PROGRAM OPERATIONS MANUAL Volume II, MUDHCo ...

FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA

Ministry of Urban Development, Housing & Construction

SECOND URBAN LOCAL GOVERNMENT

DEVELOPMENT PROGRAM 2014/15 to 2018/19

PROGRAM OPERATIONS MANUAL

Volume II, MUDHCo Annexes

Urban Good Governance and

Capacity Building Bureau,

P.O. Box 24134/1000 DRAFT 3

Addis Ababa MUDHCo ULGDP II POM Volume II 03.03.14

Mudhco ULGDP II POM V3 Vol II Annex 030314 Page i of 104

Mudhco ULGDP II POM V3 Vol II Annex 030314 Page ii of 104


MINISTRY OF URBAN DEVELOPMENT, HOUSING AND

CONSTRUCTION

URBAN LOCAL GOVERNMENT DEVELOPMENT

PROGRAM 2014/15 to 2018/19

PROGRAM OPERATIONS MANUAL

Volume II, MUDHCo Annexes

Section CONTENTS page

ANNEX 1 TOR for ULGDP II Steering and Technical Sub-Committees .................. 6

ANNEX 2 TOR for Performance Assessment for EFY 2007 Allocation ................... 12

ANNEX 3 TOR for Annual Environmental & Social Audit ...................................... 44

ANNEX 4 TOR for ULGDP II Audit ........................................................................... 54

ANNEX 5 TOR for Annual Procurement Audit ......................................................... 56

ANNEX 6 TOR for Annual Value for Money Audit ................................................... 58

ANNEX 7 Organization & Staffing of the ULGDP II Coordination Unit ................ 60

7.1 ULGDP II Coordination Unit, UGGCBB 60

7.2 ULGDP II Coordination Unit Job Descriptions 64

7.3 TOR for the ULGDP II Program Coordinator 70

7.4 TOR for the ULGDP II Deputy Program Coordinator 72

7.5 TOR for the Project Engineer 75

7.6 TOR for the Social Management Specialist 78

7.7 TOR for the Environmental Management Specialist 81

7.8 TOR for the Procurement Specialist 84

7.9 TOR for the Monitoring & Evaluation Specialist 88

7.10 TOR for the ULG Financial Management Specialist 90

7.11 TOR for the Urban Land Administration Specialist 93

7.12 TOR for the Asset Management / O&M Specialist 95

7.13 TOR for the ULG Own Revenue / Municipal Finance Specialist 97

7.14 TOR for the Budgeting, Planning & Participation Specialist 99

7.15 TOR for the Urban Planner 102

Mudhco ULGDP II POM V3 Vol II Annex 030314 Page iii of 104

TABLES

Table 1. Indicative ULGDP II 1st APA Work Plan......................................................................... 24

Table 2. ULGDP II Coordination Unit – Current Status ................................................................. 64

Table 3. Main Capacity Building Activities in Phases 1 and 2 ....................................................... 66

Table 4. The 44 Cities Participating in the ULGDP II .................................................................... 66

FIGURES

Figure 1. ECPI Vision, Mission and & Strategic Pillars (Dimensions) ............................................ 13

Figure 1. ECPI Vision, Mission and & Strategic Pillars (Dimensions) ............................................ 44

The ULGDP II Program Operations Manual is made up of a number of documents:

1. ULGDP II Program Operations Manual Volume I: Main Text & General Annexes

2. ULGDP II Program Operations Manual Volume II: MUDHCo Annexes

3. ULGDP II Financial Management Guidelines

4. ULGDP II Monitoring, Evaluation and Reporting System and Guidelines

a. For cities

b. For Regions

c. For MUDHCo

5. Environmental and Social Management System Guideline

6. ULGDP II Annual Performance Assessment Guideline

7. Capital Investment Plan Guide for Ethiopian Cities

8. Asset Management Plan Manual

9. Revenue Enhancement Plan Manual

Notes:

1. The Urban Local Government Development Project 2008-2014 - with 19 participating cities - is

referred to throughout this Program Operations Manual as “ULGDP”.

2. The Urban Local Government Development Program 2014/15-2018/19 – with 44 participating

cities - is referred to throughout this Program Operations Manual as “ULGDP II”

3. Regional Government Bureaus responsible for urban development are referred to as BUDs

throughout although their status and title varies from Regional State to Regional State.

Exchange rates used (as at 1 March 2014)

Ethiopian Birr 19.3149 = US Dollar $1.00

The Gregorian and Ethiopian calendars are used throughout this document. The preceding abbreviations used

are: GC = Gregorian calendar and EFY = Ethiopian Fiscal Year. The current year according to the Ethiopian

calendar is 2006, which began on September 11, 2013 of the Gregorian calendar. The Ethiopian Financial

Year commences on 1st Hamle (8

th July) and ends on 30

th Sene (7

th July) each year. In government

documents the financial year 1st Hamle EC 2006 to 30

th Sene EC 2007 is referred to as the Ethiopian Fiscal

Year (EFY) 2007 and covers the Gregorian period 8 July 2014 to 7 July 2015.

Mudhco ULGDP II POM V3 Vol II Annex 030314 Page iv of 104

ABBREVIATIONS

APA Annual Performance Assessment MUDHCo Ministry of Urban Development

Housing and Construction BUD Bureau of Urban Development (RGs)

CB Capacity Building NCB National Competitive Bidding

CBDSD Capacity Building for Decentralized

Service Delivery

NRS National Regional State

O&M Operations and Maintenance

CBP Capacity Building Plan OFAG Office of the Federal Auditor General

CIP Capital Investment Plan ORAG Office of the Regional Auditor General

DLI Disbursement Link Indicators PDO Program Development Objective

ECPI Ethiopian Cities Prosperity Initiative PforR Program for Results

EFY Ethiopian Financial Year (see below) POM Program Operations Manual

EMP Environmental Management Plan RAPs Resettlement Action Plans

ESMS Environmental and Social Management

System

REPA Regional Environmental Protection

Agency

GC Gregorian calendar RSG Resettlement Guideline

GIZ Deutsche Gesellschaft für

Internationale Zusammenarbeit GmbH

SC [ULGDP II] Steering Committee

SNNP Southern Nations Nationalities

Peoples GoE Government of Ethiopia

GTP Growth &Transformation Plan (of

GoE)

TSC [ULGDP II] Technical Sub-Committee

TOR Terms of Reference

ICB International Competitive Bidding UGGCBB Urban Good Governance and Capacity

Building Bureau KfW Kreditanstalt für Wiederaufbau

MCs Minimum Access Conditions ULG Urban local government

M&E Monitoring and Evaluation ULGDP Urban Local Government

Development Program

MoFED Ministry of Finance and Economic

Development

US$ United States Dollar

MSE Micro and small enterprise

Mudhco ULGDP II POM V3 Vol II Annex 030314 Page v of 104

Mudhco ULGDP II POM V3 Vol II Annex 030314 Page 6 of 104

ANNEX 1 TOR FOR ULGDP II STEERING AND TECHNICAL SUB-

COMMITTEES



URBAN LOCAL GOVERNMENT DEVELOPMENT PROGRAM

2014/15 to 2018/19

ULGDP II Steering Committee (SC) and Technical

Sub-Committee (TSC)

Terms of Reference 1. INTRODUCTION

The MUDHCo has developed the Ethiopian Cities Prosperity Initiative (ECPI): Building Green

Growth, Resilient and Well Governed Cities, 2013/14-2025. The ECPI vision is to: create

economically productive and socially inclusive and environmentally sustainable cities by 2025. The

ECPI mission is to: Capacitate our Cities and Urban centers so that they can become centers of

innovation and economic production by creating the conditions necessary to support growth, to

provide services and raise the quality of life of urban residents

The first Urban Local Government Development Project (ULGDP), 2008/09 to end December 2014,

was a continuation of urban reform by the Government of Ethiopia which started in the early 2000s. It

was designed to support the government’s Plan for Accelerated and Sustained Development to End

Poverty 2005/06-2009/10 and the Ministry’s Urban Development and Urban Good Governance

Programs that were developed to support the PASDEP. The ULGDP supports 19 urban local

governments in 5 Regions, including Dire Dawa and Addis Ababa.

The ULGDP II will support the ECPI and build on the achievements and systems developed by the

ULGDP1. ULGDP II will support all three levels of the Government of Ethiopia - 44 ULGs –

excluding Addis Ababa - 9 regional governments (respective Bureaus of Urban Development) and the

federal government (specifically MUDHCo)2. The ULGDP II duration will be from 2014/15 till

December 2018/2019 (EFY 2007 – 2011). The total ULGDP II funding envelope is US 556.5 million,

comprising US 176.5 million GoE resources (contributed by ULGs and regional governments) and US

380 million International Development Association funds.

The ULGDP II expenditure framework will comprise the three following major items:

Performance based grants to 44 ULGs for urban infrastructure and services investments and

capacity building (US 499.5 million);

Regional governments capacity building and oversight/support to constituent ULGs (US30

million); and

1 The main change in approach being the use (as widely as possible) of the World Banks Program for Results (PfR)

instrument for fund delivery and systems application which replaces, to a great degree, Specific investment lending (SIL)

instrument applied in the first ULGDP. 22 Other involved GoE organs include the Federal Ethics and Anti-Corruption Commission and regional offices, the

Ethiopian Public Procurement and Property Administration Agency and regional institutions, the Regional Environmental

Protection Authorities and the Federal and Regional Offices of the Auditor General


MUDHCo to administer and coordinate the program, and strengthen its capacity to support

and guide the regions and ULGs (US27 million).

During the ULGDP constraints were identified involving coordination between federal organs

involved. This factor, together with the increased complexity of ULGDP II in terms of the number of

federal, regional and ULGs involved in program activities and in disbursement and utilization of funds

is the main justification for the establishment of the ULGDP Steering Committee (SC) and Technical

Sub-Committee (TSC) that are the subject of this TOR. To ensure smooth ULGDP II implementation

it has been agreed that a steering committee comprising, at a minimum, MoFED and MUDHCo senior

management, and a technical sub-committee made up of technical personnel from MoFED and

MUDHCo will be established. It was further agreed that the committees will be operational by July

20143 and the committee meetings will be held quarterly.

These Terms of Reference set out the responsibilities, composition and workings of the ULGDP II SC

and the ULGDP II TSC. Together, these two bodies are expected to ensure smooth ULGDP II

implementation.

2. OBJECTIVE OF THE ULGDP II STEERING COMMITTEE

The ULGDP II SC is the executive policy and decision making body responsible for providing the

direction that contributes to achievement of the ULGDP II development objective which is to enhance

institutional capacity of participating ULGs in developing and sustaining urban infrastructure and

services

The key results of the ULGDP II performance improvements will be:

enhanced participation of citizens in ULG planning and budgeting;

efficient fiduciary management;

increased amount of own source revenues at the ULG level;

improved infrastructure, service delivery and O&M systems; and

strengthened accountability and oversight systems.

3. OBJECTIVE OF THE ULGDP II TECHINCAL COMMITTEE

The ULGDP II TSC will provide administrative and technical support to the ULGDP II SC and bring

to its attention those issues arising that require executive policy and decision-making. The TSC will be

made up of technical personnel from MoFED and MUDHCo.

4. RESPONSIBILITIES OF THE ULGDP II STEERING COMMITTEE

The ULGDP II SC’s key responsibilities are:

To provide overall direction, coordination of GoE organs and decision-making authority in

general; and

To make decisions as to the annual allocation of ULGDP II Performance Grant funds each

year in advance of the Ethiopian Financial Year (EFY) for which the fund allocation applies,

based on the results of the independent annual performance assessments4.

The ULGDP II SC’s specific responsibilities are:

1 Promote the MUDHCo’s ECPI vision and mission and ULGDP II development objectives;

2 Provide overall direction to the ULGDP II and its key implementing agencies;

3 The main reason for this deadline is that, the first Performance Assessment of the 44 participating ULGs and 9

Regions is expected to be concluded by mid-May 2014, following which a decision of the ULGDP II SC, on the advice of the

TSC, will be required as to the allocation of IDA funds for EFY 2007 that commences in July 2014. 4 The World Bank will also verify the results and reserve the right to finally approve the compliance with the

Disbursement Linked Indicators.


3 Receive reports from the ULGDP II TSC and determine follow-up actions and requirements

as necessary;

4 Monitor and evaluate ULGDP II performance and impacts;

5 Ensure good communication and coordination between all involved and interested

stakeholders as to ULGDP II objectives and activities;

6 Follow and enforce the laws of the Federal Democratic Republic of Ethiopia; and

7 Ensure that the ULGDP II achieves the objectives agreed and implements the agreed terms

and conditions described in the Financing Agreement in force between the Government of

Ethiopia and the World Bank.

5. RESPONSIBILITIES OF THE ULGDP II TECHNICAL SUB-COMMITTEE

The ULGDP II TSC will be responsible for:

1. Ensure that the ULGDP II is implemented in line with the ULGDP II POM;

2. Provision of administrative, logistical and secretarial support to the ULGDP II that ensures

effective and smooth operations of the SC. This responsibility includes timely dissemination

of agendas, papers, minutes, etc., as are required for effective operations;

3. Bringing to the attention of the SC of those issues that require executive direction or policy

decisions involving ULGDP II implementation. In particular, the ULGDP II TSC will note the

importance of:

a. Efficient and effective coordination and communication between the MUDHCo and

MoFED, with other Federal and Regional organs involved and with participating and

other interested ULGs; and

b. Timely submission of results and recommendations for allocation annually of

Performance Grant funds to the SC that ensures that participating ULGs, Regional

States and Federal organs are advised of the allocation of ULGDP II funds well ahead

of the start of the financial year to which they apply.

4. Periodic evaluation of ULGDP II implementation against objectives;

5. Provide technical guidance with support from the World Bank;

6. Review the results from the APA5, provide quality assurance of the results and provide advice

to the Steering/Coordinating Committee as to the achievement of DLIs and allocations to

cities; and

7. Receive and handle complaints in a streamlined manner.

6. COMPOSITION OF THE ULGDP II STEERING COMMITTEE

The Voting Members shall be:

1 To be inserted

The Non-Voting Members shall be:

1 To be inserted

7. COMPOSITION OF THE ULGDP II TECHNICAL SUB-STEERING

The ULGDP II TSC will be headed by the [to be inserted] who will be supported by:

5 Note that draft results and final results from the APA will be submitted at the same time to MuDCO and the World

Bank for verification.


[to be inserted]; and

[to be inserted].

8. WORKINGS OF THE ULGDP II STEERING COMMITTEE

1. Voting members may appoint proxies as their representatives to attend ULGDP II SC

meetings. Proxy representatives shall have the power to vote either as directed by the Voting

Member concerned or in their own right if not so directed and, may, advise the meeting of

their desire to consult the Voting member before informing the ULGDP II SC of their vote.

2. The Chair of the ULGDP II SC will be appointed by H.E. the Minister, MUDHCo.

3. MUDHCo will provide the administrative support to the ULGDP II SC by means of an

ULGDP II TSC. The ULGDP II TSC will be headed by the ULGDP Program Coordinator

who may also be known as the Secretary to the ULGDP II SC. The ULGDP II TSC will be

supported by members of the ULGDP Department/Unit, UGGCBB, MUDHCo, and such

other co-opted MUDHCo officers as the Program Coordinator ULGDP may determine, in

consultation with the Director General UGGCBB. As at January 2014, Ato Bereket

Belayhun Woldemeskel, has been appointed to this post. [Contacts: Address: 3rd

floor, Room

304, MUDHCo, Ras Abebe Aregay Street, P.O. Box 3040, Addis Ababa. Tel Mobile: +251-

091-143-65 65. Tel Office: +251-011-554-06 3. Email: [email protected]]

4. Unless it agrees otherwise by majority vote, the ULGDP II SC shall meet once quarterly

until such time as the ULGDP II SC is by unanimous decision vote of its voting members

dissolved. Note: it is recommended that, because the ULGDP II reporting system is quarterly

based on the EFY, the ULGDP II SC meeting take place in the month, one month after the

end of each quarter: i.e., November, February, May and August each year.

5. Prior to each ULGDP II SC meeting, the ULGDP II PC shall prepare an Agenda for the

forthcoming meeting in consultation with the Chair and, at least seven working days prior to

the meeting, the ULGDP II PC shall circulate by hand or fax, a copy of the Agenda to all

members of the ULGDP II SC and TSC.

6. The ULGDP II SC and TSC will take particular note regarding the annual calendar of

processes and decisions required and include these in the Agenda prepared for each meeting

where decisions are required. Of particular importance are:

a. The decision regarding the annual allocation6 of Performance Grant funds to the 44

cities, 9 regions and MUDHCo. These should take place well in advance of the financial

year commencement to which the funds will apply. It is expected that:

i. The MUDHCo will contract independent performance assessors (PAs)7, who will

carry out the PA during the last 3 to 4 months of the year (September to December,

Meskel to Tahsas), with inclusion of the results of the final audit reports in January

prior to the Fiscal Year for which disbursements will be made,

ii. The results of the PA will be reviewed by the ULGDP II TSC and be put into final

recommended form by MUDHCo, prior to submission to the ULGDP II SC

(January/Tarr) each year,

iii. The ULGDP II will make the final executive decision as to the award of

Performance Grant Funds and address and resolve any issues arising as to

allocation, dissemination, communication and disbursement. (February meeting –

Note: it is expected that the first allocation. will be made in the 1st (or 2

nd) meeting

6 Note that the World Bank will have to verify the results from the APA, and provide a non-objection to the

allocations. 7 The 1st Performance Assessment (PA) will take place 1 March to 30 April EC 2006 (GC 2014) for allocation for EFY

2007 (GC 2014/15). The 2nd, 3rd and 4th Pas are expected to commence in September each year – the 2nd PA in September

2014 – and be concluded by 31 December 2014. The 3rd and 4th PAs are expected to follow this timing.


of the ULGDP II SC in May or June 2014). The allocations will be made in the

year following the results of the assessments, in two tranches – July and January.

7. The Agenda of all ULGDP II SC meetings will include:

a. Review, correction and confirmation of the accuracy of the minutes of the previous

meeting;

b. Review of activities and issues relating to federal level coordination between MUDHCo

and MoFED concerning, among other things:

i. Drawdown, disbursement and fund flows,

ii. Financial reporting, and

iii. Issues involving the OFAG and EPPPAA.

8. If a ULGDP II SC Member wishes to have a matter placed on the Agenda, s/he shall notify

the ULGDP II PC of the matter in writing (by hand delivery or fax to the ULGDP II PC) at

least eight working days prior to the scheduled meeting.

9. Decisions of the ULGDP II SC8 shall be agreed, to the extent possible, by consensus of all

Voting Members. In the event of consensus not being reached, the matter shall be put to the

vote and shall be decided by simple majority. In the event of a hung vote on any matter, the

Chair’s vote shall carry. In the event that SC members are not present at a meeting at which

a decision is to be made, they may send in advance of the meeting, their views on any matter

on the agenda, and their vote should it come to a vote, to the meeting by fax or email, which

shall be received by and read out to the meeting by the ULGDP II PC.

10. The ULGDP II TSC shall be responsible for keeping the Minutes of all SC and TSC

meetings in accordance with generally accepted standard of minutes. The ULGDP II PC

shall circulate a full set of draft minutes of each meeting to all SC and TSC Members within

3 working days prior to the meeting to which they apply; and a full set of final approved

minutes of each meeting to all SC and TSC Members within 5 working days of the SC or

TSC meeting at which they were approved – usually the meeting following the meeting to

which the minutes appl.

11. In the event that a Member does not receive adequate notice of a meeting and/or Minutes of

the previous meeting, it shall be raised at the next Committee meeting so that the matter can

be rectified.

12. The ULGDP II TSC will be responsible: a) for coordination and good communication of all

relevant technical and administrative matters; b) technical review and advice to the ULGDP

II SC and c) forward planning for efficient and effective implementation of ULGDP II

proposals and activities as approved by the ULGDP II SC.

13. The ULGDP II SC shall establish such other committees, task forces and working groups as

are required for the proper implementation of specific ULGDP II activities.

14. ULGDP II SC meetings will be held alternately at a venue determined by MUDHCo or

MoFED. ULGDP II TSC meetings will be held at a venue determined by the ULGDP II PC.

8 As mentioned above, the World Bank will verify and have to agree in the compliance with the DLIs (results of the

APAs).


ANNEX 2 TOR FOR PERFORMANCE ASSESSMENT FOR EFY

2007 ALLOCATION

Note: This TOR was prepared in December 2013 and included in the Request for Proposals

issued before the end of 2013. It does not, therefore, include subsequent changes in the design

of the ULGDP II that were discussed and agreed in the final Program Appraisal Document

and Program Operations Manual agreed at ULGDP II negotiations between the World Bank

and Government of Ethiopia in early March 2014. Any necessary changes required will be

made by MUDHCo before or after award of contract which is expected before end February

2014.

Government of the Federal Democratic Republic of Ethiopia

MINISTRY OF URBAN DEVELOPMENT, HOUSING AND CONSTRUCTION

SECOND URBAN LOCAL GOVERNMENT DEVELOPMENT PROGRAM (ULGDP

II)

Terms of Reference for Undertaking Annual Performance Assessment of 44 ULGs and

Nine Regional States for allocations of ULGDP II Performance Grants in 2014/15

(EFY2007)

1. INTRODUCTION

1.1. Background

1. The Ministry of Urban Development, Housing and Construction (MUDHCo) has the Ethiopian

Cities Prosperity Initiative (ECPI) that will lead to the establishment of Green Growth, Resilient and

Well Governed Cities that support Ethiopia’s transformation from a predominantly agricultural nation

to a nation with a rapidly growing industrial sector that contributes to the economic growth necessary

to achieve middle income country status by 2020. The ECPI is the Ministry’s contribution to the

Government of Ethiopia’s Growth and Transformation Plan (GTP) 2010/11-2014/15 and 2020-23

Vision.

2. The continuous and substantial movement of people from rural villages and homesteads to

urban villages, small, medium, and large towns, and to the capital city, and the resulting rapid

urbanization, is necessary to support the development of industrial, manufacturing, and service sectors.

The societal change that will accompany the agricultural to industrial transformation can only be

accomplished successfully with careful and meticulous advance planning that addresses all aspects of

the transformation simultaneously. It is for this reason that the Ministry has developed the Ethiopian

Cities Prosperity Initiative. Its aim is to build the frameworks and provide the foundations – in our

towns and cities and in the construction industry – to achieve the country’s vision and for the

continued advancement of that vision.

3. The ECPI comprises seven pillars – or dimensions - that will contribute to the achievement of

middle income country status and bring the desired political-economic transformation. Growth is a key

objective of our initiatives and programs for urban development and construction; the main economic

objective. The main elements of the political component of the seven pillars that make up the ECPI are

good governance, democratization at local level and the satisfaction of citizens and residents with the

delivery of public services and performance of government – at local, regional and federal levels.

Together the economic and political interventions of the ECPI will produce the prosperity that

accompanies achievement of middle income country status.


4. The ECPI’s seven strategic pillars will contribute to Ethiopia’s achievement of middle income

country status by producing a transformation in the economic productivity and in the good governance

of cities. Economic transformation will be achieved by increased good urban governance in general

and in the focus of the ECPI on Job Creation - Micro & Small Enterprise Development in particular.

