Framework for Assessment of Good Urban Governance in Nigeria
July 2010
Acknowledgement This document was prepared by National Technical Committee (NTC) on Assessment of Good Urban Governance in Nigeria and was supported both technically and financially by Oslo Governance Centre (OGC), UNDP Nigeria, UNHABITAT Nigeria. The views expressed in this document are those of the authors are and do not represent the organisations they belong or any of the supporting agencies. The authors are as follows: Johnson B. Falade Alex Gboyega Wole Morenikeji Seyi Fabiyi Isiaka Olarewaju Eucharia Alozie Sakirat Yusuf Mathew Alao Rabiu Yusuf Shipra Nurang
LAREC Local Government Administrative Records
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
EF:
Effectiveness (Sustainability, strategic vision, Efficiency, Subsidiarity)
INDICATORS
DATA SOURCES House FGD hold LAREC /Other Surve Sources y
QUESTIONS EF 1.1 Has the LGA formally adopted a vision/mission statement?
(Yes/No) If yes, is this vision/ mission statement stated in any of the following documents- LEEDS, Land use master plan/structure plan or any other strategic documents.(state the vision/mission ) EF 1.2 Was the preparation of the vision/mission statement, or strategic plan(s) participatory? (Yes/No) If yes, provide a summary of the participatory process. EF 1.3 Is the adopted vision/mission/strategic plan being used for any of the following: SN Category Yes No Political administration. EF1.3.1
EF.1 Vision statement/ strategic plan for city/municipality/L GA
EF1.3.2
Social development
EF1.3.3
Economic development (budgeting)
EF1.3.4
Environmental development and sustainability?
EF1.3.5
Monitoring and Evaluation
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EF 1.4 How is the strategic plan document disseminated? SN
Category
EF1.4.1
Published and kept in city/municipality/LGA
EF1.4.2
Distributed to various wards
EF1.4.3
Distributed to institutions
EF1.4.4
Sold to people on demand
EF1.4.5
Given out free on demand
EF1.4.6
Advertised on print and electronic media
EF1.4.7
Available online for free download
EF1.4.8
Available online for paid download
LAREC Local Government Administrative Records
Yes
No
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
` EF: Effectiveness: (sustainability strategic vision, Efficiency, Subsidiarity) EF 2.1 State which of the following constitutional roles are performed by the LGA.
EF.2 Service Delivery
(a) (a) recommendations to a State commission on economic planning (b) collection of rates, radio and television licenses; (c)establishment and maintenance of cemeteries, burial grounds and homes for the destitute or infirm; (d) licensing of bicycles, trucks (other than mechanically propelled trucks), canoes, wheel barrows and carts (e) establishment, maintenance and regulation of slaughter houses, slaughter slabs, markets, motor parks and public conveniences; (f) construction and maintenance of roads, streets, street lightings, drains and other public highways, parks, gardens, open spaces etc. (g) naming of roads and streets and numbering of houses (h) provision and maintenance of public conveniences, sewage and refuse disposal (i) registration of all births, deaths and marriages (j) assessment of privately owned houses or tenements for the purpose of levying such rates as may be prescribed by the House of Assembly of a State (k) control and regulation of out-door advertising and hoarding, movement and keeping of pets of all description, shops and kiosks, restaurants, bakeries, laundries, and licensing, regulation and control of the sale of liquor. (l) provision and maintenance of primary, adult and vocational education; (m) development of agriculture and natural resources, other than the exploitation of materials (n) provision and maintenance of health services State the budget allocation for each of the above roles in the last three years Has the LGA adopted a policy on Public private partnership in performing any of the above tasks? (Please specify) EF 2.2. Are the procedures for accessing services from LGAs published and accessible to the public? (yes/no) If yes, please explain how. •
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EF 2.3 State and describe the mechanisms in place for addressing public complaints in accessing services provided in the LGA. a) b) c) d) e) f)
None Public Opinion Survey Town hall meetings Suggestion boxes Public complaints desk Others (specify)
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EF.3 Subsidiarity
What is the response time for addressing public complaints (cite examples)
EF 3.1. Are there areas where the LGA enjoyed autonomy in the implementation of the statutory functions? (This is a bit vague. What do we mean by autonomy – setting service standards, tariff levels, initiating PPPs, etc. a) If yes, please list them. EF 3.2. Describe any form of undue control/ interference from higher tiers of government on LGA in the following areas:
LAREC Local Government Administrative Records
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
3.2.1. Budget 3.2.2. Project implementation 3.2.3. Taxation and levies 3.2.4. Recruitment of staff 3.2.5. Loan facilities 3.2.6. Any other areas(Please Specify) EF 3.3 Has the LGA established sub- administrative units for effective governance? If yes, at which of the following level(s): S. no. Category Yes No Ward level 3.3.1 3.3.2
Community level
3.3.3
Both
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EF 3.4 In what areas do these subs- local administration units exercise power or control? a) b) c)
d) e)
Provision and maintenance of public services Community policing Developmental activities Conflict resolution Any other (please list)
EF 4.1. What are the major sources of income of the LGA in the last three years?
