04 Preparation of a Medium-term Integrated Local Dvelopment Framework - Guidelines - March 2009

8/8/2019 04 Preparation of a Medium-term Integrated Local Dvelopment Framework - Guidelines - March 2009

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TheseguidelinesweredevelopedbytheNorthernProvincialCouncilunderthe

Cooperation(GTZ)supportedPerformanceImprovementProject(PIP)onbehal

MinistryforEconomicCooperationandDevelopment(BMZ).


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CONTENTS

FOREWORD

1. INTRODUCTION

2. LEGALFRAMEWORK

3. THEPLANNINGPROCESS

4. PLANFORMULATION

PHASE1:INSTITUTIONALSETUP

Stage1:Initialmeetingwithauthoritiestoidentifytheneed

toproduce

alocal

development

framework

Stage2:Establishmentofateamwiththeresponsibility

ofplanpreparation

PHASE2:PROFILEPREPARATION

Stage3:Collectionofsectorinformation/profiles;

establishmentofaplanformulationcommittee

Stage4:Collectionofavailablepeoplesparticipationexercises

Stage5:Compilationofinformationgathered,

preparationoftheprofileandconsultationprocessStage6:Formulationofthevision

PHASE3:PLANPREPARATION

Stage7:Identificationandanalysisofissuesandpotentials

Stage8:Screeningofrootcauses

andprioritisationofissuesandcauses

Stage9:Clusteringofprioritisedissuesandcauseswithpotentials

Stage

10:

Formulation

of

strategies,

development

goals,

programmesandprogrammeobjectives

Stage11:Delegationofprogrammesforformulationofprojects

Stage12:Designofprojectoutlines

Stage13:Amalgamationoftechnicalprojectoutlines

andpeoplesaspirations

Stage14:Productionofthemediumtermdevelopmentframework;

consultationandapprovalprocedure

PHASE4:

PLAN

IMPLEMENTATION

Stage15:AnnualImplementationProgramme(AIP)

Stage16:Planimplementation

5. ANNEXURES

5.1 Formulationoftheprofile:Requireddataandinformation

5 2 Formulation of the profile: Example of sector profiles


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USEDABBREVIATIONS

ACLG AssistantCommissionerofLocal

ADB AsianDevelopmentBank

AIP AnnualImplementationPlan

DS DivisionalSecretariat

CBO CommunityBasedOrganisation

CLG

Commissionerof

Local

Governm

EPC EasternProvincialCouncil

GN GramaNiladhari

INGO InternationalNongovernmenta

LA LocalAuthority

LG LocalGovernment

M&E MonitoringandEvaluation

MC MunicipalCouncil

MOH

MedicalOfficer

of

Health

MP MemberofParliament

MTDF MediumTermDevelopmentFra

NEPC NorthEastProvincialCouncil

NECCDEP North EastCoastalCommunity

NGO NongovernmentalOrganization

NPC NorthernProvincialCouncil

PPS

Provincial

Planning

Secretariat

PNA ParticipatoryNeedsAssessment

PRA ParticipatoryRuralAssessment

PS PradeshiyaSabha

RDD RuralDevelopmentDepartment

SLILG SriLankanInstituteofLocalGov

UC UrbanCouncil

UDA UrbanDevelopmentAuthority

UNICEF

UnitedNations

Childrens

Fund

USAID UnitedStatesAgencyforInterna


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FOREWORD

Despitethe

fact

that

decentralisation

campaign

gained

momentum

in

Sri

Lanka

herentinstitutionalframeworkforlocalleveldevelopmentplanningcouldnoth

foralongtime.Withtheintroductionofprovincialcouncilsthesituationbecam

plex.Presenceofthreedifferenttiersofgovernment:bodiesofcentraladminis

administrationandlocalgovernmentcomplicatedplanningprocessonlocallev

levelplanningsystem,amultipleplanningcultureplaguedthesystem.

Paralleladministrationsystemsfailedtoprovideaninstitutionalframeworkfor

opmentprogrammes,

which

also

contributed

to

the

delay

in

achieving

benefits

viationprojects.Trueparticipation,transferoflocalleveldevelopmentrespons

munitiesandsustainabilityofoperationandmaintenanceofcommunityassets

asanticipated.Absenceofacoherentinstitutionalframeworkforplanningatlo

privedtheopportunitytothepeopletoreapbenefitsofdevolutionefforts.