This focus will be supported by improvements in land use planning, serviced land delivery, housing

development, construction industry development, infrastructure, services and green growth

development. Investments in all these areas and mobilization of resources to meet increasing operating

and investment costs are a main focus of the MUDHCo.

5. The attention given to economic development and governance does not neglect social and

environmental development, nor will the key GTP cross cutting issues be neglected. These include

gender and children’s affairs, youth and sports development, HIV/AIDS prevention and control, social

welfare, labor affairs, population and development, culture and tourism, science and technology,

environment and climate change.

6. The Seven strategic pillars and programs that make up the Ethiopian Cities Prosperity Initiative

are illustrated in the figure below– six of the pillars being supported at all times by the seventh -

Policy, Research and Leadership Development:

Figure 1. ECPI VISION, MISSION AND & STRATEGIC PILLARS (DIMENSIONS)

1.2. Urban Local Government Development Program

Urban Local Government Development Program 2008/09-2013/14

7. The Urban Local Government Development Program (ULGDP) was a continuation of urban

reform by the Government of Ethiopia which started in the early 2000s. ULGDP was designed to

support the government’s Plan for Accelerated and Sustained Development to End Poverty 2005/06-

2009/10 (PASDEP) and the Ministry’s Urban Development and Urban Good Governance Programs

that were developed to support the PASDEP. The specific development objective of the program is to

support improved performance in the planning, delivery and sustained provision of priority municipal

services and infrastructure by urban local governments (ULGs).

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1. Policy, Research and Leadership Development

Our Vision is to create economically productive and socially inclusive and

environmentally sustainable cities by 2025

Our Mission is to: “Capacitate our Cities and Urban centers so that they can become centers of innovation and

economic production by creating the conditions necessary to support growth, to provide services and raise the

quality of life of urban residents

Policy Review &

Implementation

Resource

Mobilization &

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Leadership Skill

& Change Management

ICT Infrastructure

Development &

Management

Social

Communication

& Marketing


8. The World Bank contributed to the early stages of establishing these ULGs through the

Capacity Building for Decentralized Service Delivery (CBDSD) Program. The CBDSD also provided

a range of training and other technical assistance activities to establish cities as viable entities able to

fulfill their mandates. CBDSD activities addressed 18 cities—the regional capitals and three of the

largest cities in each of the four major regions, plus Dire Dawa and Harar. Specific assistance was

also provided to Addis Ababa.

9. ULGs have also received capacity building support from the urban management component of

the Public Sector Capacity Building Program Support Program 2004 to 2012 which aimed to improve

the scale, efficiency, and responsiveness of public service delivery at the federal, regional and local

level; to empower citizens to participate more effectively in shaping their own development and to

promote good governance and accountability.

10. In 2008, a credit in the amount of USD150 million equivalent was made available to the

government of Ethiopia for the ULGDP, under which 199 cities who benefitted from the CBDSD

support were able to receive grant funding for infrastructure and services based on their performance

in key areas related to city management.

11. In 2011 the World Bank approved an additional US 150 million due to the fact that the program

had performed well, and the funds had been disbursed faster than anticipated. The planned six-year

budget was disbursed in about three years. The additional bank assistance brought the revised cost of

the program to be US 416 including 20% Regional and 20% ULG contributions to the performance

grant.

12. The additional credit continued financing the costs associated with scaling up the ULGDP’s

activities to enhance the impact of this well-performing program. Specifically, the additional funds

financed investments to improve the administration of the 19 participating cities and to help address a

large infrastructure backlog. This enabled the administrations of the 19 cities benefiting from the

ULGDP to further improve their performance in participatory planning, financial management,

procurement, execution of infrastructure programs, and sustainable delivery of services. It also assists

18 additional cities10

to build capacities in good governance to prepare them to participate in the

ULGDP II anticipated to commence in 2014/15 (EFY 2007).

Second Urban Local Government Development Program 2014/15-2018/19

13. The ULGDP II is a follow-up to the successful ULGDP. In preparation for ULGDP II, 18

additional ULGs were selected in 2012 to receive capacity building support to enable them to

participate in the ULGDP II’s performance grant. The ULGDP II will scale up the ULGDP support

from 19 to 44 cities – excluding Addis Ababa and adding 26 new cities – by providing highly needed

investment funds to promote the cities as growth engines in the GoE’s urban development strategy;

build institutional capacity of all tiers of governance (federal, regional and local) in urban

development, and enhance the incentives of everyone involved. The 44 ULGs participating in the

ULGDP II are:

The 18 cities that participated in the CBDSD and (excluding Addis Ababa) in the ULGDP – as

listed on the previous page;

9 Bahir Dar, Kombolcha, Gondar and Dessie in Amhara Region; Mekelle, Adigrat, Axum and Shire Endeselassie in

Tigray Region; Adama, Bishoftu, Jimma and Shashemene in Oromia Region; and Hawassa, Arbaminch, Wolayta Sodo and

Dilla in SNNPR, Dire Dawa, Harar and Addis Ababa 10 Assela, Burayu, Sebeta, Ambo, Robe, and Batu in Oromia Region, Debre Birhan, DebreTabor, Woldya, Finoteselam,

and Mota in Amhara Region; Almata, Humera and Wukro in Tigray Region; and Mizan, Hosaena, Areka and Butajira in

SNNPR


The 18 cities that participated in the ULGDP for CB purposes only11

; i.e., did not receive

Performance Grants – as listed on the previous page; and

The 8 cities that are receiving investment funds through the KfW funded Urban Development

Fund and capacity building support from GIZ through the Urban Governance and

Decentralization Programme. These cities are: Adwa (Tigray), Debre Markos (Amhara),

Hosaina (SNNPR), Nekemte (Oromia), Gambella (Gambella), Semara (Afar), Asosa

(Benishangul Gumuz), and Jijiga (Somali). The latter four are located in the Developing

Regional States (DRS) of Ethiopia.

14. The ULGDP II will involve disbursement of funds by the World Bank and allocation of funds to

ULGs, Regional States and MUDHCo through a result orientated/performance-based capital

investment fiscal transfer system using the World Bank’s PforR methodology, clearly linked to well-

defined disbursement-linked indicators (DLIs). The PforR operation will fully utilize and enhance the

key elements of the existing GoE system.

1.3. ULGDP II Objectives

15. The ULGDP II Development Objective (PDO) is to enhance the institutional and organizational

performance of participating urban local governments in developing and sustaining urban

infrastructure and services. The key results of the performance improvements will be:

enhanced participation of citizens in ULG planning and budgeting;

efficient fiduciary management;

increased amount of own source revenues at the ULG level;

improved infrastructure, service delivery and O&M systems; and

strengthened accountability and oversight systems.

1.4 ULGDP II Description

16. The ULGDP II is expected to run for a period of five years – from EFY 2007 (2014/15) to EFY

2011 (2018/19) with the first disbursement year EFY 2007 (2014/15). ULGDP II will fund

performance- based grants for 44 cities - of the total number of larger cities (85), excluding Addis

Ababa, with a total population of 3,312,107 people (2007 figures) and 4,348,853 (2013 estimates). The

ULGDP II will cover all nine regions and Dire Dawa City Administration. The population of the 44

ULGs is about 28% of the total urban population12

.

17. The ULGDP II’s will provide funds for two main purposes:

Performance Grants (PGs) for ULGs

Performance-based fiscal transfer to 44 cities expected to total US 323 million over five years from the

World Bank supported financing and funding from the ULGs and regions in the tune of USD176.5

million. The actual grant disbursement will depend on the performance of the ULGs with a simple

average allocation per year per ULG of US 1.5 million

18. ). As per current practice, ULGDP II will determine allocations to ULGs through a simple

population formula, and disburse funds on the basis of an annual performance assessment (APA) with

clearly defined performance indicators. In doing so, ULGDP II will leverage institutional

strengthening, achievement of planned infrastructure activities, and support local capacity building.

11 TA to New and Existing ULGDP Cities in Amhara, Tigray, Oromia & SNNP Regional States

12 Based on data from WBI 2013 indicators and CSA 2013 estimates extrapolated from the 2007 census.


19. Activities to be financed under the Performance Grants are core infrastructure investments in

roads, water supply, sanitation, solid waste, greenery, street lighting, etc. in a well-defined investment

menu, which targets infrastructure investments towards areas under ULG responsibility, and to

maximum gains and minimize the risks. The ULGs will prepare their Capital Investment Plans in a

participatory manner and use the planning tools developed under ULGDP: the assets inventory and

management plan system, capital investment plans, annual plans and budgets. Participatory approach

and proper planning and budgeting will be promoted through the APA. Cities and regions will

contribute to the investments through a substantial level of matching funding. New cities will be

required, at a minimum, to match 10% of the grants while cities currently part of ULGDP and all

regions will have a minimum contribution requirement of:

a. 10% for 4 cities in Afar, Benishangul Gumuz, Gambella and Somali Regional States;

b. 20% for 22 new cities in Amhara, Oromiya, SNNP and Tigray Regional States;

c. 20% for Afar, Benishangul Gumuz, Gambella and Somali Regional States; and

d. 25% for Harar city

e. 25% for Harari Region State

f. 30% for ULGDP 16 cities in Amhara, Oromiya, SNNP and Tigray Regional States;

g. 30% for Amhara, Oromiya, SNNP and Tigray Regional States.

h. 50% for Dire Dawa City Administration;

20. ULGs will be able to utilize a maximum of 5% of Performance Grants for capacity building

(CB) activities defined in a menu of eligible CB activities. These activities will build on the existing

technical assistance provided under the current government and GIZ programs. As such, the ULGDP

II will pursue a two-pronged approach in CB, focusing on the capacity building needs of:

1. The 26 cities that are did not participate in the ULGDP - which are expected to be fairly

high;

2. The 18 cities which participated in the CBDSD and the ULGDP – whose CB needs are

expected to be relatively lower, and different in nature, to the 26 new cities.

21. The main focus of CB support to cities will be on the key areas of weaknesses identified

through the APAs and Value for Money assessments (which will start from the 3rd

APA).

Regional and Federal Capacity Building and Implementation Support

22. The ULGDP II will also include a set of parallel, but related activities, expected to total US 52

million over five years. These activities will include CB activities for:

1. Those agencies in the Regional States that will: a) benefit from CB to support both their own

operational functionality and b) strengthen their ability to support ULGs in ULGDP II

implementation as per the ULGDP II Program Operations Manual (POM). These agencies

will include: Office of the Regional Auditor General (ORAG), Regional Environmental

Protection Agencies (REPA), Regional Public Procurement Agencies (RPPA) and Regional

Bureaus (or Departments13

) of Urban Development (RUDBs).

2. The federal Ministry of Urban Development, Housing and Construction.

23. The formulation of CB plans for ULGs, regions as well as the overall MUDHCo support to be

provided will be overseen by a small capacity building team at MUDHCo. The ULGDP II

13 The Regional Bureaus or Departments responsible for Urban Development are contained within differently named

Bureaus in different Regional States.


Implementation Support will be provided by the MUDHCo and will include the procurement and

funding of annual performance assessments (APAs), Value for Money audits, Procurement Audits and

other program management support, including strengthening of the M&E functions. APAs, Value for

Money and procurement audits will be contracted out to private, neutral and objective companies so as

to ensure that results are willingly accepted, credible, consistent and reliable. Implementation support

will provide some support and incentives to ensure timely annual audits and strengthening of the

safeguards management by the regions.

1.5 Disbursement Linked Indicators for ULGs

24. The ULGDP II funds will be provided through disbursement linked indicators (DLIs). The first

set of three DLIs will target the program’s urban local governments and will, assuming satisfactory

performance in achievement, trigger disbursement of the US 323 million grant funds for ULGs

investments in infrastructure, services and capacity building. DLIs aim to strengthen institutions and

delivery of infrastructure and services by ULGs.

25. DLI 1 contains the Minimum Access Conditions (MACs) for ULGs comprising requirements in

planning, program financial management, safeguards and procurement must be achieved and

maintained by participating ULGs throughout the ULGDP II. MACs will be assed as part of the

Annual Performance Assessment every year, and are put in place to ensure minimum capacity of the

ULGs to handle and absorb the funds. The performance measures are further targeted towards the

institutional performance in core areas such as planning, budgeting, program financial management,

own source revenues, procurement, assets management and governance as well as infrastructure and

service plan achievement, and will (in future) be detailed in a transparent performance assessment

manual annexed to the POM. The performance results approval process will be formalized through

systems and procedures for approval, complaint handling and publication and the assessments will be

conducted in due time to fit with the ULGs budgeting and planning cycle, which will be supported

through federal incentives for timely completion. If ULGs do not comply with the minimum

conditions, they will not get access to the funds from DLIs 1, 2 and 3 – for investments in

infrastructure, services and capacity building.

26. The remaining DLIs will be linked to performance measurement of those Regional State and

Federal authorities who will use ULGDP II funds for capacity building or implementation support

activities as defined in the ULGDP II POM.

1.6 Program for Results

27. The ULGDP II will use the World Bank’s PforR lending instrument. PforR replaces the Specific

Investment Loan approach that was used to implement the ULGDP. The PforR system focuses on

results. All ULGDP II disbursements will be linked to the achievement of tangible and verifiable

results. Disbursement-Linked Indicators (DLIs) will play a critical role in ULGDP II operations—they

provide the government with incentives to achieve key program milestones and improve performance.

The key features of the PforR approach are that it: finances and supports GoE programs, disburses

upon achievement of results; focuses on strengthening institutional capacity; and provides assurance

that ULGDP II financing is used appropriately and that the environmental and social impacts of the

program are adequately addressed.

2. OBJECTIVES OF ASSIGNMENT

28. To assess the performance of:

1. The 44 cities that will participate in the Second Urban Local Government Development

Program in respect of Disbursement Linked Indicators 1, 2 and 3 and the associated

performance measures and indicators described in Annex 1 attached, so as to identify the

achievement of the cities, individually and in aggregate, so as to determine: a) whether

ULGDP II funds linked to the DLIs described can be disbursed (by the World Bank); and b)

the allocation, or non-allocation of funds, (by GoE) that may be made to each of the 44


participating cities for EFY 2007 (8 July 2014 to 7 July 2015). In addition to this, APA will

be asked to review the DLIs related with the performance at the regional level, see below.

2. The nine Regional States that will participate in the Second Urban Local Government

Development Program in respect of the extent to which:

a. The regional ORAGs have conducted timely audits of the ULGs final accounts;

b. The regional environmental protection agencies have carried out the safeguards

reviews/audits of ULGs in their jurisdictions before the start of the annual performance

assessment in each year;

c. The regions have held consultations with the ULGs on tax rates, provide a tax band in

major taxes, and have supported analysis and oversight and coding;

d. The regions have developed the capacity building plan of and TOR for regional

government teams to be in place.

3. SCOPE OF WORK

3.1. Overall Scope of Work

29. Eligibility for “downstream” ULGDP II assignments: Consultants submitting proposals to

provide consultancy services for the assignment described in this Terms of Reference will note that if

they are award a contract for the 1st Annual Performance Assessment of 44 Cities participating in the

ULGDP II, they will not be debarred or prohibited from participation in subsequent (downstream)

ULGDP II assignments including the provision of Annual Performance Assessments for ULGDP II

cities for allocation of funds in EFY 2008 and in the years that follow.

30. Disbursement Linked Indicators, Performance Measures and Indicators: Annex 1 contains

the detailed schedule of Disbursement Linked Indicators, Performance Measures and Indicators that

are to be measured by the Consultant in each of the 44 ULGDP II cities. The Consultant will note that,

because this is the first APA for ULGDP II and there are: a) performance measures and indicators that

are in some cases the same as, or similar to ULGDP PMs and indicators, and in some cases not (i.e.,

are new); and b) there are ULGs that have previously participated in ULGDP APAs and other ULGs

that are participating for the first time, the Consultant will have to determine whether the PM and

indicator to be measured will be determined on the basis of the existence of evidence:

1. At the time of the APA (March/April 2014) – i.e., in EFY 2006 – for instance the existence

of an approved CIP for the year(s) ahead;

2. At the end of the EFY 2005 (July 2012- July 2013) – for instance the ULG’s achievement in

municipal revenue collected against target;

3. From EFYs earlier than EFY 2005 (for instance in the case of evidence of prior year audits

having been concluded);

4. Whether bank reconciliations are up-to-date at the point of time for the APA or

5. A combination of the above. The final set of MCs/PMs to be completed prior to the

assessment will provide guidance to the consultants on these issues.

31. Note: The APA DLI, performance measures and indicators matrix provided in Annex 1

provides an indication of where it expected that the evidence of performance may be identified.

32. Scoring Matrix: Before the end of the contract negotiations and award of contract, the

MUDHCo will provide the Consultant with an MS Excel worksheet (or linked set of worksheets) into

which the Consultant will be expected to enter the (draft and final) data resulting from the APA. MS

Excel worksheet will calculate the allocations to be made to each of the 44 cities and the aggregated

scores for each DLI sufficient to identify whether DLI funds may be released.


33. Future ULGDP II APAs according to ULGDP II POM and APAM: For future ULGDP II

APAs the assignment will be carried out by independently contracted consultants who will carry out

the assignment in strict compliance with the ULGDP Program Operations Manual (POM) and the

ULGDP II Annual Performance Assessment Manual (APAM) that is provided as an annex to the

POM. The 1st ULGDP II APA – for EFY 2007 disbursement and allocation - will be undertaken

before the APAM is completed and will form an input to the preparation of the APAM. For this reason

the 1st ULGDP II APA will be carried out in accordance with this Terms of Reference and the contract

for Consultancy Services that will be signed between the Consultant and the Urban Good Governance

Capacity Building Bureau, MUDHCo. The APAs will also review certain performance measures at the

regional level, such as timeliness of the annual audits by ORAGs and RPPAMAs, and these activities

will be somehow expanded during the 2nd

and the 3rd

assessments.

34. At the regional level the consultants will review: 1) the extent to which the regional ORAGs

have conducted timely audits of the ULGs final accounts, 2) the extent to which the regional

environmental protection agencies have carried out the safeguards reviews/audits of ULGs in their

jurisdictions before the start of the annual performance assessment in each year, and 3) the extent to

which the regions have held consultations with the ULGs on tax rates, provide a tax band in major

taxes, and have supported analysis and oversight and coding, and 4) the annual performance

assessment will finally check the extent to which the regions have developed the capacity building

plan of and TOR for regional government teams to be in place. The exact scope of assignment at the

regional level is subject to change and will be further clarified prior to signing of contract for the

consultancy

35. Provided that the continuity in the technical approach, experience acquired, and continued

professional liability is maintained and the firm proves satisfactory performance in the initial

assignment, the client may consider continuation of the assignment for further downstream APAs with

the initial consultant.

36. Objectivity & Evidence-based APA: The Annual Performance Assessment (APA) should

involve minimal “judgment” or “analysis” on the part of the consultant or city – although some is

required. It should as far as possible, be “evidence” based – i.e., performance is assessed on the basis

of identifiable (documentary) evidence. The Consultant should be able to provide evidence that

conclusively and indisputably supports the assessment.

37. ULGs Signing-off on APAs: Before completing the assignment the Consultant will be required

to present the draft assessment to executive representatives/officials of each city and region and obtain

their signed certificate of agreement to the assessment, documenting any justifications for non-

agreement.

38. Strict adherence to the work plan agreed with the Client in the Final Inception Report is

important because the APA is an input to the process of deciding on allocation of funds to cities for

EFY 2007.

3.2. Tasks

3.2.1. Task 1, Inception Period – 1 Week

39. Data Collection & Review: Thoroughly review the documents that cities must provide as part

of the performance criteria. These documents include:

a. ULGDP Operational Manual (draft only)

b. Annual Performance Assessment for EFY 2006 Allocation to ULGDP Cities. Final

Report

c. ULGDP Cities’ annual progress report for EFY 2005. As part of the preparations for the

annual assessments, each city will complete and submit to BWUD by August 15 of each

year (and BWUD to UDCBO by August 31), an annual progress report for the previous

fiscal year).


d. Cities quarterly progress reports, which must contain all the information specified in the

ULGDP Monitoring, Evaluation, and Reporting System and Guidelines. In particular,

the quarterly progress reports are expected to present information on procurement

actions, spending, revenue mobilized, physical progress of investments, consultative

meetings, and dissemination activities.

e. Cities current capital investment plans/budgets, and annual action plans.

f. Cities revenue enhancement plans.

g. Cities asset inventories and asset management plans

h. Cities external audit reports for EFY2005, if available and reports from previous EFYs

(minimum 5 years back). If not available, cities’ most recent external audit reports,

including recommendations for improved performance.

i. Evidence submitted by cities as part of their quarterly progress reports on dissemination

of information on investment plans, budgets, Procurement plans, contracts awarded and

delivered, expenditures, physical progress of investments, and improvements achieved in

terms of services delivery. This evidence is expected to be submitted to the UGGCBB

as part of the quarterly progress reports.

j. Environmental and Social Management Framework for ULGDP, November 2008.

k. Resettlement Policy Framework, for ULGDP, November 2008.

40. Work Plan: Prepare a detailed work plan for the visit by the Consultant’s teams (See Section 6)

to each city detailing: dates of visit, dates for introductory briefing and presentation of the

performance assessment to city executives, date for delivery of ULGDP II 1st Annual Performance

Assessment, complete with signed certificates of agreement from each city and documentary evidence

of performance for each city.

41. Consultant’s Team: Discuss, agree and finalize with the Client’s representative (Director,

UGGCBB, MUDHCo) the Consultant’s teams for performance of the APA for each city/region.

42. Certificate of Agreement Format: The Consultant will draft and submit, in consultation with

the Client, a form of Certificate of Agreement to the ULGDP II 1st Annual Performance Assessment

that will be signed by each City’s (and RUDBs)) nominated representative at conclusion of the APA

for each City.

43. Mobilization: The Consultant will fully mobilize their team and make all logistical preparations

for carrying out the APA in the 44 cities.

44. Inception Report: Present details of the above, plus the methodology for carrying out the

assignment in an Inception Report Not more than 15 pages.

45. ULG notification: Immediately following the submission of the Inception Report the

Consultant will contact executive officials in each city government and regional RUDBs officials to

inform them of the dates for the APA to be undertaken in each city.

46. Timing: Step 1 will be completed not more than 1 Weeks after commencement of the

assignment.

