Government of Ghana

MINISTRY OF LOCAL GOVERNMENT, DECENTRALISATION AND RURAL

DEVELOPMENT (MLGDRD)

District Assemblies Performance Assessment Tool (DPAT)

OPERATIONAL MANUAL

(DPAT ASSESSMENT TOOL)

6th DPAT Cycle

Baseline Year: 2021
Year of Assessment: 2022
Implementation year: 2023
Expected Disbursement year: 2023

July 2022

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Table of Contents

Contents
List of Abbreviations ........................................................................................................... 3
1.0 INTRODUCTION ........................................................................................................ 6
1.1 Background 6
1.2 Purpose of the Manual ................................................................................................. 6
1.3 Users of the Manual ..................................................................................................... 6
2.0 DISTRICT ASSEMBLY PERFORMANCE ASSESSMENT TOOL (DPAT) ................ 7
2.1 Objectives of the DPAT ............................................................................................... 7
2.2 Guiding Principles ....................................................................................................... 7
2.3 Components 8
2.3.1 Compliance Indicators (CIs)......................................................................................... 8
2.3.2 Service Delivery Indicators (SDIs)............................................................................... 9
2.3.3 Performance Indicators (PIs) ...................................................................................... 10
3.0 THE ASSESSMENT PROCESS ................................................................................. 11
4.1 The Pre-Assessment Phase ......................................................................................... 11
4.2 The Assessment Phase ............................................................................................... 11
4.2.1 Compulsory Submission of Draft Assessment Report to MMDAs .............................. 12
4.2.2 Identification of Capacity Building Needs .................................................................. 12
4.3 Post-Assessment Phase .............................................................................................. 12
4.3.1 Validation of the Assessment reports submitted by Consultants.............................. 12
4.3.2 Complaints 13
[Link] Complaint Procedures .............................................................................................. 13
[Link] Composition of Complaints Resolution Committee: ................................................ 13
[Link] Post-Publication Petitions: Complaint Procedures.................................................. 13
4.3.3 Consolidation of Assessment Results ........................................................................ 14
4.3.4 Consolidation of Capacity Building Needs ............................................................... 14
4.3.5 Preparation of Consolidated Assessment Report....................................................... 14
4.3.6 Approval of Assessment Results by the Steering Committee (SC)............................ 14
4.3.7 Notification of Assessment Score .............................................................................. 14
4.3.8 Dissemination of Approved Assessment Results ...................................................... 14
5.0 FLOW CHART OF THE ASSESSMENT PROCESS .................................................. 15
6.0 GOVERNANCE OF THE PERFORMANCE ASSESSMENT PROCESS ................... 16
7.0 MONITORING, REPORTING AND REVIEW PROCESS ........................................ 16
7.1 Monitoring and Validation (Quality Assurance Review) Schedule .......................... 16
Annex 1: DPAT Indicators – (Compliance, Service Delivery & Performance) .................. 17
SECTION A: COMPLIANCE INDICATORS..................................................................... 17
SECTION B: SERVICE DELIVERY INDICATORS (SDIs) ............................................... 27
SECTION C: PERFORMANCE INDICATORS (PIs) ........................................................ 43
Annex 2: Consultant’s Assessment Reporting Format .................................................. 52
SECTION A: COMPLIANCE INDICATORS..................................................................... 52
SECTION B: SERVICE DELIVERY INDICATORS (SDIs) ............................................... 63
SECTION C: PERFORMANCE INDICATORS (PIs) ........................................................ 79
Annex 3: Reporting Formats ............................................................................................... 88
A. DOCUMENTS REQUIRED FOR ASSESSMENT ....................................................... 88
B. SUMMARY SCORING SHEET FOR DPAT INDICATORS .................................. 92
C. CAPACITY BUILDING REQUIREMENTS - SUMMARY ............................................. 93
D. COMPLAINT FORM ............................................................................................ 94
E. ASSESSMENT DECLARATION FORM............................................................... 95
F. CONTENT/OUTLINE OF THE ASSESSMENT REPORT .................................... 96
G. LIST OF PERSONS CONTACTED...................................................................... 97
H. DRAFT REPORT SUBMISSION FORM .............................................................. 98
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List of Abbreviations
AAPs Annual Action Plans
AC Audit Committee
AS Audit Service
CAGD Controller and Accountant General’s Department
CIs Compliance Indicators
CSU Client Service Unit
DACF District Assemblies Common Fund
DACF RFG District Assemblies Common Fund Responsiveness Factor Grant
DACF-RFG District Assemblies Common Fund – Responsiveness Factor Grant
DAs District Assemblies
DAS District Audit Service
DCD District Coordinating Director
DCE District Chief Executive
DDF District Development Facility
DESSAP Development of Environmental Sanitation Sub-Sector Strategy and Action
Plan
DPAT District Assembly Performance Assessment Tool
DPCU District Planning Coordinating Unit
EC Executive Committee
EPA Environmental Protection Agency
ESIA Environmental and Social Assessment
FDU Fiscal Decentralisation Unit
GES Ghana Education Service
GHS Ghana Health Service
GSCSP Ghana Secondary Cities Support Program
IAA Internal Audit Agency
IGF Internally Generated Fund
ILGS Institute of Local Government Studies
IMCC Inter-Ministerial Coordinating Committee
KfW Kreditaansatalt fuer Wiederaufbau
LI Legislative Instrument
LoCAL Local Climate Adaptive Living Facility
LUSPA Land Use and Spatial Planning Authority
M&E Monitoring and Evaluation
MLGDRD Ministry of Local Government, Decentralisation and Rural
Development
MMDAs Metropolitan, Municipal and District Assemblies
MoF Ministry of Finance
MTDP Medium-Term Development Plan
NALAG National Association of Local Authorities of Ghana
NDPC National Development Planning Commission
OHLGS Office of the Head of Local Government Service
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PBGS Performance-Based Grant System

PI Performance Indicator
PIs Performance Indicators
PRCC Public Relations and Complaints Committee
RCCs Regional Coordinating Councils
RFG Responsive Factor Grant
SC Steering Committee
SDGs Sustainable Development Goals
SDIs Service Delivery Indicators
SECO State Secretariat for Economic Affairs
SMTDPs Sector Medium-Term Development Plans
ToR Terms of Reference
UNCDF United Nations Capital Development Fund
UNICEF United Nations International Children’s Education Fund
WB World Bank

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Foreword

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1.0 INTRODUCTION

1.1 Background
Since 2018 the Government of Ghana has implemented a Performance Based Grant
System (PBGS) known as the District Assemblies Common Fund – Responsive Factor
Grant (DACF-RFG) in collaboration with Development Partners and key
stakeholders. The programme assesses the performance of Metropolitan, Municipal
and District Assemblies (MMDAs) using the District Assembly Performance
Assessment Tool (DPAT). The assessment of MMDAs is part of efforts to improve the
performance of District Assemblies in terms of efficiency, accountability and delivery
of basic community services.

Assemblies that perform satisfactorily are financially rewarded to implement their

Medium-Term Development Plans (MTDPs) and Annual Action Plans (AAPs) which
largely contribute significantly to the advancement of the socio-economic
development of citizens.

Following the commitment of the Government of Ghana and Development Partners

(State Secretariat for Economic Affairs of Switzerland and KfW Development
Bank of Germany) to strengthen MMDA’s delivery of services, the DPAT Indicators
for the assessment have been revised after five (5) cycles of implementation for fiscal
years 2016 (DPAT I); 2017 (DPAT II); 2018 (DPAT III), 2019 (DPAT IV) and 2020 (DPAT
V). After the conduct of DPAT V assessment, there is the need to review the DPAT
Operational Manual to respond to emerging issues to guide operations and
implementation of DPAT VI (2021) assessment.

1.2 Purpose of the Manual

This manual is developed to foster effective assessment of the performance of District
Assemblies by providing operational guidance for the management, implementation
and administration of the DPAT. It outlines the principles, processes and indicators
for the assessment of Metropolitan, Municipal and District Assemblies’ (MMDAs)
performance.

1.3 Users of the Manual

The users of the manual will include, but not limited to the under-listed:
 Ministry of Local Government, Decentralisation and Rural Development
(MLGDRD),
 Ministry of Finance (MoF)
 Ministries, Departments and Agencies (MDAs) involved in the management of
the DACF
 Office of the Administrator, DACF
 Office of the Head of the Local Government Service (OHLGS)
 Institute of Local Government Studies (ILGS)
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 Members of Parliament (Parliamentary Select Committee on Local Government

and Rural Development)
 Controller and Accountant General’s Departments (CAGD)
 Audit Service
 Metropolitan, Municipal and District Assemblies (MMDAs)
 Development Partners (DPs)
 Functionaries of MMDAs
 Regional Coordinating Councils (RCCs)
 Consultants
 Civil Society and the general public
 Internal Audit Agency (IAA)

2.0 DISTRICT ASSEMBLY PERFORMANCE ASSESSMENT TOOL (DPAT)

The DPAT is a diagnostic instrument for assessing the performance of MMDAs and
for determining the allocation of the DACF Responsiveness Factor Grant (RFG) to
MMDAs.

2.1 Objectives of the DPAT

The following are the objectives of the DPAT:
i. Incentivise District Assemblies to adhere to good governance
principles in the administration of local governance and compliance
with legal regulatory frameworks;
ii. Incentivise District Assemblies to focus on improving service delivery
to citizens and stakeholders in their jurisdictions;
iii. Promote performance of District Assemblies in the delivery of their
mandates and implementation of their DMTDPs;
iv. Facilitate identification of capacity gaps of District Assemblies and
allocation of resources for addressing the gaps;
v. Promote implementation of interventions related to the achievement
of the Sustainable Development Goals (SDGs) and
vi. Provide a basis for allocating discretionary funding to MMDAs for
development

2.2 Guiding Principles

The following principles apply to the development of DPAT and the performance
assessment process:
i. MMDAs are assessed against their legal obligations and emerging issues
for which legal provisions have been made for collaboration with other
Agencies to improve service delivery;

ii. The indicators acknowledge the specific legal, political, administrative

and fiscal environment in which MMDAs operate;

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iii. The indicators capture the roles and responsibilities of functionaries of

MMDAs;

iv. The assessment process is based on indicators that are objectively

verifiable and simple in order to minimize discretion;

v. The assessment process facilitates the identification of capacity building

needs for institutional strengthening;

vi. Integrate MMDAs performance assessment and capacity-building

interventions into the budgeting cycle.

vii. MMDAs are expected to align interventions in their MTDPs and AAPs to
the Sustainable Development Goals (SDGs) and

viii. Application of the Indicators and associated verification protocols do not

allow for any discretion in interpretation.

2.3 Components
MMDAs are required to ensure quality service delivery to their citizens and
stakeholders within their jurisdictions. However, these services are expected to be
delivered by organs (departments and units) of the MMDAs within the decentralized
governance framework of Ghana. MMDAs have the ultimate responsibility to ensure
quality service delivery, provision of relevant infrastructure and enabling
environments for the improvement of the standards of living of their constituents /
citizens. However, an assessment of the performance of MMDAs cannot be done
without ensuring that processes follow laid down legal regulations and to ensure
MMDAs deliver on implementation of approved work plans and budgets.

The indicators, therefore, recognizes three (3) ingredients for a Performance-Based

Grant System (PBGS) and has accordingly structured the revised DPAT indicators.
The DPAT has three (3) components, namely Compliance Indicators (CIs), Service
Delivery Indicators (SDIs) and Performance Indicators (PIs).

Summarily, Compliance Indicators (CIs) are to be fulfilled, whilst the Service Delivery
Indicators (SDIs) and Performance Indicators (PIs) are scored totalling 100 marks, with
SDIs allocated 65 marks and PIs 35 marks.

2.3.1 Compliance Indicators (CIs)

The CIs are those indicators that a District Assembly (DA) needs to fulfil in order to
qualify to access the Basic Grant of the DACF Responsiveness Factor Grant (RFG). The
CIs are to ensure that MMDAs adhere to the minimum and critical legal frameworks
to facilitate efficient and effective operations. The CIs are formulated under the
following four (4) themes:

1. General Assembly Meetings and Approvals

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2. Functionality of Statutory and Mandatory Organs of the Assembly

(Other Meetings)
3. Public Financial Management and Auditing
4. Transparency, Accountability and Participation

Table 1 below represents the scoring structure for the CIs:

No. Key Performance Area Outcomes
Fulfilled Not
Fulfilled
SECTION A: COMPLIANCE INDICATORS (CI)
CI. 1 General Assembly Meetings and Approvals
CI. 2 Other Statutory Meetings / Requirements
CI. 3 Public Financial Management and Auditing
CI. 4 Transparency, Accountability & Participation

See Annex 1 – Section A for details.

2.3.2 Service Delivery Indicators (SDIs)

The SDIs constitutes part of those indicators that will be used to determine each
MMDA’s share of the Performance Grant of the DACF Responsiveness Factor Grant.
The Service Delivery Indicators (SDIs) focuses on the extent to which MMDAs have
been responsive to their service delivery responsibilities through the implementation
of key decisions taken by General Assembly, Management and Statutory Committees.
It also ensures MMDAs efforts at ensuring citizens derive satisfaction from services
and the ultimate outcome of such service delivery interventions.