TheNorthEasternProvincialCouncil(NEPC),inordertorealizethebenefitsofd

takeinitiativetointroduceaunifiedintegratedplanningprocessatlocallevel.T

couragedbythenewnationallocalgovernmentpolicyinitiativebytheMinistry

cilsand

Local

Government.

Hence

apilot

programme

was

launched

in

Kinniya

in

auspicesoftheGTZassistedPerformanceImprovementProject(PIP)ofNEPC.T

implementedincooperationwithPeopleinNeed,anongovernmentalorganiza

Thepilotprogrammewentthroughalongconsultationprocessatlocallevel.Th

secretariathadalreadylaiddownthebasisforalocaldevelopmentplanningpr

conceptualframework,theprocesswastestedandimproved.Variousproceduinstitutionsevolved.Recordingalltheprocessesandpractices,PIPandPINtook

velopthese

guidelines

for

integrated

local

level

development

planning

process.

essofvalidation,theseGuidelinesweresubmittedtotheMinistryofProvincial

Governmenttobeadoptedinotherareasaswell.

TheuntiringeffortsandcontributionsoftheDivisionalSecretarysofficeKinniya

andmembersofUrbanCouncilandPradeshiyaSabhaKinniya,thelocallevelhe

sultantsofPIPandPINandtheNEPCofficials(subsequentlyNPCandEPC)made

cess.NPCwouldliketoplaceonrecorditsappreciationoftheservicesofalloft

generousassistance

for

the

pilot

programme

and

the

people

of

Kinniya

for

prov

ground.

TheseGuidelineswillserveasasourcedocumentforallinstitutionsinvolvedin

andhencewillberecognizedasanimportantmilestoneinthehistoryoflocalle


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1

INTRODUCTION

National Policy Declara-tion for Local Government

Localgovernmentisakeyroleplayerinthe

essin

Sri

Lanka.

However,

nowadays

it

is

in

toconductanykindofplanning.Itismainl

capacityoflocalauthoritiestocarryoutth

tions,andatthesametimeduetoactivitie

suchasthedivisionalsecretariats,Boardo

DevelopmentAuthority,NationalWaterSu

Board,andothersemiautonomoussector

widelyseenasencroachinguponthemand

ties.

ThepassingoftheNationalPolicyDeclarat

ernmentin2007initiatedachangeinthew

mentplanningisexpectedtofunctioninth

4.1.5ofthepolicyclearlysetsthetracksfo

policywantstoreplacethemultipleplann

wellcoordinatedmultilevelplanningproce

Policywill

pay

special

attention

to

bring

the

strationandtheLocalGovernmentAuthori

formofplanningandcoordinationbydeve

institutionalspaceandmechanismsforhar

betweenthetwo.Allmajorpartnersinloca

requiredtointegratetheiractivitiesinaco

thesingularcoordinationofthelocalautho

policy

will

further

ensure

that

the

local

austatusoftheplanningauthorityofthearea

tion(4.1.5.3).

Thesechangesintroducedbythepolicyreq

andadditionstotheexistinglaw.Thepolic

thisneedwhenitsaysthattoensurestric

above,asetofguidelinesforsocioeconom

opmentplanning

at

the

local

level

will

be

s

processofinterministryconsultation(4.1

forthePreparationofaMediumtermInt

opmentFrameworkpresentedhereisast

task.Bydoingso,itisexpectedthatLocal

assumeanewmeaningasanamalgamof


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Characteristics of ILDP

TheIntegratedDevelopmentPlan(IDP)isa

grateddevelopmentplanningprocess.Itis

planninginstrument

which

guides

and

info

eting,managementanddecisionmakingo

localauthorityarea.

Integrateddevelopmentplanningisadem

bylocalgovernment,whichisdirectlyacco

pleofthearea.Thelocalgovernmentisthe

leveltocreatelinkagesandbuildsynergies

sectordepartments

and

other

stakeholder

Thetraditionalverticalplanningprocessis

horizontalplanningprocess,wherelocalg

otherplanningentitiesworktogetherand

tiesofplanningtogether.Horizontalplann

ninginputsfromallsectorsworkingonloc

theprocess,thuspreservingthevaluedexp

Itharmonisesimplementationplansofdiff

workinginthesameare.Inthepast,multi

agencieshasleadtofragmentedandsegm

plans,whereeachsectorpreparedaplani

outharmonisationwithotheragencieswo

level.Thisresultedinduplications,overlap

source.