47. Approval of Inception Report: The Client will advise the Consultant that the Inception Report is

approved within 1 week of submission of the Inception Report,

3.2.2. Task 2: Annual Performance Assessment of 44 Cities

48. Presentation & Briefing: Before commencing the APA in each ULG, the Consultant will meet

with the RUDB representative, Mayor, City Manager, ULGDP Coordinator (and any other city official

nominated by the Mayor or City Manager) and:


a. Present the full Consultant’s team;

b. Brief the meeting as to the methodology to be followed;

c. Agree who will be the key informants at the city for each of the Consultant’s team/

performance criteria, what documentary evidence of performance is required and when they

will meet to agree on the assessment of performance.

d. The date, time, place and who will be present for the wrap-up meeting at which the

Consultant will present the final agreed (with the relevant City officials) preliminary APA

(not more than 4 pages) and at which, following any discussion and amendment of the

preliminary APA, the Mayor, City Manager, ULGDP Coordinator and Regional RUDB

representative will certify (attach signatures) that they have received, discussed and agreed

the preliminary APA.

e. The Consultant will take minutes of this meeting, including names of all persons present, and

will subsequently obtain the ULGDP Coordinator and RUDB representatives confirmation

as to the accuracy and completeness of these minutes

49. Annual Performance Assessment: The Consultant’s team will then carry out the APA

exercise; with team members meeting assigned city officials, securing documents as evidence of

performance achieved, carrying out inspections and investigation to verify the authenticity of the

performance as necessary; requesting and documenting reasons or justification for specific under/over

performance; meeting together to check/integrate results and coordinate activities and preparing the

preliminary APA for the city. The Consultant will, together with any other necessary actions:

a. Review quarterly progress reports and comment on their quality in relation to the ULGDP

M&E guidelines.

b. Review with the city administration evidence of public participation in the investment

planning process.

c. Review revenue mobilization achievements in relation to the targets set in the revenue

enhancement plans.

d. Visit completed and ongoing infrastructure programs that are specified in the capital

investment plans as per the demand for sampling in the APA PMs. Check the linkage of the

capital investment plans with the asset inventories and asset management plans. Record the

extent to which the condition of existing infrastructure has improved (due to effective

maintenance) and the extent to which new infrastructure has been created. Assess the extent

to which the programs are being implemented in compliance with the ULGDP’s

environmental and social safeguards.

e. In cities with recent external audit reports, assess with the city administration the extent to

which the audit recommendations have been implemented.

f. Review the internal audit and control system of the city administration

g. Review with the city administration the evidence of dissemination of information as

specified above.

h. Review with the city administration its utilization of the annual capital budget and

compliance with ULGDP II procurement procedures.

i. Review the cities institutional procurement and contracts management arrangements

adequacy; including availability of approved annual Procurement plans and its

implementation and adequacy of procurement records keeping.

j. Conduct procurement compliance review on sample of contracts procured in this FY (at least

15 to 20% sample to be taken) to verify whether the process followed is in compliance with

the legal requirements. The compliance check may include: (i) Procured Goods, works and

services contracts are in the approved PP; (ii) proper advert is made; (iii) correct Standard

Bidding Documents (SBDs) are used; (iv) bid floating periods are acceptable ; (v) Bid

Evaluation Reports (BER) are conducted consistent with requirements of the issued Bid


Documents (BDs); (vi) Bid evaluation results are announced to bidders and to the general

public; (vii) Contracts are awarded to the lowest evaluated bidder within bid validity periods

; (viii) procurement complaints, if any, are properly ; (ix) contents of contract documents are

complete; (x) timeliness of the procurement/contracting process and decisions are consistent

with the PP; (xi) Contracts implementation are cost and time effective …etc.

k. Review compliance report on Environmental and Social Management Framework for

ULGDP II, (MUDHCo Draft POM and ULGDP ESMF).

l. Review compliance report on Resettlement Policy Framework, for ULGDP, (MUDHCo

Draft POM and ULGDP RPF).

50. Wrap-Up Meeting: The APA for each city will be completed with a Wrap-Up working session.

The Consultant will take minutes of this meeting and will subsequently obtain the ULGDP

Coordinator and RUDB representative’s confirmation as to the accuracy and completeness of these

minutes. The Consultant’s team will present the Preliminary Performance Assessment for the City,

consisting of:

a. A brief written description of the Performance Assessment for each of the DLIs and

performance criteria described in Annex 1 – not more than 1 paragraph; describing: a) any

difficulties encountered in determining the assessment; and b) any reasons, explanations or

justifications provided by the City for any over or under performance;

b. The summary table described in and provided after the last paragraph in this Step;

c. The list of documents that verify the performance assessed; and

d. The Certificate of Agreement to the ULGDP II 1st APA.

51. Provision of Documents: The Consultant will provide four copies of Preliminary APA and

Certificate of Agreement, to the City representatives; 1 copy to the Regional RUDB representatives

and 2 further copies with original signatures in their full draft APA for submission to the Client with a

copy to the World Bank.

52. Client intervention: The Consultant will inform the Client, by email, when the Preliminary

APA is agreed and the signed Certificate of Agreement is secured. Should the Consultant be unable to

secure a signed Certificate of Agreement, they will inform the Client’s representative within 24 hours

and agree what follow-up action will be taken and by whom.

53. Format for APA Summary Sheet for each City: The Consultant will use the format provided

in Annex A that defines the DLIs and performance measures/requirements (collectively referred to as

“performance criteria. As indicated earlier in this TOR, before the end of the contract negotiations and

award of contract, the MUDHCo will provide the Consultant with an MS Excel worksheet (or linked

set of worksheets) into which the Consultant will be expected to enter the (draft and final) data

resulting from the APA

54. Consultant’s output/deliverable: The Consultant’s Task 2 output/deliverable is a draft

ULGDP II 1st APA of 44 participating ULGs for allocation of Performance Grants for utilization by

the ULGs in EFY 2007. An indicative format for the draft document is provided in Section 4 below.

3.2.3. Task 3: Workshop

55. In the week following submission of the draft ULGDP II 1st APA the UGGCBB will arrange a 2

day (TBD) workshop, in a venue to be determined, for the presentation of the draft ULGDP II 1st APA

and consideration of the findings. The Consultant will make the main presentation of their results

which should take no more than 3 hours. The format for the workshop will be advised to the

Consultant in due course. The Consultant will not include the workshop costs in their financial

proposal. The workshop participants are not yet identified but are likely to be approximately 100+,

with representatives from each ULGDP II participating ULG, Regional States, MUDHCo, MoFED

and other federal agencies, as well as the World Bank, other development partners, the press, etc.


56. The workshop objectives are:

1. Communication and Mobilization: To communicate with and mobilize all stakeholders,

ULGDP II implementing agencies and interested parties in support of and in identify further

actions required to successfully implement the ULGDP II; and

2. ULGDP II Disbursements and Allocations: To support the process and ensure clarity,

accuracy and robustness of decisions to be made immediately following the workshop by the

ULGDP II Executive Committee as to:

Whether the APA results support the disbursement of funds as per the Disbursement

Linked Indicators assessed by the Consultant; and

Whether allocations may be made or not, and where made the extent of the allocations,

to each of the 444 participating ULGs.

57. The workshop outputs are:

A memorandum prepared by the Technical Subcommittee (UGGCBB) of the ULGDP II

Steering Committee with recommendations, justifications and explanatory notes regarding

the workshop objectives described above that relate to ULGDP II Disbursements and

Allocations. The memorandum will be presented to the members of the ULGDP II

Coordination Committee, in formal meeting, within 5 days of the workshop.

A brief workshop report, prepared by the Consultant, containing: any presentations

made at the workshop, a list of workshop participants (name, position, telephone, email),

identification of any issues arising at the workshop that require follow-up or that either

affect decision as to EFY 2007 ULGDP II disbursements and allocations, or the conduct

of future ULGDP II APAs.

3.2.4. Task 4: Final Report

58. The Consultant will produce a final APA report, in the same format as for the draft report,

within 2 weeks of the workshop, containing any amendments, additions or omissions required by and

notified to the Consultant in writing.

4. REPORTS AND DELIVERABLES

59. Inception Report: Not more than 15 pages. Containing: methodology for carrying out the

assignment (where this is different from or additional to the Consultant’s Technical Proposal); detailed

work plan for the visit by the Consultant’s teams to each city; date for delivery of ULGDP II 1st

Annual Performance Assessment; consultants’ team; Certificate of Agreement with APA by ULG

format:

60. Draft and Final ULGDP II 1st Annual Performance Assessment: The contents and structure

of the Draft and Final ULGDPs 1st APA reports, to be submitted to MUDHCo and the World Bank,

will be as follows:

a) Cover, contents and abbreviations.

b) Section 1, Introduction: very brief description of who has done the assessment, when,

where and for whom. Not more than 2 pages.

c) Section 2, Approach and methodology: Full details of the approach and methodology

followed – as presented in the Inception Report. Note more than 5 to 8 pages. Any detailed

lists, schedule of city visits, Consultant’s staff, etc., to be put in Annexes.

d) Sections 3 to 46, Performance Assessment for Cities: a separate chapter for each city (if

necessary each city can be given its own Performance Assessment document); describing:

The results of the APA for the city; and


Copies of the Certificate of Agreement (or in its absence reasons for its absence).

e) Section 47, ULG APA summary: A summary of the findings in a simplified matrix

showing comparative results for each city against others.

f) Section 48, DLI APA summary: A summary of the findings in a simple matrix or table in

respect of each DLI assessed.

g) Section 23, Observations: Overall observations, lessons learned and recommendations for

future conduct of Annual Performance Assessments and improvement of the ULGDP II

APA system.

h) Annexes:

Lists of all documents secured for each city providing evidence of the assessed

performance;

Details of dates of presentation/briefing and wrap-up meetings, persons present and brief

minutes documenting key aspects of any queries, issues raised or agreements made.

5. INDICATIVE SCHEDULE OF ACTIVITIES & TIMINGS

Table 1. INDICATIVE ULGDP II 1ST APA WORK PLAN

No

Activity

Note: Consultant’s responsibilities are

indicated in red – in some cases (Nos. 7

to 10 inclusive and No. 12) in jointly

with UGGCBB, MUDHCo

2013 2014 2014

Week starting Monday

23 30 6 13 20 27 3 10 17 24 3 10 21 28 5 12 19

Dec. January February March April May

1 Request for Proposals issued to

consultants

3 Consultant submit Tec/Fin proposals

4 Evaluation of Proposals (MUDHCo)

5 ULGDP II appraisal (MUDHCo)

6 Contract negotiations concluded

7 Contract signed

8 Contract start

9a 1st APA Inception Period

9b 1st APA completed for 44 ULGs Six weeks

9c Draft APA delivered

10 ULGDP II 1st APA workshop

11 APA Results agreed & notified

12 ULGDP II launch workshop/ceremony

61. Notes:

1. The work plan provided above is indicative. The Consultant should provide its own work plan

in their Technical Proposal. However, the Consultant will note the Clients strong

recommendation that the Draft 1st ULGDP II Annual Performance Assessment is delivered –

on or before 30 April 2014

2. 30 days have been provided between issuance of the Request for Proposals to consultants and

the submission of technical and financial proposals by shortlisted consultants.


3. 2 months – 1st March to 30

th April 2014 - have been provided for the completion of the

assignment to the point the Draft 1st ULGDP II Annual Performance Assessment is delivered

– on or before 30 April 2014.

4. It is expected that the Consultant will present the methodology and results of the 1st ULGDP II

APA at a workshop arranged by UGGCBB, MUDHCo during the week 5 to 9 May, probably

on 7 or 8 May, in Addis Ababa.

5. Following the 1st ULGDP II APA workshop it is expected that the Consultant will provide a

final APA document together with hard and soft copies of all evidence of performance

collected from cities.

6…TEAM COMPOSITION AND QUALIFICATIONS

62. The description of the Consultant’s team provided below is indicative. The firms invited to

submit proposals should propose their own team structure, composition and staffing levels, based on

their own evaluation of the TOR’s requirements and the resources available to the consultant.

63. It is expected that the Consultant will provide:

A team leader and deputy team leader who will be responsible for overall management

of the four APA teams and logistical arrangements; communication with the Client and

key stakeholders; quality control of team members work; coordination and integration of

Consultant’s inputs and outputs; and production of the reports and deliverables that are

consistent, reliable, concise, readable (in English) and clear in their findings and

presentation of APA results.

Four APA teams. It is calculated that the APA for each city will require approximately 3

to four day’s work for 1 team, depending on the size of the ULG and other factors

affecting work rates. On this basis and assuming a 6 day working week, with travel

occasionally on Sundays, it is expected that, during the 6 week (36 working days)

assessment period, each team can carry out the assessment of about 10 to 12 ULGs.

Approximately 4 x 11 cities for each team. The arrangements proposed in detail will be

included in the Consultant’s Technical Proposal. Clearly the size and complexity of

different ULGs; whether they participated in the ULGDP, Urban Development Fund or

not; regional language usages and familiarity with different regions; as well as the

logistical arrangements are among the factors the Consultant will need to take into account

in selecting and directing their APA teams.

64. It is expected that the Consultant’s APA teams may include expertise in the following areas:

municipal infrastructure, asset management, local government, financial management, procurement,

environmental and social management, municipal revenues, ethics and anti-corruption, budgeting,

planning and participation, urban land management, urban spatial planning. It is understood that the

Consultant may be able to provide to experts who can provide adequate expertise in 2 or more of the

areas identified above. All experts provide should have the ability to communicate clearly, verbally

and in writing.

65. The consultant’s key team members undertaking this assignment shall have a minimum of

Master’s degree and a minimum of 10 years work experience. All team members provided should

have a solid professional background in the areas to be addressed, which apart from the specific

expertise described in the previous paragraph, would include performance assessment and evaluation,

and program/program management

66. The team leader and deputy team leader shall have very strong interpersonal, analytic, writing

and communication skills. In addition, the team leader or deputy team leader should have substantial

expertise in data collection, manipulation and presentation. It is advisable that the team should have

members or counterpart team members who are conversant with the local official language, Amharic,

since most of the work involves interacting with regional and city officials.


67. On an indicative basis it is estimated that the following level of input is necessary:

Team Leader and Deputy Team Leader – say 2 months full time each = 4 months.

Each APA team, approximately 6-7 members each having say 1.75 months input = 13.2

months. For 4 teams = 52.8 months.

Allow 2.2 months for administrative and logistical support.

Total is estimated at 59 months TA input.

68. There should not be former MUDHCo, UGGCBB, RUDBD or ULG staff involved in the APA

as part of the Consultant’s team (within the last three years). Personnel involved should be at “arm’s

length from any previous involvement with related ULGDP or city activities.

7…FACILITIES TO BE PROVIDED BY MUDHCo

69. The Ministry of Urban Development, Housing and Construction is the client for this work. In

terms of performance and deliverables, the Consultant will carry out the assignment under the

direction of and report to the Director General, Urban Good Governance Capacity Building Bureau,

MUDHCo. As the agency responsible for the overall coordination of ULGDP II, the Director General,

UGGCBB will sign the contract with the consultants on behalf of MUDHCo and UGGCBB will be

responsible for all payments to the Consultant.

70. Inputs provided By the Client: The client will provide to the Consultant at the commencement

of the assignment with any key documents deemed relevant to the Consultant’s scope of work. Other

relevant documents will be made available as necessary.


8….ANNEX 1: DLI 1, 2 AND 3, MINIMUM ACCESS CONDITIONS & ULG PERFORMANCE MEASURES

Note: The Minimum Conditions and Performances described below are as at December 2013. They have been amended during final appraisal 3-14

March 2014 and may be further amended during final negotiations 10-14 March 2014.

Entry-level condition – Prior to Release:

Participatory performance agreement signed with

MUDHCo

Show commitment by all parties and defines the

rules of the system

Update the PPAs. Should be included in the ULGDP II

Operational Manual.

8.1 DLI: Minimum Conditions (MCs)

No. Minimum Condition Reason Comments – phasing in etc.

1. ULG has produced and the council approved

a:

Rolling three year capital investment plan

(CIP) with

Annual action plan;

Annual budget

Annual procurement plan

The planned use of the performance-based

grants from ULGDP II is in compliance

with investment menu (only from

assessment in 2015 of the performance in

FY 2014/15).

Document minimum capacity in planning and project

handling.

Implementation readiness.

The subject for review is the plans developed in the previous year

for the year where assessments are conducted, e.g. if assessment

is conducted in August 2014, it is the plans for FY 2014/15 /EFY

2007), which are typically developed from March – June 2014.

In the assessment for FY 2014/15 (EFY 2007) budget allocations,

which is expected conducted in March 2014, it is the plans for FY

2013/14 (EFY 2006), which are reviewed, hence the exact plan

will depend on timing of the APA.

To make this effective it is important that the APAs are conducted

timely in the future, see Section on APA procedures.

Transitional arrangements. For new ULGs, procurement plans

will only a minimum condition for the second year, see also

below.

The investment menu will only be assessed from the second

assessment where there has been the first planning/budgeting on

the use of the performance-based grants. From the third

assessment, the actual utilization of grants in the previous year

will also be assessed.

2. Submission of financial statements for the last

FY (closure of the FY on time).

Show evidence on minimum capacity in PFM In order for the external audits to start as early as possible cities

should close their accounts by end of September/ each year.

Phasing in the first year: The new ULGs participating in the

Program should have completed the financial statements before

the start of the assessment.

3. Audit report from previous FY should not be

adverse or with a disclaimer opinion.

To reduce fiduciary risks It should be ensured that audit quality continues, and there is need

to combine with other minimum conditions to ensure sufficient

safeguards on PFM. Compared to previous system, this is a



strengthening of the requirements, as it is reviewing the audit

report from previous FY.

If the ORAG cannot conduct the audit in time, external audit

firms will have to be contracted, and their results applied. (ORAG

should clear the TOR and makes QA/endorsement of the results).

Transitional arrangements:

A waiver is provided in the first FY for the new ULGDP ULGs

providing them with sufficient time to improve, but as a minimum

they should have completed the financial statements from

previous FY. For the first year for the “current ULGDP” ULGs,

the deadline is prior to the effectiveness.

Second year: All should be on time, i.e. January 7.

The audit report is the last “trigger” in the assessment process,

and will be checked after the field-work, but prior to the

consolidation of the results.

4. Co-funding requirements (defined with

various rates of co-funding depending on the

type of ULG). The co-funding requirements

are the following:

10 % for the new ULGs in the DRS

20 % for the new ULGs in the non-DRS

regions.

30 % for the “old” ULGs.

50 % for Dire Dawa and Harar.

A higher level of co-funding is promoted in

the performance measures.

Reflect sustainability of the program and ensure that

the rule on counterpart funding is adhered with. The

co-funding is set at a realistic level and further

contributions are promoted through the performance

measures.

Promote improved revenue mobilization and incentives

to focus on longer-term sustainable urban finance.

Is combined with performance measures so that contribution

above the minimum level is rewarded.

Co-funding should be budgeted for prior to the start of the FY,

and by the end of a FY ULGs should have contributed with the

specific %, measured by actual use of funding on capital

investments on areas defined in the investment menu and source

of funding (IBEX coding).

Transitional arrangements/Phasing in: ULGs can only budget for

this in the second assessment, as they do not know the level for

this coming FY. The assessment of actual utilization of funds can

only be done in the assessment following a year of actual

disbursements of ULGDP funds, i.e. from the September 2015

assessment.

5. Key positions in place/coordination team with

the following positions under the coordination

of the city manager: focal persons for revenue,

procurement, environmental and social

sustainability, M&E, PFM, and civil

engineering, plus a functioning internal audit

unit.

To ensure that there is minimum capacity to handle the

entire program implementation process at the ULG

level.

The positions should be in place at point of time for the

assessments.

6. Safeguards: ULGs have demonstrated that

they have established a functional system for

environmental and social management as a

minimum condition to access the

To ensure that there is a mechanism and capacity to

screen environmental and social risks of the CIP prior

to implementation.

Defined by:

Initiation of recruitment of environmental and social safeguards

focal person at the city level;

Endorsement of city level ESMS document that includes



performance-based grant, including an

environmental and social safeguards focal

person.

procedures for due diligence; institutional procedures for

grievance management (see below under No. 8) and

environmental, managing resettlement/land take processes and

environmental social mitigation and monitoring plan.

Only from second APA (September 2014)

7. Functional institutional set-up for procurement

system in place according to public

procurement proclamation including:

1. Procurement function and minimum core

staff in place – at least two procurement

specialists;

2. Functional tender committee/tender

award committee in place;

3. Participating cities have the copies of

their respective region’s procurement law,

directives, manuals and standard

procurement documents and staffs are

familiar with these legal documents

Procurement is a high-risk area, hence need to ensure

that basic systems, and functioning of this is in place

prior to transfer of PB grant installments.

The existence and functionality of the procurement

system is basic to make sure that Program systems

coupled with the mitigation measures provide

reasonable assurance that the financing proceeds will

be used for intended purposes with due consideration

of economy, efficiency, transparency and fairness.

8. Complaints handling system in place,

including system for reporting of complaints,

system for receiving and addressing

complaints and reporting on corrupt practices

and complaints, through the ethics unit.

Receiving, reviewing and addressing complaints

within core areas such as areas related to

environmental degradation of the surrounding:

Environmental health impacts on people; loss of

livelihood, income or assets is an important aspect of

any GRM. The system will encompass a system for

complaints received, registration of these, description

of where to send the various types of complaints, to

whom, and how?; and description of the procedures.

The information about these procedures should be

published.

Only from the second APA (September 2014).

The POM will further define the requirements within this area.

8.2 DLI 2: Institutional Performance

Below is a presentation of the institutional performance measures.

Main changes compared to existing ULGDP I performance assessment system are:

Division of institutional and service delivery targets in two sets of indicators under each DLI 2 and 3.

Movement of CIP utilization rate to separate DLI (DLI 3), performance linked allocation; Similar for the utilization of maintenance budget.

Improvement and sharpening of indicators in most areas.

New indicators more focusing on the ULGs gaps and areas of importance for activities linked with achievement of targets of the program.


Reorganization of some of the performance areas, and regrouping.

Links to the government policy on Ethiopian Cities Prosperity Initiative are included.

Ser. No. Performance Areas Performance measure/Indicator/score Objective

Links to

Ethiopian

Cities

Prosperity

Initiative

Existing or new

indicator

1 Planning and Budgeting (maximum 10 points)

1.1 Rolling three year CIP, with linkages

between the annual budget, annual action

plan, and annual procurement plan

(Maximum 3 points)

Consistency of figures and alignment with revenue

enhancement plan and asset management plan: 2

points.

Capturing of operational and recurrent costs of

investments in the plans: 1 point.

Promote efficient

planning, budgeting

and procurement for

efficient

infrastructure

development

Pillars 2, 3

and 4

Pillar 3

Existing

Existing

1.2 Participation of citizens in the planning

process to meet service delivery priorities

identified by citizens

(Maximum 4 points)

Evidence of participatory planning process with

involvement of citizens

Measured by:

Number of public consultations (minimum two per

year: 1 point)

Increase or stable level of number of people involved

in planning discussions and the % of women

involvement is more than 40 %: 1 point.

Existence of a meeting agenda and other information

has been shared in advance and evidence that issues

discussed have included the prioritization of projects in

the up-date of the CIP/annual plan: 1 point.

Good governance procedures on planning reflected by

minutes from the consultation meetings: 1 point.

Citizens involvement

and good governance

Pillars 3 and

7

Yes, but

strengthened

1.3 Budget appropriation

(Maximum 2 points)

Budget approved by Council and proclaimed in the

budget proclamation following the standard charts of

accounts: 2 points. Note that both conditions have to be

Promote political

leadership and

governance

Pillar 1 New



Links to

Ethiopian

Cities

Prosperity

Initiative

Existing or new

indicator

complied with to achieve the points.