The SDIs are based on six (6) thematic areas for which MMDAs can score a maximum
of 65 marks:

1. Management and Coordination – Implementation of Service Delivery

Decisions
2. Basic / Social Services
3. Physical and Spatial Planning Services
4. Social Protection, Gender and Nutrition
5. Environmental Health, Sanitation and Climate Action
6. Local Economic Development

A summary of the thematic areas and the maximum scores that can be obtained for
the SDIs is presented in Table 2 below:

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Table 2: Summary of Scores for Service Delivery Indicators (SDIs)

Summary of Scores for Service Delivery Indicators Maximum
(SDIs) Score
Implementation of Decisions by General Assembly and 5
Management (Follow-up Actions)
Basic / Social Services 15
Physical and Spatial Planning Services 9
Social Protection, Gender and Nutrition 14
Environmental Health, Sanitation and Climate Action 12
Local Economic Development 10
Total 65

See Annex 1 – Section B for details.

2.3.3 Performance Indicators (PIs)

The PIs constitutes the second set of indicators that will also be used to determine each
MMDA’s share of the Performance Grant of the DACF Responsiveness Factor Grant.

Performance Indicators (PIs) seek to motivate MMDAs to deliver in key performance

areas with indirect implications for service delivery and achievement of key work -
plan implementation targets.

The PIs are based on five (5) thematic areas for which MMDAs can score a maximum
of 35 marks as follows:

1. Annual Action Plan (AAP) Implementation

2. Capacity Building
3. Revenue Generation
4. Audit Performance and
5. Access to Social Services

A summary of the thematic areas and the maximum scores that can be obtained for
the PIs is presented in Table 3 below:

Table 3: Summary of Scores for Performance Indicators

Maximum
Performance Indicators (Thematic Area)
Score
Annual Action Plan Implementation 15
Capacity Building 5
Revenue Generation 8
Audit Performance 3
Access to Social Services 4
Total 35

See Annex 1 – Section C for details.

2021
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3.0 THE ASSESSMENT PROCESS

The assessment process is critical for guaranteeing the credibility of the performance-
based grant system. It is therefore imperative to conduct the assessment in a
transparent and non-compromising manner to ensure the continuous integrity and
broad acceptability of the results.

The assessment process is in three phases as follows:

 Pre-Assessment Phase
 The Assessment Phase
 Post-Assessment Phase

4.1 The Pre-Assessment Phase

The following activities are undertaken:

 Recruitment of Consultants through a National Competitive Bidding

(NCB) process as prescribed in the Public Procurement Act, 2003 (Act
663) and Public Procurement Amendment Act, 2016 (Act 914);
 Revision of DPAT Indicators by the DACF-RFG Technical Working
Group (TWG) and approval by Steering Committee;
 Sensitization of RCCs and MMDAs on the DACF-RFG Programme,
DPAT Indicators and Grievance Redress Mechanisms (Provisions for
Petitions);
 Orientation of Consultants on the Indicators, Scoring and Reporting
Formats, and Grievance Redress Mechanisms (Provisions for Petitions)
and
 Notification of MMDAs on the Assessment schedule prior to the
commencement of the assessment.

4.2 The Assessment Phase

The assessment is conducted based on the DPAT Indicators covering CIs, SDIs and
PIs. Details of the indicators are described in Annex 1.

The following activities are undertaken during the assessment:

 Consultants undertake a two-day Assessment of each assigned MMDA;

 Consultants hold introductory/entry and exit meetings with key
District Officials under the leadership of the District Chief Executive
(DCE), the District Coordinating Director (DCD) and Presiding Member
(PM) to set the agenda for the assessment and announce the Provisional
Results of the Assessment, respectively;
 Consultants and MMDCEs/MMDCDs must sign Draft Assessment
Report Submission Form and Complaints Form after exit meeting
 Consultants submit to MLGDRD a copy of the draft Assessment Reports
signed off with the MMDCEs/MMDCDs.
 The MLGDRD, RCCs and members of the Technical Working Group
(TWG) monitor the Assessment process;
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4.2.1 Compulsory Submission of Draft Assessment Report to MMDAs

The Consulting Firm is required to submit to Management of assessed MMDA a Draft
Copy of the Assessment Report before Exit Conference. The Consultant and
Management of the MMDA are to sign a “Draft Assessment Report Submission
Form” as evidence of compliance with this provision. A Template of the Form is
attached as Annex 3 H.

MMDAs have a responsibility to ensure the Draft Report is submitted and studied for
errors, particularly related to the Provisional Results. Should the Consultant further
review the Draft Report after the Exit Conference, an acknowledgement letter from
the MMDA should be submitted along with the Draft Assessment Report to the
MLGDRD by the Consultant.

4.2.2 Identification of Capacity Building Needs

Identification of capacity building needs of the MMDA is a key element of the
assessment process. The consultants will assist the MMDA to determine their capacity
building (CB) needs through the following steps:

 Identify logistics, competencies and organisational gaps based on the CIs, SDIs
and PIs;
 Analyse and establish the specific implications of the capacity gaps;
 Document all the capacity needs in the format provided and
 Consultants are to determine the capacity building needs based on MMDA’s
Training Needs Assessments and emerging capacity gaps from the Assessment

At the end of the Assessment, the Lead Consultant will submit an Assessment Report
to the MLGDRD on each of the assigned MMDAs using the formats provided.

4.3 Post-Assessment Phase

The following constitutes the post-Assessment activities of the DPAT after the
Consultants have submitted their Assessment Reports to the DPAT Secretariat not
later than 5 working days after the completion of the assignment/assessment ensuring
that the Assessment Reports will include an explicit reference to the nature and
substance of any disagreement.

4.3.1 Validation of the Assessment reports submitted by Consultants

The MLGDRD, upon receipt of draft Assessment Reports from the Consultants, will
validate the accuracy and consistency of the responses to the indicators and scores
under CIs, SDIs and PIs. In a situation where there is a correction to be made in the
Consultant’s draft Assessment Report which will affect the provisional result of the
MMDA, the Consultant will be required to notify the relevant MMDA of the
correction in writing and copy the MLGDRD.

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4.3.2 Complaints

[Link] Complaint Procedures

Where an MMDA is not satisfied with the outcome of the assessment, a written
petition should be submitted directly to the Minister, MLGDRD not later than ten
working days after official notification of Provisional Results (exit conference) and
copies to the Regional Minister as well as the Coordinator, DPAT Secretariat

In submitting the petition, the MMDA must enclose all relevant documentation in
support of the issue(s) in question. A Complaints Resolution Committee will review
the complaint and recommend necessary action.

[Link] Composition of Complaints Resolution Committee:

 OHLGS, Chair
 Ministry of Local Government, Decentralisation and Rural Development
(MLGDRD), Member
 Office of the Head of Civil Service (OHCS), Member
 Office of Administrator of the District Assemblies Common Fund (ODACF),
Member
 National Association of Local Authorities of Ghana (NALAG), Member
 Development Partners (DPs), Member
 Coordinator, DACF-RFG, Secretary

The Committee may co-opt any person due to his/her competence and technical
expertise about a complaint to assist in finding a solution to the complaint.

[Link] Post-Publication Petitions: Complaint Procedures

In the event that an MMDA disagrees with the final DPAT Assessment Results
published, the MMDA has an opportunity to seek redress.

The MMDA has five working days from the date of publication of the results to submit
its petition with all relevant documentation following the prescribed Complaint
Procedure under section [Link].

The DPAT Secretariat will submit a summary report of all complaints to the TWG
within 3 working days. The TWG will bring such petitions to the attention of the
Complaints Committee as constituted for necessary action and report back to the TWG
within two (2) weeks for the consideration of the SC. The decision of the SC should be
made within two (2) weeks.

Possible outcomes of the review of complaints are the following:

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1. Complaints upheld
2. Complaints dismissed

4.3.3 Consolidation of Assessment Results

Following the validation and subsequent submission of the final reports by the
Consultants, the individual results as well as capacity building needs of the MMDAs
will be consolidated by the MLGDRD with the support of the Technical Working
Group.

4.3.4 Consolidation of Capacity Building Needs

The OHLGS and ILGS will consolidate capacity building needs of all the MMDAs and
prepare a mandatory (generic) capacity building plan and budget for review and
approval by the Steering Committee.

4.3.5 Preparation of Consolidated Assessment Report

The MLGDRD will prepare a consolidated report based on the reports received from
the Consultants. The consolidated report will contain an analysis of MMDAs’
performance and the individual MMDA scores for the DACF Responsiveness Factor
Grant.

4.3.6 Approval of Assessment Results by the Steering Committee (SC)

The consolidated performance assessment report of all MMDAs will be submitted by
the MLGDRD for the consideration of the TWG, and subsequently for the Steering
Committee’s approval.

4.3.7 Notification of Assessment Score

The Minister for Local Government, Decentralisation and Rural Development will
provide Official Notification of the Final Assessment scores to all MMDAs after
Steering Committee’s (SC) approval.

4.3.8 Dissemination of Approved Assessment Results

To ensure transparency and accountability of the assessment, and to increase
stakeholders’ involvement, the MLGDRD will publish (print media and MLGDRD
website) the assessment scores and the final consolidated performance assessment
report.

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5.0 FLOW CHART OF THE ASSESSMENT PROCESS

Actions Required Process Implications

Recruit Consultants

include changes to MLGDRD sensitizes MMDAs on DPAT indicators

conditions & indicators and provide information on assessment schedule
(if any)

Organise orientation for Consultants

Consultants hold introductory meeting with DCE,

DCD and Presiding Member

Consultants assess MMDAs on DPAT Indicators

(CIs, SDIS and PIs) and award scores

Consultant determine
CB needs of MMDAs

Consultants conclude assessment and hold exit

An MMDA that has a meeting with DCE and DCD
complaint on the
assessment will submit a
petition directly to the
MLGDRD within 2 weeks
(must be in )after the Consultants submit a draft copy of the assessment
assessment for redress report to the MMDAs & the MLGDRD
MLGDRD will forward a
copy of the consultant’s
If there are
report with CB needs to
discrepancies, the report
MLGDRD validates and consolidates results and the OHLGS and ILGS to
is referred to the
prepares Consolidated Report for SC’s approval analyse and determine
consultants for revision
CB plans and budgets
and notification of the
MMDAs in writing.

The revised report is Steering Committee approves results and DACF

submitted to the RFG allocations for publication MMDAs prepare DPAT
MMDAs, and a copy is Workplans based on their
submitted to the AAPs, including capacity-
MLGDRD building plans based on
Minister notifies MMDAs of assessment scores their published allocations.
and MMDAs submits post notification petitions
MLGDRD and TWG will
review and approve the
Work Plans of MMDAs.
MLGDRD publishes approved results and DACF and review the MMDAs
RFG allocations for publication budget for implementation

MLGDRD allocates and

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6.0 GOVERNANCE OF THE PERFORMANCE ASSESSMENT PROCESS

Refer to the DACF-RFG Operational Manual for details of the Governance /
Institutional Arrangements for the Programme and DPAT process.

7.0 MONITORING, REPORTING AND REVIEW PROCESS

Monitoring, reporting and review of the performance assessment process will be
coordinated by the TWG and will entail the following:

 Task monitoring teams to quality assure MMDAs’ Performance

Assessment;
 Periodically review indicators of the DPAT;
 Create and update a database annually on Assessment Scores;
 Periodically analyse MMDAs’ performance data for reference,
comparison and decision making

7.1 Monitoring and Validation (Quality Assurance Review) Schedule

Table 4 below outlines key inputs for the conduct of the monitoring of the DPAT
Assessment by Consultants and subsequent validation (Quality Assurance Review)
of the Assessment Reports.

Table 4: Activity Schedule for Monitoring and Validation of Assessment Reports

Activity Responsibility Timeline Recipient
Prepare checklist for MLGDRD 2 months before Monitoring
monitoring and assessment Team
validation
Set up Monitoring Team MLGDRD 1 month before Monitoring
assessment Team
Prepare a Monitoring Monitoring 2 weeks before Monitoring
work plan Team/MLGDRD assessment Team
Conduct orientation MLGDRD At least one (1) week Consultants
sessions for the before assessment
Assessment
Undertake Field Monitoring Team During assessment MMDAs &
Monitoring of the Consultants
Assessment
Prepare and collate field Monitoring Team 1 week after the MLGDRD
monitoring reports on monitoring
the Assessment
Submit findings of MLGDRD First SC meeting upon SC
monitoring report completion of MMDAs
performance assessment
Undertake and submit MLGDRD 1-2 weeks after TWG and
report of validation of completion of the DPAT Consultants
Assessment Reports Assessment

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Annex 1: DPAT Indicators – (Compliance, Service Delivery & Performance)

SECTION A: COMPLIANCE INDICATORS

Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not
Area verification Fulfilled
CI 1.0 General 1.1 Meetings of From the District Coordinating Director (DCD) receive Invitation letters,
Assembly the General information on the General Assembly Meetings held in Minutes of
Meetings and Assembly 2021. Meetings,
Approvals
i. If the Assembly held at least three ordinary Dispatch book,
Meetings in 2021 with Minutes of Meetings duly Attendance book,
recorded and signed by both PM and DCD;
ii. If the ordinary meeting was convened through a PVs for allowances
notice of meeting issued within two weeks and receipts for
before the meeting date and duly signed by the logistics procured
Presiding Member/ Convener; and for the meeting,
iii. If there is evidence of decisions (e.g.
Resolutions; if applicable) made by the General WhatsApp, email
Assembly during the convened meetings,

Then the CI is fulfilled.