Theprocessisgroundedinpeoplespartic

planningstemsfromgrassrootslevelupwa

thorities,sothatplansrelevanttotheloca

paredwithlocalcommunitieswhogainas

ership.Thisalone,leadstobettermorecos

andresults.

Integrateddevelopment

planning

is

multid

thereforefollowsaclearlyorganisedseque

atameaningfulplan.Theplanningprocess

thority,needstotakenumerousfactorsint

mostbeingparallelexistenceoflocalgove

secretariats Then comes the multiplicity o


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2

LEGAL

FRAMEWORK

Inthepastyearstherehavebeenaserieso

variouskinds,manualsandguidelinestryin

essof

local

development

planning

in

Sri

La

donotwanttoaddonemoredocumentto

stockofthereasonsforthepartialfailureo

viousdocumentsandrescuedlessonslearn

harmonisingandpracticableguidelines.So

vantdocumentsconsideredintheprocess

guidelinesarequotedbelow.

Legalreference:

MinistryofLocalGovernmentand

NationalPolicyDeclarationforLoc

2007

LocalGovernmentReformsCircula

LocalAuthoritiesinDevelopmentP

Planning,MinistryofLocalGovern

Councils

CircularNo.5/4/5/2006/1,NEP(Ch

UnifiedLocalLevelDevelopmentP

2006)

Referentialdocuments:

UrbanDevelopmentAuthority/U

ualforlocalauthorities,1990

GovernmentofSriLanka,Reporto

InquiryonLocalGovernmentRefo

Chief Secretary NEPC, Divisional

tionProgrammefromYear2000U

velopment Planning Process (N

1999

Government of Sri Lanka / UNDP

Manual on Provincial and Divi

date]

NEPC,PlanningProcedure,1999

Kruse Claus / Woiwode Christoph


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3

THEPLANNING

PROCESS

TheseGuidelinesforthePreparationofa

gratedLocalDevelopmentFrameworkisa

frameworkprovided

by

provincial

directive

velopmentplanningandthenationalpolicy

PlanningProcedureestablishedinitiallyby

DivisionalPlanningProcess(herereferredt

mentplanningprocess)anddefinedthefo

ThereshallbeaMediumTermDe

worktoguideinvestmentsandpro

divisionallevel.

This

shall

be

a3ye

importantroleoftheplanistoact

ofreferenceforvariousgovernmen

sectororganisationsandpeoplesr

identifyingdevelopmentactivitiesa

sionallevel.Thisdocumentshallref

andprioritiesofthedivision(Sect

TheDivisionalPlanshallbeamult

distinctoverallobjectivesandsecto

shallsuggestdevelopmentneedsa

outsforthreeyears.Onthebasiso

anAnnualImplementationProgram

oped,implementedandmonitored

havethefollowingdistinctivesteps

Step1Buildingdatabaseanddi

Step

2

Need

analysis

and

problemStep3Formulationofobjectives

Step4Formulationof3yearplan

Step5PreparationofAnnualImp

gramme

Step6Implementation,Coordina

Evaluation

Thisprocessshalltakeplaceaccord

instructionsgiven

under

governing

2.3.3).

Theseguidelinesspecifysteps 1(partially)

process.


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4

PLANFORMU

LATION

Thestagesoflocaldevelopmentplanningf

acomprehensiveandintegratedlocaldeve

diumterm

development

framework

/four

havebeensofarestablishedasfollows:

PHASE1

INSTITUTIONALSETUP

1. Initialmeetingwithauthoritiestoiden

ducealocaldevelopmentplan

2. Establishment

of

a

team

with

the

respopreparation

PHASE2

PROFILEPREPARATION

3. Collectionofsectorinformation/profile

planformulationcommittee(alsosee

InstitutionalSetup)

4. Collectionof

peoples

participation

exe

5. Compilationofinformationgathered,p

profileandconsultationprocess

6. Formulationofthevision

PHASE3

PLANPREPARATION

7. Identificationand

analysis

of

issues

and

8. Screeningofrootcauses,andprioritisa

causes

9. Clusteringofprioritisedissuesandcau

10.Formulationofstrategies,developmen

andprogrammeobjectives

11.Delegationofprogrammesforproject

12.Designofprojectoutlines

13.Amalgamationof

technical

project

out

aspirations

14.Productionofthemediumtermdevelo

consultationandapprovalprocedure

PHASE 4


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Itisimportanttonotethattheplanningprocessthatfollowsthestages116me

stitutesacycle.Stage1isnotonlythefirststepintheprocessbutalsofollowss

Figure1:

Theplanningprocesscycle

Thetimeframetobefollowedisshowninannexe13.