1.4 Budget reliability

(Maximum 1 points)

Variance in % between total budget and actual for the

previous FY (related with total budget expenditures on

municipal services) is less than 10 %: 1 point.

Promote proper

budgeting and

implementation

Pillars 3 and

5

Existing (but

only partial)

2 Assets Management (10 points)

2.1 Assets management plan prepared and

updated

(Maximum 10 points)

Asset inventory updated, featuring a tabular and spatial

database of all infrastructure, with specification and

characteristics, at least for the five categories of

municipal assets (Road &Drainage, Solid and Liquid

waste, Socioeconomic infrastructure &greeneries,

Utilities, Public buildings including abattoirs (2

points)

Conditions of assets reflected in asset inventories

correctly (professional input) (2 points)

Asset inventory show an asset value and deficit, which

calculates the remaining asset value, maintenance and

rehabilitation deficit based on annual depreciation

rates. (2 points)

City updated the AMP according to the AMP 10 steps

(as per the guideline for asset management preparation

if exists) elaborating its implementation strategy,

which details individual activities and their respective

budgets over the course of the year (2 points)

AMP clearly show related budget for asset

maintenance, rehabilitation and new assets, which lists

all necessary costs (2 points)

Strengthen

management of

infrastructure and

assets.

Pillar 5 Existing

3 Public Financial Management (Maximum 15 points)



Links to

Ethiopian

Cities

Prosperity

Initiative

Existing or new

indicator

3.1 Accounting and timely reporting

(Maximum 4 points)

Use of integrated IBEX for all operations including

ULGDP grants and reporting on these: 1 point

Charts of accounts adhered with, including: On site

analyses of correctness of coding – in particular of

municipal revenues: 1 point.

Timely financial reporting: 1 point

Monthly cash count report and Bank reconciliation

submitted to region on time (within 15 days after the

end of the month): 1 point

Strengthen

accountability

Pillars 1 and

3

New

New

Existing

New

3.2 External audit backlogs cleared

(3 points)

All audit backlogs cleared for previous years

(minimum 5 years back): 3 points. Strengthen

accountability

Pillars 1 and

3

Existing

3.3 Audit Opinion for the previous audit

(3 points)

The audit report from the previous audit has a clean

audit opinion: 3 points. Strengthen

accountability

Pillars 1 and

3

New

3.4 Compliance with audit recommendations

(2 points)

Evidence that audit queries raised in the external audit

report have been acted upon by the city: Minimum 80

percent of the queries have to be cleared: 2 points.

Strengthen

accountability

Pillars 1 and

3

New (was

monitored only)

3.5 Internal audit (3 points) Internal audit procedures adherence with good

practices reflected in: (a) quarterly reports, (b)

reporting to mayor, (c), and evidence of follow up on

audit findings). (3 points, one point for compliance

with each of a, b, c).

Strengthen

accountability

Pillars 1 and

3

New



Links to

Ethiopian

Cities

Prosperity

Initiative

Existing or new

indicator

4 Procurement 14

(Maximum 15 points)

4.1 Annual procurement plans for ULGDP II

prepared and its implementation is

monitored and updated as required.

(Maximum 3 points)

The procurement plan implementation is monitored

and procurement process milestones are achieved: 1

point.

Procurement plan is up-dated, as required at the point

of time for assessment: 2 points.

Strengthen efficiency

and competition in

implementation of

infrastructure (urban

productivity and

competiveness)

Pillar 2 Existing

(modified)

4.2 Adherence to procurement procedures and

effectiveness of contracts

(Maximum 12 points)

Based on the review of a sample of procured contracts, the

following are assessed as procurement performance

indicators (the contract sampling size for review should not

be less than 20 percent in each city):

Availability of adequate relevant auditable records on

the procurement process; (1 point)

All ICB and NCB contracts award published as

necessary and compliance with procurement process

and decisions made in accordance with the legal

requirements: (11 points) divided on: (a) Procured

Goods, works and services contracts are in the

approved PP (1 point); (b) proper advert is made (1

point); (c) correct SBDs are used (1 point); (d) bid

floating periods are acceptable (1 point); (e) BER are

conducted consistent with requirements of the issued

BD (1 point); (f) Evaluation results are announced to

bidders and to the general public (1 point) (g)

Strengthen efficiency

and competition in

implementation of

infrastructure (urban

productivity and

competiveness) (the

first two years, the

APA will conduct

this assessment, and

in the following year

(3) and onwards, the

procurement audit

will fit into the

results of the APA,

using the regional

Participatory

Performance

Agreement.

Pillar 2 Existing

(modified)

Existing

Existing (partly

and modified)

14 Annual Independent procurement audit (IPA), including contracts effectiveness is to be conducted and reported along with management response of issues raised. The IPA will have an agreed terms of reference and conducted

by regional public procurement agencies or an independent consultant. At the moment, since the RPPAs do not have the capacity, the first two years independent procurement audit will be conducted together with APA and the

terms of reference of the APA will be modified to address the IPA need. The RPPAs capacity will be enhanced during the first two years and the RPPAs will take over the IPA responsibility from the APA consultant (Procurement

audit is their legal mandate). The adequacy of the regional public procurement and asset management agencies to carry out IPA will be assessed and confirmed by joint review of Federal Public Procurement and Asset

Management Agency and the World Bank.



Links to

Ethiopian

Cities

Prosperity

Initiative

Existing or new

indicator

Contracts are awarded to the lowest evaluated bidder

within bid validity periods (1 point); (h) procurement

complaints, if any, are properly addressed (1 point);

(i)contract documents contents are complete (1 point);

(j) timeliness of the procurement/contracting process

and decisions are consistent with the procurement plan

(1 point); (k) Contracts implemented are according to

planned timing and budgets. (1 point).

5. Own source revenue enhancement (Maximum 10 points) Note as 5.4 is only relevant from year 2 and 3, other

indicators are increased in the first APA proportionally.

5.1 Revenue enhancement plan updated for the

most recent year

(Maximum points: 2)

(Maximum 3 points in the first APA)

The up-dated revenue enhancement plan will

include: (a) city analysis of previous year’s

revenue performance with detailed analyses of

each main source of revenue including discussion

of its revenue potential: 1 point. (2 points in the

first APA)

And (b) city strategies for revenue enhancement: 1

point.

Proper planning and

analysis is a condition

for effective targeting

of initiatives

Pillars 1 and

3

Existing (partly)

Existing (partly

5.2 Municipal Revenues increase

(Maximum 3 points) (Maximum 4 points in

the first APA)

Percentage increase of in total municipal revenues from

business taxes, municipal rent and charges and fees over

previous year: 5-10 percent increase: 1 point; 11-20

percent: 2 points; above 20 percent: 3 points (4 points in the

first APA). (nominal increase)

Promote

sustainability,

ownership and

accountability

Pillars 1 and

3

New

5.3 Revenue planning capacity

(Maximum 2 points) (Maximum 3 points in

the first APA)

Percentage of municipal revenue on business taxes,

municipal rent and charges and fees collected against

planned target for the previous EFY. (variation less than 5

percent: 2 points (3 points in the first APA), less than 10

percent: 1 point.

Promote realism in

revenue planning and

efficiency in

collection

Pillars 1 and

3

Existing (but

now focus on

municipal

revenues)

5.4 Funding from ULGs ULG contribution level for capital investments above a

Promote

sustainability,

Pillars 1 and New



Links to

Ethiopian

Cities

Prosperity

Initiative

Existing or new

indicator

(Maximum 3 points)

certain level

o More than 10 % for new ULGDP cities in new

(DRS) regions, calibrated with 11-20 %: 2 points

and above 20%: 3 points;

o More than 20 % for new ULGs in non-DRS

regions calibrated with 21-30 %: 2 points, and

above 30 % 3 points.

o More than 30 % for old ULGDP cities calibrated

with 30-40 %: 2 points and above 40%: 3 points.

o More than 50 % for Dire Dawa and Harar

calibrated with 51-60 %: 2 points and above 60

% 3 points.

Transitional arrangement: Only from second assessment

(September 2014) (budget allocated), and from the third

Assessment in September 2015 (both budget and account

figures are checked).

In the first assessment, the other indicators (5.1-5.3) will be

increased to 5.1: 3 points, 5.2: 4 points and 5.3: 3 points)

ownership and

accountability

3

6 Accountability and transparency (Maximum 15 points)

6.1 Accountability and transparency in city’

operations and service delivery

(Maximum points: 15)

City has identified the top three basic municipal

services, and prepared a standard for delivery along

with citizen charter and published this ( Yes/NO ==6

points) This indicator will be used only for the first

year of the program.

Is municipal service delivery as per the standard and

citizen charter? ( Yes/No 6= points). This will be as of

the 2nd

year of the program.

Dissemination of summary of annual budgets,

Strengthen

accountability and

good governance

Pillar 3 Existing (but

strengthen

availability of

information on

service

information)

Existing



Links to

Ethiopian

Cities

Prosperity

Initiative

Existing or new

indicator

approved projects, expenditures, audited accounts and

results of the procurement decisions in city offices and

other public places, or web-pages, newspapers etc.: 6

points.

Timely submission of quarterly physical progress

reports: 3 points.

7 Environment and social Safeguards (Maximum 10 points)

7.1 Eligible investments for potential

environmental and social safeguard

impacts screened

(Maximum points: 6 points)

All capital projects in the previous FY screened against

the set of environment and social criteria in the

planning stage: 3 points.

Environmental and social impact assessments,

Environmental Management Plans (EMP) and

Resettlement Action Plans (RAP) prepared and

approved by the Regional Environmental Protection

Agency as required (based on a sample review of

projects): 3 points.

Avoid adverse

environmental and

social impact

Promote

environmental and

social sustainability

Pillar 6 Existing

Existing

7.2 ESMPs and Resettlement Action Plans

implemented timely

(Maximum points: 4 points)

ESMPs and Resettlement action plans implemented

prior to commencement of civil works: 4 points. Avoid adverse

environmental and

social impact

Promote

environmental and

social sustainability

Pillar 6 Existing

8 Land management and urban planning (Maximum 15 points)

8.1 Statutory structure plan

(Maximum 5 points)

Existence of up-to-date approved statutory city-wide

(structure) plans (yes/no): If Yes =3 points.

CIP is in accordance with the statutory plan (structure

plan) (sample 5-6 investments): Yes/No. If Yes= 2

Promote efficient

urban planning

Pillar 4 New



Links to

Ethiopian

Cities

Prosperity

Initiative

Existing or new

indicator

points.

8.2 Land management

(Maximum 10 points)

Land released is serviced as per standards and city plan

(sample 3-4 projects) Yes/No. If Yes: 5 points (all have

to be fulfilled)

City has an up to date inventory of land use (Yes/No):

Yes= 5 points.

Promote efficient

land management

Pillar 4 New


8.3 DLI 3: Achievements of Infrastructure and Maintenance Targets and Value for Money in Investments

Note as some of the indicators will only kick in from the second and the third assessment, the scores of the other indicators will be adjusted pro-rate to ensure that the scoring is always

between 0-100 points

Ser. No. Performance Areas Performance measure/Indicator Objective

Links to

Ethiopian

Cities

Prosperity

Initiative

Existing

indicator

1 Job creation (35 % weight (maximum 35 points) on this in the first two assessments and from the 3rd

assessment: 30 % weight (maximum 30 points) for this theme)

Promote growth and

development

Pillar 7 New

1.1 Job creation

(Maximum 35 points in first assessments)

Cities’ achievement of jobs created (disaggregated by gender)

under the CIP against their targets (% of achievement). Note: a

condition for this, and for provision of points on this, is that cities

have registered/planned targets and started implementation.

Score: achievement rate @ weight, e.g. 100 % achieved = 35

points, 60 percent = 21 points. As of second year, the job created

will be measured (possibly person days of employment) based on

standard to be developed by MUDHCo.

New

2 Achievement of Urban infrastructure targets Maximum 35 points (35 % weight) on this in the first two

assessments, and from the third assessment: Max 30 point) or 30 % weight on this DLI. Pillar 5 Existing

2.1 Urban infrastructure targets achieved

(Maximum 35 points in the first

assessments)

Physical targets as included in the Capital Investment Plan

and annual work plan implemented.

o The % of implementation against plans will be reflected

directly in the score multiplied by 35 % (weight of this

indicator), i.e. 100 % implemented = 35 points, 60 % =

21 points.

The score on this indicator will be between 0-35.15

Achievement under this indicator will be measured on the basis of

actual delivery of infrastructure against targets laid out in the CIP

and annual work plan for the previous year. The means for

verification are:

Review all planned projects and the degree to which they

have been implemented by the end of the FY.

Ensure effective

implementation of

infrastructure and

service delivery

Pillar 5 Yes

(modified)

15 See means of verification below in the notes.



Links to

Ethiopian

Cities

Prosperity

Initiative

Existing

indicator

Review annual and quarterly work plans and reports

Check minimum sample of 5 projects from the field-work

(on-the-spot of implementation rates)

Check the contract implementation progress and contract

completions through the review of bills of quantities, see the

description below.

Implementation rate of each project will be assessed and there

will a weighting of these to get a total score. The weight of each

project will depend on the budgeted size of the projects (see the

table below the APA table).

Assessed by the performance assessment teams.

No transitional arrangements. However, DLI 2 will only kick in

for the new ULGDP ULGs from the second assessment.

3. Maintenance Performance 30% weight of this in the first assessment (maximum 30 points) and 20 % of the

weight (maximum 20 points) on this DLI from the 3rd

assessment when value for money kicks in). Pillar 5 Existing but

adjusted.

3.1 Maintenance budget and implementation

rate (Maximum points: 15 points in first

assessments)

(10 points in the 3rd

and following

assessments)

Maintenance plan derived from the assets management plan

ULGs have developed a clear maintenance budget and

actual implementation rate is minimum 80% of the planned.

Note: both conditions have to be complied with to get the 15

points.

Review Overall budget and utilization rate in final accounts.

Sample of projects to review actual maintenance.

Ensure sustainability

in the investments

through up-keep of

infrastructure

Pillar 5 Existing, but

adjusted

3.2 Actual maintenance (Maximum points 15

in first assessments)

(10 points in the 3rd

and the following

assessments)

Maintenance is catered for (reward if all projects, which

need maintenance, have actually been catered for). This will

be based on a sample of 3-5 projects from the Assets

management plan.

Note: All projects have to be catered for to achieve the points.

Ensure sustainability

in the investments

through up-keep of

infrastructure

Pillar 5 New

4 Quality of infrastructure (20 % weight from the 3rd

assessment)



Links to

Ethiopian

Cities

Prosperity

Initiative

Existing

indicator

4.1 Value for the money in the infrastructure

investments funded by the Program16

.

(Maximum points 20 from 3rd

. assessment

and onwards)

Percentage of projects implemented with a satisfactory level of

value for the money, calibrated in the value for the money

assessment tool.

The % of projects with a satisfactory level of value for the money

will be reflected in the score multiplied by 0.20 (20 % which is

the weight of this indicator), i.e. 80 % satisfactory projects=16

points, 60 % = 12 points.

The score on this indicator will be rated between 0-20 points.

The value for the money of each project (level of satisfactory

value for the money) will be assessed and there will a weighting

of these to get a total score. The weight of each project will

depend on the budgeted size of the projects.

The input from this will be provided by the value for the money

audits to the assessment teams to be included in the calibration

and in the final calculation of the size of the allocations.

Transitional arrangement:

The results of the value for money will be assessed first time at

the APA in September 2015 of the performance in FY 2014/15.

Ensure efficient and

high quality

infrastructure and

service delivery

Pillars 2

and 5

New

Maximum points 1, 2,3,4 = 100

16 The value for money will be conducted from the 3rd assessment starting in September 2015. In case they are not completed by the time needed to be incorporated in the regular assessment, the firm,

which will carry out the assessment will revise the assessment results by taking the VFM audit results into account in due course.


ANNEX 3 TOR FOR ANNUAL ENVIRONMENTAL & SOCIAL

AUDIT



URBAN LOCAL GOVERNMENT DEVELOPMENT PROJECT II

2014/15 to 2018/19

Terms of Reference for Consultancy Service to Provide the ULGDP II

Annual Environmental and Social Management System Performance Audit

for EFY [to be inserted]

1….INTRODUCTION

1.1…Ethiopian Cities Prosperity Initiative

Figure 1. ECPI VISION, MISSION AND & STRATEGIC PILLARS (DIMENSIONS)

The Ministry of Urban Development, Housing and Construction (MUDHCo) has produced the

Ethiopian Cities Prosperity Initiative (ECPI). The ECPI will lead to the establishment of

Green Growth, Resilient and Well Governed Cities that support Ethiopia’s transformation from

a predominantly agricultural nation to a nation with a rapidly growing industrial sector that

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Our Vision is ‘to create economically productive, socially inclusive, and

environmentally sustainable cities by 2025’

Our Mission is to: “Capacitate our Cities and Urban centers so that they can become centers of innovation,

economic production, by creating the necessary growth supporting conditions, and to provide standardized services

and raise the quality of life of urban residents..

Policy Implementation,

Monitoring and Impact

Analysis

Leadership Skill

& Change

Management

ICT Infrastructure

Development &

Management

Social

Communication&

Marketing

Program Development

Project Design and

Resource Mobilization

1. Policy, Research and Leadership Development


contributes to the economic growth necessary to achieve middle income country status by

2025. The ECPI is the Ministry’s contribution to the Government of Ethiopia’s Growth and

Transformation Plan (GTP) 2010/11-2014/15 and national Vision.

The ECPI comprises eight pillars – or dimensions - that will contribute to the achievement of

middle income country status and bring the desired political-economic transformation. Growth

is a key objective of our initiatives and programs for urban development and construction; the

main economic objective. The main elements of the political component of the seven pillars

that make up the ECPI are good governance, democratization at local level and the satisfaction

of citizens and residents with the delivery of public services and performance of government –

at local, regional and federal levels. Together the economic and political interventions of the

ECPI will produce the prosperity that accompanies achievement of middle income country

status.

The eight strategic pillars and the programs that make up each pillar of the ECPI are illustrated

in the figure below– seven of the pillars being supported at all times by the first - Policy,

Research and Leadership Development:

1.2….Urban Local Government Development Program

1.2.1…Urban Local Government Development Program 2008/09-2013/14

The Urban Local Government Development Program (ULGDP) is a continuation of urban

reform by the Government of Ethiopia which started in the early 2000s. ULGDP was designed

to support the government’s Plan for Accelerated and Sustained Development to End Poverty

2005/06-2009/10 (PASDEP) and the Ministry’s Urban Development and Urban Good

Governance Programs that were developed to support the PASDEP. The specific development

objective of the program is to support improved performance in the planning, delivery and

sustained provision of priority municipal services and infrastructure by urban local

governments (ULGs).

1.2.2….Second Urban Local Government Development Program 2014/15-2018/19

The ULGDP II is a follow-up to the successful ULGDP. In preparation for ULGDP II, 18

additional ULGs were selected in 2012 to receive capacity building support to enable them to

participate in the ULGDP II’s performance grant. The ULGDP II will scale up the ULGDP

support from 19 to 44 cities – excluding Addis Ababa and adding 26 new cities – by providing

investment funds to promote the cities as growth engines in the GoE’s urban development

strategy; build institutional capacity of all tiers of governance (federal, regional and local) in

urban development, and enhance the incentives of everyone involved. The 44 ULGs

participating in the ULGDP II are:

The 18 cities17

that participated in the CBDSD and (excluding Addis Ababa) in the

ULGDP – as listed in footnote 1 below;

The 18 cities18

that participated in the ULGDP for capacity building (CB) purposes only

– as listed in footnote 2 below; and

17 Bahir Dar, Kombolcha, Gondar and Dessie in Amhara Region; Mekelle, Adigrat, Axum and Shire Endeselassie in Tigray

Region; Adama, Bishoftu, Jimma and Shashemene in Oromia Region; and Hawassa, Arbaminch, Wolayta Sodo and Dilla

in SNNPR, Dire Dawa and Harar


The 8 cities19

that are receiving investment funds through the KfW funded Urban

Development Fund and capacity building support from GIZ through the Urban

Governance and Decentralization Programme.

The ULGDP II will involve disbursement of Performance Grant funds by the Government of

Ethiopia (provided by a World Bank credit) and allocation of funds to ULGs, Regional States

and MUDHCo through a result orientated/performance-based capital investment fiscal transfer

system using the World Bank’s PforR methodology, clearly linked to well-defined

disbursement-linked indicators (DLIs) – see the ULGDP II POM. The PforR operation will

fully utilize and enhance the key elements of the existing GoE systems – financial

management, procurement, environmental & social safeguards.

1.2.3…ULGDP II Objectives

The ULGDP II Development Objective (PDO) is to enhance the institutional and

organizational performance of participating ULGs in developing and sustaining urban

infrastructure and services.

1.2.4….ULGDP II Description

The ULGDP II will support the ECPI and build on the achievements and systems developed by

the ULGDP20

. ULGDP II will support all three levels of the Government of Ethiopia - 44

ULGs – excluding Addis Ababa - 9 regional governments (respective Bureaus of Urban

Development and other regional agencies involved) and the federal government (specifically

MUDHCo)21. The Program duration will be from 2014/15 till 7 July 2018/2019 (EFY 2007 –

2011). The total Program funding envelope is US$ 518 million, comprising US$ 168 million

GoE resources (contributed by ULGs and regional governments) and US$ 350 million World

Bank funds.


1. Performance based grants to 44 ULGs for urban infrastructure and services investments

and capacity building (US$ 476 million);

2. Regional governments capacity building and oversight/support to constituent ULGs

(US$20 million); and

3. MUDHCo to administer and coordinate the program, and strengthen its capacity to

support and guide the regions and ULGs (US$22 million).

Activities to be financed by the Performance Grants are:

18 Assela, Burayu, Sebeta, Ambo, Robi, and Batu in Oromia, Debre Birhan, Debre Tabor, Woldya, Finote Selam, and Mota

in Amhara; Almata, Humera and Wukro in Tigray; and Mizan, Hosaena, Areka and Butajira in SNNPR 19 Adwa (Tigray), Debre Markos (Amhara), Hosaina (SNNPR), Nekemte (Oromia), Gambella (Gambella), Semara (Afar),

Asosa (Benishangul Gumuz), and Jijiga (Somali). 20 The main change in approach being the use (as widely as possible) of the World Banks Program for Results (PfR)




Protection Authorities and the Federal and Offices of the Regional Auditor General


1. Core infrastructure investments in roads, water supply, sanitation, solid waste, greenery,

street lighting, etc. in a well-defined investment menu, which targets infrastructure

investments towards areas under ULG responsibility, and to maximum gains and

minimize the risks. The ULGs will prepare their Capital Investment Plans in a

participatory manner and use the planning tools developed under ULGDP: the assets

inventory and management plan system, capital investment plans, annual plans and

budgets. Participatory approach and proper planning and budgeting will be promoted

through the Annual Performance Assessments (APA). Cities and regions will contribute

to the investments through a substantial level of matching funding.