(Local Governance Act, 2016 (Act 936) Section 18 and

the Model Standing Orders for District, Municipal and
Metropolitan Assemblies, Sections 2 and 3)

1.2 Approval of From the DCD obtain Minutes of Meeting of the General Minutes of the
Annual Action Assembly approving the 2021 Composite Budget and General Assembly
Plan and the Annual Action Plan: Meeting,
Budget Minutes of Meeting
i. If the Annual Action Plan was duly of the Executive
approved by the General Assembly by 31st Committee,
October, 2020 and
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Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not

Area verification Fulfilled
ii. If the budget was presented by the Minutes of Meeting
Executive Committee to the General of the M/DPCU and
Assembly and approved latest by 31st Budget Committee
October 2020.

Then the CI is fulfilled

(Local Governance Act, 2016 (Act 936), Section 12 and

21(2a);
(Composite Budget Manual, 2012)
1.3 Meetings of From the District Coordinating Director, receive Invitation letters and
the Sub- information on the activities or operations of the Minutes of
structures established sub-structures (Sub-Metros/ Urban/ Town/ Meetings.
Area/ Zonal Councils) of the Assembly:
Meeting attendance
i. If each of the sub-structures established by the book with members’
Assembly held at least one (1) Meeting prior to contact numbers.
each of the three mandatory Ordinary Meetings
of the General Assembly; and Records/Files on all
established sub-
ii. If records exist on their establishment, staffing structures
and ceding of 50% of revenue collected, for all
the established sub-structures. Records on
revenue collected
Then the CI is fulfilled by all established
sub-structures
(Local Governance Act, 2016 (Act 936) Section 15 & 16
(d & e) Memos, PVs and
(Local Government (Urban, Zonal and Town Councils Bank Statements on
and Unit Committees) Establishment Instrument of transfer (ceding) of
2010, LI 1967) 50% of revenue
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___________________________________________________________________________________

Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not

Area verification Fulfilled
collected by all
established sub-
structures

CI 2.0 2.1 Executive From the DCD receive and review the composition, Minutes of Meeting,
Functionality Committee attendance and minutes of meetings of the Executive Attendance List,
of Statutory & Meetings Committee/ Metropolitan Authority (EC/ MA): List of
Mandatory Recommendations
Organs of the i. If at least a meeting of the EC/A was held made
Assembly prior to each of the three mandated General
Assembly meetings in 2021, and minutes
duly recorded and signed by both DCD and
DCE

Then the CI is fulfilled.

(Local Governance Act, 2016 (Act 936) Sections 19,

21,22 & 25)
2.2 Meetings of From the DCD receive and confirm the composition, Minutes of Meeting,
the Sub attendance and minutes of the meetings of the 5 List of Members
Committees of Statutory Sub-Committees in 2021. and
the Assembly List of Decisions
i. If each of the 5 Statutory Sub-committees taken
held at least one meeting prior to each of
the three meetings of the EC/A in 2021 and
minutes are recorded and signed by both
the secretary and the chairperson of sub-
committees,
Then the CI is fulfilled

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___________________________________________________________________________________

Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not

Area verification Fulfilled
(Local Governance Act, 2016 (Act 936), sections 23 &
24)
2.3 From the DCD receive copies of duly recorded and Invitation Letters,
Management signed Minutes of Meetings of Management in 2021
Meetings Minutes of
i. If Management Meetings were held, at Management
least quarterly, and duly attended by at meetings,
least 8 out 11 for District Assemblies; 10 List of decisions
out of 13 for Municipal Assemblies and 13 taken
out of 16 for Metropolitan Assemblies of
HoDs,

Then the CI is fulfilled.

(Local Governance Act, 2016 (Act 936) Second

Schedule)
Schedule 1 of the Departments of District Assemblies
(Commencement) Instrument, 2009 (L.I. 1961)

2.4 Meetings of From the DCD, obtain Minutes of Meeting of the Public Minutes of
the Public Relations and Complaints Committee meetings Meetings, List of
Relations and Members, List of
Complaints i. If PRCC is functional and Minutes of cases submitted to
Committee of Meetings and recommendations from the the PRCC and
the Assembly meetings are available, Reports on actions
taken on the
ii. If all complaints reported have been duly committee’s
processed and recommendations made, recommendations
and

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Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not

Area verification Fulfilled

iii. If action has been taken on all the

recommendations, in (ii)

Then, the CI is fulfilled

(Local Governance Act, 2016 (Act 936), sections26 &

27)
2.5 Meetings of From the DCD obtain information on the membership of Technical Sub-
the Technical the Technical Sub-Committee and Spatial Planning Committee and
Sub-Committee Committee, invitation letters to meetings and minutes of Spatial Planning
and Spatial monthly meetings for 2020. Committee files,
Planning Minutes of
Committee i. If the technical sub-committee and spatial Meetings, Signed
(SPC) planning committee is duly constituted and have Attendance and
Minutes of Meeting of all monthly Meetings allowances sheets,
recorded and duly signed by secretary and and payment
chairperson; and vouchers

ii. If there is evidence in the form of Minutes of Local Plan

Technical Report,
Meetings approving the preparation/ revision of
Minutes of approval
local plans,
of local plan
Then the CI is fulfilled.

(Land Use and Spatial Planning Act, 2016 (Act 925);

Sections 37, 38, 39, 40, 41 (1) and 72
CI 3.0 Public 3.1 Meetings of From the DCD receive information on the preparation Minutes of Meeting
Financial the Entity and approval of the 2022 Procurement Plan by 30th of the Entity Tender
Management Tender November 2021 and obtain quarterly updated Committee,
and Auditing Committee Procurement Plans from the Procurement Plan for 2021.
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Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not

Area verification Fulfilled
(ETC) and Annual
Procurement i. If the Entity Tender Committee met as Procurement Plan,
Plans Approval required by law (at least once in every PPA Guidelines,
quarter and have duly recorded and signed Updated
Minutes of Meeting; Procurement Plans,

ii. If the 2022 Annual Procurement Plan is List of Members of

linked to the 2022 Composite Budget and the Entity Tender
Annual Action Plan (AAP) and approved by Committee
30th November 2021 by the Entity Tender
Committee, as evidenced by minutes of
meeting and follows the PPA guidelines;
and

iii. If all the 2021 quarterly updated

Procurement Plans were duly prepared by
the Procurement Unit and were approved at
the quarterly meetings of the Entity Tender
Committee,

Then the CI is fulfilled.

(Part III, Section 21, Sub section 1, PPA Act 663 2003,
as amended with Act 914)

3.2 From the DCD obtain information on the Internal Audit Annual Audit Work
Functionality of Unit of the Assembly: Plan, Memo, Letters
the Internal
Audit Unit i. If the Internal Audit Unit has submitted the Quarterly Internal
Annual Audit Work Plan to the DCD and Audit Audit Reports

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Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not

Area verification Fulfilled
Committee within 30 days after the beginning of
the financial year; and Verification of
ii. If all quarterly Internal Audits have been submission of Audit
conducted and reports submitted to the DCD Report dates from
and the Chair of the Audit Committee of the the Chair of Audit
Assembly within thirty (30) days after the end of Committee and
each quarter, DCD
iii. If District Assembly has submitted Annual Audit
Workplan to the Internal Audit Agency by 31st Transmittal letters,
January of the financial year. Dispatch book

Submission list of
Then the CI is fulfilled. Audit Workplans
(PFM Act 2016, (Act 921) Sections 83 (6&7); Internal from Internal Audit
Audit Agency Act 2003 (Act 658); Regulation 43, Internal Agency
Audit Regulation 2011, (L.I 1994)
(Local Governance Act, 2016 (Act 936), sections 175
(4b))

3.3 From the District Coordinating Director (DCD) receive List of Audit
Functionality of information on the Audit Committee of the Assembly: Committee
the Audit Membership
Committee i. If the Audit Committee is duly constituted
and met at least twice during 2021, with Management
Minutes of Meeting duly signed by the responses
Secretary and Chairperson;
Minutes of Meeting
ii. If Management has submitted responses to
both Internal Audit reports and Signed Audit
Management Letter within 10 days and 30 Committee Reports
days respectively as stipulated by law and

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Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not

Area verification Fulfilled
have taken action on all audit Signed attendance
recommendations, sheet/book

Then the CI is fulfilled.

PFM Act 2016, Act 921, Sections 87 & 88.

Audit Service Act 584, Section 29

3.4 Preparation From MLGDRD and ODACF receive data on the Messenger’s
and submission of monthly financial reports (Trial Balance, receipt
submission of Revenue and Expenditure Statement, Balance Sheet Dispatch books.
monthly and Notes to the Accounts, Cash analysis returns) and
financial Transcript prepared and submitted to Inspectorate Unit Monthly
reports (MLGDRD) and ODACF Submission from
Inspectorate Unit
i. If both monthly Financial Reports and (MLGDRD Head
Transcripts for 2021 were prepared in the office)
manner prescribed above and submitted to
the Inspectorate Unit and Transcript to Monthly
ODACF within 15 days after the month to Submission from
which they relate, ODACF

Then the CI is fulfilled.

(Part VII, Section 75 of the Financial Memoranda, 2004

of the MLGDRD)

CI 4.0 4.1 From the DCD receive information on the Client Service Established CSU,
Transparency, Functionality of Unit: Activity Report,
Accountability Client Service
& Participation Unit (CSU)

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Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not

Area verification Fulfilled
i. If the Client Service Unit has been established Complaint’s book /
with a schedule Officer, dedicated telephone Client Service Log
number and functional; and Book/ Forms
ii. If there is a report on activities of the Client Physical verification
Service Unit,

Then the CI is fulfilled. Dedicated line

(Local Governance Act, 2016 Act 936 Section 27 (Sub

section 1d)

4.2 Availability From the DCD receive copies of the approved 2022 Transmittal Letters,
of Approved Annual Action Plan and Composite Budget: Dispatch Book,
Annual Action Website, Copies of
Plan and i. If the approved Annual Action Plan and Annual Budget and
Composite Composite Budget were published on the Annual Action Plan
Budget Assembly’s website and
ii. If the approved Annual Action Plan and
Composite Budget were distributed to members
of the DPCU, Assembly Members and Sub-
Structures,
Then the CI is fulfilled

(Local Governance Act, 2016 (Act 936) Section 172;

National Development Planning (System), Regulations,
2016 (LI 2232))

4.3 From the DCD, receive Minutes of Meeting of the Minutes of General
Presentation of General Assembly. Assembly Meetings
Auditor-

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Thematic Indicator Assessment Guide/Requirement Means of Fulfilled Not

Area verification Fulfilled
General’s i. If the 2020 Auditor General’s report was Minutes of Finance
Report to the discussed by the Finance and and Administration
General Administration subcommittee and the subcommittee
Assembly Executive Committee and subsequently Meetings
presented to the General Assembly for
discussion. Minutes of
Executive
Then the CI is fulfilled Committee
Meetings
Local Governance Act, 2016 Act 936 [Section 176 (5)]

4.4 From the DCD receive reports on Town Hall Meetings Minutes of
Organization of and MMDCEs engagements with communities: Meetings of Town
Town Hall Hall Meetings (with
Meetings & i. If the Assembly organized at least two (2) Town pictures),
MMDCEs Hall Meetings on the implementation of Annual
Engagement Budget and Work Plans (in the first quarter) and Reports of
with preparation of the Annual Budget and Work MMDCE’s
Communities Plans (in the third quarter) respectively, using community
PFM templates; and engagements (with
pictures),
ii. If the MMDCE held Community Durbars in at PFM Templates,
least 20% of communities in District
Assemblies; 30% in Municipal Assemblies and List of all
50% in Metropolitan Assemblies addressing communities in the
grievances of the communities, District, MMDCE’s
itinerary for
Then the CI is fulfilled Community
Engagements,
(Local Governance Act, 2016 (Act 936), Section 40] Annual Progress
Reports (APR)

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SECTION B: SERVICE DELIVERY INDICATORS (SDIs)

THEMATIC AREA: MANAGEMENT & COORDINATION – IMPLEMENTATION OF SERVICE DELIVERY DECISIONS (5)
No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
SDI 1.0 1.1 General From the DCD, receive signed Minutes of Meetings of Minutes of Assembly
Assembly Decisions the three mandatory Meetings of the General Assembly: Meetings
Reports, 1
i. If the General Assembly took at least 50% Pictures,
decisions on improving service delivery in any Payment Vouchers for
sector of the District, score 1; sitting allowances, (with
signed list of collection
Examples of services: Water, Electric power, Health, by GA members)
Education, Transportation, Roads, Sanitation, Recreational List of Decisions taken
services and Security. at each Ordinary
(Local Governance Act, 2016 (Act 936) Section General Assembly
Meetings
18)3

1.2 Management From the DCD, receive signed minutes of meetings of GA minutes of meeting
Actions taken on the Management of the Assembly:
Assembly decisions Minutes of meeting of
i. If Management has implemented at least 50% of Management
the service delivery improvement decisions (1.1i) 2
of the General Assembly, evidenced by reports Implementation reports
and relevant supporting documents, score 2.
Physical verification
Local Governance Act, 2016 (Act 936) Section 18

1.3 Assembly From the DCD, receive reports on the activities of all File on ceded revenue,
Support to Sub- established sub-structures of the Assembly and Reports on communal
structures Assembly’s DACF allocation to Sub-structures: service, Memos, 2
pictures, etc

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THEMATIC AREA: MANAGEMENT & COORDINATION – IMPLEMENTATION OF SERVICE DELIVERY DECISIONS (5)
No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
i. If all the sub-structures utilized at least 30% Substructures Files/
of their ceded Revenue to support activities reports, pictures of
that benefit the Community, score 1, else activities supported
score 0
Financial Reports
ii. If the Assembly has spent at least 90% of
the up-to 2% DACF release to its Sub-
Structures, to support the substructures,
score 1, else score 0.