Thefigurebelowshowsstages3to13ingreaterdetail.Thesearethestagesth

skills,whilestages1,2,14,15and16aremoreadministrativeinnature.Thefig

fromcurrent

data

and

information

to

development

projects,

following

asystem

supportsanapproachtoprojectformulationbasedonaclearpictureofallrele

arecharacterisedintheareaofintervention.Thisintegralappreciationofthesi

tegicprioritisationofinterventionstowardssustainabledevelopment.

Ascanbeseeninthefigure,developmentprojectseventuallyrespondtothree

Stages 1+2

Need for a

plan Institutional

set-up

Stages 10-14

Formulationof strategiesand projectoutlines

Preparationof medium-term plan

Stage 15+16

Formulation ofannual imple-mentationplans

Implementationof projects

M&E

Completion ofprojects

Completion ofplan


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10

Figure

Formulationprocessofamediumtermdevelopmentp

Other sectors

Roads and

transport

Environment

Education

Public utilities

Health

Commerce,

industry, live-

lihoods

Housing

Data andinformation(Stages 3-5)

Analysis(Stage 7)

Prioritised potentials and

problems (Stage 8)

Agriculture

Fisheries,

Animal hus-

bandr

Security

Potentials (EXAMPLES):

Water sources Good accessibility Important regional market Mineral deposits to be exploited Entrance point to national park Professional expertise available in the div Willingness of the inhabitants to work for

provement of the division

Problems (EXAMPLES):

Poor quality of the soil High pollution (wastewaters) High incidence of dengue

Poor condition of most buildings Conflicts between communities Disagreement between Divisional Secreta

local authorities Increased incidence of robberies and ass


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PHASE 1INSTITUTIONAL SET-UPSTAGE 1Initial meetingwith authoritiesto identify theneed to produce alocal develop-ment frameworkIdentify the need of prepar-ing a new plan

Participants of initialmeeting

Thedevelopmentplanningprocessisacyc

peatedregularly,accordingapredetermin

ure1above).Inthecaseofthemediumte

processof

plan

formulation

should

happen

(seefigure2above).Itisthetaskofplanni

leveltoidentifytheneedofstartingthepr

headingtheplanningunitintheLocalGove

tantDirectorPlanningoftheDivisionalSec

shouldidentifytheneedandinitiatethepr

organiseameetingwiththedecisionmake

andpresentthecase.

Therearefourcasesthatjustifytheprepa

frameworkoranewplan:

theLocalGovernment/Divisional

planor

thecurrentplanis(almost1)fullyim

thelastplanisoutdated2or

thecurrent

plan

has

become

irrele

seenevents(e.g.majornaturalcat

Therepresentativesfromthelocalauthorit

sionalSecretariat,MunicipalCouncil,Urba

PradeshiyaSabha)shouldparticipateatthe

kickstarttheprocess.Acombinedgroupo

least

chairmen

and

vice

chairmen)

as

well

(mostofallthesecretariesandheadsofth

needtobegatheredtopresenttheimport

thetediousprocessofplanpreparation.Th

calledbytheLocalAuthorityrepresentativ

respectiveACLG.


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Reach an agreement

STAGE 2Establishmentof a team withthe responsibil-ity of planpreparation

Acommonagreementregardingtheplann

bereached.Itwillgivetheprocessthereq

utesshould

be

taken

and

if

possible

signed

ofallinstitutionspresent.

Aplanningteamshouldbeestablisheddur

scribedinstage1.Thisteamwillberespon

lationof

the

plan

at

all

stages.

Ideally,

the

prisedofplanningofficersfromtheinvolve

i.e.theDivisionalSecretariatandtheLocal

sameareaofjurisdictionandthesecretary

LocalGovernment(s).Thesecretaryofthe

thecoordinatoroftheteam,inchargeoff

andinitiatingnewsteps.