2. ULGs will be able to utilize a maximum of 5% of Performance Grants for CB activities

defined in a menu of eligible CB activities. These activities will build on the existing

technical assistance provided under the current government and GIZ programs. As

such, the ULGDP II will pursue a two-pronged approach focusing on the CB needs of:

The 26 cities that are did not participate in the ULGDP - which are expected to be

fairly high;

The 18 cities which participated in the CBDSD and the ULGDP – whose CB needs

are expected to be relatively lower, and different in nature, to the 26 new cities.

The Environmental and Social Management System Manual (including the Resettlement

System Guidelines) for Urban Local Governments (ULGs) is produced (February 2014) by the

Ministry of Urban Development, Housing and Construction for the use of all designated cities

and towns. The Environmental and Social Management System (ESMS) Manual is based on

the Environmental and Social Management Framework and the Resettlement Policy

Framework that were introduced in EFY 2001 (GC 2008/09) and successfully adopted and

used by the 19 ULGs that participated in the Urban Local Government Development Project

EFY 2001 to 2006 (GC 2008/09 to 2013/14). Annex 1 details those considerations which

should be taken into account, in addition to the procedures and guidelines provided in the

ESMS, by those ULGs that fund construction works using performance grant funds provided

by the second Urban Local Government Development Project (ULGDP II) which will be

implemented from EFY 2007 to 2011 (GC 2014/15 to 2018/19).

This ESMS document is to be used by all ULGs in order to ensure that all environmental and

social safeguards are adequately addressed and that the relevant capacity and training needs are

established in order for the recommended measures to be implemented effectively. The main

purpose of the ESMS is to:

Establish clear procedures and methodologies for the environmental and social

assessment, review, approval and implementation of construction works to be

financed by ULGs;

Specify appropriate roles and responsibilities, and outline the necessary reporting

procedures, for managing and monitoring environmental and social concerns related

to ULG construction works;

Provide practical information resources for implementing the ESMS.

Resettlement system guidelines (RSG) have also been developed and are presented in this

manual. Short simpler descriptions of the ESMS and RSG and checklists for use by ULGs in

identifying and implementing construction works will be prepared separately.


2….OBJECTIVES OF THE TOR

The objective of assignment described in this is to carry out an Annual Environmental and

Social Management System Performance Audit for EFY [to be inserted] for the 44 cities

participating in the ULGDP II. These cities are in:

Amhara National Regional State: Bahir Dar, Kombolcha, Gondar, Dessie, Debre

Birhan, DebreTabor, Woldya, Finoteselam, Mota and Debre Markos;

Tigray National Regional State: Mekelle, Adigrat, Axum, Shire Endeselassie, Almata,

Humera, Wukro and Adwa;

Oromia National Regional State: Adama, Bishoftu, Jimma, Shashemene, Assela,

Burayu, Sebeta, Ambo, Robe, Batu and Nekemte;

SNNP National Regional State: Hawassa, Arbaminch, Wolayta Sodo, Dilla, Mizan,

Hosaena, Areka, Butajira and Hosaina;

Harari National Regional State: Harar;

Somali National Regional State: Jijiga;

Afar National Regional State: Semara;

Gambella National Regional State: Gambella;

Benishangul Gumuz National Regional State: Asosa; and

Dire Dawa City Administration.

3….SCOPE OF WORK

3.1….Overall Scope of Work

The Consultant will carrying out an Environmental & Social Management System Performance

Audit to assess the extent to which the ULGDP II funded investment projects (construction

works projects) of the 44 ULGDP II participating cities are being implemented in full

accordance with the MUDHCo’s Environmental and Social Management System Manual

(including the Resettlement System Guidelines) for Urban Local Governments (ULGs);

including Annex 1 of the ESMS and RSG which applies specifically to ULGs using ULGDP II

funds for investment projects/construction works. The Consultant will use generally acceptable

and recognized assessment techniques and evaluation methods, standards and practices. In

addition to the overall scope of work the Consultant will specifically assess performance of

ULGs in those areas pertaining to the ESMS that are also measured in the ULGDP II Annual

Performance Assessment.

3.2…Specific Tasks

The specific tasks carried out by the Consultant, include, but are not limited to:

1. Preparation of an Inception Report.

2. Review of the cities consultation processes to determine their effectiveness.

3. Review and assessment of cities’ ULGDP II funded projects’ ESMS screening

reports as prepared by the respective cities and their subsequent approval by

Regional Environmental Protection Agencies (REPAs). The assessment will include


evaluation of the time taken to complete the screening and approval process and the

consistency achieved in applying ESMS procedures.

4. Assess the status of ULGDP II funded projects that are categorized as Schedule 1

and 2 projects by REPAs in all cities and compare the categorizations of the REPAs

with the GoE procedures for categorization and checking compatibilities.

5. Review Environmental and Social Impact Assessment documents of ULGDP II

funded projects in terms of ESMS compliance requirements with the minimum legal

requirements for Schedule 1 and 2 REPA categorized projects in all cities and also

checks to ensure that due legal process has been followed.

6. Assess the Environmental Management Plan of ULGDP II funded projects

categorized as Schedule 1 and 2 by REPAs in all cities to check and evaluate the

effectiveness of Environmental Management Systems on site or in operation as

regards application of procedures, work instructions, guidelines, specification,

training program and monitoring systems being implemented by the employees of

the firm or organization operating on the site.

7. Review environmental compliance of ULGDP II funded projects categorized as

Schedule 1 and 2 by REPAs in all cities specifically to test the environmental

policies, objectives, laws, by-laws, ordinances, regulations and standards; testing and

specific checks on, compliance with requirements in water quality.

8. Assess wastes released by ULGDP II funded projects categorized as schedule 1 and

2 by REPAs in all cities; specifically focusing at the waste management component

of an operation or site and identify the consequences of waste on environment. The

methods, procedures and systems of waste management would be reviewed, checked

and verified.

9. Review contract clauses of ULGDP II funded projects categorized as schedule 1, 2

and 3 by REPAs in all cities to test the environmental compliance of a contractor or

supplier.

10. Assess the application of the RSGs of ULGDP II funded projects that displaced

people due to acquisition of land and other assets, or caused loss of access to

services and businesses and other sources of livelihood.

11. Identify the number of cases where a Resettlement Action Plan (RAP) prepared and

implemented; assess the effectiveness and thoroughness of RAP implementation.

12. Review the procedure being followed to produce RAPs and compare the procedure

with the RSG procedures.

13. Assess the livelihood condition of displaced persons (PAPs) after resettlement is

taking place (physical, social and economic) as compared to before resettlement.

14. Assess the implementation and effectiveness institutional arrangements (roles and

responsibilities) outlined in ESMS Guidelines.

15. Assess adequacy of the technical support being given to cities by REPA and

Regional BUDHCos (or their Regional equivalent).

16. Assess the capacity of ULGs ESMS Focal persons and the REPAs to implement and

monitor the ESMS.


17. Develop an ESMS reporting mechanism that will enable UGGCBB to follow the

performance of the ULGs adherence to the project’s ESMS and RGS.

18. Review and assess the application of the environmental and social screening process

outlined in the ESMS and identify areas requiring improvements or changes.

19. Review and assess the effectiveness of the environmental monitoring systems for

ULGDP II funded projects and indicate how these systems have been useful/not

useful for speedy ULGDP II funded projects’ implementation.

20. Review and assess the environmental and social management capacity at the ULGs

participating in the project and make appropriate recommendations for future

implementation.

21. Review and assess ULGDP II funded projects proposed, ongoing and completed

with specific reference to the additional guidelines applicable to the ULGDP II

funded projects that are described in Annex 1 of the ESMS Guidelines.

22. Assess the implementation of recommendations made in the last ESMS Performance

Audit (this task is excluded for the 1st ULGDP II Annual ESMS Performance Audit).

23. Prepare a draft report.

24. On receipt of comments indicating amendments, additions or omissions required by

the MUDHCo, prepare final report incorporating comments and suggestions to be

made on the draft report.

4….DURATION AND TIMETABLE

It is expected that the consultancy assignment will start in the first week of the month of

August each year and will take approximately 10 weeks by deploying at least 19

environmental, urban infrastructure and social management specialists to the 44 ULGs, nine

Regions and Dire Dawa City Administration.

5….OUTPUTS AND DELIVERABLES

All reports and deliverables are to be provided, in English, ten (10) hardbound copies and four

(4) soft copies on compact disk (Word and Excel).

5.1…Inception Report

1. A half-day session will be held between the UGGCBB/MUDHCo and the Consultants

at the start of the assignment to discuss and agree the Consultant’s plan to accomplish

the task will be held prior to submitting an Inception Report

2. An Inception Report shall be submitted within 1 week of the commencement of the

assignment, reflecting the agreed methodology (including schedule of visits to cities),

auditing techniques, and an outline of the proposed contents of the ULGDP II ESMS

Performance Audit (Draft) Report.

5.2….Draft Final Environmental Performance Audit Report

1. Draft Final ULGDP II ESMS Performance Audit Report, with an Executive Summary,

a consolidated section for all 44 ULGs and separate distinct sections for each region

and ULG which incorporates recommendations and the way forward to effective


environmental and social management of the ULGDP II. The report will be submitted

within eight weeks of the commencement of the assignment.

5.3….Final Environmental Performance Audit Report

1. Final ULGDP II ESMS Performance Audit Report, with an Executive Summary, a

consolidated section for all 44 ULGs and separate distinct sections for each region and

ULG which, with relevant recommendations and the way forward to effective

environmental and social management of the ULGDP II by incorporating comments

and suggestions to be made on the Draft Final ULGDP II ESMS Performance Audit

Report.

6….TEAM COMPOSITION, STRUCTURE, AND STAFF MONTHS

It is envisaged that: the Consultant’s team will include: 1 x Team Leader, 6 x Environmental

specialists, 6 x Urban Infrastructure specialists and 6 x Sociologists/Community Development

specialists.

The Consultant’s team members undertaking this assignment shall have a minimum of

Master’s Degree or equivalent in Environmental Studies, Environmental/Municipal/Civil

Engineering and/or Social Sciences and solid professional background in the areas of

environmental resources management and/or community resettlement and familiarity

Government of Ethiopia safeguards policies, laws, regulations and procedures. The team leader

shall have adequate experiences at least 10 years of relevance that include practical experience

on methodologies and techniques of environmental or social auditing and basic skills on

project coordination and management. The Consultant’s team members shall have at least 10

years of relevance that include practical experience on methodologies and techniques of

environmental or social auditing and basic skills on project coordination and management very

strong interpersonal, analytic, writing and communication skills and able to work

independently. On an indicative basis it is estimated that the following level of input is

necessary:-

No

Position

Number Estimated person

months

1 Team Leader/ESM Specialist 1x2.5m 2

2 Environmental Specialists 6x1.5m 9

3 Urban Infrastructure Specialists 6x1.5m 9

4 Sociologist 6x1.5m 9

Total 19 29.5

The above information is indicative only. The firm invited to submit proposals should propose

their own team structure, composition and staffing levels, based on their own evaluation of the

TOR’s requirements and the resources available to the Consultant.

7….MANAGEMENT AND ACCOUNTABILITY RELATIONSHIPS

The Ministry of Urban Development, Housing and Construction (MUDHCo) has overall

responsibility for implementation of the ULGDP II and for the compliance of implementing

agencies with the Environmental and Social Management System Guidelines and Resettlement


System Guidelines. The Ministry of Urban Development, Housing and Construction is the

client for the Consultant’s assignment:

In terms of performance and deliverables, the Consultant will carry out the assignment

under the direction of and report to the [insert name, position, phone number & email of

individual responsible], Director General, Urban Good Governance Capacity Building

Bureau, MUDHCo.

As the agency responsible for the overall coordination of ULGDP II, the [insert name,

position, phone number & email of individual responsible], Ministry of Urban

Development, Housing and Construction will sign the contract with the consultants on

behalf of Ministry of Urban Development, Housing and Construction will be

responsible for all payments to the Consultant.

Inputs provided By the Client: The Ministry of Urban Development, Housing and

Construction will provide to the Consultant at the commencement of the assignment with any

key documents deemed relevant to the Consultant’s scope of work. Other relevant documents

will be made available as required by the implementing entities. Documents that are required

for the Consultant’s information and guidance include:

1. ULGDP II POM Volume I: Main Text & General Annexes

2. ULGDP II Guidelines and Associated documents

a. ULGDP II Monitoring, Evaluation and Reporting System and Guidelines – for Cities

b. Environmental and Social Management System Guidelines (with ULGDP II Annex)

c. Capital Investment Plan Guide for Ethiopian Cities (MWUD/GIZ July 2011)

d. Asset Management, Manual Series on Infrastructure. GTZ-IS 2006 (10 step process)

Inputs provided by the Consultant: The consultant will provide for their own transport, as

well as offices sufficiently equipped and furnished for purposes of producing the required

outputs.

The Consultant firm will protect the confidentiality of those participating in the auditing

processes. All data is confidential and is the property of the Ministry of Urban Development,

Housing and Construction. No data or other information from this auditing will be released to

third parties without written approval of the Ministry of Urban Development, Housing and

Construction. The Consultant firm will deliver all data and relevant information to the

UGGCBB/ Ministry of Urban Development, Housing and Construction.

The Consultant firm shall provide detailed estimates of the budget including staff charges,

travel, equipment, hardware, software, technical meetings, report preparation and other related

activities.


ANNEX 4 TOR FOR ULGDP II AUDIT

To be developed by end first half EFY 2007 – end December 2014 – during MoFED, World

Bank, Office of the Federal Auditor General and MUDHCo consultations.


ANNEX 5 TOR FOR ANNUAL PROCUREMENT AUDIT


Bank, OFAG and MUDHCo consultations.


ANNEX 6 TOR FOR ANNUAL VALUE FOR MONEY AUDIT


Bank, OFAG and MUDHCo consultations.


ANNEX 7 ORGANIZATION & STAFFING OF THE ULGDP II

COORDINATION UNIT

7.1 ULGDP II COORDINATION UNIT, UGGCBB

7.1.1 Objective

The ULGDP II Coordination Unit of the Ministry is responsible for the overall management of

the ULGDP II to a standard that ensures that the program performs satisfactorily in:

The achievement of all disbursement linked indicators and performance measures that are

agreed for the 44 participating cities, 9 participating regions and for the Ministry itself;

Compliance with the principles and procedures described in the Program Operations Manual

for program management, financial management, procurement, monitoring and evaluation and

environmental and social safeguards.

Note: The objective of the ULGDP II Coordination Unit of the Ministry will contribute to the overall

objective of the ULGDP II which is to: to enhance the institutional and organizational performance of

participating urban local governments in developing and sustaining urban infrastructure and services.

The key results of the performance improvements will be: enhanced participation of citizens in ULG

planning and budgeting; efficient fiduciary management; increased amount of own source revenues at

the ULG level; improved infrastructure, service delivery and O&M systems; and strengthened

accountability and oversight systems.

7.1.2 ULGDP II Coordination Unit Organization

The ULGDP II Coordination Unit will be headed by a Program Coordinator, supported by a Deputy

Program Coordinator and contain 32 other staff covering eleven urban local government subject areas:

Position No.

ULGDP II Program Coordinator 1

Deputy Program Coordinator 1

Project Engineer 7

Procurement Specialist 5

Environmental Specialist 3

Social Management Specialist 3

Monitoring and Evaluation Specialist 2

Asset Management / O&M Specialist 2

ULG Financial Management Specialist 2

ULG Own Revenue /Finance Specialist 2

Urban Planner 2

Urban Land Administration Specialist 2

ULG Budgeting, Planning & Participation Specialist 2

Total 34


7.1.3 Reporting Responsibilities

The ULGDP II Program Coordinator will determine which staff of the Coordination Unit will report to

him/her and which will report to the Deputy Program Coordinator.

The ULGDP II Program Coordinator will report to and act under the direction of the Director General

of the Urban Good Governance Capacity Building Office, MUDHCo, who is responsible to H.E., the

Minister.

Other ULGDP II Coordination Unit staff will report to the Program Coordinator or the Deputy Program

Coordinator as determined by the Program Coordinator in consultation with the Director General

UGGCBB.

7.1.4 General Division of Responsibilities of the ULGDP II Coordination Unit

The ULGDP II Coordination Unit is responsible for the overall management of the ULGDP II.

Responsibilities are in the first instance divided into overall management and subject area management

as indicated in the table in the previous section. The main responsibilities of the Coordination Unit are:

1. General overall program management and coordination.

2. Capacity building support, mentoring, supervision & monitoring to Somali, Afar, Gambella and

Benishangul Gumuz National Regional States and the 4 cities (Jijiga, Samera, Gambella and

Assosa) within those NRSs;

a. GIZ will continue to provide capacity building support to the four cities, and in addition

Adwa, Debre Markos, Hoseana and Nekemte.

3. Monitoring, supervision and limited capacity building support to the Amhara, Oromia, SNNP

and Tigray Regional States and the 38 participating cities within these regions. Support is

limited because:

a. ULGDP is currently funding consultancy services to provide technical assistance to

new and existing ULGDP cities in Amhara, Tigray, Oromia & SNNP Regional States

up to end 2014; and

b. ULGDP II will fund consultancy services comprising teams of 10 experts each,

contracted by each of the Amhara, Oromia, SNNP and Tigray Regional States to

provide support for ULGDP II implementation and build capacity in the regional

bureaus of urban development, participating cities and regional ORAGs, REACIs, PPA

offices;

Nonetheless, the ULGDP II Coordination Unit will need to monitor operations these

Regions and be prepared to provide increased support where need is identified or

requested.

4. Capacity building support, supervision & monitoring to Dire Dawa City Administration, Harar

City and Harari Regional State.

7.1.5 Suggested Allocation of Staff Responsibilities Geographically

It is suggested that responsibilities of ULGDP II Coordination Unit staff can be divided as illustrated in

the following table:

ULGDP II Coordination Unit Staff

Overall

program

management

Oromia/

SNNP

Amhara/

Tigray

Harar,

Jijiga,

Samera

Dire Dawa,

Gambella/

Asosa

ULGDP II Program Coordinator Principle responsibility – all implementing agencies

Deputy Program Coordinator Principle responsibility to support Program Coordinator, as directed


ULGDP II Coordination Unit Staff

Overall

program

management

Oromia/

SNNP

Amhara/

Tigray

Harar,

Jijiga,

Samera

Dire Dawa,

Gambella/

Asosa

in the coordination and management of the Coordination Units team

activities, including logistical arrangements – all implementing

agencies

Project Engineer 2 2 2 1

Procurement Specialist 1 1 2 1

Environmental Specialist 1 1 1

Social Management Specialist 1 1 1

Monitoring and Evaluation Specialist 1 1

Asset Management / O&M Specialist 1 1

ULG Financial Management Specialist 1 1

ULG Own Revenue /Finance Specialist 1 1

Urban Planner 1 1

Urban Land Administration Specialist 1 1

ULG Budgeting, Planning & Participation

Specialist

1 1

Note: It is expected that all staff, with the exception of the Program Coordinator and Deputy Program

Coordinator will spend, on average, 3 to 3.5 weeks per months in the Regional States, with

implementing agencies, or travelling. The exceptions will arise as a result of assignment of

responsibilities that involve Addis Ababa based work, for instance involving MUDHCo’s ULGDP II

capacity building tasks – however, Addis Ababa based assignments should in no case constrain

responsibilities to support cities and regional states.

7.1.6 ULGDP II Coordination Unit Functions

General overall program management and coordination including:

a) Management of the ULGDP II Coordination Unit: briefing the Director General UGGCBB and

resolution of issues that require higher level decision.

b) Overall program management (liaison, coordination, briefing, forward planning) with: 9

regional urban development bureaus; 9 regional Offices of the Regional Auditor General,

Ethics and Anti-Corruption institutions, Public Procurement offices, Environmental Protection

Authorities and Bureaus of Finance and Economic Development; 44 participating cities in 9

regions; the Federal Ethics and Anti-Corruption Agency, Ethiopia Public Procurement and

Property Administration, Office of the Federal Auditor General, Ethiopian Environmental

Protection Agency; internally with the various interested/involved Bureaus of the Ministry,

directly and through the Director General of the UGGCBB for regular Ministry management

meetings.

c) Communication with the public, press, media, etc.

d) Establishment of, administrative, logistical & secretarial services support to and effective

operations of the ULGDP II Steering Committee Technical Sub-Committee.

e) Ensure cities & regions make funding contributions as described in the POM.

f) Ensure effective operations of the ULGDP II Steering Committee.


g) Timely recruitment of the Annual Performance Assessment Consultant, processing of results

and allocation of funds. (DLI 6). Assist the Ministry in preparation of the ULGDP II annual

budget for adoption at federal/regional levels.

h) Initiate Annual Value for Money Audits of the 44 participating cities by ULGDP II year 3 (end

EFY 2009/ 2016/2017). (DLI 6)

i) Develop systems and procedures where required and provide guidance to cities & regions on

procurement, ethics and anti-corruption, environmental and social management system,

financial management and reporting and monitoring, evaluation and reporting systems.

j) Develop and ensure implementation of a two week urban management course provided by

ECSU at the start of the ULGDP II for the 26 new cities.

k) Ensure proper development and implementation of city, regional and MUDHCo Capacity

Building Plans.

l) Development, publication, dissemination, training, updating of the Program Operations

Manual; monitoring and reporting on implementing agencies compliance with the POM.

m) Securing and disseminating the World Bank Listing of Ineligible Firms & Individuals to all

implementing agencies undertaking procurement with ULGDP II funds every six months (in

June and December).

n) Draft and secure Performance and Participation Agreements with all implementing agencies

and Memorandum of Understanding with all federal agencies who have responsibilities for

ULGDP II implementation activities.

o) Support for and participation in World Bank six monthly supervision missions.

p) Consolidation of quarterly progress and financial reports.

q) Monitoring progress in and subsequently supporting implementation by the Regional Public

Procurement offices, supported by the Ethiopian PPPAA of Annual Procurement Audits of the

44 participating cities by ULGDP II year 3 (end EFY 2009/ 2016/2017).

r) Put in place and ensure effective implementation of quality assurance mechanisms that will be

applied to ensure or verify that procurement by the 44 cities that will participate in ULGDP II,

of consultancy services utilizing the capacity building element.

Capacity building support to:

.. Somali, Afar, Gambella and Benishangul Gumuz National Regional States and the 4 cities, and Dire

Dawa City Administration, Harar City and Harari Regional State (DLI 7)

a) Monitoring compliance with ULGDP II POM.

b) Capacity building support to cities and regional agencies for ULGDP II implementation and

achievement of DLI 1 (Minimum Conditions), DLI 2 and DLI 3 for cities and DLI 4 and 5 for

Regional agencies.

Note: GIZ will continue to provide capacity building support to the four cities, and in addition Adwa,

Debre Markos, Hoseana and Nekemte.

Monitoring, supervision and limited support to

….the Amhara, Oromia, SNNP and Tigray Regional States and the 38 participating cities

a) Monitoring compliance with ULGDP II POM.

b) Capacity building support when identified as needed or requested.


