N’Eliya MC
Communiry Development Office, N’Eliya MC
Co-ordinator – SEVENATHA, N’Eliya MC
Chief P.H.I. N” Eliya MC
Engineer, N” Eliya MC
Mayor Matale MC
Deputy Commissioner Matale MC
Commissioner Matale MC
Medical Officer of Health, Matale MC
Sevanatha – Project Officer, Matale MC
Chief Public Health Inspector, Matale MC
National Technical Advisor, SCDP
Finance and Administration, SCDP
Senior Project Officer, SCDP M/UD&WS
Project Officer
Community Development Officer B’Caloa MC
Municipal Treasurer, Colombo MC
Director Training Colombo MC
Accountant, Colombo MC
Secretary MUD&WS & NPD, UGSP
Direector UGSP
Senior Programme Analyst UNDP
Director – External Resources Dept., M/F& P
Secretary, Ministry of Local Government, and
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.
25.
26.
27.
28.
29.
30.
31.
32.
33.
34.
35.
36.
37.
38.
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