(Local Government (Urban, Zonal and Town Councils

and Unit Committees) Establishment Instrument of
2010, LI 1961)
Guidelines for the Disbursement and Management of
the District Assembly Common Fund Allocation
TOTAL 5

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THEMATIC AREA: BASIC / SOCIAL SERVICES (15)

No. Indicator Assessment Guide/Requirement Means of verification Maximum Actual
score score
SDI 2.0 2.1 Water Services From the DCD, receive information on Collaboration List of Water Service
between the Assembly and Ghana Water Company Applicants,
Limited (GWCL) on Service Delivery in the District; Data on applications 3
approved,
i. If there is evidence of collaboration/ facilitation
between the Assembly and GWCL/CWSA/Small Minutes of Meetings
Water System/ and the provision of water in the
District, score 1; Letters on collaborations
ii. If at least 80% of applications for service has and requests
been processed score 1;
iii. If at least 70% of the applications processed for Interview with Coordinating
service has been provided to Director/ Assembly
applicant/communities as a result of the members of beneficiary
collaboration/ facilitation, score additional 1; communities

Local Governance Act, 2016 (Act 936) Section 12 (Sub Annual Progress Reports
Sections 4 b, d & e, Sub-Section 5, Sub-Section 7); Goal
6 of the Sustainable Development Goals, the 2030
Agenda)
2.2 Electricity From the DCD, receive information on collaboration List of electric power
Services between the Assembly and Electricity Company of Applicants,
Ghana (ECG)/ VRA/ NEDCO on Service Delivery in the Copies of applications
District; approved,
3
i. If there is evidence of collaboration/ facilitation
between the Assembly and ECG/ VRA/ NEDCO Letters from the Assembly
in the District, score 1; to Service Provider
Interview with Coordinating
ii. If at least 80% of applications for Service has Director/ Assembly
been processed score 1;
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THEMATIC AREA: BASIC / SOCIAL SERVICES (15)

No. Indicator Assessment Guide/Requirement Means of verification Maximum Actual
score score
members of beneficiary
iii. If at least 70%of the application processed for communities
service has been provided to applicants/
Communities as a result of the collaboration/ Annual Progress Reports
facilitation score additional 1;

Local Governance Act, 2016 (Act 936) Section 12 (Sub

Sections 4 b, d & e, Sub-Section 5, Sub-Section 7)
Goal 6 of the Sustainable Development Goals, the 2030
Agenda
2.3 Sanitation From the DCD receive information on the utilisation of the Sanitation reports
Services IGF collected for the year: IGF PVs
2
i. If at least 20% of the IGF was spent on sanitation Physical verification
improvement services in the District and there is
evidence of implementation, score 2;

Eligible Expenditures are below:

 Activities and programmes on Solid Waste
Management – Collection, Haulage or
Transportation, Disposal or Treatment or Reuse
 Activities and programmes on Liquid Waste
Management and Drain Cleansing –
Containment, Collection,
Transportation/Conveyance, Disposal or
Treatment or Reuse
 Activities on Food Hygiene and Safety
 Sanitation Legislation and Enforcement
Management
 Evidence of Monthly Sanitation Day Exercises
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THEMATIC AREA: BASIC / SOCIAL SERVICES (15)

No. Indicator Assessment Guide/Requirement Means of verification Maximum Actual
score score

Local Governance Act, 2016 (Act 936) Section 12 (Sub

sections 4 b, c & d)
Goal 6 of the Sustainable Development Goals, the 2030
Agenda)

2.4 Maintenance of From the DCD receive information on the Operations & Financial statements
Infrastructure of Maintenance Plan and its implementation: O&M plan
Public Interest
i. If the plan includes public places of interest O&M implementation
such as Markets, Community Centres, Lorry reports 3
Parks, U-Drains, Schools, Hospitals or
Clinics, CHPS Compounds, etc, score 1; Warrants

ii. If the budget allocation for O&M is at least

10% of Capital expenditure budget, score 1;
and

iii. If there is evidence of expenditure for O&M

Budget proportional to 10% of the Capital
Expenditure and there is evidence of
implementation of the O&M Plan, score 1

Local Governance Act, 2016 (Act 936) Section 12 (Sub

section 3)
2.5 Availability of From the DCD receive a copy of the Client Service Assembly’s Client Service
Client Service Charter of the Assembly: Charter,
Charter 1
i. If the Assembly has a Client Service Charter Minutes of GA Meeting
evidenced by a resolution of the General approving the Charter,
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THEMATIC AREA: BASIC / SOCIAL SERVICES (15)

No. Indicator Assessment Guide/Requirement Means of verification Maximum Actual
score score
Assembly approving the Charter, have been Assembly’s website
displayed on the Assembly premises or Displayed points of
website; score 1; Assembly and substructures
Client Service Charter
implementation report
2.6 Services on the From the DCD, receive information on the Operations & MTDP 3
Transportation Maintenance Plan and its implementation: Annual Progress Report
network Roads maintenance reports
i. If the Assembly has included road safety
interventions or activities in their Medium- O&M Plan
Term Development Plan and Annual Action
Plan, score 1 Register for Public transport
ii. If the Assembly has implemented at least network
60% of the road safety interventions in their
Annual Action Plan, score 1
iii. If the District has a register of public
transport operators, vehicles, drivers and
terminals, score 1

Road Traffic Regulation (2012) L.I 2180

TOTAL 15

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THEMATIC AREA: PHYSICAL AND SPATIAL PLANNING SERVICES (9)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
SDI 3.1 Establishment of From the DCD receive information on the Planning and Building and Inspection
3.0 Planning and Building Inspectorate Unit of the Assembly: File
Building Inspection reports
Inspectorate Unit i. If the Planning and Building Inspectorate Physical verification
Unit has been established with Office and Quarterly Monitoring 3
Staff or if the function has been performed reports
by the Assembly’s Physical Planning and
Works Department, score 1, and

ii. If there is a detailed report on the activities Field Visits to confirm

of the Unit with actions taken on all activities
recommendations, score 2 else score 0.

3.2 Planning and From the DCD obtain information on the number of Planning and
Development Permit Planning Permit and Development Permit applications Development permit
Processing & and Spatial Planning Committee decision on application file,
Issuance
Applications for 2020:
Spatial Planning
Committee Meeting 3
i. If all the planning and development minutes.
permit applications received were
processed, approved/deferred/refused, Monitoring and
issued and communicated to applicants Inspection File
within 30 working days of receipt of
Application Register/
applications, by the Spatial Planning
Book
Committee, score 2 and Technical Sub-committee
meeting minutes
ii. If all the planning and development Letters to Applicants on
permits received, approved and issued to Spatial Planning
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THEMATIC AREA: PHYSICAL AND SPATIAL PLANNING SERVICES (9)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
applicants in 2021 are traceable to the Committee decision
approved Local Plans, score 1, else (approved
score 0. permits/deferral/refusal)
Local Plans showing
plotted approved permits
(Land Use and Spatial Planning Act 2016, (Act 925); Physical verification of
Section 38(1c&e)) & 41 (1)) and Land Use and Spatial Local Plan
Planning Regulation 2019 LI 2384; Regulation 44 and Technical Sub-
45 Committee site
inspection report
3.3 Street Naming From the DCD obtain detailed information on street Functional Street Naming
Database and naming and property addressing database: Database (Appropriate
Property Addressing Software, not excel),
i. If the Assembly has a functional street
Street Addressing map of
naming and property addressing database, District, List of Street
score 1; Names and Report on 3
ii. If the database has been mapped out, printed installation of street
and displayed at the Assembly premises and addressing/directional
sub-structures, score 1; signage,
iii. If the Assembly has installed at least 60% of Local Plans showing
street names and
its named streets and property address
sequential numbering of
plates score 1, if less than 60% score 0. property
Section 83 of Land Use and Spatial Planning Evidence and report on
Act, 2016 (Act 925) Property Addressing &
Embossments, PVs,
Memos, Printed
Database displayed
TOTAL 9
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THEMATIC AREA: PHYSICAL AND SPATIAL PLANNING SERVICES (9)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
THEMATIC AREA: SOCIAL PROTECTION, GENDER & NUTRITION (14)
No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
SDI 4.0 4.1 Social Protection From the DCD and Head of Department of Social List of social services
Services available in Welfare and Community Development receive
the District information on the operations of the Department of Activity implementation
Social Welfare & Community Development: Reports

i. If the list of Social Services is available to the Social Welfare Annual

citizens, score 1; report 3

ii. If the District has implemented at least 60% of MMDA Annual Progress
its action plans on social protection from their report
AAP, score 1;

iii. If there is a report on services rendered

including referrals and collaborations with other
stakeholders in Social Protection, score 1.

4.2 Availability of From the DCD and Head of Department of Social Transitional Housing
Shelters (Transitional Welfare and Community Development receive reports
Housing) in the information on the operations of Residential Home Physical verification
District Centres (RHCs) (Transitional Housing) in the District: 1
Housing Facility
i. If the Department has at least one (1) documents
Residential Home Centre and there is report on
the operations of the centre, score 1 Building contract/Rental
documents

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THEMATIC AREA: PHYSICAL AND SPATIAL PLANNING SERVICES (9)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
4.3 Availability of From the DCD and Head of Department of Social Physical verification
Dedicated Hotline for Welfare and Community Development receive (Posted) at the
the Vulnerable information on the operations of the Department of Assembly premises, 1
Social Welfare and Community Development: Substructures, Public
places, schools, etc
i. If the District has a dedicated functional
hotline for vulnerable groups, score 1, else
score 0.
4.4 Service to People From the DCD and Head of Department of Social List of PWDs registered
Living with Welfare and Community Development receive on NHIS
Disabilities (PWDs) information on the management of People Living with
Disabilities (PWD): Registered List of
PWDs
i. If the District has enrolled at least 90% of 3
PWDs registered with the District on PWDs training reports
National Health Insurance Scheme, score
1; Annual Progress
ii. If the District has provided resources and Reports
engaged at least 50% of the registered
PWDs on Productive Inclusive / Income PVs
Generating Activities (IGAs), score 1; and
iii. If the District has built the capacity of at Distribution List
least 30% of the registered PWDs in a
vocation or skill, score 1. Store Received
Vouchers (SRVs)
(Section 5 of the Guidelines for the Disbursement and
Management of the District Assembly Common Fund
Allocation to Persons with Disability (NCPD/GFD, 2010)

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THEMATIC AREA: PHYSICAL AND SPATIAL PLANNING SERVICES (9)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
4.5 Deepening From the DCD, receive information on the Gender Social Welfare Progress
Gender mainstreaming activities for 2021: Reports
Mainstreaming
i. If at least 20% of Members (including co-opted List of Members of the
Members) on each of the Statutory Sub- Sub-Committees 4
Committees are Women, score 2 (including evidence of
letters appointing co-
ii. If the District Assembly supports 80% of Gender opted Members)
activities to promote equality and non-
discrimination against women and girls in the Scope of infrastructure
District, score 1; Minutes of meetings
iii. If there is evidence of planning of infrastructural Annual Progress
projects and programmes according to women Reports
needs, score 1 else score 0. Goal 5 of the
Sustainable Development Goals, the 2030 Gender Desk Reports
Agenda)

4.6 Nutrition Services From the DCD, receive information on Nutrition

activities in the District: Environmental Health
Reports
Websites/Notice boards 2
i. If the Assembly has oriented food vendors
List of food vendors
and school feeding programme contractors on List of nutrition-oriented
nutrition, score 2 interventions

(Goal 2 of the Sustainable Development Goals, the

2030 Agenda)
TOTAL 14

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THEMATIC AREA: ENVIRONMENTAL HEALTH, SANITATION & CLIMATE ACTION (12)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
SDI 5.1 Availability of From the DCD, receive information on sanitation Register of Service
5.0 Sanitation Service management Providers
Providers 2
i. If the District has an approved list of sanitation Sanitation reports
service provider(s) or if Assembly provides the Contracts with service
services by itself, score 1; providers
ii. If there is evidence of monitoring and
evaluation of the services of the service Monitoring reports
provider(s), score 1;
Environmental
Goal 6 of the Sustainable Development Goals, the 2030 Sanitation Strategy and
Agenda) Action Plan
5.2 Availability of From the DCD receive information on disposal of refuse Environmental Health
well maintained and dumping sites Reports/ EPA
Dumping Site or Certification
engineered land fills i. If there is availability of a well-maintained 3
dumping site or Engineered Landfills according Sanitation reports
to Environmental Health Standards, score 1
ii. If the District has a functional final disposal site Solid/Liquid Waste
or Co-ownership for Solid/liquid waste with disposal reports
documentary evidence, score 2.
Ownership documents
Goal 6 of the Sustainable Development Goals, the 2030
Agenda) Contractual Agreement

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THEMATIC AREA: ENVIRONMENTAL HEALTH, SANITATION & CLIMATE ACTION (12)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
5.3 Monitoring and From the DCD receive information on the operations of List of food vendors
Issuance of food and beverage vendors Medical Screening
Certificates to Food reports
and Beverage i. If the District has a register of food and Certification reports on
Vendors beverage vendors, score 1, food vendors 3
Food hygiene
ii. If the District has conducted screening monitoring reports
(medical tests with reports provided) for
food vendors and at least 80% of the
screened food vendors were issued with
certificates for year 2021, score 1.

iii. If there is evidence of monitoring and

follow-up actions on food hygiene, etc,
score 1.