Notes: a)ULGDP is currently funding consultancy services to provide technical assistance to new and

existing ULGDP cities in Amhara, Tigray, Oromia & SNNP Regional States up to end 2014; and b)

ULGDP II will fund consultancy services comprising teams of 10 experts each, contracted by each of

the Amhara, Oromia, SNNP and Tigray Regional States to provide support for ULGDP II

implementation and build capacity in the regional bureaus of urban development, participating cities

and regional ORAGs, REACIs, PPA offices;

Nonetheless, the ULGDP II Coordination Unit will need to monitor operations these Regions and be

prepared to provide increased support where need is identified or requested.

Detail and implement MUDHCo ULGDP II Capacity Building component.

Draft annually and implement (monitor & report) a MUDHCo ULGDP II Capacity Building Plan,

covering the following areas:

MUDHCo internal capacity building to support ULGDP2 & ECPI.

Centre of Excellence in Good Governance, Capacity Building and Leadership Development, for

Urban Development.

Land Administration: Establish competency certification and TOT system to be embedded in

TVET colleges.

Service Standardization, Benchmarking and Performance Measurement.

International TA.

Table 2. ULGDP II COORDINATION UNIT – CURRENT STATUS

Position No. Status Req. Type

ULGDP II Program Coordinator 1 Placed Individual Consultant

Deputy Program Coordinator 1 Vacant Individual Consultant

Project Engineer 7 5 placed, 2 vacant #4Individual Consultant/ #3Channel 1

Procurement Specialist 5 3 placed #4Individual Consultant/#1Channel 1

Environmental Specialist 3 1 placed, 2 vacant Individual Consultant

Social Management Specialist 3 3 vacant Individual Consultant

Monitoring and Evaluation Specialist 2 1 placed, 1 vacant #1Individual Consultant/#1Channel 1

Asset Management / O&M Specialist 2 Vacant Individual Consultant or / Channel 1

ULG Financial Management Specialist 2 Vacant Individual Consultant or Channel 1

ULG Own Revenue /Finance Specialist 2 Vacant Individual Consultant or Channel 1

Urban Planner 2 Vacant Individual Consultant or Channel 1

Urban Land Administration Specialist 2 Vacant Individual Consultant or Channel 1

Budgeting, Planning & Participation

Specialist

2 Vacant #1Individual Consultant/ #1Channel 1

Total 34

7.2 ULGDP II COORDINATION UNIT JOB DESCRIPTIONS

7.2.1 Introduction

On the following pages Terms of Reference for the ULGDP II Program Coordinator, Deputy

Coordinator and 11 subject area professionals are presented. Some parts of the Terms of Reference are


generic and these are described below. In each TOR it is stated where the generic section is to be

inserted.

7.2.2 TOR Generic Section – Title



URBAN LOCAL GOVERNMENT DEVELOPMENT PROGRAMME

2014/15 to 2018/19

TERMS OF REFERENCE FOR

A [insert as applicable] (An Individual Consultant)

TO SUPPORT IMPLEMENTATION AND COORDINATIONOF URBAN

INFRASTRUCTURE PROJECTS AND CAPACITY BUILDING UNDER URBAN

LOCAL GOVERNMENT DEVELOPMENT PROGRAM (ULGDP II) EFY 2007-2011

(2014/15-2018/19)

7.2.3 TOR Generic Section 1. Background

1…Background


ULGDP22

. ULGDP II will support all three levels of the Government of Ethiopia - 44 ULGs –

excluding Addis Ababa - 9 regional governments (respective Bureaus of Urban Development and other

regional agencies involved) and the federal government (specifically MUDHCo)23

. The Program

duration will be from 2014/15 till 7 July 2018/2019 (EFY 2007 – 2011). The total Program funding

envelope is US$ 556.5 million, comprising US$ 176.3 million GoE resources (contributed by ULGs and

regional governments) and US$ 380 million World Bank funds.


1. Performance based grants to 44 ULGs for urban infrastructure and services investments and

capacity building (US$ 499.5 million);

2. Regional governments capacity building and oversight/support to constituent ULGs (US$ 30

million); and

3. MUDHCo to administer and coordinate the program, and strengthen its capacity to support and

guide the regions and ULGs (US$27 million).








3. Core infrastructure investments in roads, water supply, sanitation, solid waste, greenery, street

lighting, etc. in a well-defined investment menu, which targets infrastructure investments

towards areas under ULG responsibility, and to maximum gains and minimize the risks. The

ULGs will prepare their Capital Investment Plans in a participatory manner and use the

planning tools developed under ULGDP: the assets inventory and management plan system,

capital investment plans, annual plans and budgets. Participatory approach and proper planning

and budgeting will be promoted through the Annual Performance Assessments (APA). Cities

and regions will contribute to the investments through a substantial level of matching funding.

4. ULGs will be able to utilize a maximum of 5% of Performance Grants for CB activities defined

in a menu of eligible CB activities. These activities will build on the existing technical

assistance provided under the current government and GIZ programs. As such, the ULGDP II

will pursue a two-pronged approach focusing on the CB needs of:

The 26 cities that are did not participate in the ULGDP - which are expected to be fairly

high;

The 18 cities which participated in the CBDSD and the ULGDP – whose CB needs are


Table 3. MAIN CAPACITY BUILDING ACTIVITIES IN PHASES 1 AND 2

Phase 1 (November 2013 to

December 2014)

Phase 2 (August 2014 to December 2019)

1. Federal (ULGDP I) mobile team

2. Two technical consultant teams

with capacity building support for

ULGs (phased out by end of

period)

3. GIZ financed support for capacity

building of regional governments

and eight cities (phased out by end

of period)

1. Expanded federal mobile team and functions – main focus is Afar,

Benishangul Gumuz, Gambella, Somali and Harari Regions/cities

+ Dire Dawa City Administration.

2. Four new regional mobile teams for Amhara, Oromia, SNNP and

Tigray Regions.

3. New urban management course for ULGs (mandatory for 26 new

cities, voluntary for ULGDP I 18).

4. Demand-driven capacity building for ULGs and Regions (5% of

ULGs ULGDP II allocation – 25 mln and USD 20 mln for 9

Regions. Based on Capacity Building Plans -

Table 4. THE 44 CITIES PARTICIPATING IN THE ULGDP II

1 Afar National Regional State: Samera/Logiya;

2 Amhara National Regional State: Bahir Dar, Kombolcha, Gondar, Dessie, Debre Birhan, Debre

Tabor, Woldya, Finoteselam, Mota and Debre Markos;

3 Benishangul Gumuz National

Regional State:

Asosa

4 Dire Dawa City Administration.

5 Harari National Regional State: Harar;

6 Gambella National Regional State: Gambella;

7 Oromia National Regional State: Adama, Bishoftu, Jimma, Shashemene, Assela, Burayu,

Sebeta, Ambo, Robe, Batu and Nekemte;

8 SNNP National Regional State: Hawassa, Arbaminch, Wolayta Sodo, Dilla, Mizan, Hosaena,

Areka, Butajira and Hosaina;

9 Somali National Regional State: Jijiga;

10 Tigray National Regional State: Mekelle, Adigrat, Axum, Shire Endeselassie, Almata, Humera,

Wukro and Adwa;


1.2…ULGDP II Objectives

The ULGDP II Development Objective is to enhance the institutional and organizational performance

of participating ULGs in developing and sustaining urban infrastructure and services.

1.3…..ULGDP II Description


ULGDP24

. ULGDP II will support all three levels of the Government of Ethiopia - 44 ULGs –

excluding Addis Ababa - 9 regional governments (respective Bureaus of Urban Development and other

regional agencies involved) and the federal government (specifically MUDHCo)25

. The ULGDP II

duration will be from 2014/15 till 7 July 2018/2019 (EFY 2007 – 2011). The total ULGDP II funding

envelope is US$ 556.5 million, comprising US$ 176.5 million GoE resources (contributed by ULGs and

regional governments) and US$ 380 million World Bank funds.


4. Performance grants to 44 ULGs for urban infrastructure and services investments and capacity

building (US$ 499.5 million) of which US$ 323 comes from the IDA funding, and US$176.5

derives from contribution from the ULGs and the regions;

5. Nine Regional governments will provide capacity building and oversight/support to

participating ULGs in their region (US$30 million); and

6. MUDHCo to administer and coordinate the program, and strengthen its capacity to support and

guide the regions and ULGs (US$27 million).


1. Core infrastructure investments in roads, water supply, sanitation, solid waste, greenery, street

lighting, etc. in a well-defined investment menu, which targets infrastructure investments

towards areas under ULG responsibility, and to maximum gains and minimize the risks. The

ULGs will prepare their Capital Investment Plans in a participatory manner and use the

planning tools developed under ULGDP: the assets inventory and management plan system,

capital investment plans, annual plans and budgets. Participatory approach and proper planning

and budgeting will be promoted through the Annual Performance Assessments (APA). Cities

and regions will contribute to the investments through a substantial level of matching funding

(see the following Section 2.5).

2. ULGs will be able to utilize a maximum of 5% of Performance Grants for CB activities defined

in a menu of eligible CB activities (see the following Section 2.6). These activities will build on

the existing technical assistance provided under the current government and GIZ programs. As

such, the ULGDP II will pursue a two-pronged approach focusing on the CB needs of:

The 26 cities that are did not participate in the ULGDP - which are expected to be fairly

high;

The 18 cities which participated in the CBDSD and the ULGDP – whose CB needs are








7.2.4 ULGDP II Coordination Unit Functions

General overall program management and coordination including:

a. Management of the ULGDP II Coordination Unit: briefing the Director General UGGCBB and


b. Overall program management (liaison, coordination, briefing, forward planning) with: 9








meetings.

c. Communication with the public, press, media, etc.

d. Establishment of, administrative, logistical & secretarial services support to and effective


e. Ensure cities & regions make funding contributions as described in the POM.

f. Ensure effective operations of the ULGDP II Steering Committee.

g. Timely recruitment of the Annual Performance Assessment Consultant, processing of results



h. Initiate Annual Value for Money Audits of the 44 participating cities by ULGDP II year 3 (end

EFY 2009/ 2016/2017). (DLI 6)

i. Develop systems and procedures where required and provide guidance to cities & regions on



j. Develop and ensure implementation of a two week urban management course provided by


k. Ensure proper development and implementation of city, regional and MUDHCo Capacity

Building Plans.

l. Development, publication, dissemination, training, updating of the Program Operations

Manual; monitoring and reporting on implementing agencies compliance with the POM.

m. Securing and disseminating the World Bank Listing of Ineligible Firms & Individuals to all


June and December).

n. Draft and secure Performance and Participation Agreements with all implementing agencies

and Memorandum of Understanding with all federal agencies who have responsibilities for

ULGDP II implementation activities.

o. Support for and participation in World Bank six monthly supervision missions.

p. Consolidation of quarterly progress and financial reports.

q. Monitoring progress in and subsequently supporting implementation by the Regional Public



r. Put in place and ensure effective implementation of quality assurance mechanisms that will be




7.2.5 TOR Generic Section 5….Level of effort and Timetable

It is expected that the assignment will start in July 2014 depending on availability. The [insert as

applicable] will be based at MUHDCo with frequent travel to cities and regions and other destinations

as necessary. Contract: one year contract, with possible extension upon satisfactory performance of the

[insert as applicable]. Remunerations: Negotiable / dependent on qualifications and experience.

7.2.6 TOR Generic Section 6….Inputs provided by the Client

UGCBB will provide reasonable and standard office space and office furniture and equipment required

for the duration of the assignment, at its premises for successful discharging of his assignment. The

[insert as applicable] will be provided, for official business, with internet access, telephone and fax

facilities. Moreover, UGCBB will arrange a vehicle for the [insert as applicable] as a means of local

transportation.

7.2.7 TOR Generic Section 7…..Management procedures

Contractually, the [insert as applicable] will be accountable to the [insert as applicable] to whom all

reports and deliverables as per the TOR should be submitted. As agency responsible for the overall

coordination and implementation ULGDP, the Urban Governance and Capacity Building Office

(UGCBB) will sign the contract with the [insert as applicable] on behalf of Ministry of Urban

Development and Construction. The UGCBB will also be responsible for all payments to the [insert as

applicable] once the work has been accepted and cleared for payment.


7.3 TOR FOR THE ULGDP II PROGRAM COORDINATOR

Title: Insert generic Title

Section 1. Insert generic Section 1.

7.3.1 Objective of the Assignment

The objective of the assignment is to support the UGGCBB and MUDCo to effectively and efficiently

manage the ULGDP II as described in the Program Operations Manual and associated documents so as

to ensure: a that the ULGDP II achieves its development objectives in general and; b) that the 44

ULGs, 9 Regional States and the Ministry itself achieve satisfactory performance or better in the annual

performance assessment of disbursement linked indicators and performance measures that is required to

ensue ULGDP II investments in infrastructure and services and in capacity building.

7.3.2 Scope of Work

The Program Coordinator/ the consultant will have the following duties and responsibilities:

a) Management of the ULGDP II Coordination Unit: briefing the Director General UGGCBB and


b) Overall program management (liaison, coordination, briefing, forward planning) with: 9

regional urban development bureaus; 9 regional Offices of the Regional Auditor General, Ethics

and Anti-Corruption institutions, Public Procurement offices, Environmental Protection






meetings.

c) Communication with the public, press, media, etc.

d) Establishment of, administrative, logistical & secretarial services support to and effective


e) Ensure cities & regions make funding contributions as described in the POM.

f) Ensure effective operations of the ULGDP II Steering Committee.

g) Timely recruitment of the Annual Performance Assessment Consultant, processing of results



h) Initiate Annual Value for Money Audits of the 44 participating cities by ULGDP II year 3 (end

EFY 2009/ 2016/2017). (DLI 6)

i) Develop systems and procedures where required and provide guidance to cities & regions on



j) Develop and ensure implementation of a two week urban management course provided by


k) Ensure proper development and implementation of city, regional and MUDHCo Capacity

Building Plans.


l) Development, publication, dissemination, training, updating of the Program Operations Manual;

monitoring and reporting on implementing agencies compliance with the POM.

m) Securing and disseminating the World Bank Listing of Ineligible Firms & Individuals to all


June and December).

n) Draft and secure Performance and Participation Agreements with all implementing agencies and

Memorandum of Understanding with all federal agencies who have responsibilities for ULGDP

II implementation activities.

o) Support for and participation in World Bank six monthly supervision missions.

p) Consolidation of quarterly progress and financial reports.

q) Monitoring progress in and subsequently supporting implementation by the Regional Public



r) Put in place and ensure effective implementation of quality assurance mechanisms that will be



7.3.3 Qualifications and Skills Required

The Program Coordinator shall be a highly qualified project/program manager with MSc and BSc

degree or higher in Civil Engineering, Municipal Engineering or Sanitary Engineering or related field of

studies with a track record of achievements in project planning, implementation and management of

infrastructure projects. He/She shall have a minimum of 10 and 15 years’ experience for MSc and BSc

respectively in implementation of projects, design and supervision, contract management as well as

appraisal of projects with an excellent change management skills and strong commitment to sharing

expertise and experience in order to develop others (helping others to achieve goals, resolving conflict

successfully). He/she shall also have excellent writing and communication skills and knowledge of the

urban sector in Ethiopia and GoE procurement and safeguard policies and procedures.

The program coordinator should therefore possess the following qualifications/competencies:

MSc and BSc degree or higher in Civil Engineering, Municipal Engineering or Sanitary

Engineering or related field of studies with a track record of achievements in project planning,

implementation and management of infrastructure projects.

A minimum of 10 and 15 years’ experience for MSc and BSc respectively in implementation of

projects, design and supervision, contract management as well as appraisal of projects.

Excellent change management skills and strong commitment to sharing expertise and

experience in order to develop others (helping others to achieve goals, resolving conflict

successfully).

Excellent writing and communication skills.

Knowledge of the urban sector in Ethiopia and World Bank procurement and safeguard policies

and procedures is an advantage.





7.4 TOR FOR THE ULGDP II DEPUTY PROGRAM COORDINATOR



7.4.1 Objective of the Assignment

The objective of the assignment is to support the ULGDP II Program Coordinator to effectively and

efficiently manage the ULGDP II as described in the Program Operations Manual and associated

documents so as to ensure: a that the ULGDP II achieves its development objectives in general and; b)

that the 44 ULGs, 9 Regional States and the Ministry itself achieve satisfactory performance or better in

the annual performance assessment of disbursement linked indicators and performance measures that is

required to ensue ULGDP II investments in infrastructure and services and in capacity building.

7.4.2 Scope of Work

The deputy program coordinator will assist program coordinator in the overall planning, managing,

coordinating and reporting of the ULGDP in the provision of capacity building and mentoring services

and assistance to 9 Regional States and 44 ULGs (city administrations) in the managing the ULGDP II

in accordance with Government of Ethiopia policies, laws and regulations.

The Deputy Program Coordinator/ the consultant will have the following duties and responsibilities:

a. Deputize in program management (liaison, coordination, briefing, forward planning) with: 9






Protection Agency; internally with the various interested/involved Bureaus of the Ministry.

b. Draft annually and implement (monitor & report) a MUDHCo ULGDP II Capacity Building

Plan.

c. Ascertains the assistance in preparation of draft bidding documents and review the draft

bidding documents prepared by design consultants or cities as per the Government of Ethiopia

Standard Bidding Document (ICB) and National Competitive Bidding (NCB) to be given to

regions/ULGs.

d. Ascertains the accuracy of reports and other documentation produced by staffs.

e. Coordinate closely with the concerned bodies and assist them in fulfilling their responsibilities

in terms of contract management for smooth and successful completion of projects.

f. Assist cities in the construction supervision consultants and making periodic monthly progress

reports of sites to the Program Coordinator.

g. Ascertains support cities in the application of ESMS and RSG and consideration of the

environment and social issues in the contract documents in cooperation with EMS

Management specialists.

h. Ascertains the accuracy of proper documentation of all the infrastructure projects being

implemented by the regions/ULGs under the ULGDP and review action plans/schedules and

resources required as well as assist towns in maintaining the project management, monitoring

and reporting systems for ULGDP and others.

i. Assist cities in the preparations and consolidating the Capital Investment Plans for the Urban

Local Government Development Project (ULGDP) and participate in any other works or

meetings related to ULGDP and assist them in reviewing and appraising project proposals.


j. Assist cities, design and construction supervision consultants and contractors to obtain the

necessary documents and information required for the timely completion of the projects.

k. Assist in project management and implementation of ULGDP and other programs related to

project management and capacity building. This includes working with the cities technical

team as and when required.

l. Monitor and examine alternative design proposals/variations submitted by the design and

construction supervision consultants and contractor/client for execution and recommend

appropriate solution to UGCBB and cities to respond to technical and financial queries.

m. Assist in settling any minor disputes (not litigation and arbitration) between contractor and

municipality, inform relevant authorities at the earliest opportunity of any problem(s) or

potential problem(s) which may arise from construction of the project and recommend

possible solutions.

n. Examine with design and construction supervision consultants and recommend on settlement

of the contractor's claims for extensions of time, payment for extra work etc.

o. Organize meetings and/or consultative forums as required with the cities and other partners

for the successful completion of the projects.

p. Prepare consolidated physical progress reports and submit to ULGDP Coordinator

q. Preparation of training manuals, guidelines, seminars and workshops on infrastructure and

related subjects.

r. Support Federal ULGDP staff, regional and cities to plan for the future in developing and

planning for operations, maintenance and an environmental mitigation of infrastructure

financed under the ULGDP such as roads, drainage and management of markets,

slaughterhouses, solid and liquid waste disposals for sustainability of the infrastructure

projects.

s. Render technical assistance for technical staff of MUHDCo, regions and the cities to enhance

capacity in the preparation of project proposals, construction and supervision procedures and

current standards as well as in other key project management systems and areas of expertise as

and when required.

t. Perform additional responsibilities as delegated/assigned by the Program Coordinator.

7.4.3 Qualifications and Skills Required

The Program Coordinator shall be a qualified project/program manager with MSc and BSc degree or

higher in Civil Engineering, Municipal Engineering or Sanitary Engineering or related field of studies

with a track record of achievements in project planning, implementation and management of

infrastructure projects. He/She shall have a minimum of 10 years’ experience for MSc respectively in

implementation of projects, design and supervision, contract management as well as appraisal of

projects with an excellent change management skills and strong commitment to sharing expertise and

experience in order to develop others (helping others to achieve goals, resolving conflict successfully).

He/she shall also have excellent writing and communication skills and knowledge of the urban sector in

Ethiopia and GoE procurement and safeguard policies and procedures.

The deputy project coordinator should therefore possess the following qualifications/competencies:

MSc and BSc degree or higher in Civil Engineering, Municipal Engineering or Sanitary

Engineering or related field of studies with a track record of achievements in project planning,

implementation and management of infrastructure projects.

A minimum of 8 and 10 years’ experience for MSc and BSc respectively in implementation of

projects, design and supervision, contract management as well as appraisal of projects.



experience in order to develop others (helping others to achieve goals, resolving conflict

successfully).

Excellent writing and communication skills.

Knowledge of the urban sector in Ethiopia and World Bank procurement and safeguard policies

and procedures is an advantage.





7.5 TOR FOR THE PROJECT ENGINEER



7.5.1 Objective of the TOR

The objective of the TOR is to obtain the services of qualified and experienced Project Engineer with

specific contract management experience, experience on design of civil engineering works and

knowledge of environmental and sociological matters related to infrastructure and who will assist

UGCBB in providing support and assistance to regions and ULGs in the implementation of

infrastructure projects and achievement of disbursement linked indicators and performance measures:

FOR ULGS:

Disbursement Linked Indicator 1 (DLI 1): Minimum Conditions (MCs)26

The ULG will produce and its council approve key documents including: A rolling three year

Capital Investment Plan (CIP), with Annual Action Plan (AAP),

That the ULG’s planned use of the ULGDP II performance grants is in compliance with

investment menu;

That key staff positions are in place for management of ULGDP II implementation under the

coordination of the City Manager: key staff positions are ULGDP II focal persons for: civil

engineer;

Disbursement Linked Indicator 2 (DLI 2): Institutional Performance

Planning and Budgeting

That a rolling three year CIP, with linkages between the annual budget, annual action plan,

and annual procurement plan is prepared and approved and that it is consistent in data and

alignment with an Asset Management Plan; and captures operational and recurrent costs of

investments in the plans;

That there is participation of citizens in the planning process that helps to meet service

delivery priorities identified by citizens;

Assets Management: That the Assets Management Plan is prepared and updated;

Accountability and transparency: That the ULG achieves accountability and transparency in

its operations and service delivery;

Disbursement Linked Indicator 3 (DLI 3): Achievements of Infrastructure and Maintenance

Targets and Value for Money in Investments27

Achievement of Urban infrastructure targets: That urban infrastructure targets are achieved;

Maintenance Performance: That the ULG’s Maintenance Plan is based on the Assets

Management Plan; the ULG has developed a maintenance budget and actual implementation

rate is not less than 80% of that planned; and that maintenance is carried out; and

26 Note: Full details of DLIs, performance areas, performance measures, indicators, the weightings allocated and points

applied for each measure/indicator are described in the POM. 27 For the first assessment in 2014: reviewing all investments implemented in FY 2012/13 (EFY 2005). Note that this

DLI is only applied for the first ULGDP (2008-2014) ULGs in the first assessment.