Theteam

members

should

be

named

in

th

meeting.Itshouldbeagreedthatthemem

meetregularlytoworkonthepreparation

berwhocannotattendameetingwillexce

placementtothatmeeting.

Theteamshallbegivenaname,planning

team

will

play

a

central

role

during

the

entTheCLGandACLGofficeswillmonitorthe

teamandprovidetechnicalsupportifneed

communicateprogressintheplanningpro

throughrespectiveACLGinmonthlyinterv


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PHASE 2PROFILE PREPARATIONSTAGE 3Collection of sec-tor informa-tion/profiles; es-tablishment of aplan formula-tion committee

Involve all relevant stake-holders in the area

Thefirsttaskoftheplanningteamestablis

betheorganisationofameetingwithallr

oftheareathatwillbeaffectedbytheplan

holdersare:

DivisionalSecretariatofthearea

LocalGovernmentofthearea(MC

Membersofstandingandadvisory

governments

UrbanDevelopmentAuthority(inc

underUDAjurisdiction)

Allsector

offices

(e.g.

agriculture,

h

roads,irrigation,forestry,socialwe

animalhusbandry,etc.)

Allsemigovernmentalorganisatio

board,waterboard,telecommunic

MainNGOsthatareactiveinthea

MainCBOsofthearea

Attheinitialmeetingsectorsshouldbere

ProvincialorDistrictheadsaswellasoffic

whowillbeworkingwiththeplanningteam

Themeetingshouldbecalledbytheplann

theACLGofficecanberequestedforassist

ing/invitingsectorrepresentativesfromth

Theproceedingsofthemeetingshouldbe

meetingamong

the

local

authorities.

The

n

ofpreparingadevelopmentplanshouldbe

processthatneedstobefollowedshouldb

wise.Theemphasisshouldbeontherolet

havetoplayfortheproductionofaplanth

tion and development objectives of all peo


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Plan formulation commit-tee to collect sector dataand information

Plan formulation commit-tee to prepare sector profiles

prioritisetheinterventions,andformulate

jects.Theplanformulationcommitteewi

ofthe

planning

team

established

in

stage

tioncommitteecanbefurtherdividedinto

respectivesectors.

Itissuggestedtoformthefollowingsector

InfrastructureandUrbanPlanning

electricity,communicationetc.)

Livelihood,ProductionandEmploy

culture,fisheries,

irrigation

etc.)

Publicutilityandservices(Includin

sanitation,wastemanagement,pu

Environmentprotectionandresou

Health

Education

Tocarryoutitsfirsttask,theplanformula

receivealistofdataandinformationthati

theprofileofthearea.Amodellistisattac

Theplanformulationcommitteeshouldag

dataandinformationandpresentitinan

theplanningteamtocompileitintothepr

shouldbeagreedforthemembersofthep

committeetosubmitthesesectorprofilest

The

plan

formulation

committee

should

beweeksforthecollectionofthedata.Thepl

monitortheprocessandremindthememb

mulationcommitteetosubmitthedataan

agreed.

Theplanformulationcommitteeshouldide

profilethatnotonlycontainsrawdatabut

essedalready

to

usable

information.

Annex

showtoolsandexamplesofhowdataand

presentedbythemembersoftheplanform

Inviewofthelowcapacityofofficesatloc

of the plan formulation committee might a


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Institutional set-upFigure3belowshowshowtheplanformul

shouldbecomprisedoutofmembersofal

holdersin

the

area.

The

committee

perform

soryandcomplementaryrole,supportingt

ningteam.

Figure3showsapossibleinstitutionalset

planningprocess.LocalGovernment(MC,

tiveDivisionalSecretariatestablishaplann

ningteamasksallrelevantstakeholders(se

governmentalorganisations,

NGOs

and

CB

resentativestoformaplanformulationcom

Divisional

Secretariat

Planning

Team

PlanFormulationCommittee

Local

Government

Figure3:

Possibleinstitutionalsetupforlocaldevelopmentplanningproce


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STAGE 4Collection ofavailable peoplesparticipation ex-ercises

Animportantaspectoftheproductionoft

planistheinvolvementofthepopulation.

planningteamwillnotneedtoconductap

forthesakeoftheprofileandplanformula

departments,NGOsandotherorganisation

participationprocessesatcommunityleve

Therole

of

the

planning

team

is

to

collect

participatoryprocessesinrecentyears(tw

whilethesectorprofilesarebeingprepare

peopleidentifiedthiswaywilllaterbeama

moretechnicalviewsoftheofficersandpr

Thisstageoftheprofileandplanformulati

cantlyfromonedivisiontoanother.Thepl

decidehow

relevant

the

information

is

and

conductadditionalparticipationprocesses

communities5.