Goal 3 of the Sustainable Development Goals, the 2030

Agenda)
5.4 Availability of From the DCD and Director, GES receive information on Lists of public schools
Institutional Toilet public schools in the District: Database on facilities in
facilities and Water public schools 2
in Public Schools i. If at least 80% of Public schools in the District Physical verification
have functional Institutional Toilet facilities and Report from GES
Water facilities as at 2021, score 2 Director

Goal 6 of the Sustainable Development Goals, the 2030

Agenda)

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THEMATIC AREA: ENVIRONMENTAL HEALTH, SANITATION & CLIMATE ACTION (12)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
5.5 Climate Change From the DCD receive information on Climate Change AAP
Interventions interventions activity implementation; Progress reports on
AAP
i. If the District has delivered or implemented at Climate change activity 2
least 80% of climate adaptation activities from reports
their Annual Action Plan (AAP), score 1;
ii. If the District has a programme on tree planting
/ afforestation and there is evidence of
implementation, score 1.

Goal 13 of the Sustainable Development Goals, the

2030 Agenda)
TOTAL 12

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THEMATIC AREA: LOCAL ECONOMIC DEVELOPMENT (LED) (10)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
SDI 6.1 Availability of From the DCD receive information on LED activities: AAP
6.0 District LED i. If the District has evidence of LED activities
activities in the AAP in the AAP, score 1 LED Activity reports 2

ii. If the District has implemented at least BRC/ BAC reports

60% of the LED activities in the Annual
Action Plan (AAP) score 1 Annual Progress Report

6.2 Promotion of new From the DCD receive information on LED activities: LED or Annual Progress
businesses and of Report 2
new jobs i. If the district has invested own resources in
direct productive sectors and can show that it Verifiable evidence of
has resulted in new businesses that have new businesses in
created new jobs at the local level: Score 2 productive sectors and
number of new jobs
created
6.3 Facilitate and From the DCD, receive information and determine:
support to small- 2
scale agro- i. If the District has supported or provided LED or Annual Progress
processing and storage facilities to reduce post-harvest Report
manufacturing losses, score 1
industries Evidence of the
ii. If the District has facilitated the acquisition processed products
of machinery/ equipment that have
culminated in the processing of local Availability/Evidence of
agriculture products (fruit juice, meat and the machinery
cassava processing, packaging and
branding, score 1

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THEMATIC AREA: LOCAL ECONOMIC DEVELOPMENT (LED) (10)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
6.4 Engagement with From the DCD receive information on LED activities: Lists of businesses
Business
Community i. If the District has organized at least 2 Reports on business
business forums/ Platform meetings forums
with the business community in the District, 2
score 1; Implementation reports
on engagements
ii. If there is evidence of follow-up action on decisions
agreed actions from all the engagements in
(i) above, score 1.

TOTAL 8
SDI SUB-TOTAL 63

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SECTION C: PERFORMANCE INDICATORS (PIs)

THEMATIC AREA: ANNUAL ACTION PLAN IMPLEMENTATION (14)
No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
PI 1.0 1.1 Implementation of From DCD receive reports on the implementation of Annual progress reports
Annual Action Plan projects and programmes in the Annual Action Plan. AAP 2
(AAP)
i. If there is evidence that at least 90% of
activities implemented in 2021 are from
the approved Annual Action Plan, score 2,
else 0.

Local Governance Act, 2016 (Act 936) Section 12 (Sub

section 4a),
1.2 Monitoring of From DCD receive monitoring reports on all district AAPs
District Projects and programmes and projects
Activities List of members of 2
i. If a clear budgetary provision has been monitoring team
made for M&E and 80% of Budgetary
allocation released for the implementation Monitoring Report
of planned monitoring activities, score 1,
else score 0. Progress Report

ii. If there is evidence of multi-stakeholder Monitoring checklist

participation in monitoring activities, score
1

Local Governance Act, 2016 (Act 936) Section 12 (Sub

section 4e) Section 40
1.3 Records on From the DCD, obtain information on contract Signed Minutes of
Contract management and administration Meeting of site
Management and meetings,
Administration
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THEMATIC AREA: ANNUAL ACTION PLAN IMPLEMENTATION (14)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
i. If final completion reports on all completed Contracts register, 4
projects are available and all completed Final Completion
projects are in use, score 3, else score 0. Reports (Closure)
certification
ii. If contingency has been provided for Auditor General ‘s
works and used with written justification report
and duly approved, score 1, or If
contingency has not been used score 1 Project Files,
else score 0.
Procurèrent plan
(Conditions of contract section 3 paragraph E56)
1.4 Record on follow From the DCD, receive a copy of the list of Auditor General’s 3
up of deduction at Contracts/Services related to Deductions at Source: report.
source
i. If a copy of the contract(s) is/are available, Signed Contract
score 1 Agreement

ii. If there is evidence of implementation Environmental Health

(contract implementation reports), score 1 Quarterly Monitoring
Reports
iii. If there is no adverse findings on Central
Government Deductions, score 1, else Reports of Other
score 0 Contracts

Evidence of follow ups

and Certification of
Payment

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THEMATIC AREA: ANNUAL ACTION PLAN IMPLEMENTATION (14)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
1.5 Environmental & From the DCD, receive information on all ongoing List of Safeguards
Social Safeguards physical projects (works): Team, Screening
Forms for ongoing
i. If the MMDA has screening forms for all Projects, 4
ongoing projects (physical works) on Project EPA Permits, Memos,
Files, score 1; PVs,
Works Department
ii. If the MMDA has acquired EPA permits for all Monitoring report
ongoing projects (physical works), score 2; Minutes of Site
meetings
iii. If the works department’s report on adherence
to occupational health and safety standards is
available, score 1.

(Goal 15 of the Sustainable Development

Goals, the 2030 Agenda)
TOTAL 15

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THEMATIC AREA: CAPACITY BUILDING (5)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual
verification score score
PI 2.0 2.1 Implementation From the DCD and OHLGS receive a copy of Quarterly Training
of Capacity building the TNA and Capacity Building Plan and Reports from OHLGS
plan Reports.
Accredited consulting
i. If all quarterly reports on capacity firm Technical and
building activities from the capacity- financial proposals 2
building plan and DPAT Signed contract, and
recommendations were received with signed participants’ list
sex-disaggregated data, within 15 with contacts details,
days after the end of the quarter,
score 1, else score 0. Training manuals/course
handouts
ii. If the Assembly has implemented 80%
of its capacity building plan, score 1 Training Needs
Assessment (TNA),
Local Governance Act, 2016 (Act 936) Section PVs and supporting
52 (Sub section f), documents
2.2 Post - training From the DCD receive a copy of the 2021 Training evaluation
evaluation implementation of Capacity Building/training reports
reports.
i. If there is evidence of post-training Quarterly training reports 2
evaluation conducted by the
Human Resource Management
Department (HRMD) at least three
(3) months after the training was
conducted, score 2
Local Governance Act, 2016 (Act 936) Section
52 (Sub section f),
TOTAL 4

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THEMATIC AREA: REVENUE GENERATION (8)

No. Indicator Assessment Guide/Requirement Means of Maximum Actual score
verification score
PI 3.0 3.1 Payment Points From the DCD obtain detailed information on Files on payment points
all established payment points and options Physical verification
available to citizens in the District: 3

i. If the Assembly establisshed at

least 5 payment points for Metros,
3 or more for Municipals, 2 for
Districts (including payment points
sited within the Assembly
premises), score 3; else score, 0.
(Local Governance Act, 2016 (Act 936), section
161)
3.2 Revenue from From the DCD obtain information on rateable Billing system s
Rateable Properties properties and businesses database. Reminders/notifications
and Businesses Reports,
i. If there is an established computerized
billing system, linked to property rate roll Software in operation,
and business inventory, score 1; Billing notices and
records 5
ii. If property rates and business operating
permit bills have been generated and Revenue Improvement
delivered to all property and business Action Plan
owners before 31st December, 2021,
score 2; and MIS application

iii. If there is evidence of follow-up actions

by the MMDA on defaulters/non-payers
of 2020 Bills by the 31st March 2021;
score 2, else score 0.
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Local Governance Act, 2016 (Act 936),

sections 154 and 161)

TOTAL 8

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THEMATIC AREA: AUDIT PERFORMANCE (3)

No. Indicator Assessment Guide/Requirement Means of verification Maximum Actual
score score
PI 4.0 4.1 Responsiveness of From the District Coordinating Director (DCD) receive Minutes of the Audit 1
Audit Committee information on the Audit Committee of the Assembly: Committee Meetings

i. If the Audit Committee has received and reviewed

responses to all Audit Observations in Quarterly
Internal Audit Reports and the Management Letter
for 2020, score 1
4.2 Audit Infractions From the DCD receive a copy of the Auditor General’s Annual Auditor-General’s Reports 4
Audit Report for 2021 on financial irregularities reported on for 2021 on IGF, DACF and
embezzlement and /or misappropriation; other Statutory Funds
i. If the sum total of Cash irregularities is less than 1%
of the total expenditure of the Assembly for 2021,
score 2

ii. If the sum total of all other financial irregularities is

less than 3% of the consolidated expenditure of the
Assembly for 2021, score 2, else score 0
***Percentage of financial irregularities is calculated as:
(financial irregularities/ total expenditure) * 100 for Cash and
other irregularities
Public Financial Management Act, 2016 (Act 921); Section 84
(Local Governance Act, 2016 (Act 936), Section 176;
The Constitution of Ghana, Articles 187 & 253;
Audit Service Act, 2000 (Act 584); section 29)

NB: Audit Irregularities are determined by the Auditor-

General.
TOTAL 5
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THEMATIC AREA: ACCESS TO SOCIAL SERVICES (4)

No. Indicator Assessment Guide/Requirement Means of verification Actual
score
PI 5.0 5.1 Support to From the DCD and District Director of Education receive List of Public schools 2
Education Services information on the list of public schools in the District and Support to Schools reports
challenges faced by the schools: District education progress
reports
i. If the Assembly has supported at least 15% of the
Public Schools within the district to address their
challenges furniture, teaching and learning
materials (TLMs), etc, score 2.

Local Governance Act, 2016 (Act 936) Section 12 (Sub section

3). Section 81 (Sub section 4) Goal 4 of the Sustainable
Development Goals, the 2030 Agenda)

5.2 Support to Health From the DCD and District Director of Health receive information List of public health 2
Services on the list of public health facilities in the District and challenges facilities,
faced by the centres: Support to health centres
reports,
i. If the Assembly has supported at least 15% of the District health progress
public health centres to address their challenges, reports
score 2.

Local Governance Act, 2016 (Act 936) Section 12 (Sub section

3), Section 81 (Sub section 4) Goal 3 of the Sustainable
Development Goals, the 2030 Agenda)
5.3 Support to From the DCD,, receive information on Agricultural services: Report on farmer support 1
Agriculture Reports on agricultural
i. If the District has a list of Agricultural Extension activities
Agents (AEAs) and information on their mapping to

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Operational Areas for delivery of support services Pictures on activities and

to farmers, etc, score 1; facilities

District Agricultural
Department Report
TOTAL 5
SUB-TOTAL (PIs) 37

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Annex 2: Consultant’s Assessment Reporting Format

SECTION A: COMPLIANCE INDICATORS

Thematic Indicator Assessment Guide/Requirement Fulfilled Not Findings/Observations
Area Fulfilled & Conclusion
CI 1.0 General 1.1 Meetings of From the District Coordinating Director (DCD) receive
Assembly the General information on the General Assembly Meetings held in
Meetings and Assembly 2021.
Approvals
i. If the Assembly held at least three ordinary
Meetings in 2021 with Minutes of Meetings duly
recorded and signed by both PM and DCD;

ii. If the ordinary meeting was convened through

a notice of meeting issued within two weeks
before the meeting date and duly signed by the
Presiding Member/ Convener; and

iii. If there is evidence of decisions (e.g.

Resolutions; if applicable) made by the General
Assembly during the convened meetings,

Then the CI is fulfilled.

(Local Governance Act, 2016 (Act 936) Section 18 and

the Model Standing Orders for District, Municipal and
Metropolitan Assemblies, Sections 2 and 3)

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Thematic Indicator Assessment Guide/Requirement Fulfilled Not Findings/Observations

Area Fulfilled & Conclusion
1.2 Approval of From the DCD obtain Minutes of Meeting of the
Annual Action General Assembly approving the 2021 Composite
Plan and Budget and the Annual Action Plan:
Budget
i. If the Annual Action Plan was duly
approved by the General Assembly by 31st
October, 2020 and

ii. If the budget was presented by the

Executive Committee to the General
Assembly and approved latest by 31st
October 2020.

Then the CI is fulfilled

(Local Governance Act, 2016 ( Act 936), Section 12 and

21(2a);
(Composite Budget Manual, 2012)
1.3 Meetings of From the District Coordinating Director, receive
the Sub- information on the activities or operations of the
structures established sub-structures (Sub-Metros/ Urban/ Town/
Area/ Zonal Councils) of the Assembly:

i. If each of the sub-structures established by the

Assembly held at least one (1) Meeting prior to
each of the three mandatory Ordinary Meetings
of the General Assembly; and

ii. If records exist on their establishment, staffing

and ceding of 50% of revenue collected, for all
the established sub-structures.
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Area Fulfilled & Conclusion

Then the CI is fulfilled

(Local Governance Act, 2016 (Act 936) Section 15 & 16

(d & e)
(Local Government (Urban, Zonal and Town Councils
and Unit Committees) Establishment Instrument of
2010, LI 1967)
CI 2.0 2.1 Executive From the DCD receive and review the composition,
Functionality Committee attendance and minutes of meetings of the Executive
of Statutory & Meetings Committee/ Metropolitan Authority (EC/ MA):
Mandatory
Organs of the i. If at least a meeting of the EC/A was held
Assembly prior to each of the three mandated
General Assembly meetings in 2021, and
minutes duly recorded and signed by both
DCD and DCE

Then the CI is fulfilled.