Quality of infrastructure: That value for the money (VFM) is achieved in the infrastructure

investments funded by the ULGDP II. Note. The VFM assessment tool is yet to be developed

and the VFM will be assessed for the first time in EFY 2008 based on performance in EFY

2007 (2014/15).

FOR REGIONAL STATES:

Disbursement Linked Indicator 4 (DLI 4): Regional Capacity Building and Service Delivery

Standards: That the NRS ensures, with capacity building support of the MUDHCo that it develops

its own capacity and the capacity of the participating ULG(s) in the NRS to ensure efficient and

effective the institutional and organizational performance of urban local government(s) in

developing and sustaining urban infrastructure and services in the area of civil engineering, project

preparation, preparation of procurement documentation and operation & maintenance

7.5.2 Scope of Work

The Municipal /Civil Engineer will be responsible for: monitoring and supervising ULGDP II

participating cities and capacity building for regional urban development bureaus and cities in areas

involving investment construction project preparation (including design and supervision consultancy),

contract management, and development of capital investment plans, operations and maintenance, and

participation of citizens in city development. Specific duties and responsibilities are:

a. Assist in the preparation of draft bidding documents and review the draft bidding documents

prepared by design consultants or cities as per the Government of Ethiopia Standard Bidding

Document (ICB) and National Competitive Bidding (NCB) to be given to regions/ULGs.

b. Monitor, inspect and coordinate the design works being done by engineering consultants

during the design and supervision during the implementation of the projects. Review the

reports and other documentation produced by the Consultants.

c. Check the designs, bills of quantities and other documents that are submitted by design and

construction supervision consultants and the regions/ULGs in respect of the infrastructure

rehabilitation projects and for conformity GoE requirements.

d. Follow-up that proper hand over of sites and mobilization formalities are fulfilled and assist in

the layout of construction sites.

e. Coordinate closely with the concerned bodies and assist them in fulfilling their responsibilities

in terms of contract management for smooth and successful completion of projects.

f. Assist cities in the construction supervision consultants and making periodic monthly progress

reports of sites.

g. Support cities in the application of ESMS and RSG and consideration of the environment and

social issues in the contract documents in cooperation with EMS Management specialists.

h. To keep proper documentation of all the infrastructure projects being implemented by the

regions/ULGs under the ULGDP and review action plans/schedules and resources required as

well as assist towns in maintaining the project management, monitoring and reporting systems

for ULGDP and others.

i. Assist cities in the preparations and consolidating the Capital Investment Plans for the

ULGDP and participate in any other works or meetings related to ULGDP and assist them in

reviewing and appraising project proposals.

j. Assist cities, design and construction supervision consultants and contractors to obtain the

necessary documents and information required for the timely completion of the projects.

k. Assist in project management and implementation of ULGDP and other programs related to

project management and capacity building. This includes working with the cities technical


l. Support Resident Engineer in checking works, materials and workmanship to ensure

compliance with the approved designs, drawings and specifications and provide feedback on


the technical performance of the contractor and his staff to the contracting authority and

UGCBB.

m. Examine alternative design proposals/variations submitted by the design and construction

supervision consultants and contractor/client for execution and recommend appropriate

solution to UGCBB and cities to respond to technical and financial queries.

n. Assist in settling any minor disputes (not litigation and arbitration) between contractor and

municipality, inform relevant authorities at the earliest opportunity of any problem(s) or

potential problem(s) which may arise from construction of the project and recommend

possible solutions.

o. Examine with design and construction supervision consultants and recommend on settlement

of the contractor's claims for extensions of time, payment for extra work etc.

p. Organize meetings and/or consultative forums as required with the cities and other partners


q. Prepare simplified workbook, guidelines, checklist for supervision works for a project

engineer

r. Prepare physical progress report and submit to ULGDP Coordinator

s. Participate in, and support the preparation of training manuals, guidelines, seminars and

workshops on infrastructure and related subjects.

t. Support regional cities to plan for the future in developing and planning for operations,

maintenance and an environmental mitigation of infrastructure financed under the ULGDP

such as roads, drainage and management of markets, slaughterhouses, solid and liquid waste

disposals for sustainability of the infrastructure projects.

u. Render technical assistance for technical staff of the cities to enhance capacity in the

preparation of project proposals, construction and supervision procedures and current

standards as well as in other key project management systems and areas of expertise as and

when required.

v. Perform any other duties assigned by the Program Coordinator.

7.5.3 Staffing and Skills Required

The assignment will require a high level of technical competence in engineering especially in

municipal/civil engineering works. The Consultant should therefore possess the following

qualifications:

B.Sc. degree or higher in Civil Engineering, Municipal Engineering or Sanitary Engineering or

related field of studies with a track record of achievements in implementation of infrastructure

projects.

A minimum of 8 years’ experience in implementation and support of projects, design and

supervision, contract management as well as appraisal of projects.

Strong commitment to sharing expertise and experience in order to develop others.

Excellent writing and communication skills in both Amharic and English (all reports,

documents and correspondences shall be in English and/or Amharic).

Knowledge of the urban sector in Ethiopia is an advantage.





7.6 TOR FOR THE SOCIAL MANAGEMENT SPECIALIST




The objective of the TOR is to obtain the services of a qualified and experienced Social Management

Consultant who will assist in providing capacity building and mentoring services to regions and urban

local governments (city administrations) in implementation of the MUDHCo Environmental and Social

Management System and achievement of disbursement linked indicators and performance measures:

FOR ULGS:



coordination of the City Manager: key staff positions are ULGDP II focal persons for: social

sustainability;

That the ULG has established a functional system for social management;

That a complaints handling system is in place, including procedures for reporting of complaints,

receiving and addressing complaints and reporting on corrupt practices and complaints, through

the ULG’s Ethics Unit;





Environment and Social Safeguards

That eligible investments for potential environmental and social safeguard impacts are

screened against the set of environment and social criteria in the planning stage and

Environmental and Social Impact Assessments (ESIAs), and Resettlement Action Plans

(RAPs) are prepared and approved by the Regional Environmental Protection Agency as

required;

That RAPs are implemented in a timely manner - prior to commencement of civil works);

Accountability and transparency in city’ operations and service delivery: City has identified the

top three basic municipal services, and prepared a standard for delivery along with citizen

charter and published this. This indicator will be used only for the first year of the ULGDP II.

Is municipal service delivery as per the standard and citizen charter? Used in following years.



Job creation

28 Note: Full details of DLIs, performance areas, performance measures, indicators, the weightings allocated and points

applied for each measure/indicator are described in the POM. 29 For the first assessment in 2014: reviewing all investments implemented in FY 2012/13 (EFY 2005). Note that this



That the ULG’s achievement of its job creation targets (disaggregated by gender) is

satisfactory;






developing and sustaining urban infrastructure and services in the area of social development.

Disbursement Linked Indicator 6 (DLI 6): Timely review of ULG safeguards compliance: That

the NRS ensures that there is timely review by the Regional Environmental Protection Agency

(REPA) of the Environmental Screening reports produced by ULG(s) and submitted to the REPA for

review.

7.6.2 Scope of Work

The Social Management Specialist will have the following duties and responsibilities:

a. Provide overall coordination and assistance in the implementation of the ESMS and RSG for

the ULGDP.

b. Establish the system of screening forms, RAP set out in the ESMS and RSG, and oversee their

smooth operation including advice to ULGs on the procurement of consultants for any required

CRMP or RAP studies;

c. Site visits during ULG investment project execution and operation to assess how social aspects

are succeeding or have succeeded in minimizing impacts.

d. Provide specific technical advice on mitigation measures for labor intensive projects;

e. Raise awareness and proactively create demand for this technical advice among ULG officers;

f. Liaise with the MUHDCo, BUDs and ULGs to ensure the project’s compliance with the ESMS,

RSG and all resettlement aspects of the project;

g. Be responsible for collating information related to the ESMS, RSG and resettlement;

h. Be involved in preparing a country specific entitlement matrix under the ULGDP;

i. Undertake review of RAPs to ensure compliance with the ESMS and RSG;

j. Establish a monitoring and evaluation system for the implementation of the ESMS and RSG;

and

k. Lead the delivery of capacity building programs for ULG officers on the ESMS and RSG and

produce a training plan.

l. Review the procedure being followed to produce Resettlement Action Plan (RAP) to ensure

compliance with the RSG

m. Review the Resettlement Action plans and monitor the implementation of Resettlement action

plans.

n. Ensure that key staff positions are in place for management of ULGDP II implementation;

o. Ensure that the ULG has established a functional system for social management;

p. Ensure that there is participation of citizens in the planning process that helps to meet service


q. Ensure that eligible investments for potential environmental and social safeguard impacts are

screened against the set of environment and social criteria in the planning stage and

Environmental and Social Impact Assessments (ESIAs), and Resettlement Action Plans (RAPs)

are prepared and approved by the Regional Environmental Protection Agency as required;

r. Ensure that RAPs are implemented in a timely manner - prior to commencement of civil works;


s. Perform other duties assigned by the Program Coordinator.


The assignment will require a good understanding and knowledge of social and environmental

safeguards that are associated with projects such as the ULGDP and a high level of technical

competence in the implementation of ESMSs and RSGs.

The Consultant should therefore possess the following qualifications:

BSc degree or higher in Sociology, Economics, Urban Management, community development

or other related degree;

A minimum of 8 years relevant experience in social welfare and community development,

including experience in similar projects and geographic areas, with 5 years of experience in

aspects of social welfare involving community development and urban development in general

and social safeguard screening against resettlement and compensation criteria in the planning

stage and resettlement action plans (RAPs) in the implementation stage of projects.

Experience in working with local governments and/or knowledge of the urban sector in

Ethiopia will be an added advantage.

Excellent writing and communication skills in both Amharic and English.





7.7 TOR FOR THE ENVIRONMENTAL MANAGEMENT SPECIALIST




The objective of the TOR is to obtain the services of a qualified and experienced Environmental

Management Specialist who will assist in providing capacity building and mentoring services to regions

and urban local governments (city administrations) in implementation of the MUDHCo Environmental

and Social Management System and achievement of disbursement linked indicators and performance

measures:

FOR ULGS:



coordination of the City Manager: key staff positions are ULGDP II focal persons for:

environmental sustainability;

That the ULG has established a functional system for environmental management;








That the ULG has a budget approved by Council, as proclaimed in the budget proclamation,

and that follows the standard charts of accounts;

That the variance in % between total budget and actual for the previous FY (related with

total budget expenditures on municipal services) is less than 10 %);

Accountability and transparency

That the ULG achieves accountability and transparency in its operations and service

delivery;

Environment and social Safeguards

That eligible investments for potential environmental safeguard impacts are screened

against the set of environment criteria in the planning stage and Environmental and Social

Impact Assessments (ESIAs), Environmental Management Plans (EMPs) are prepared and

approved by the Regional Environmental Protection Agency as required;

That EMPs are implemented in a timely manner - prior to commencement of civil works);


30 Note: Full details of DLIs, performance areas, performance measures, indicators, and the weightings allocated and

points applied for each measure/indicator are described in the POM.






developing and sustaining urban infrastructure and services in the area of environmental

management.

Disbursement Linked Indicator 6 (DLI 6): Timely review of ULG safeguards compliance: That

the NRS ensures that there is timely review by the Regional Environmental Protection Agency

(REPA) of the Environmental Screening reports produced by ULG(s) and submitted to the REPA for

review.

7.7.2 Scope of Work

The Environmental Management Specialist will have the following duties and responsibilities:

a. Provide overall coordination and assistance in the implementation of the ESMS for the

ULGDP II.

b. Establish the system of screening forms and EIA set out in this ESMS, and oversee their

smooth operation including advice to ULGs on the procurement of consultants for any

required EIA studies;

c. Review and assess project screening reports prepared by the respective cities which the

categorized as schedule 1, 2 and 3and follow the approval of the reports by regional

environmental protection institutions.

d. Review the Environmental and Social Impact Assessment (ESIA) of the sub projects and

monitor the implementations of the Environmental Management Plans of the sub-projects

e. Liaise with the Ethiopia EPA on a regular basis;

f. Site visits during ULG investment project execution and operation to assess how

environmental screening and mitigation measures are succeeding or have succeeded in

minimizing impacts.

g. Commission an independent consulting firm to carry out an environmental performance audit

of ULGDP, on an annual basis;

h. Provide specific technical advice on mitigation measures for labor intensive projects;

i. Provide technical advice to ULGs on all technical issues related to natural resources and

environmental management. These issues will relate to impacts on surface water,

groundwater, agricultural resources and vegetation, sourcing of materials used in construction,

human health, ecology and protected areas, land and soil degradation;

j. Raise awareness and proactively create demand for this technical advice among ULG officers;

k. Liaise with the MUDHCos, BWUDs and ULGs to ensure the project’s compliance with the

ESMS with all aspects of the project;

l. Liaise with the BWUDs and ULGs to ensure the project’s compliance with the EMSF, RSG

and all resettlement aspects of the project;

m. Be responsible for collating information related to the ESMS;

n. Be involved in preparing a country specific entitlement matrix under the ULGDP;

o. Undertake review of EMPs to ensure compliance with the ESMS;

p. Establish a monitoring and evaluation system for the implementation of the ESMS;


q. Lead the delivery of capacity building programs for ULG officers on the ESMS and produce a

training plan.

r. Check and support all cities’ projects that, their CIPs are all screened and approved by the

Regions’ Environmental Protection Authorities.

s. Assist that eligible investments for potential environmental safeguard impacts are screened

against the set of environment criteria in the planning stage and Environmental and Social

Impact Assessments (ESIAs), Environmental Management Plans (EMPs) are prepared and

approved by the Regional Environmental Protection Agency as required;

t. Ensure that EMPs are implemented in a timely manner - prior to commencement of civil

works;

u. Ensure that the ULG has established a functional system for environmental management;

v. That eligible investments for potential environmental safeguard impacts are screened against

the set of environment criteria in the planning stage and Environmental and Social Impact

Assessments (ESIAs), Environmental Management Plans (EMPs) are prepared and approved

by the Regional Environmental Protection Agency as required;

w. That EMPs are implemented in a timely manner - prior to commencement of civil works;

x. Perform other duties assigned by the Program Coordinator.


The assignment will require a good understanding and knowledge of social and environmental

safeguards that are associated with projects such as the ULGDP and a high level of technical

competence in the implementation of ESMS.

The Consultant should therefore possess the following qualifications:

BSc degree or higher in Environmental Science, Environmental engineering or other related

degree;

A minimum of 8 years relevant experience in environmental, health, safety and social issues,

including experience in similar projects and geographic areas, with 5 years of experience in all

aspects of urban infrastructure development and environmental safeguard impacts screening

against environment criteria in the planning stage and environmental and social impact

assessments (ESIAs), environmental management plans (EMPs).

Experience in working with local governments and/or knowledge of the urban sector in

Ethiopia will be an added advantage.

Excellent writing and communication skills in both Amharic and English.





7.8 TOR FOR THE PROCUREMENT SPECIALIST



7.8.1 Objectives of the TOR

The objective of the TOR is to obtain the services of a qualified procurement specialist who will assist

UGCBB in providing support to regions and ULGs (Cities) in the preparation of procurement plans,

ULGs and Regions in capacity building and achievement of disbursement linked indicators and

performance measures:

FOR ULGS:


That the ULG will produce and its council approve key documents including: An Annual

Procurement Plan (APP);


coordination of the City Manager: key staff positions are ULGDP II focal persons for:

procurement;

That there is a functional organizational capacity for effective implementation of the

procurement system according to the relevant Regional/Federal public procurement

proclamation including:

That procurement function and minimum core staff are place – at least two procurement

specialists;

That there is a functional tender committee/tender award committee (TAC) in place; and

That the ULG has copies of their Region’s procurement law, directives, manuals and

standard procurement documents and staffs are familiar with these legal documents;






That a rolling three year CIP, with linkages with thee and annual procurement;

Procurement

That Annual Procurement Plans for ULGDP II are prepared and their implementation is

monitored and updated as required;

That the ULG adheres to procurement procedures and ensures effectiveness of contracts by:

maintaining adequate relevant auditable records on the procurement process; publishing all

ICB and NCB contracts awarded and complying with procurement procedures as per the

legal requirements;






delivery;






developing and sustaining urban infrastructure and services in the area of procurement.

7.8.2 Scope of work

The Procurement Specialist(s) will assist MUHDCo in the overall planning, managing, coordinating

and reporting of the ULGDP in the provision of support services and assistance to regions and ULGs

(city administrations) in the managing the procurement program of the project for goods, works and

services in accordance with Government of Ethiopia policies, laws and regulations in the participating

ULGs, Regions and UGGCBB. The Procurement specialist will have the following duties and

responsibilities

a. Managing the procurement program of the project for goods, works and services in

accordance with Government of Ethiopia regulations.

b. Providing technical support and guidance to beneficiaries in all aspects of procurement of

works, goods and services.

c. Initiating and coordinating training for beneficiaries in procurement with particular focus

GOE procedures.

d. Monitoring procurement in implementing beneficiaries/towns to ascertain compliance with

GoE procurement regulations.

e. Ensuring that the Procurement Agent and other consultants execute their actions in

accordance with the contracts.

f. Updating as appropriate the ULGDP II Procurement Plan.

g. Coordinating/conducting the preparation of Terms of Reference, Request for Expression of

Interest, Shortlisting, Invitation of Bid, Procurement Specifications, and Bid documents for

Works, Goods, and related supplies and consultant services.

h. Coordinating/conducting the bid/proposal evaluation process and thereafter preparing the

bid/proposal evaluation report for submission to the relevant authorities for approval.

i. Managing contracts after signature and assisting beneficiaries to manage their own contracts.

j. Visiting construction sites, attending site meetings with all parties concerned, and assessing

progress by reviewing performance certificates for completed works/tasks so as to recommend

appropriateness for settlement of due payments.

k. Attending to all audit queries on procurement.

l. Developing a procurement processing, monitoring and reporting system and taking a lead

in the preparation of quarterly reports on the status of procurement activities in the project.

m. Initiating the settlement of disputes with contractors/suppliers and follow upon shortages and

defective supplies/services/works that are in breach of contract provisions.

n. Attending to procurement enquiries and complaints by prospective bidders and/or bidders.

o. Liaising with supervising consultants to prepare progress reports on Civil Works.


p. Coordinate and disseminate GOE’s guidelines/ standards of bidding documents for

procurements of works, goods and consultancy services. Support regions and ULGs in

producing draft bidding documents and evaluation formats as per the GoE Standard Bidding

Document (ICB) and National Competitive Bidding (NCB)

q. Carry out a review to identify constraints and opportunities to the effective and efficient

procurement and administration of works, goods and consultancies in the ULGs and an

implementation capacity assessment to identify gaps.

r. Carry out effective coordination and timely delivery of and put in place systems to guide

procurement management and monitoring the performance of procurement activities across

regional, local agencies and ULGs.

s. Producing compiled reports in accordance with reporting requirements to be forwarded to the

concerned stakeholders.

t. Check the Bidding Documents and other related documents that are produced by design and

construction supervision consultants’ suppliers and by regions/ ULGs for conformity with

GOE ICB or NCB procurement requirements.

u. Coordinate closely with the concerned bodies and assist ULGs in fulfilling their

responsibilities for smooth and successful completion of procurement activities and making

periodic monthly progress reports of deliverables.

v. Ensure MUHDCo, Regions as well as ULGs are keeping proper documentation of all the

procurements being implemented under the ULGDP and review action plans/schedules and

resources required as well as assist cities in maintaining the procurement administration,

monitoring and reporting systems.

w. Render technical assistance for technical staff of the cities to enhance capacity in the

preparation of project proposals, procurement and supervision procedures and current

standards as well as in other key procurement management systems and areas of expertise as

and when required.

x. Establish and implement program for procurement monitoring and supervision system at

MUHDCo to regulate the overall project management and implementation of ULGDP and

other programs related to capacity building. This includes working with the cities' technical


y. Assist in settling any minor contractual disputes between contractor and municipality, inform

relevant authorities at the earliest opportunity of any problem(s) or potential problem(s) which

may arise from procurements of consultants, goods and works and recommend possible

solutions.

z. Organize meetings and/or consultative forums as required with the cities and other partners


aa. Participate and assist in the procurement & management, particularly from a technical

perspective, of some international staff and a large team of national staff on stipulating,

gathering information requirements, collecting & processing, comparing target and actual

performance of planned procurement activities, inputs of resources, assumptions, and

assessing deviations of outputs from the objectives of the program/project and give remedial

actions

bb. Present monthly technical reports and perform any other duties assigned by the Program

Coordinator.


7.8.3 Required qualifications and Experience

It is envisaged that the technical assistance will require an experienced and high level of

technical competence in procurement of services, goods and works and administrations on

World Bank financed projects. The procurement specialist, therefore, should be required to

fulfill the following qualifications.

At least a Degree from a reputable and recognized university in Commerce, Business

Administration, Economics, Engineering, Law or any other related discipline. Possession of

post graduate degree or an advanced degree will be an advantage.

Postgraduate training in procurement or a professional qualification in procurement.

At least 8 years’ experience in procurement in a large private/ public sector organization or

projects.

At least 5 years procurement experience in GOE/IDA funded projects thorough understanding

of Federal and local government procurement procedures.

Computer literacy in the use of word processor, spreadsheets and any other

Application relevant to procurement.


experience in order to develop others.

Excellent writing and communication skills in both Amharic and English (all reports,

documents and correspondences shall be in English).

Knowledge of the urban sector in Ethiopia is an advantage





7.9 TOR FOR THE MONITORING & EVALUATION SPECIALIST



7.9.1 Objective of the assignment

The objective of the assignment is to lead the ULGDP’s monitoring and evaluation work, including

supporting the regional and city M&E offices that are responsible for M&E of the ULGDP-financed

activities and achievement of disbursement linked indicators and performance measures:

FOR ULGS:



coordination of the City Manager: key staff positions are ULGDP II focal persons for: M&E;



Standards: That the NRS ensures, with capacity building support of the MUDHCo that it develops its

own capacity and the capacity of the participating ULG(s) in the NRS to ensure efficient and effective

the institutional and organizational performance of urban local government(s) in developing and

sustaining urban infrastructure and services – in the area of M&E.