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STAGE 5Compilation ofinformationgathered, prepa-ration of the pro-file and consul-tation processPlanning team to compilesector profiles, submit

document to stakeholdersfor comments, and amendprofile

The Profile to be prepared innational Language withSummary in English

Whenthedataandinformationcollection

planningteamformulatestheprofile.Ann

exampleof

the

contents

of

aprofile.

6

Thedraftprofileshouldbesenttoallstake

comments(consultationprocess).Thestak

askedtoreadthedocumentandprovidew

regardingcorrections,additionsandanyot

mightfindimportanttoimprovethequalit

planningteamshouldgiveanadequatepe

revision.A

timeframe

of

between

two

wee

adequate.

Oncethecommentshavebeensubmitted

arevisedversionoftheprofileshouldbep

versionshouldbeprintedandbroadlydist

amongallstakeholdersofthearea,butto

thatmightbeinterestedintheprofileasw

provincialadministration,

regional

NGOs

a

agencies,specialprojects,etc.).

UnlessthePlanningTeamhasdecentcom

profileshouldbepreparedinanationallan

Englishtheauthorscouldbepreoccupiedb

pectprogressslowlyandsidelinethetechn

partofthework.Incorrectlyusedtermsca

terpretationof

the

situation

by

the

readers

prehensivesummaryinEnglish(1:10,e.g.i

pages,thesummaryshouldcompriseof7

oftheprofile.Iftheplanningteamdoesno

totranslatethesummaryintoEnglish,assi

videdby(A)CLGofficers.


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STAGE 6Formulation ofthe vision

Atthisstageoftheprocess,aworkshopis

sentativesfromallrelevantstakeholdersin

poseof

the

workshop

is

the

formulation

of

theaspirationsofthepeople.

Thisstagemarksthestartoftheproperp

thepreviousstage,theworkoftheplannin

thearrangementoftheinstitutionalsetup

availabledataandinformation.Theanalyt

planningprocessstartatthisstage.

Thevisionispartofanystrategicplanning

defineswherethecommunitywantstobe

reflectstheoptimisticviewofthecommun

statementisasourceofinspirationandpro

makingcriteria.

Featuresofaneffectivevisionstatementm

Clarityandlackofambiguity

Paintavividandclearpicture,not

Describingabrightfuture(hope)

Memorableandengagingexpressi

Realisticaspirations,achievable

Alignmentwithlocalvaluesandcu

Time

bound

if

it

talks

of

achieving

a

Onceformulated,thevisionshouldberatif

TeamandsubmittedtotheLGCouncilfor

willlaterbeincorporatedintheprofileand

foundationfortheformulationoftheplan


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PHASE 3PLAN PREPARATION

STAGE 7Identificationand analysis ofissues and po-tentialsDefine issues andpotentials

Identify causes

Theprofileproducedisthefoundationupo

teamconstructsthedevelopmentframew

thataplancanonlybeasgoodastheinfor

itsbasis.Iftheprofilecontainsmanyerrors

planwillfail.

Ontheotherhand,theplanshouldrelyto

ontheprofile.Itisimportanttoavoidthef

thatrespondstostatementswhicharenot

information

(speculation).

The

projects

in

aformulatedbecauseanindividualoranorg

arenecessary.Thatnecessityhastobepro

theprofile.

Theissuestobeaddressedaretobeident

Theplanningteamshouldisolateallissues

profile,aswellasallpotentials.Allissuesa

fiedshould

be

written

in

separate

tables.

T

laterbeusedtoformulatestrategiesandp

themadequately.

Theissuesidentifiedintheprofileneedto

Theplanningteamshouldorganiseworkin

ganisationsandindividualsthatmightcont

oftheissues.Thestartingpointshouldbe

planformulation

committee.