(Local Governance Act, 2016 (Act 936) Sections 19,

21,22 & 25)
2.2 Meetings of From the DCD receive and confirm the composition,
the Sub attendance and minutes of the meetings of the 5
Committees of Statutory Sub-Committees in 2021.
the Assembly
i. If each of the 5 Statutory Sub-committees
held at least one meeting prior to each of
the three meetings of the EC/A in 2021 and
minutes are recorded and signed by both

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Thematic Indicator Assessment Guide/Requirement Fulfilled Not Findings/Observations

Area Fulfilled & Conclusion
the secretary and the chairperson of sub-
committees,
Then the CI is fulfilled

(Local Governance Act, 2016 (Act 936), sections 23 &

24)
2.3 From the DCD receive copies of duly recorded and
Management signed Minutes of Meetings of Management in 2021
Meetings
i. If Management Meetings were held, at
least quarterly, and duly attended by at
least 8 out 11 for District Assemblies; 10
out of 13 for Municipal Assemblies and 13
out of 16 for Metropolitan Assemblies of
HoDs,

Then the CI is fulfilled.

(Local Governance Act, 2016 (Act 936) Second

Schedule )
Schedule 1 of the Departments of District Assemblies
(Commencement) Instrument, 2009 (L.I. 1961)

2.4 Meetings of From the DCD, obtain Minutes of Meeting of the Public
the Public Relations and Complaints Committee meetings
Relations and
Complaints i. If PRCC is functional and Minutes of
Committee of Meetings and recommendations from the
the Assembly meetings are available,

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Thematic Indicator Assessment Guide/Requirement Fulfilled Not Findings/Observations

Area Fulfilled & Conclusion
ii. If all complaints reported have been duly
processed and recommendations made,
and
iii. If action has been taken on all the
recommendations, in (ii)

Then, the CI is fulfilled

(Local Governance Act, 2016 (Act 936), sections26 &

27)
2.5 Meetings of From the DCD obtain information on the membership of
the Technical the Technical Sub-Committee and Spatial Planning
Sub-Committee Committee, invitation letters to meetings and minutes of
and Spatial monthly meetings for 2020.
Planning
Committee i. If the technical sub-committee and spatial
(SPC) planning committee is duly constituted and
have Minutes of Meeting of all monthly
Meetings recorded and duly signed by
secretary and chairperson; and

ii. If there is evidence in the form of Minutes of

Meetings approving the preparation/ revision
of local plans,

Then the CI is fulfilled.

(Land Use and Spatial Planning Act, 2016 (Act 925);

Sections 37, 38, 39, 40, 41 (1) and 72
CI 3.0 Public 3.1 Meetings of From the DCD receive information on the preparation
Financial the Entity and approval of the 2022 Procurement Plan by 30th
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Thematic Indicator Assessment Guide/Requirement Fulfilled Not Findings/Observations

Area Fulfilled & Conclusion
Management Tender November 2021 and obtain quarterly updated
and Auditing Committee Procurement Plans from the Procurement Plan for
(ETC) and 2021.
Procurement
Plans Approval i. If the Entity Tender Committee met as
required by law (at least once in every
quarter and have duly recorded and signed
Minutes of Meeting;

ii. If the 2022 Annual Procurement Plan is

linked to the 2022 Composite Budget and
Annual Action Plan (AAP) and approved by
30th November 2021 by the Entity Tender
Committee, as evidenced by minutes of
meeting and follows the PPA guidelines;
and

iii. If all the 2021 quarterly updated

Procurement Plans were duly prepared by
the Procurement Unit and were approved
at the quarterly meetings of the Entity
Tender Committee,

Then the CI is fulfilled.

(Part III, Section 21, Sub section 1, PPA Act 663 2003,
as amended with Act 914)

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Thematic Indicator Assessment Guide/Requirement Fulfilled Not Findings/Observations

Area Fulfilled & Conclusion
3.2 Functionality From the DCD obtain information on the Internal Audit
of the Internal Unit of the Assembly:
Audit Unit
i. If the Internal Audit Unit has submitted the
Annual Audit Work Plan to the DCD and Audit
Committee within 30 days after the beginning of
the financial year; and
ii. If all quarterly Internal Audits have been
conducted and reports submitted to the DCD
and the Chair of the Audit Committee of the
Assembly within thirty (30) days after the end of
each quarter,
iii. If District Assembly has submitted Annual Audit
Workplan to the Internal Audit Agency by 31st
January of the financial year.

Then the CI is fulfilled.

(PFM Act 2016, (Act 921) Sections 83 (6&7); Internal
Audit Agency Act 2003 (Act 658); Regulation 43,
Internal Audit Regulation 2011, (L.I 1994)
(Local Governance Act, 2016 (Act 9,36), sections 175
(4b))

3.3 Functionality From the District Coordinating Director (DCD) receive

of the Audit information on the Audit Committee of the Assembly:
Committee
i. If the Audit Committee is duly constituted
and met at least twice during 2021, with
Minutes of Meeting duly signed by the
Secretary and Chairperson;

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Area Fulfilled & Conclusion

ii. If Management has submitted responses to

both Internal Audit reports and
Management Letter within 10 days and 30
days respectively as stipulated by law and
have taken action on all audit
recommendations,

Then the CI is fulfilled.

PFM Act 2016, Act 921, Sections 87 & 88.

Audit Service Act 584, Section 29

3.4 Preparation From MLGDRD and ODACF receive data on the

and submission of monthly financial reports (Trial Balance,
submission of Revenue and Expenditure Statement, Balance Sheet
monthly and Notes to the Accounts, Cash analysis returns) and
financial Transcript prepared and submitted to Inspectorate Unit
reports (MLGDRD) and ODACF

i. If both monthly Financial Reports and

Transcripts for 2021 were prepared in the
manner prescribed above and submitted
to the Inspectorate Unit and Transcript to
ODACF within 15 days after the month to
which they relate,

Then the CI is fulfilled.

(Part VII, Section 75 of the Financial Memoranda, 2004

of the MLGDRD)

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Thematic Indicator Assessment Guide/Requirement Fulfilled Not Findings/Observations

Area Fulfilled & Conclusion

CI 4.0 4.1 Functionality From the DCD receive information on the Client Service
Transparency, of Client Service Unit:
Accountability Unit (CSU)
& Participation i. If the Client Service Unit has been
established with a schedule Officer,
dedicated telephone number and
functional; and

ii. If there is a report on activities of the Client

Service Unit,

Then the CI is fulfilled.

(Local Governance Act, 2016 Act 936 Section 27 (Sub

section 1d)

4.2 Availability From the DCD receive copies of the approved 2022
of Approved Annual Action Plan and Composite Budget:
Annual Action
Plan and i. If the approved Annual Action Plan and
Composite Composite Budget were published on the
Budget Assembly’s website and

ii. If the approved Annual Action Plan and

Composite Budget were distributed to
members of the DPCU, Assembly
Members and Sub-Structures,
Then the CI is fulfilled

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Area Fulfilled & Conclusion
(Local Governance Act, 2016 (Act 936) Section 172;
National Development Planning (System), Regulations,
2016 (LI 2232))

4.3 Presentation From the DCD, receive Minutes of Meeting of the

of Auditor- General Assembly.
General’s
Report to the i. If the 2020 Auditor General’s report was
General discussed by the Finance and
Assembly Administration subcommittee and the
Executive Committee and subsequently
presented to the General Assembly for
discussion.

Then the CI is fulfilled

Local Governance Act, 2016 Act 936 [Section 176 (5)]

4.4 Organization From the DCD receive reports on Town Hall Meetings
of Town Hall and MMDCEs engagements with communities:
Meetings & i. If the Assembly organized at least two (2)
MMDCEs Town Hall Meetings on the implementation
Engagement of Annual Budget and Work Plans (in the
with first quarter) and preparation of the Annual
Communities Budget and Work Plans (in the third
quarter) respectively, using PFM
templates; and

ii. If the MMDCE held Community Durbars in at

least 20% of communities in District

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Area Fulfilled & Conclusion
Assemblies; 30% in Municipal Assemblies and
50% in Metropolitan Assemblies addressing
grievances of the communities,

Then the CI is fulfilled

(Local Governance Act, 2016 (Act 936), Section 40]

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SECTION B: SERVICE DELIVERY INDICATORS (SDIs)

THEMATIC AREA: MANAGEMENT & COORDINATION – IMPLEMENTATION OF SERVICE DELIVERY DECISIONS (5)
No. Indicator Assessment Guide/Requirement Maximum Actual Findings / Observations &
score score Conclusion
SDI 1.0 1.1 General From the DCD, receive signed Minutes of Meetings of
Assembly Decisions the three mandatory Meetings of the General
Assembly: 1

i. If the General Assembly took at least 50%

decisions on improving service delivery in
any sector of the District, score 1;

Examples of services: Water, Electric power, Health,

Education, Transportation, Roads, Sanitation, Recreational
services and Security.

(Local Governance Act, 2016 (Act 936) Section

18)3
1.2 Management From the DCD, receive signed minutes of meetings of
Actions taken on the Management of the Assembly:
Assembly decisions
i. If Management has implemented at least
50% of the service delivery improvement 2
decisions (1.1i) of the General Assembly,
evidenced by reports and relevant
supporting documents, score 2.

Local Governance Act, 2016 ( Act 936) Section 18

1.3 Assembly From the DCD, receive reports on the activities of all 2
Support to Sub- established sub-structures of the Assembly and
structures Assembly’s DACF allocation to Sub-structures:

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THEMATIC AREA: MANAGEMENT & COORDINATION – IMPLEMENTATION OF SERVICE DELIVERY DECISIONS (5)
No. Indicator Assessment Guide/Requirement Maximum Actual Findings / Observations &
score score Conclusion
i. If all the sub-structures utilized at least
30% of their ceded Revenue to support
activities that benefit the Community,
score 1, else score 0

ii. If the Assembly has spent at least 90% of

the up-to 2% DACF release to its Sub-
Structures, to support the substructures,
score 1, else score 0.

(Local Government (Urban, Zonal and Town Councils

and Unit Committees) Establishment Instrument of
2010, LI 1961)
Guidelines for the Disbursement and Management of
the District Assembly Common Fund Allocation
TOTAL 5

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THEMATIC AREA: BASIC / SOCIAL SERVICES (15)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
SDI 2.1 Water Services From the DCD, receive information on Collaboration
2.0 between the Assembly and Ghana Water Company
Limited (GWCL) on Service Delivery in the District;

i. If there is evidence of collaboration/

facilitation between the Assembly and 3
GWCL/CWSA/Small Water System/ and the
provision of water in the District, score 1;
ii. If at least 80% of applications for service has
been processed score 1;
iii. If at least 70% of the applications processed for
service has been provided to
applicant/communities as a result of the
collaboration/ facilitation, score additional 1;

Local Governance Act, 2016 (Act 936) Section 12 (Sub

Sections 4 b, d & e, Sub-Section 5, Sub-Section 7); Goal
6 of the Sustainable Development Goals, the 2030
Agenda)
2.2 Electricity From the DCD, receive information on collaboration
Services between the Assembly and Electricity Company of
Ghana (ECG)/ VRA/ NEDCO on Service Delivery in the
District;
3
i. If there is evidence of collaboration/ facilitation
between the Assembly and ECG/ VRA/ NEDCO
in the District, score 1;

ii. If at least 80% of applications for Service has

been processed score 1;
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THEMATIC AREA: BASIC / SOCIAL SERVICES (15)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion

iii. If at least 70%of the application processed for

service has been provided to applicants/
Communities as a result of the collaboration/
facilitation score additional 1;

Local Governance Act, 2016 (Act 936) Section 12 (Sub

Sections 4 b, d & e, Sub-Section 5, Sub-Section 7)
Goal 6 of the Sustainable Development Goals, the 2030
Agenda
2.3 Sanitation From the DCD receive information on the utilisation of the
Services IGF collected for the year:

i. If at least 20% of the IGF was spent on

sanitation improvement services in the
District and there is evidence of
implementation, score 2;
2
Eligible Expenditures are below:
 Activities and programmes on Solid Waste
Management – Collection, Haulage or
Transportation, Disposal or Treatment or Reuse
 Activities and programmes on Liquid Waste
Management and Drain Cleansing –
Containment, Collection,
Transportation/Conveyance, Disposal or
Treatment or Reuse
 Activities on Food Hygiene and Safety

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THEMATIC AREA: BASIC / SOCIAL SERVICES (15)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
 Sanitation Legislation and Enforcement
Management
 Evidence of Monthly Sanitation Day Exercises

Local Governance Act, 2016 (Act 936) Section 12 (Sub

sections 4 b, c & d)
Goal 6 of the Sustainable Development Goals, the 2030
Agenda)

2.4 Maintenance of From the DCD receive information on the Operations &
Infrastructure of Maintenance Plan and its implementation:
Public Interest
i. If the plan includes public places of interest
such as Markets, Community Centres, Lorry 3
Parks, U-Drains, Schools, Hospitals or
Clinics, CHPS Compounds, etc, score 1;

ii. If the budget allocation for O&M is at least

10% of Capital expenditure budget, score 1;
and

iii. If there is evidence of expenditure for O&M

Budget proportional to 10% of the Capital
Expenditure and there is evidence of
implementation of the O&M Plan, score 1

Local Governance Act, 2016 (Act 936) Section 12 (Sub

section 3)

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THEMATIC AREA: BASIC / SOCIAL SERVICES (15)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
2.5 Availability of From the DCD receive a copy of the Client Service
Client Service Charter of the Assembly:
Charter 1
i. If the Assembly has a Client Service Charter
evidenced by a resolution of the General
Assembly approving the Charter, have been
displayed on the Assembly premises or
website; score 1;

2.6 Services on the From the DCD, receive information on the Operations & 3
Transportation Maintenance Plan and its implementation:
network
i. If the Assembly has included road safety
interventions or activities in their Medium-
Term Development Plan and Annual Action
Plan, score 1
ii. If the Assembly has implemented at least
60% of the road safety interventions in their
Annual Action Plan, score 1
iii. If the District has a register of public
transport operators, vehicles, drivers and
terminals, score 1

Road Traffic Regulation (2012) L.I 2180

TOTAL 15

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THEMATIC AREA: PHYSICAL AND SPATIAL PLANNING SERVICES (9)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
SDI 3.1 Establishment of From the DCD receive information on the Planning and
3.0 Planning and Building Inspectorate Unit of the Assembly:
Building Inspectorate
Unit i. If the Planning and Building Inspectorate
Unit has been established with Office and 3
Staff or if the function has been performed
by the Assembly’s Physical Planning and
Works Department, score 1, and

ii. If there is a detailed report on the activities

of the Unit with actions taken on all
recommendations, score 2 else score 0.

