Jnnurm Toolkit 2013

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Jawaharlal Nehru National Urban Renewal MissionToolkit for Comprehensive Capacity Building ProgrammeMinistry of Urban DevelopmentGovernment of IndiaJawaharlal Nehru National Urban Renewal Mission(JnNURM)Toolkit for Comprehensive Capacity Building ProgrammeMinistry of Urban DevelopmentGovernment of IndiaApril, 2013Jawaharlal Nehru National Urban Renewal MissionToolkit for Comprehensive Capacity Building ProgrammeiAcronyms1. ATIs : Administrative Training Institutes2. A&OE : Administrative and Other Expense3. CoE : Centre of Excellence4. CDP : City Development Plan5. DPR : Detailed Project Report6. GIS : Geographic Information System7. IEC : Information, Education and Communication8. JnNURM : Jawaharlal Nehru National Urban Renewal Mission9. MoUD : Ministry of Urban Development10. NIUA : National Institute of Urban Affairs11. PMES : Project Monitoring and Evaluation System12. PMU : Project Management Unit13. PIU : Project Implementation Unit14. RCUES : Regional Centre for Urban and Environmental Studies15. SLNA : State Level Nodal Agency16. TCPO : Town and Country Planning Organization17. ULB : Urban Local Body18. UT : Union TerritoryiiContentSection I: Introduction to Capacity Building Toolkit ....................................................................... 1Section I: Approach and Principles for Comprehensive Capacity Building Programme......... 2Section II: Vision, Mission and objectives of Comprehensive Capacity Building Programme4Section III: Admissible components.............................................................................................. 5Section IV: Implementation structure, proposal submission, appraisal, approval andrelease of funds.......................................................................................................... 21Section V: Annexures.................................................................................................................... 24Annexure 1a: Checklist for preparing CB Plan (State and City) ............................................. 24Annexure 1b: Model Capacity Building Plan.............................................................................. 25Annexure 2: Suggested list of cities for establishing 50 RPMC.............................................. 27Annexure 3: Terms of Reference for City RPMC..................................................................... 28Annexure 4: Terms of Reference, State RPMC........................................................................ 33Annexure 5: The model format for proposal submission by ATI............................................. 39Annexure 6: Application form for internship............................................................................... 40Annexure 7: Performance criteria/benchmark.......................................................................... 411Section I: Introduction to Capacity Building ToolkitThe guidelines for Comprehensive Capacity Building Programme (CCBP) outlined the need foran integrated and targeted support to ULBs to proactively plan, implement and monitor capacitybuilding activities. To supportUrban LocalBodies (ULBs)to execute capacity buildingprogrammes as per the Comprehensive Capacity Building Programme guidelines, MoUD hasprepared this toolkit. The toolkit provides detailed guidelines and step by step method for toplan, implement and monitor capacity building programmes for ULBs, States and the Ministry ofUrban Development (MoUD).This toolkit is the revised version of the earlier Capacity Building toolkit developed during March2012. This is a living document and requires modifications from time to time based on theexperiences of the implementation of activities.This toolkit is divided into five parts:Section I: Provides an introduction, Mission Directorates approach and principles toComprehensive capacity Building Programme;Section II: Provides the Vision, Mission and objectives of Comprehensive CapacityBuilding Programme;Section III: Provides the admissible components and allocation of funds for variousactivities;Section IV: Provides procedures for CB proposal submission, appraisal, sanctioningand release of fundsSection V: Provides the list of Annexures2Section I: Approach and Principles for Comprehensive Capacity BuildingProgrammeIntroductionThe implementation of Phase-I of JnNURM has led to creation of a large number of assets andinduced many urban reforms across the country. Evaluation exercises undertaken by variousappointed committees and agencies have unanimously pointed to the large capacity gapplaguing urban local bodies as the primary impediment to speedy implementation of projects andreforms under the Mission. The report on the Mid-term Appraisal of the Eleventh Five Year Plan(2010) stated that more emphasis should be given on proactive assistance to cities and statesto build their soft infrastructure and identified governance, financing, planning,professionalization