The

purpose

findoutthecausesandreasonsbehindthe

intheprofile.Answersneedtobefoundto

whyisthemainroadinsuchabadconditi

somanycasesofdengueinourarea?,wh

d f il th i fi l ? h h th


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Analyse causes using

problem tree tool

STAGE 8Screening ofroot causes andprioritisation ofissues andcauses

Prioritise issues and causes

Fortheanalysisofissuesdescribedabove,

mightintroducethehelpofanalyticaltools

tools

that

can

be

used

for

this

purpose.

A

stoolistheproblemtree.Theproblemtre

nexe5.4.

Ifrequired,thePlanningTeamcanseekas

identificationofproblemsandpotentialsa

supportingofficersoftheCLGandPPS.

Theuseoftheproblemtree(oranyothert

problemsidentifiedintheprofilewillprod

causesthatexplaintheexistenceofeachp

Thedevelopmentframeworkshouldfocus

rootcauses,inordertoresolvetheproble

However,the

amount

of

root

causes

requi

ingtoeliminateduplicationsandtocluste

larrootcauses.Oncetherootcauseshave

planningteamshouldproceedtoprioritise

sheeramountofrootcauses,theprioritisa

toknowwheretostartresolvingissuestha

opmentofthearea.

Therearemanywaystoprioritiseissues.T

shouldselectatoolthatisknowntoitsme

usuallyachievesgoodresultsisthecorrela

nottheeasiesttooltouse,buttheprocess

andtheresultsobtainedmightjustifyusing

matrixisexplainedinannexe5.58.

At

the

end

of

the

prioritisation

(whether

ththecorrelationsmatrixornotisirrelevant)

alistofissues(rootcauses)prioritisedina

transparentmanner.Theseprioritisedissu

oneofthebasesfortheformulationofpro


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STAGE 9Clustering ofprioritised issuesand causes withpotentialsPrepare packages of in-formation to address eachissue

Whentheplanningprocesshasreachedth

teamhasaprioritisedlistofissuestobead

lows

requires

planning

skills

and

an

overviepotentialsofthearea,aswellasanunders

waystoresolveproblemsandexploitresou

manner.Thisstagerequirestheassistance

ners.Iftheyarenotavailablelocally,thep

requestassistancefromsupportingofficer

Theplanningteamwillstartbyanalysingth

highestpriority.

The

task

is

to

determine,

w

closelylinkedtothefirstone,andwhatpo

tappedtoaddresstheissue.Oncethishas

planningteamshouldprepareapackage

Inotherwords,thepackagewillcontaint

highestpriority,otherissuescloselyrelated

potentialsthatcouldbetappedtoaddress

Onceapackage

has

been

established

for

highestpriority,theplanningteamshould

apackagefortheissuewiththesecondh

procedureshouldberepeateduntilallissu

dressed.Thesepackageswilllaterconstit

thedevelopmentplan(refertoannexe5.6


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STAGE 10Formulation ofstrategies, devel-opment goals,programmesand programmeobjectivesPlanning team to formu-late development goals

(strategies), Programmesand programme objectives

Inordertoaddressthepackages,theplan

latesdevelopmentgoals(strategies),progr

gramme

objectives

for

each

package.

First,eachpackageshouldbeassignedto

thanonesectorifrequired). Theplanning

withsectorrelevantmembersoftheplanf

teeformulatesastrategyordevelopmentg

sectorintheparticularlocalauthorityarea

goalshouldbeformulatedasageneralove

Eachstrategycontainsoneormoreprogra

bedefinedinordertocontributetotheac

velopmentgoal.Eachprogrammehasapro

thatshouldalsobeformulatedbytheplan

spectivemembersoftheplanformulation

Eachprogrammeconsistsofoneormorep

ofthe

projects

is

to

achieve

the

programm

Table1:Rationaleofdevelopmentgoal,

cles,programmesandpro

Developmentgoal

Package ofproblemsthat

hinder theachievement of

the developmentgoal

Programme andprogrammeobjective toresolve thepackage of

problems

Package ofproblemsthat

hinder theachievement of

the developmentgoal

Programme andprogrammeobjective toresolve thepackage of

problems


25/68

Figure4:

Fromissuesandpotentialstoprojects

Identification

ofprojectsin

eachpro

grammeto

achievethe

Identification

ofprojectsin

eachpro

grammeto

achievethe

Definitionofthepackage:groupof

prioritisedissues

Assignmenttoasector(orsectors)