3.2 Planning and From the DCD obtain information on the number of
Development Permit Planning Permit and Development Permit applications
Processing & and Spatial Planning Committee decision on
Issuance
Applications for 2020:
3
i. If all the planning and development permit
applications received were processed,
approved/deferred/refused, issued and
communicated to applicants within 30
working days of receipt of applications, by
the Spatial Planning Committee, score 2
and

ii. If all the planning and development

permits received, approved and issued to
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THEMATIC AREA: PHYSICAL AND SPATIAL PLANNING SERVICES (9)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
applicants in 2021 are traceable to the
approved Local Plans, score 1, else
score 0.

(Land Use and Spatial Planning Act 2016, (Act 925);

Section 38(1c&e)) & 41 (1)) and Land Use and Spatial
Planning Regulation 2019 LI 2384; Regulation 44 and
45
3.3 Street Naming From the DCD obtain detailed information on street
Database and naming and property addressing database:
Property Addressing
i. If the Assembly has a functional street
naming and property addressing
database, score 1; 3

ii. If the database has been mapped out, printed

and displayed at the Assembly premises and
sub-structures, score 1;

iii. If the Assembly has installed at least 60% of

its named streets and property address plates
score 1, if less than 60% score 0.
Section 83 of Land Use and Spatial Planning
Act, 2016 (Act 925)
TOTAL 9

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THEMATIC AREA: SOCIAL PROTECTION, GENDER & NUTRITION (14)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
SDI 4.0 4.1 Social Protection From the DCD and Head of Department of Social
Services available in Welfare and Community Development receive
the District information on the operations of the Department of
Social Welfare & Community Development:

i. If the list of Social Services is available to

the citizens, score 1; 3

ii. If the District has implemented at least

60% of its action plans on social protection
from their AAP, score 1;

iii. If there is a report on services rendered

including referrals and collaborations with
other stakeholders in Social Protection,
score 1.

4.2 Availability of From the DCD and Head of Department of Social

Shelters Welfare and Community Development receive
(Transitional information on the operations of Residential Home
Housing) in the Centres (RHCs) (Transitional Housing) in the District: 1
District
i. If the Department has at least one (1)
Residential Home Centre and there is
report on the operations of the centre,
score 1

4.3 Availability of From the DCD and Head of Department of Social

Dedicated Hotline for Welfare and Community Development receive
the Vulnerable 1
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THEMATIC AREA: SOCIAL PROTECTION, GENDER & NUTRITION (14)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
information on the operations of the Department of
Social Welfare and Community Development:

i. If the District has a dedicated functional

hotline for vulnerable groups, score 1,
else score 0.
4.4 Service to People From the DCD and Head of Department of Social
Living with Welfare and Community Development receive
Disabilities (PWDs) information on the management of People Living with
Disabilities (PWD):

i. If the District has enrolled at least 90% of 3

PWDs registered with the District on
National Health Insurance Scheme, score
1;

ii. If the District has provided resources and

engaged at least 50% of the registered
PWDs on Productive Inclusive / Income
Generating Activities (IGAs), score 1; and

iii. If the District has built the capacity of at

least 30% of the registered PWDs in a
vocation or skill, score 1.

(Section 5 of the Guidelines for the Disbursement and

Management of the District Assembly Common Fund
Allocation to Persons with Disability (NCPD/GFD,
2010)

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THEMATIC AREA: SOCIAL PROTECTION, GENDER & NUTRITION (14)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
4.5 Deepening From the DCD, receive information on the Gender
Gender mainstreaming activities for 2021:
Mainstreaming
i. If at least 20% of Members (including co-
opted Members) on each of the Statutory 4
Sub-Committees are Women, score 2

ii. If the District Assembly supports 80% of

Gender activities to promote equality and
non-discrimination against women and
girls in the District, score 1;

iii. If there is evidence of planning of

infrastructural projects and programmes
according to women needs, score 1 else
score 0. Goal 5 of the Sustainable
Development Goals, the 2030 Agenda)
4.6 Nutrition From the DCD, receive information on Nutrition
Services activities in the District:

2
i. If the Assembly has oriented food
vendors and school feeding programme
contractors on nutrition, score 2

(Goal 2 of the Sustainable Development Goals, the

2030 Agenda)
TOTAL 14

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THEMATIC AREA: ENVIRONMENTAL HEALTH, SANITATION & CLIMATE ACTION (12)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
SDI 5.1 Availability of From the DCD, receive information on sanitation
5.0 Sanitation Service management
Providers 2
i. If the District has an approved list of
sanitation service provider(s) or if
Assembly provides the services by itself,
score 1;

ii. If there is evidence of monitoring and

evaluation of the services of the service
provider(s), score 1;

Goal 6 of the Sustainable Development Goals, the

2030 Agenda)
5.2 Availability of From the DCD receive information on disposal of
well-maintained refuse and dumping sites
Dumping Site or
engineered land fills i. If there is availability of a well-maintained 3
dumping site or Engineered Landfills
according to Environmental Health
Standards, score 1

ii. If the District has a functional final

disposal site or Co-ownership for
Solid/liquid waste with documentary
evidence, score 2.

Goal 6 of the Sustainable Development Goals, the

2030 Agenda)

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THEMATIC AREA: ENVIRONMENTAL HEALTH, SANITATION & CLIMATE ACTION (12)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
5.3 Monitoring and From the DCD receive information on the operations
Issuance of of food and beverage vendors
Certificates to Food
and Beverage i. If the District has a register of food and
Vendors beverage vendors, score 1, 3

ii. If the District has conducted screening

(medical tests with reports provided) for
food vendors and at least 80% of the
screened food vendors were issued with
certificates for year 2021, score 1.

iii. If there is evidence of monitoring and

follow-up actions on food hygiene, etc,
score 1.

Goal 3 of the Sustainable Development Goals, the

2030 Agenda)
5.4 Availability of From the DCD and Director, GES receive information
Institutional Toilet on public schools in the District:
facilities and Water 2
in Public Schools i. If at least 80% of Public schools in the
District have functional Institutional
Toilet facilities and Water facilities as at
2021, score 2

Goal 6 of the Sustainable Development Goals, the

2030 Agenda)

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THEMATIC AREA: ENVIRONMENTAL HEALTH, SANITATION & CLIMATE ACTION (12)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
5.5 Climate Change From the DCD receive information on Climate
Interventions Change interventions activity implementation;

i. If the District has delivered or 2

implemented at least 80% of climate
adaptation activities from their Annual
Action Plan (AAP), score 1;

ii. If the District has a programme on tree

planting / afforestation and there is
evidence of implementation, score 1.

Goal 13 of the Sustainable Development Goals, the

2030 Agenda)
TOTAL 12

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THEMATIC AREA: LOCAL ECONOMIC DEVELOPMENT (LED) (10)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
SDI 6.1 Availability of From the DCD receive information on LED activities:
6.0 District LED i. If the District has evidence of LED activities 2
activities in the AAP in the AAP, score 1

ii. If the District has implemented at least

60% of the LED activities in the Annual
Action Plan (AAP) score 1

6.2 Promotion of new From the DCD receive information on LED activities:
businesses and of
new jobs i. If the district has invested own resources in
direct productive sectors and can show
that it has resulted in new businesses that 2
have created new jobs at the local level:
Score 2
6.3 Facilitate and From the DCD, receive information and determine:
support to small-
scale agro- i. If the District has supported or provided
processing and storage facilities to reduce post-harvest
manufacturing losses, score 1 2
industries
ii. If the District has facilitated the acquisition
of machinery/ equipment that have
culminated in the processing of local
agriculture products (fruit juice, meat and
cassava processing, packaging and
branding, score 1

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THEMATIC AREA: LOCAL ECONOMIC DEVELOPMENT (LED) (10)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
score score Conclusion
6.4 Engagement with From the DCD receive information on LED activities:
Business
Community i. If the District has organized at least 2
business forums/ Platform meetings
with the business community in the District, 2
score 1;

ii. If there is evidence of follow-up action on

agreed actions from all the engagements in (i)
above, score 1.

TOTAL 8
SDI SUB-TOTAL 63

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SECTION C: PERFORMANCE INDICATORS (PIs)

THEMATIC AREA: ANNUAL ACTION PLAN IMPLEMENTATION (14)
No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations & Conclusion
score score
PI 1.1 Implementation From DCD receive reports on the
1.0 of Annual Action implementation of projects and programmes 2
Plan (AAP) in the Annual Action Plan.

i. If there is evidence that at least

90% of activities implemented
in 2021 are from the approved
Annual Action Plan, score 2,
else 0.

Local Governance Act, 2016 (Act 936)

Section 12 (Sub section 4a),
1.2 Monitoring of From DCD receive monitoring reports on all
District Projects district programmes and projects
and Activities 2
i. If a clear budgetary provision
has been made for M&E and
80% of Budgetary allocation
released for the implementation
of planned monitoring activities,
score 1, else score 0.

ii. If there is evidence of multi-

stakeholder participation in
monitoring activities, score 1

Local Governance Act, 2016 (Act 936)

Section 12 (Sub section 4e) Section 40

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THEMATIC AREA: ANNUAL ACTION PLAN IMPLEMENTATION (14)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations & Conclusion
score score
1.3 Records on From the DCD, obtain information on
Contract contract management and administration
Management and
Administration i. If final completion reports on all
completed projects are 4
available and all completed
projects are in use, score 3,
else score 0.

ii. If contingency has been

provided for works and used
with written justification and
duly approved, score 1, or If
contingency has not been used
score 1 else score 0.

(Conditions of contract section 3 paragraph

E56)
1.4 Record on From the DCD, receive a copy of the list of 3
follow up of Contracts/Services related to Deductions at
deduction at Source:
source
i. If a copy of the contract(s) is/are
available, score 1

ii. If there is evidence of

implementation (contract
implementation reports), score
1

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THEMATIC AREA: ANNUAL ACTION PLAN IMPLEMENTATION (14)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations & Conclusion
score score
iii. If there is no adverse findings on
Central Government
Deductions, score 1, else score
0
1.5 Environmental From the DCD, receive information on all
& Social ongoing physical projects (works):
Safeguards
i. If the MMDA has screening 4
forms for all ongoing projects
(physical works) on Project
Files, score 1;

ii. If the MMDA has acquired EPA

permits for all ongoing projects
(physical works), score 2;

iii. If the works department’s report on

adherence to occupational health
and safety standards is available,
score 1.