EF4. Resource Mobilisation and Management
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%
Statutory (Transfer from Fed and State governments) Internally Generated Revenue (IGR) √
Grants/ Donations Returns on investment Others (Specify) EF 4.2.
How effective is the system in place for collection of various rates and taxes? •
Are there designated offices/ agencies responsible for different rate collection?
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Does the LGA have computerised financial systems?
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% of actual tax collected (proportionate to estimated tax for the year)
EF 4.3 How predictable are the transfers from the federal and state governments, i.e. does the LGA know the amount it will get: Sn Category Please tick a six months in advance b
1 year in advance
c
2 or more years in advance
d
Not at all
LAREC Local Government Administrative Records
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
EF 5.1. What capacity in term of human and material resources and organizational structure has the LG to effectively carry out its function? Provide data on existing staff strength, disaggregated by cadre and gender. EF 5.2. Enumerate the different trainings organized for LG staff in the last 3 years. EF 3.3. Enumerate three most critical capacity building needs of the LG.
EF5. LG Capacity
EQ: Equity (includes sustainability, gender equality and intergenerational equity) DATA SOURCES INDICATORS
QUESTIONS
LARE C
Househ old Survey
FGD /Othe r Sourc es
EQ 1.1. Does the LG have specific policies targeting the poor in the following area:
EQ1. Pro-poor policy
a b c d e f g h i j k
Health Education Water Land Housing Economic empowerment Street Children/ Child labour Elderly and Physically challenged Homeless Female headed households Any other (Specify)
Yes
No
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If yes, briefly describe the specific policies. (attach the policy document or excerpt ) State with examples the policies that have been translated to programmes and projects.
EQ2. Citizen’s Charter
EQ3. Provision for informal business)
EQ 1.2. Provide a break down of the distribution of Primary Schools and Public Health Care centres by ward in the LGA. (To be tabulated)
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EQ 2. 1. Does the LGA have a Citizens’ Charter? (Yes/No) • If yes when was it adopted, and what rights are covered therein? • Are the citizens aware of the charter? • Are LG officials at different levels aware of the charter and their responsibilities towards citizens?
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EQ 3. 1. Does the LG provide incentives for informal businesses (e.g. designated spaces for stalls, Loans, etc)?
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EQ 3. 2. Does the LG collect fees and taxes on informal businesses?
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EQ 3.3. Is there any restriction on street trading in the LGA? • If yes, is there any alternative provided by the LG?
EQ 3.4 Have there been any confrontations between the authorities and informal traders over the past 12 months? If yes, how many? EQ 4. 1. Has the LG adopted the affirmative action? EQ4. (35% women representative in all public positions) LAREC Local Government Administrative Records
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
Gender equity
EQ 4. 2. What is the percentage of women councillors in the local government? EQ 4. 3.State the number of women that contested and won elections into LGAs in the last three elections. Election year ElectionYear 1 ElectionYear 2 ElectionYear 3
Women contestants
EQ 5. 1. What is the proportion of children population of school age disaggregated by sex that is enrolled in school in the LGA?
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EQ 5.2 What is the completion rate for boys and girls in your LGA? EQ 5.3 Are there any specific policies or practices to raise enrolment and completion rates among girl / boy students?