7.9.2 Scope of Work

The ULGDP Monitoring and Evaluation Specialist at Federal level based at MUHDCo will plan,

coordinates and facilitates all M&E related activities of the ULGDP. He/she will be responsible for:

establishing, implementing ULGDP II M&E and reporting systems in ULGDP II participating regions,

cities and MUDHCo; monitoring and supervising ULGDP II participating cities during implementation

of M&E and reporting systems; and capacity building for regional urban development bureaus and

cities in areas involving ULGDP II monitoring, evaluation and reporting and participation of citizens in

city development. Specific duties and responsibilities are:

a. Coordinate with the ULGDP M&E Officers at Regional and ULG levels in maintaining a

monitoring and evaluation system for the cities to ensure that verifiable data is supplied,

analyzed, and reported as required.

b. Review existing M&E guidelines and design formats for monitoring.

c. Prepare results based Monthly, Quarterly Progress Report, Semi-Annual Report, Annual

Report and other relevant reports (e.g. Annual Performance Report) for ULGDP according to

the M&E reporting criteria.

d. Regularly follow-up on project implementation progress as per the key performance

indicators.

e. Identify training needs for monitoring and evaluation and arrange and conduct training

programs for relevant project staff at regional and city levels.

f. Advise the Program Coordinator on all aspects relating to provision of up to date project

management information;




g. Assist cities and regions in the preparation of M&E reports , consolidate and submit quarterly

monitoring and evaluation reports to the Program Coordinator;

h. Prepare and submit Monthly, Quarterly Progress Reports for ULGDP for period to October,

January, April and July not later than 10 days of the end of each quarter.

i. Consolidate and submit Semi-Annual Reports for ULGDP for period July to January not later

than the 1st week of February each year.

j. Prepare and submit to ULGDP, Annual Performance Report for ULGDP for period July to

July not later than August 7 each year.

k. Review and comment on M&E reports of cities and regions and assist cities and regions as

necessary to ensure the quality of the reports.

l. Work with ULGDP team members and other project implementing partners to familiarize

them with key performance indicators of the ULGDP.

m. Participate in M&E and other training courses as appropriate.

n. Familiarize self with the ULGDP Manuals and Guidelines.

o. Monitoring compliance with ULGDP II POM.

p. Perform other duties assigned by the Program Coordinator.

7.9.3 Qualifications Required

The ULGDP Monitoring and Evaluation Specialist should have experience in monitoring and

evaluation of projects. He or she should have adequate knowledge and understanding of project

implementation, and experience with monitoring and evaluation. The assignment also requires excellent

report writing skills in both Amharic and English.

The Monitoring and Evaluation Specialist should possess the following qualifications/ competencies:

B.Sc. degree in social sciences, economics or a related field; Master’s Degree that include

project management and monitoring and evaluation preferred.

A minimum of 8 years’ experience in implementation of projects and M&E, preferably of

infrastructure projects project/program management, including experience in similar projects

and geographic areas, with 5 years of experience in aspects of project management involving

monitoring and evaluation systems and capacity building for M&E in an urban development

setting.

Excellent writing and communication skills in English, excellent report writing skills.

Excellent command of computer programs and applications with significant capabilities in

computerized database, spreadsheet constructions.


experience in order to develop others (helping others to achieve goals), resolving conflict

successfully.

Knowledge of the urban sector issues in Ethiopia is an advantage.





7.10 TOR FOR THE ULG FINANCIAL MANAGEMENT SPECIALIST




The objective of the assignment is to lead the ULGDP’s financial transaction work, including

supporting the regional and city finance officers that are responsible for financial issues of the ULGDP-

financed activities through planning, budgeting and coordinating disbursement of funds of the City and

its accountability, according to finance and accounting regulations and achievement of disbursement

linked indicators and performance measures:

FOR ULGS:



Budget, and an

That the ULG will submit its financial statements for the prior FY on time;

That the ULG’s audit report for the previous FY shall not be adverse or have a disclaimer

opinion;

That the ULG’s counterpart funding requirements are fulfilled;


coordination of the City Manager: key staff positions are ULGDP II focal persons for: financial

management and that there is a functioning Internal Audit (IA) unit;


Financial Management

That the ULG maintains required accounting systems and timely reporting;

That external audit backlogs are cleared - minimum 5 years back;

That the audit opinion for the previous audit is clean;

That the ULG is in compliance with audit recommendations;

That internal audit procedures are adhered to with good practices reflected in quarterly

reports, reporting to mayor, and evidence of follow-up on audit findings;



delivery;









developing and sustaining urban infrastructure and services – in the area of financial management.

Disbursement Linked Indicator 5 (DLI 5): Timely execution of ULG annual external and

procurement audits: That the NRS ensures that there is timely execution of annual external audit of

the books of account of the participating ULG(s) in the NRS starting in Year 1 (EFY 2007 / GC

2014/15).

7.10.2 Scope of Work

The ULGDP Financial Management Specialist at Federal level based at MUHDCo will be responsible

for: monitoring and supervising ULGDP II participating cities and capacity building for regional urban

development bureaus and cities in areas involving of local government finance, accounting and audit,

and participation of citizens in city development. Specific duties and responsibilities are:

a. Review and gets acquainted with the ULGD Program implementation documents: The PIP,

manuals, region and city specific implementation plans.

b. Review the financial management manual, prepare training materials and provide training to

the ULGDP accountants at the Regional Bureaus of Finance and Economic Development and

ULGs.

c. Facilities and ensure timely release and flow of resources to ULGD program implementing

agencies.

d. Ensure timely submission of expenditure documents from ULGDP implementing Agencies

and from BoFED to MoFED; for replenishment;

e. Prepare request for replenishment with relevant and necessary documentation and reports

/Interim Financial Reports (IFR)

f. Prepare periodic Financial report and additional statement as per the ULGDP Financial

reporting (as stated in the ULGDP Financial Management Manual)

g. Collect, consolidate and regularly updated ULGDP expenditure data and information;

h. Ensure that the program budget and disbursement schedules are regularly updated and

maintained.

i. Ensure that proper financial records are maintained at ULGDP implementing Agencies;

j. Ensure the quality and consistency of all financial data reported from ULGDP Agencies;

k. Reconcile monthly ULGDP bank accounts at MoFED with the bank statements.

l. Strengthen the capacity of ULGDP accounts;

m. Serve as a focal person for ULGDP implementation at MoFED;

n. Prepare annual consolidated financial statements within three months after the end of the

financial year and ensure that these are submitted for audit to the external auditors;

o. Facilitate the external auditor with all the necessary financial documents in order to conduct

the audit in time and ensure the audit report is submitted to the bank within six months after

the end of the financial year of the project;

p. Copy financial reports to MUHDCo for proper follow-up of the implementation and the

project fund utilization;

q. Assist that the ULG will produce and its council approve key documents including: An

Annual Budget, and an

r. Assist that the ULG will submit its financial statements for the prior FY on time;

s. Assist that the ULG’s audit report for the previous FY shall not be adverse or have a

disclaimer opinion;

t. Assist that the ULG’s counterpart funding requirements are fulfilled;

u. Monitoring compliance with ULGDP II POM;


v. Providing technical support and guidance to ULGs management on financial matters;

w. Perform other duties assigned by the Program Coordinator.


The ULGDP Financial Management Specialist should have experience in financial management of

projects. He or she should have adequate knowledge and understanding of project implementation, and

experience with financial management.

The Financial Management Specialist should possess the following qualifications/competencies:

B.Sc. degree in accounting; plus a minimum of a Post graduate diploma in Financial

Management or Business Administration preferred.

A minimum of 8 years’ experience public sector finance and financial audit, including

experience in similar projects and geographic areas, with 5 years of experience in aspects of

local government finance, accounting, internal and external audit.

Excellent report writing skills in both Amharic and English.


computerized database, spreadsheet constructions and preferably knowledge of IBEX system.



successfully.






7.11 TOR FOR THE URBAN LAND ADMINISTRATION SPECIALIST




The objective of the assignment is to lead the Urban Land Administration activities at Federal level

based at MUHDCo will enforcing compliance with national policies, strategies, programs and

guidelines on land, housing and urban development within the ULGs and achievement of

disbursement linked indicators and performance measures:

FOR ULGS:


Land management and urban planning

That the ULG demonstrates effective land management practices and policies;






developing and sustaining urban infrastructure and services – in the area of land management


The Urban Land Administration Specialist at Federal level based at MUHDCo will enforcing

compliance with national policies, strategies, programs and guidelines on land, housing and urban

development within the ULGs; and related activities of the ULGDP. Specific duties and responsibilities

are:

a. Compliance with national Policies, strategies, programs and guidelines on lands, housing and

urban development enforced within the ULGs;

b. Development and enforcement of ULGs ordinances on sustainable use and development of

land, and safe, planned housing/ human settlement in line with national standards

coordinated;

c. Implementation of national lands, housing and urban development initiatives and policies in

local governments coordinated, monitored and evaluated;

d. Support supervision and technical back-up support on matters of lands, urban development

and housing in the urban local governments provided;

e. Periodic reports on the performance of the Land Management sub-sector of the ULGs

prepared and submitted relevant authorities and stakeholders;

f. Work plans and budgets for land management programs and activities prepared and

submitted;

g. Coordinating the development and enforcement of Federal, Regional and ULGs ordinances on

sustainable use and development of land; safe, planned housing and human settlement;

h. Coordinating and monitoring the implementation of ULGDP projects in accordance

with national lands, housing and urban development initiatives and policies in the ULGs;

i. Providing support supervision and technical back-up support to ULGs on matters of

lands, urban development and housing;


j. Preparing and submitting reports on the performance of the Land Management sub-sector of

the relevant authorities and stakeholders;

k. Preparing and submitting work plans and budgets for land management programs and

activities;

l. Assist in developing and maintaining a ULGs land registration register;

m. Providing technical guidance to the ULGs in regard to matters of land registration;

n. Advice in planning towns and trading centers in the ULGs;

o. Inspecting structures in the ULGs to ensure compliance with the land use plan;

p. Maintaining the ULGs planning information, equipment and records;

q. Guiding ULGs authorities on balanced development;

r. Coordinate that the ULG demonstrates effective land management practices and policies;

s. Monitoring compliance with ULGDP II POM;

t. Perform other duties assigned by the Program Coordinator.


The Urban Land Administration Specialist should have experience in Urban Land Administration. He

or she should have adequate knowledge and understanding and experience with land management. The

Urban Land Administration Specialist should possess the following qualifications/competencies:

B.Sc. degree in Land Administration, Urban Planning, Regional Planning; or similar

discipline.

A minimum of 8 years’ experience in urban land management, development and

administration, including experience in similar projects and geographic areas, with 5 years of

experiences in local government.




successfully.


Planning, organizing and coordinating;

Records and information management;

Knowledge of the provisions of the Land Act;

Problem solving and decision making.





7.12 TOR FOR THE ASSET MANAGEMENT / O&M SPECIALIST




The objective of the assignment is to lead the ULGDP’s that the ULG’s Maintenance Plan is based on

the Assets Management Plan; the ULG has developed a maintenance budget and actual implementation

rate is not less than 80% of that planned and achievement of disbursement linked indicators and

performance measures:

FOR ULGS:



Planning and Budgeting: That a rolling three year CIP, the annual budget, annual action

plan, and annual procurement plan are in alignment with an Asset Management Plan; and

capture operational and recurrent costs of investments in the plans;

Assets Management: That the Assets Management Plan is prepared and updated;



Maintenance Performance: That the ULG’s Maintenance Plan is based on the Assets

Management Plan; the ULG has developed a maintenance budget and actual implementation

rate is not less than 80% of that planned; and That maintenance is carried out; and

Quality of infrastructure: That value for the money (VFM) is achieved in the infrastructure

investments funded by the ULGDP II. Note. The VFM assessment tool is yet to be developed

and the VFM will be assessed for the first time in EFY 2008 based on performance in EFY

2007 (2014/15).






developing and sustaining urban infrastructure and services in the area of asset management &

O&M.


The Asset Management / O&M Specialist at Federal level based at MUHDCo will assist regions and

ULGs in developing and improving asset management policies, strategies and plans through the assets’

‘whole life cycle’; and related activities of the ULGDP. Specific duties and responsibilities are:


points applied for each measure/indicator are described in the POM. 35 For the first assessment in 2014: reviewing all investments implemented in FY 2012/13 (EFY 2005). Note that this



a. Work with planning and participation specialist to ensure linkages between the AMP and CIP

preparation

b. Ensure cities and bureaus understand the need for regular inventory of infrastructural assets

and asset management plan (AMP) preparation;

c. Train cities and bureaus on Infrastructural Asset Management Planning Framework with

special emphasis on the ten steps of AMP Preparation;

d. Update the asset management planning framework manual;

e. Support cities in implementing infrastructural asset management planning including inventory

and updating of the AMP;

f. Urban infrastructures technology design (e.g. for durability, maintainability) ;

g. condition assessments and understanding of deterioration factors;

h. Life cycle cost and trade off analysis (typically MS Excel based modeling) ;

i. Investment appraisal techniques (NPV, IRR, ROI) ;

j. Appraisal of maintenance practices (reactive, condition and risk based) ;

k. Gap analysis of compliance with regulatory and industry standards;

l. Process design and driving efficiency improvements;

m. Functional requirements definition of asset information systems;

n. Cross industry benchmarking of leading practices;

o. Analyze risk management and mitigation measures;

p. Assist that the ULG’s Maintenance Plan;

q. Assist ULGs that maintenance is carried out; and that value for the money (VFM) is achieved

in the infrastructure investments funded by the ULGDP II;

r. Monitoring compliance with ULGDP II POM;

s. Perform other duties assigned by the Program Coordinator.


The Asset Management / O&M Specialist should have experience in asset management/O&M of

projects. He or she should have adequate experience in transport or other asset intensive industry. The

Asset Management / O&M Specialist should possess the following qualifications/competencies:

First degree (civil, municipal engineering / asset management / business management)

A minimum of 8 years of experience in urban infrastructure development and operations,

including experience in similar projects and geographic areas, with 5 years of experience in

aspects of municipal infrastructure asset management and maintenance of urban

infrastructure.

Enthusiasm and energy, working individually and as part of a team.

Good understanding of asset management processes and competency frameworks, and the

associated maturity development techniques.

Proven analytical, organizational and communication skills





7.13 TOR FOR THE ULG OWN REVENUE / MUNICIPAL FINANCE SPECIALIST




The objective of the assignment is to lead the ULGDP’s own revenue generation activities, including

supporting the regional and city financial officers that are responsible for revenue generation of the City

and its accountability and achievement of disbursement linked indicators and performance measures:

FOR ULGS:


1. That key staff positions are in place for management of ULGDP II implementation under

the coordination of the City Manager: key staff positions are ULGDP II focal persons for:

revenue;

2. That a complaints handling system is in place, including procedures for reporting of

complaints, receiving and addressing complaints and reporting on corrupt practices and

complaints, through the ULG’s Ethics Unit;


Own source revenue enhancement

That the ULG’s Revenue Enhancement Plan is updated for the most recent year;

That municipal revenues increase;

That revenue collection capacity is demonstrated;

That the ULG provides counterpart funding as described in the POM and this PPA;



delivery;






developing and sustaining urban infrastructure and services in the area of cities’ own source

revenues.

Disbursement Linked Indicator 7 (DLI 7): Support to ULG municipal revenue enhancement:

That the NRS ensures that there is effective support to participating ULG(s) achievement of DLI 2

that requires that the ULG’s Revenue Enhancement Plan is updated for the most recent year; its

municipal revenues increase; its revenue collection capacity is demonstrated; and that the ULG

provides counterpart funding as described in the POM and the PPA signed by the ULG and the

NRS.;





The ULG Own Revenue /Municipal Finance Specialist at Federal level based at MUHDCo will be

responsible for monitoring and supervising ULGDP II participating cities and capacity building for

regional urban development bureaus and cities in areas involving of local government revenue

enhancement and planning, and participation of citizens in city development. Specific duties and

responsibilities are:

a. Preparing and consolidating budgets and work plans;

b. Preparing guidelines and plans for revenue collections;

c. Planning and monitoring revenue collection in the ULGs;

d. Preparing supplementary estimates;

e. Enforcing adherence procedures for procurement of goods and services for the ULGs;

f. Preparing and reconciling periodical financial statements and reports;

g. Providing technical support to the ULGs on alternative resources of funds;

h. Introducing and maintaining Integrated Financial Management Systems;

i. Assist that the ULG’s Revenue Enhancement Plan is updated for the most recent year;

j. Assist that municipal revenues of ULGs increase;

k. Assist that revenue collection capacity of ULGs is demonstrated;

l. Assist that the ULG provides counterpart funding as described in the POM and this PPA;

m. Monitoring compliance with ULGDP II POM;

n. Perform other duties assigned by the Program Coordinator.


The ULGDP Own Revenue/Financial Specialist should have experience in financial management of

projects. He or she should have adequate knowledge and understanding of project implementation, and

experience with revenue generation. The assignment also requires excellent report writing skills in both

Amharic and English. The Own Revenue/Financial Specialist should possess the following

qualifications/competencies:

B.Sc. degree in accounting; plus a minimum of a Post graduate diploma in Financial

Management or Business Administration.

A minimum of 8 years’ experience in public sector finance, including experience in similar

projects and geographic areas, with 5 years of experience in aspects of local government

finance and revenues (taxes, charges, levies, fees) and revenue enhancement planning.





successfully.






7.14 TOR FOR THE BUDGETING, PLANNING & PARTICIPATION SPECIALIST




The Budgeting, Planning & Participation Specialist will play an important role in working with regional

and urban local governments in formulating ways to incorporate citizen feedback into all aspect of

urban management, most importantly budgeting and selection of investments and achievement of

disbursement linked indicators and performance measures:

FOR ULGS:



Budget



That a rolling three year CIP integrated into the annual budget, annual action plan, and

annual procurement plan is prepared and approved and is consistent in data and alignment

with a Revenue Enhancement Plan and an Asset Management Plan; and captures

operational and recurrent costs of investments in the plans;



That the ULG has a budget approved by Council, as proclaimed in the budget proclamation,

and that follows the standard charts of accounts;

That the variance in % between total budget and actual for the previous FY (related with

total budget expenditures on municipal services) is less than 10 %);






developing and sustaining urban infrastructure and services – in the area of budgeting planning and

participation.


The ULG Budgeting, Planning & Participation Specialist at Federal level based at MUHDCo will

perform budgeting, planning and participation activities of the ULGDP. Specific duties and

responsibilities are:

a. Formulating and developing ULGs development strategies, plans and budgets;

b. Preparing and disseminating performance standards and indicators for the ULGs to users;




c. Providing technical support in preparation and production of ULGs Development

Plans;

d. Determining ULGs investment priorities;

e. Monitoring and evaluating performance of ULGs Development Plans

programs and projects;

f. Collecting, analyzing and storing data into useful information for end users;

g. Developing and maintaining a data bank for planning and decision making purposes;

h. Providing technical advice on matters related to planning;

i. Preparing and coordinating work plans and budgets;

j. Developing and constantly reviewing ULGs plans, projects and local government policies;

k. Monitoring and evaluating implementation of Local Government plans, programs and

projects.

l. Prepares and submits short, medium and long range projections based on the National Plan

and other pertinent plans.

m. Evaluates continuously implemented proposals and decisions both technically and

economically with a view of setbacks and subsequent corrections.

n. Ensures the collection, compilation and analysis of data and information necessary for the

establishment of future growth based on demand.

o. Compiles, analyzes and issues statistical and other reports accomplished.

p. Ensures that applicable records, economic, statistical bulletins and miscellaneous data are

maintained and updated from time to time.

q. Devices a system of control on the inflow and outflow of projects and correspondences

through a centralized channel;

r. Monitors and adjusts activities, resources and plans by monitoring, evaluation and review of

projects and meeting with clients, project management groups, key workers and stakeholders;

s. Develops solutions to project problems through desk research, meeting with clients, project

management groups, key workers and stakeholders;

t. Evaluates the effectiveness of project planning and implementation through monitoring,

evaluation and review of projects, post implementation review and dissemination of project

results;

u. Initiates actions to prevent the occurrence of any non-conformity; ensures timely completion

of corrective actions and verifies their effectiveness;

v. Initiates corrective and preventive actions on the identified actual and potential nonconformity

to strategic objectives;

w. Consolidates reports submitted to the program coordinator on strategy execution and submits

with suggestions;

x. Designs and submits proposals to the program coordinator setting key success indicators for

ULGDP staff for implementing the performance management scheme;

y. Follows up the handling of the assignments and instructions; reports on the outcome.

z. Monitoring compliance with ULGDP II POM.

aa. Coordinate that the ULG will produce and its council approve key documents including: An

Annual Budget.

bb. Perform other duties assigned by the Program Coordinator.


The ULG Budgeting, Planning & Participation Specialist should possess the following

qualifications/competencies:


B.Sc. degree in B.A. Degree in Economics or Management

A minimum of 8 years of experience in public finance including budgeting and experience in

similar projects and geographic areas, with 5 years of experience in local government

budgeting planning and participation.






successfully.






7.15 TOR FOR THE URBAN PLANNER




The objective of the TOR is to obtain the services of a qualified urban planner who will assist in

providing support to regions and ULGs (Cities) in the use of computerized geographic information

systems (GIS) to map land areas, to overlay maps with geographic variables such as population density,

and to combine or manipulate geographic information to produce alternative plans for land use or

development and achievement of disbursement linked indicators and performance measures:

FOR ULGS: Disbursement Linked Indicator 2 (DLI 2): Institutional Performance. Land

management and urban planning: That the ULG has a valid and approved statutory structure plan and

that CIP investments are in accordance with the statutory plans (Structure and Local Plans);






developing and sustaining urban infrastructure and services – in the area of urban planning.


The Urban planner at Federal level based at UGCBB will plan, coordinates and facilitates ULGs urban

planning, and related activities of the ULGDP. Specific duties and responsibilities are:

a. Design, promote and administer government plans and policies affecting land use, zoning,

public utilities, community facilities, housing, and transportation.

b. Recommend approval, denial or conditional approval of proposals.

c. Determine the effects of regulatory limitations on projects.

d. Assess the feasibility of proposals and identify necessary changes.

e. Create, prepare, or requisition graphic and narrative reports on land use data, including land

area maps overlaid with geographic variables such as population density.

f. Advise planning officials on project feasibility, cost-effectiveness, regulatory conformance,

and possible alternatives.

g. Conduct field investigations, surveys and impact studies in order to compile and analyze data

on economic, social, regulatory and physical factors affecting land use.

h. Discuss with planning officials the purpose of land use projects such as transportation,

conservation, residential, commercial, industrial, and community use.

i. Keep informed about economic and legal issues involved in zoning codes, building codes, and

environmental regulations.

j. Mediate community disputes and assist in developing alternative plans and recommendations

for programs or projects.

k. Coordinate work with economic consultants and architects during the formulation of plans

and the design of large pieces of infrastructure.

l. Review and evaluate environmental impact reports pertaining to private and public planning

projects and programs.

m. Supervise and coordinate the work of urban planning technicians and technologists.


n. Investigate property availability.

o. Monitoring compliance with ULGDP II POM.

p. Coordinate that the ULG has a valid and approved statutory structure plan and that CIP

investments are in accordance with the statutory plans (Structure and Local Plans).

q. Perform other duties assigned by the Program Coordinator.


The Urban planner should possess the following qualifications/competencies:

The Urban planning specialist should have BSc degree or higher in Urban Planning,

Architecture town planning or Civil Engineering, Municipal Engineering, Sanitary

Engineering or related field of studies with extensive experience in designing and

implementing regulations and systems in urban development involving development at a

national level of policies and strategies for urban development and management with

particular focus on the development of urban local governments.

A minimum of 8 years’ experience in urban planning, including experience in similar projects

and geographic areas, with 5 years of experience in local government planning.

A working knowledge of GIS and CAD systems and an ability to transmit that knowledge to

others will be an advantage.




successfully.


Master's degree from an accredited planning program in urban or regional planning or a

related field, such as urban design, environmental planning, or geography is an advantage.




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