of service delivery and accelerating the development of local capacity andknowledge as key buildings blocks to strengthen the urban sector reforms process and improvecapacities for management and local governance. The High Powered Expert Committee has alsorecommended a strong programme of capacity creation and training which should includecreation of institution and human resource capacity at all base levels particularly in the smallerULBs. A committee under the Chairmanship of Shri. Arun Maira, Member, Planning Commissionalso recommends necessity to build adequate capacity in urban Local Bodies. Various Statesmid-term appraisals and experience of JnNURM have also brought to fore the need to strengthenthe ULBs in terms of their urban governance both at State level and at urban local body level.The weak financial base of most ULBs renders them incapable in deriving and leveraging fundsfrom the market. The reforms agenda was pushed by JnNURM with the very intention ofstrengthening resources and improving capacities of city governments to undertakedevelopmental activities and improved levels of basic services. The inability to achieve thesereforms, therefore, has directly affected the level of services in most cities and towns, whichremain far from adequate despite interventions by GoI. Derogatory outcomes of the low capacityin ULBs include poor asset management, weak overall governance and substandard city/ urbanplanning. As the GT report points out, there is minimum involvement of the ULBs in preparationof CDPs and DPRs due to lack of in-house capacity.The dire need for capacity building as the key to improve governance and service delivery hasbeen reiterated by the Arun Maira Committee, the Ramachandran Committee as well as the HighPowered ExpertCommittee on Urban Infrastructure and Services (HPEC).Creation ofaseparate division for capacity building at the central level, a specialised urban management cellat the State level, Reform and Performance Management Cell (RPMC) at centre, State and largecities, establishment of municipal cadre, provisions for lateral hiring into the cadre based on skill-sets, think tank initiatives in urban policy, support for strengthening ATIs and State institutes forurban studies, creation of a network of institutions are some of the collective recommendationsthat have been stressed upon by these Committees for addressing the capacity gap in the urbanmanagement sector.In order to address the gaps that have led to less than optimal outcomes in JnNURM-1, CapacityBuilding efforts need to be strengthened within the ULBs for improving service delivery andgovernance. Hence, MoUD has prepared the CB toolkit to support States and ULBs to plan andimplement capacity building programmes.3The approachTaking a cue from the above recommendations, MoUD adopts a far reaching approach tocapacity building for urban sector which is depicted below:Figure I: Approach for Urban Capacity Building ProgrammeThe approach has laid primary emphasis of capacity building of the ULB to perform theirresponsibilities effectively and efficiently with supporting interventions from State and MoUD.The capacity building efforts at ULBs level focuses to enhance the institutional capacities forimproved service delivery. At State and MoUD levels, the efforts should focuses on creating anenabling environment at ULB level to improve governance and service delivery functions andmore importantly to implement JnNURM activities. Building of networks with different actors atnational and international levels is a major area of focus to strengthen resource and knowledgemanagement gaps at supply and demand side.State Government MoUDFacilitationsupport fromState /MoUDGreatercapacityof peopleandorganizations todealwithurbanmanagement and servicedelivery withtransparencyandaccountabilityCapacity buildingwithinsystemsCapacitybuildingwithinprogrammesUrbanLocal BodyFormation of PIUsCreation of municipalcadreOrganizationof skilltraining /ToTprogrammesStrengthening ofATIsNetwork ResourceCentre for resource&knowledge sharingRevitalisation of exitinginstitutions underMoUDOrganisationofseminars/workshop&preparation oftraining modules,manuals, etc.4Section II: Vision, Mission and objectives of Comprehensive Capacity BuildingProgrammeVision:To equip and empower Urban Local Bodies (ULBs) to discharge their functions in line with 74thConstitutional Amendment Act (CAA).Mission:ULBs shall be equipped and empowered by building capacities in terms of human resources,infrastructure, procedures and systems to effectively deliver basic services to the citizenObjectivesThe objectives of Comprehensive Capacity Building Programme are to create an enablingenvironment for capacity building of ULBs through the right mix of policy and implementationsupports in the areas of organisational development, human resource development, strategicplanning, technology improvements, and resource mobilization capacities. This will ensureequity, inclusiveness and responsiveness of ULB officials a