Framework for Assessment of Good Urban Governance in Nigeria

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
2
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 QUESTIONS LAREC
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
EF1.3.1 Political administration.
√
√
DATA SOURCES
House
FGD
hold
/Other
Surve
Sources
y
√
√
EF1.3.2
EF1.3.3
Social development
Economic development
(budgeting)
√
EF.1
Vision statement/
strategic plan for
city/municipality/L
GA
EF1.3.4
EF1.3.5
Environmental development and
sustainability?
Monitoring and Evaluation
EF 1.4 How is the strategic plan document disseminated?
SN Category Yes No
EF1.4.1
Published and kept in
city/municipality/LGA
EF1.4.2
EF1.4.3
EF1.4.4
EF1.4.5
EF1.4.6
EF1.4.7
EF1.4.8
Distributed to various wards
Distributed to institutions
Sold to people on demand
Given out free on demand
Advertised on print and electronic
media
Available online for free download
Available online for paid download
√ √ √
LAREC Local Government Administrative Records
3
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.
EF 2.3 State and describe the mechanisms in place for addressing public complaints in
accessing services provided in the LGA.
a) None
b) Public Opinion Survey
c) Town hall meetings
d) Suggestion boxes
e) Public complaints desk
f) Others (specify)
√ √ √
√ √ √
• What is the response time for addressing public complaints (cite examples)
EF.3
Subsidiarity
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
4
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
3.3.1 Ward level
√
3.3.2 Community level
3.3.3 Both
EF 3.4 In what areas do these subs- local administration units exercise power or control?
a) Provision and maintenance of public services
b) Community policing
c) Developmental activities
d) Conflict resolution
e) 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
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?
• Does the LGA have computerised financial systems?
• % 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
5
Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission,
Police department etc.

EF5.
LG Capacity
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.
EQ: Equity (includes sustainability, gender equality and intergenerational equity)
DATA SOURCES
INDICATORS
QUESTIONS
EQ 1.1. Does the LG have specific policies targeting the poor in the following
area:
LARE
C
Househ
old
Survey
FGD
/Othe
r
Sourc
es
EQ1.
Pro-poor
policy
a Health Yes No
b Education
c Water
d Land
e Housing
f Economic empowerment
g Street Children/ Child labour
h Elderly and Physically challenged
i Homeless
j Female headed households
k Any other (Specify)
√
√
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.
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)
√
EQ2.
Citizen’s
Charter
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?
√ √ √
EQ3.
Provision for
informal
business)
EQ 3. 1. Does the LG provide incentives for informal businesses (e.g.
designated spaces for stalls, Loans, etc)?
EQ 3. 2. Does the LG collect fees and taxes on informal businesses?
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
√ √ √
√
√
√
√
√
6
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
Election-
Year 1
Election-
Year 2
Election-
Year 3
Women contestants
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
EQ 5. 1. What is the proportion of children population of school age
disaggregated by sex that is enrolled in school in the LGA?
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
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
7
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
PA1
Civic
Engagement
and Consensus
Building
QUESTIONS
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
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.
LAREC
House
hold
Survey
FGD
/Othe
r
Sour
ces
√ √ √
√ √ √
√
√
√
√
PA 1.6. Does the LG involve Traditional Rulers in the decision-making?
(Yes/no)
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
√
√
√
PA2.
Partnership
Building
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
8
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)
INDICATORS
SE1.
Capacity for
effective Policing
QUESTIONS
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:
a) 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
LAREC
√
√
DATA SOURCES
House
hold
Surve
y
FGD
/Other
Source
s
(Agenci
es)s
√
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.3
Environmental
security measures
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 3.1. 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.
SE 3.4 State whether LG/State have adopted control measures/standards for
the following:
√
√
√
√
a
b
c
Types Yes No
Land Pollution
Air Pollution
Water Pollution
√
LAREC Local Government Administrative Records
9
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
√
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
f
Traditional institutions
Others (Specify)
• If yes, cite examples of recent cases resolved by these mechanisms.
√
√
SE.5 Tenure
security
SE 5.1. How would you describe access to land by the following groups?
Sn Group Easy Difficult No access
a Women
b Non- indigene
c Poor
√ √ √
• 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
10
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)
INDICATORS QUESTIONS LAR
EC
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.
DATA SOURCES
House
hold
Survey
FGD
/Other 1
Sources
AC 1
Transparency and
free flow of
information
SN Types Yes No examples
a Publication of annual report
b Dissemination of annual
report
c Periodic town hall/ CDA
meetings
d Mass media (Radio, TV and
print)
e Use of Web site
f Others (Specify)
√
AC 2. Mechanisms
for performance
measurement
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.
√
√
√
AC 3. Elimination
of corruption
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.
√
√
LAREC Local Government Administrative Records
11
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:
Sn Category Yes No
a State House of Assembly
Househol
d Survey
FGD /Other
Sources
b
c
Ministry/Agency responsible for LG
LGA Executive
√
√
AC 4. Independent audit
d
Local stakeholders
e
Others (specify)
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 5.1. Has the LG adopted a Code of Conduct to guide its employees?
√
AC.5 Code of conduct
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?
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?
√
√
√
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)?
√
AC 6. Citizens’ demand for
accountability
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
Individual
NGOs,CBOs,
FBOs
PSOs
Year 1 Year 2 Year 3
√
√
If yes, were the issues demanded resolved by the LG, cite examples.
LAREC Local Government Administrative Records
12
Other Sources include State Min. of Local Government, State House of Assembly, CSO, State Independent Electoral Commission,
Police department etc.