EQ 6. 1. Are there cultural practices in the LGA that discriminate against women and widows? Describe briefly.
EQ6. Human rights/ rule of law
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Num of women that won elections
EQ 4. 4. What is the percentage of women that voted in the last election out of the total registered?
EQ5. Access to education
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EQ 6. 2. Do spiritual leaders and traditional authorities in the LGA conduct their own trials for petty crimes, and impose punishments, without allowing a fair trial in the law courts? If yes, how many such trials have been reported or come to the notice of authorities in the past 12 months?
LAREC Local Government Administrative Records
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
PA: Participation (includes citizenship, consensus orientation and civic engagement) DATA SOURCES INDICATORS
PA 1.1. Are there roles accorded to non-indigenes (Citizen from different states in the LGA) in governance and development initiatives in LG? (Yes/ No) If yes, cite examples of the types of roles they are involved in? PA 1.2 What was the percentage of actual voters (as compared to those registered) in the last election
PA1 Civic Engagement and Consensus Building
PA2. Partnership Building
LAREC
House hold Survey
FGD /Othe r Sour ces
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QUESTIONS
PA 1.3. Has the LG ever conducted a referendum in the last three years? • If yes on what issue? PA 1.4. Does the LG involve women, youth, children and other vulnerable groups, in decision-making process? PA 1.5 How many registered Local based NGOs/CBOs are in the LGA? • How many of these NGOs/CBOs are collaborating with the local government? Describe the nature of collaboration.
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PA 1.6. Does the LG involve Traditional Rulers in the decision-making? (Yes/no)
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PA 1.7. Does LG practice participatory budget and public expenditure tracking? • If yes briefly describe the process. • Has the LG put in place any innovative approaches to enhance citizen’s participation during the past three years? If yes, which ones
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PA 2.1. Has the LG adopted policy on Public-Private partnership (PPP)? • If Yes How many projects have been undertaken over the past three years and in which sector? . PA 2.2 Does the LG partner with CBOs, NGOs (including faith based organisations) in the provision of the following SN Services Yes No a Health b Education c Security d Social (feeding, clothing) g Any other (Specify)
LAREC Local Government Administrative Records
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
SE. Security – (Includes conflict resolution, human security) DATA SOURCES
INDICATORS
QUESTIONS
SE1. Capacity for effective Policing
SE 1.1.Enumerate the security challenges facing the LGA in terms of the following: a) Manpower b) Infrastructure c) Finance d) Lack of control e) Any other.(Please specify) SE 1.2. Assess the existing capacity for effectively policing the LG in terms of the following:
LAREC
Total number of police personnel serving in the LGA disaggregated by gender b) Distribution of police stations disaggregated by Ward c) Budget allocation for security in the last three years d) Number of police patrol vehicles and communication equipment in the LG e) Number of registered private corporate security outfits. f) Number of vigilante groups set up for community policing SE 1.3. Are there Police Community Relation Committees (PCRC) in the LGA.? • If yes, how many? • How often do they meet and what kind of issues do they address? • List some achievements of the committee in the last three years
House hold Surve y
FGD /Other Source s (Agenci es)s
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a)
SE2. Rate of Crime
SE 2.1. State the number of reported crimes by types, ward and fatality in the LGA in the last three years. SE 2.2 . Is there a gender desk in the Police stations to handle gender-based crime? (Including domestic violence, sexual harassment and abuse at the workplace, educational institutions and public spaces) If yes, how many police stations have such a desk (give %)
SE.3 Environmental security measures
SE 3.1. Has the LG adopted any land use and building design guidelines and standards for environmental design, development and management? SE 3.2. Has the LGA adopted the National Building Code? If yes, when was it adopted? Describe the LG experience in enforcement of building Code so far. SE 3.3 Number of building collapse recorded in the last three years.
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SE 3.4 State whether LG/State have adopted control measures/standards for the following:
a b c
Types Land Pollution Air Pollution Water Pollution
LAREC Local Government Administrative Records
Yes
No
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
d
Noise If yes, describe the scope of these policies SE 3.5. .Describe the systems in place for effective waste management in the LGA in terms of the following: a) Household waste b) Industrial waste c) Hospital waste
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SE 3.6. Has the LG adopted an Emergency Preparedness Plan? If yes, • Was it adopted with the participation of citizens? • Are citizens aware of the Plan and the measures included therein?