(Goal 15 of the Sustainable

Development Goals, the 2030 Agenda)
TOTAL 14

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THEMATIC AREA: CAPACITY BUILDING (5)

No. Indicator Assessment Maximum Actual Findings/Observations & Conclusion
Guide/Requirement score score
PI 2.1 From the DCD and OHLGS receive a
2.0 Implementation of copy of the TNA and Capacity Building
Capacity building Plan and Reports.
plan i. If all quarterly reports on
capacity building activities from
the capacity-building plan and 2
DPAT recommendations were
received with sex-
disaggregated data, within 15
days after the end of the
quarter, score 1, else score 0.
ii. If the Assembly has
implemented 80% of its
capacity building plan, score 1
Local Governance Act, 2016 (Act 936)
Section 52 (Sub section f),
2.2 Post - training From the DCD receive a copy of the
evaluation 2021 implementation of Capacity
Building/training reports.
i. If there is evidence of post- 2
training evaluation
conducted by the Human
Resource Management
Department (HRMD) at
least three (3) months after
the training was conducted,
score 2
Local Governance Act, 2016 (Act 936)
Section 52 (Sub section f),
TOTAL 4
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THEMATIC AREA: REVENUE GENERATION (8)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations & Conclusion
score score
PI 3.0 3.1 Payment From the DCD obtain detailed information on all
Points established payment points and options available
to citizens in the District: 3
i. If the Assembly established at least
5 payment points for Metros, 3 or
more for Municipals, 2 for Districts
(including payment points sited
within the Assembly premises),
score 3; else score, 0.
(Local Governance Act, 2016 (Act 936), section
161)
3.2 Revenue From the DCD obtain information on rateable
from Rateable properties and businesses database.
Properties and
Businesses i. If there is an established
computerized billing system, linked
to property rate roll and business
inventory, score 1; 5
ii. If property rates and business
operating permit bills have been
generated and delivered to all
property and business owners
before 31st December, 2021, score
2; and
iii. If there is evidence of follow-up
actions by the MMDA on
defaulters/non-payers of 2020 Bills
by the 31st March 2021; score 2,
else score 0.
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Local Governance Act, 2016 (Act 936), sections

154 and 161)
TOTAL 8
THEMATIC AREA: AUDIT PERFORMANCE (3)
No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations & Conclusion
score score
PI 4.0 4.1 Responsiveness of From the District Coordinating Director (DCD) 1
Audit Committee receive information on the Audit Committee of the
Assembly:

i. If the Audit Committee has received

and reviewed responses to all Audit
Observations in Quarterly Internal
Audit Reports and the Management
Letter for 2020, score 1
4.2 Audit Infractions From the DCD receive a copy of the Auditor 4
General’s Annual Audit Report for 2021 on
financial irregularities reported on embezzlement
and /or misappropriation;
i. If the sum total of Cash irregularities
is less than 1% of the total
expenditure of the Assembly for
2021, score 2

ii. If the sum total of all other financial

irregularities is less than 3% of the
consolidated expenditure of the
Assembly for 2021, score 2, else
score 0

***Percentage of financial irregularities is

calculated as: (financial irregularities/ total
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expenditure) * 100 for Cash and other

irregularities
Public Financial Management Act, 2016 (Act 921);
Section 84
(Local Governance Act, 2016 (Act 936); Section
176;
The Constitution of Ghana, Articles 187 & 253;
Audit Service Act, 2000 (Act 584); section 29)

NB: Audit Irregularities are determined by the

Auditor-General.
TOTAL 5

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THEMATIC AREA: ACCESS TO SOCIAL SERVICES (4)

No. Indicator Assessment Guide/Requirement Maximum Actual Findings/Observations &
Score score Conclusion
PI 5.0 5.1 Support to From the DCD and District Director of Education 2
Education Services receive information on the list of public schools in
the District and challenges faced by the schools:

i. If the Assembly has supported at least

15% of the Public Schools within the
district to address their challenges
furniture, teaching and learning
materials (TLMs), etc, score 2.

Local Governance Act, 2016 (Act 936) Section 12

(Sub section 3). Section 81 (Sub section 4) Goal 4
of the Sustainable Development Goals, the 2030
Agenda)

5.2 Support to Health From the DCD and District Director of Health 2
Services receive information on the list of public health
facilities in the District and challenges faced by the
centres:

i. If the Assembly has supported at least

15% of the public health centres to
address their challenges, score 2.

Local Governance Act, 2016 (Act 936) Section 12

(Sub section 3), Section 81 (Sub section 4) Goal 3
of the Sustainable Development Goals, the 2030
Agenda)

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5.3 Support to From the DCD, receive information on Agricultural

Agriculture services:
1
i. If the District has a list of Agricultural
Extension Agents (AEAs) and
information on their mapping to
Operational Areas for delivery of
support services to farmers, etc, score
1;

TOTAL 5
SUB-TOTAL (PIs) 37

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Annex 3: Reporting Formats

A. DOCUMENTS REQUIRED FOR ASSESSMENT

Name of MMDA: …………………………………………………

Zone:………………………………………………………………..

Date of Assessment: ………………….

No. Indicators Documents Tick

COMPLIANCE INDICATORS
CI. 1 General Assembly Meetings and Minutes of Meeting of the General Assembly for 2021,
Approvals
Invitation letters for General Assembly Meetings for
2021,
Signed Attendance sheet for General Assembly
Meetings
CI. 2 Other Statutory Meetings / Minutes of Meetings of the Executive Committee/
Requirements Authority (EC/ A) for 2021,
Invitation letters for Executive Committee/ Authority
Meetings for 2021
CI. 3 Public Financial Management and Minutes of Meetings of the Entity Tender Committee
Auditing (ETC)
Procurement Plan
Signed Quarterly Internal Audit Report for 2021,
Messenger Receipt Dispatch Book
CI. 4 Transparency, Accountability & CSU activity report and Complaint’s book
Participation Minutes of Meetings of Town Hall Meetings,
List of all Communities in the District,
MMDCE’s itinerary for Community Engagements
Annual Progress Reports (APR)
Reports of Community engagements,

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No. Indicators Documents Tick

SERVICE DELIVERY INDICATORS (SDIs)
SDI 1 Implementation of Decisions by Minutes of Meeting of the General Assembly for 2021
General Assembly & Management
File on ceded revenue, Reports on Communal service
(Follow-up Actions)
SDI 2 Basic/Social Services, Operations List of Application for Social Services (Water and
& Maintenance Electricity)
Sanitation Reports

Operations and Maintenance Plan

Implementation Report
Approved Assemblies Client Service Charter
Register for Public Transport
SDI 3 Physical & Spatial Planning Monitoring, Building and Inspection File and Reports

Minutes of Meeting of the Spatial Planning Committee

(SPC)
Functional Database on Street Naming and Property
Addressing
List of Street Names and Report on installation of
street addressing/directional signage
SDI 4 Social Protection, Gender & List of Social Services activity implementation Reports
Nutrition Housing Reports
Evidence of dedicated hotlines for the Vulnerable
Annual Progress Reports on PWD
Social Welfare Progress Report
SDI 5 Environmental Health, Sanitation & Sanitation reports and Contracts with service
Climate Action providers
Sanitation Monitoring reports

Environmental Health Reports/ EPA Certification

Liquid and Solid Waste disposal reports

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No. Indicators Documents Tick

Lists of food vendors

Certification reports on food vendors

Food hygiene monitoring reports

Lists of public schools and Database on facilities in

public schools
Climate change activity reports
SDI 6 Local Economic Development LED Plan and activity reports,
(LED) Lists of businesses and Reports on Business Forums,
Local planning scheme,
Documents on industrial enclave,
Reports on Investor Engagements,
Reports on agricultural activities
PERFORMANCE INDICATORS (PIs)
PI 1 Work Plan Implementation Annual progress reports on AAP
Monitoring Checklist and Report
Signed Minutes of Meetings of site meetings
Contract Register
Contract Agreements
List of Safeguards Team, Screening Forms for
ongoing Projects
EPA Permits
PI 2 Capacity Building Quarterly Training Reports from OHLGS

Training manuals/course handouts

Training Needs Assessment (TNA)
PVs and supporting documents
Training Impact assessment reports
PI 3 Revenue Generation Files on payment points
Software in operation
Billing notices and records

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No. Indicators Documents Tick

PI 4 Audit Performance Auditor-General’s Reports for 2021 on IGF, DACF and
other Statutory Funds
PI 5 Access to Social Services List Of Public Schools and Support to Schools
Reports
District Education Progress Reports

List Of Public Health Facilities and Support to Health

Centre Reports,
District Health Progress Reports

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B. SUMMARY SCORING SHEET FOR DPAT INDICATORS

Name of MMDA: ………………………………………. Zone: …………………

Date of Assessment: …………………………………

NB: Consultant is to expand the details for the Compliance Indicators

No. Thematic Area Outcomes
Fulfilled Not Fulfilled
SECTION A: COMPLIANCE INDICATORS (CI)
CI. 1 General Assembly Meetings and Approvals
CI. 2 Other Statutory Meetings / Requirements
CI. 3 Public Financial Management and Auditing
CI. 4 Transparency, Accountability & Participation
Scoring
SECTION B: SERVICE DELIVERY INDICATORS (SDIs) Max. Actual Score
Score
SDI 1 Management Coordination – Implementation of Service 5
Delivery Decisions
SDI 2 Basic/ Social Services 15
SDI 3 Physical and Spatial Planning Services 9
SDI 4 Social Protection, Gender and Nutrition 14
SDI 5 Environmental Health, Sanitation and Climate Action 12
SDI 6 Local Economic Development (LED) 8
Sub-total (SDIs) 63
Scoring
SECTION C: PERFORMANCE INDICATORS (PIs) Actual Actual Score
Score
PI 1 Annual Action Plan Implementation 15
PI 2 Capacity Building 5
PI 3 Revenue Generation 8
PI 4 Audit Performance 5
PI 5 Access to Social Services 5
Sub-total (PIs) 37
TOTAL (SDI + PIs) 100

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C. CAPACITY BUILDING REQUIREMENTS - SUMMARY

Name of MMDA: ……………………………………………… Zone: ……………

Date of Assessment: ……………..

Challenge
Area/Issue Process/Source Recommendations
Thematic Area / Indicator (What accounts for the issue/
(What is the Issue?) (How was the Gap Identified?) (Software/Hardware)
problem?)
COMPLIANCE INDICATORS

SERVICE DELIVERY INDICATORS

PERFORMANCE INDICATORS

MMDA’s CAPACITY BUILDING PLAN

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D. COMPLAINT FORM
Name of MMDA: …………………………………………. Zone: ………………

Date of Assessment: …………………..

COMPLIANCE INDICATORS DETAILS OF ISSUE

CI. 1 General Assembly Meetings and Approvals
CI. 2 Other Statutory Meetings / Requirements
CI. 3 Public Financial Management and Auditing
CI. 4 Transparency, Accountability & Participation
SERVICE DELIVERY INDICATORS (SDIs)

SDI 1 Implementation of Decisions by General

Assembly & Management (Follow-up Actions)
SDI 2 Basic/Social Services, Operations &
Maintenance
SDI 3 Physical & Spatial Planning

SDI 4 Social Protection, Gender & Nutrition

SDI 5 Environmental Health, Sanitation & Climate

Action
SDI 6 Local Economic Development (LED)

PERFORMANCE INDICATORS (PIs)

PI 1 Work Plan Implementation

PI 2 Capacity Building
PI 3 Revenue Generation
PI 4 Audit Performance
PI 5 Access to Social Services

…………….……. ………………………..
(MMDCE) (SUB-TEAM LEADER)

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E. ASSESSMENT DECLARATION FORM

MINISTRY OF LOCAL GOVERNMENT, DECENTRALISATION AND RURAL

DEVELOPMENT

DISTRICT ASSESMBLY PERFORMANCE ASSESSMENT PROCESS

YEAR (……….)

ASSESSMENT DECLARATION FORM

NAME OF MMDA: …………………………………..

REGION: ………………………………………………….

PERIOD OF THE ASSESSMENT: ……………………………………

DATE OF SIGNATURES: ………………………………

NAME OF DCE: .………………………………………………………………..……….

DCE’s SIGNATURE: …………………………………………………………………...

NAME OF DCD: .………………………………………………………………..……….

DCD’s SIGNATURE: …………………………………………………………………...

NAME AND SIGNATURE OF ASSESSMENT TEAM LEADER:

………………………………………………………………………………………………

ASSESSMENT TEAM MEMBERS (NAMES AND SIGNATURES):

……………………………………………………………………………………………

………………………………………………………………………………………………

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F. CONTENT/OUTLINE OF THE ASSESSMENT REPORT1

1. Cover Page
2. Declaration Form - Assessment Report
3. Complaints Form
4. Introduction / Background
5. Methodology used for the assessment
6. Summary of the results (fill in overview results for Compliance, Service Delivery
and Performance Indicators) and draw conclusions
7. Notification of disagreement with the outcome of the Assessment
8. Summary of Capacity Building Requirements
9. Challenges in the Assessment
10. Specific and General Comments to individual aspects of the Assessment Process
(a summary of the most important comments during the assessment of the
Indicators)

Annex 1 Assessment of the Compliance Indicators

Annex 2 Assessment of the Service Delivery Indicators
Annex 3 Summary Scoring Table for Compliance, Service Delivery and
Performance Indicators
Annex 4 Summary of Complaints
Annex 5 Summary of capacity building requirements
Annex 6 List of persons met (provide name, contact and designation of persons)
Annex 7 List of documents consulted (from the checklist) – Refer to Annex 3(A)

1
This format is to used for district specific and consolidated reports

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G. LIST OF PERSONS CONTACTED2

Name of MMDA: …………………………………… Zone: ………………

Date of Assessment: …………………………..

No Name Position Tel/Email Signature

2 This is only required for the District Report

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H. DRAFT REPORT SUBMISSION FORM

MINISTRY OF LOCAL GOVERNMENT, DECENTRALISATION AND RURAL

DEVELOPMENT

DISTRICT ASSESMBLY PERFORMANCE ASSESSMENT PROCESS

YEAR (……….)

DRAFT REPORT SUBMISSION FORM

The undersigned hereby confirm that the Consulting Firm (__________________)

submitted a Draft Report to the Management of the MMDA. The MMDA further
confirms that the Draft Report was duly studied before the Exit Conference. Any
grievances are reflected in the Complaints Form.

NAME OF MMDA: …………………………………..

REGION: ………………………………………………….

DATE OF SIGNATURES: ………………………………

NAME OF DCE:.………………………………………………………………..……….

DCE’s SIGNATURE: …………………………………………………………………...

NAME OF DCD:.………………………………………………………………..……….

DCD’s SIGNATURE: …………………………………………………………………...

NAME AND SIGNATURE OF ASSESSMENT TEAM LEADER:

………………………………………………………………………………………………

SIGNATURES:

……………………………………………………………………………………………

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