SE.4 Conflict resolution measures
SE 4.1. Which of the following alternative dispute resolution methods are in place in LGA? SN Method Yes No a Interventions by faith-based organisations b community/police referral system c Legal aid d Planning tribunal e Traditional institutions f Others (Specify)
• SE.5 Tenure security
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If yes, cite examples of recent cases resolved by these mechanisms.
SE 5.1. How would you describe access to land by the following groups? Sn a b c
Group Women Non- indigene Poor
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Easy
Difficult
No access √
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If the answer is no access, please give reason(s).
SE 5.2. Have there been any incidents of forced evictions of the following in the last three years? Sn Type Yes No a slum-dwellers/ Squatters, b market-traders c Other groups(Specify) SE 5.3. Is there any policy on promotion of social housing? (Yes/No)
LAREC Local Government Administrative Records
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
AC. Accountability (Transparency; accountability; responsiveness; and rule of law) DATA SOURCES INDICATORS
QUESTIONS
LAR EC
House hold Survey
FGD /Other1 Sources
AC 1.1. Does the LG practice transparent and accountable governance by promoting free flow of information?(Yes/No) • If yes, state which of the following methods is being used for promoting free flow of information.
AC 1 Transparency and free flow of information
SN a b c d e f
AC 2. Mechanisms for performance measurement
AC 3. Elimination of corruption
Types Publication of annual report Dissemination of annual report Periodic town hall/ CDA meetings Mass media (Radio, TV and print) Use of Web site Others (Specify)
Yes
No
examples
AC 2.1. Does the LG set and follow yearly performance standards? If yes cite examples AC 2.2 Cite with examples instances where the LG has been sanctioned for not meeting the set target(s), by higher authorities, in the past three years.
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√ AC 3.1. Does LGA use set rules for advertisement, opening of tenders, evaluation of bids and Tenders Board for contract award? (YES/NO) If yes cite examples.
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LAREC Local Government Administrative Records
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.
AC: Accountability (Transparency; accountability; responsiveness; and rule of law) DATA SOURCES INDICATORS
QUESTIONS
LAR EC
AC 4.1. Are the LGA’s accounts audited annually through an • Internal audit (Yes/no) • External audit (yes/no) AC 4.2. Is the audited report widely circulated to:
AC 4. Independent audit
Sn a
Category State House of Assembly
b
Ministry/Agency responsible for LG
c
LGA Executive
d
Local stakeholders
e
Others (specify)
Yes
No
AC 5.1. Has the LG adopted a Code of Conduct to guide its employees?
AC 6. Citizens’ demand for accountability
FGD /Other Sources
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AC 4.3. Are there any press releases or publications on the audited report? If yes cite examples. AC 4.4. Are the recommendations of the audited report acted on by: (a) Local Government Council; (b) State House of Assembly (c) Ministry/Agency Responsible for Local Government (d) Local stakeholders? • If yes cite examples.
AC.5 Code of conduct
Househol d Survey
AC 5.2. Is the code of conduct well publicised? Are employees aware of the Code of Conduct? AC 5.3. Are LG officials and the immediate family of LG officials required to declare their assets? Have there been incident where they have not done so?
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AC 5.4. Are assets declared by LGA officials and their immediate family verified at intervals and at the time of their retirement from office?
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AC 5.5. Has any official been indicted for providing fraudulent information regarding his/her assets? If yes, what sanction have been meted out (cite examples)?
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AC 6.1 Enumerate the instances whereby the general public, individuals, CBOs, NGOs, FBOs and PSOs have been able to express their grievances on governance as means of making LG to be accountable in the last three years. Sources of complaints Numbers of grievances per year Year 1 Year 2 Year 3 Individual NGOs,CBOs, FBOs PSOs
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If yes, were the issues demanded resolved by the LG, cite examples.
LAREC Local Government Administrative Records
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Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission, Police department etc.