Formulationofadevelopmentgoal

(strategy)for

that

sector

in

the

particu

lardivision

Formulationofprog

Identificationofo

grammestocon

achievementofthe

Identification

ofprojectsin

eachpro

grammeto

achievethe

Preparationofprofile>>>Identificationofissuesandpotentials>>>Analysiso

ficationofrootcauses>>>Prioritisationofissuesandrootcau

Identificationofoneormorepro

grammestocontributetothe

achievementofthedevelopmentgoal

Formulationofprogrammeobjectives


26/68

STAGE 11Delegation ofprogrammes forformulation ofprojectsPlanning team to organ-ise a meeting with planformulation committeeand relevant stakeholders

Plan formulation commit-

tee and relevant stake-holders to formulate pro-jects

Inordertoachieveeachprogrammeobjec

projectsareformulated.Theseprojectssho

by

experts

in

the

respective

subject.

Therearedelegatedtosectorofficesorotherorg

bettersuitedtoformulateprojectstoaddr

area.

Theplanningteamshouldorganiseameet

stakeholders,especiallywiththosereprese

mulationcommittee(seestage3above).In

planningteam

presents

the

results

of

the

a

inthepreviousstages.Itshouldexplainho

wereestablishedandhowthedevelopmen

programmesandtheprogrammeobjective

Theplanningteamshouldthenexplaintha

andotherorganisationsarethebesttocar

oftheplanningprocess:theformulationof

programmeto

address

the

issues

of

the

ar

shouldagreewhichorganisationwillformu

Theagreementsshouldberecordedinmin

Theplanningteamshouldalsoprepareall

tiontheyhaveavailableregardingtheissue

Thesourceareprimarilytheprofile,butot

alsobetapped.Thepackageandtheback

shouldcontain:

Theissueorissuestobeaddressed

Therelevantinformationcontaine

Thedevelopmentgoal(strategy),t

theprogrammeobjective

Otherrelevantinformationregard

programme

Thisdocumentationispassedontotheorg

meeting.Atimeframeisagreedwitheach

groupoforganizations)forthepreparation


27/68

STAGE 12Design of projectoutlinesPlanning team to monitor

formulation of project out-lines

Planning team to organ-

ise a workshop to share pro-ject outlines prepared

Thesectorofficesandtheotherorganisati

outlinesusingformatsprovidedbytheplan

planning

team

should

give

the

organisationformulatetheprojectsandsubmitthemto

Duringthisperiod,theplanningteammon

theseorganisationsandassiststhemifnec

Iftheorganisationsrequireadditionaltime

shouldagreeonanacceptableextension.I

toformulatetheprojects,theplanningtea

nativesolutions

to

prepare

the

project

out

ingtheprojectsthemselves,askingadiffer

formulatetheprojects,etc.).

Theplanningteamandsupportingofficers

meetingswitheachsectorgrouptomonito

programmespreparationandprovideadvi

Towardsthe

end

of

the

project

formulation

teamshouldorganiseameetingwiththep

committeeandpresenttheprogressonpro

relevantsectorauthoritiesoftheareaand

shouldbeinvitedtothemeeting.Thepurp

toencouragetheorganisationstofinaliset

projects.Atthesametime,somepressure

organisationswhicharedelayingtheproce

Theorganisationsshoulduseharmonisedf

mulationoftheprojects.Itissuggestedtha

sequence:

Designalogicalframeworkforone

nexe5.7)

Prepareaprojectplanningmatrixb

framework(seeannexe5.8)9

Summarisetheprojectinatable(p

cludingapproximatenumberofbe

sponsibleofficeorofficer,andtim

5.9)


28/68

STAGE 13Amalgamation oftechnical project out-lines and peoplesaspirations

Withtheprogrammesdesignedandthep

mulated,the

planning

team

amalgamates

anddemandswiththeprojects.Thisshall

Theplanningteamwillanalysetheprojec

eachproject,theplanningteamwillseew

haveidentifiedaneedregardingtheissue

project.Suchareaswillbeexplicitlyment

outlinesaspriorityareasforimplementat

doing

so,

the

people

who

demanded

a

pawillbethefirstonestoreceiveit,onceth

starts.

Incaseissuesprioritisedbythecommunit

dressedbyanyoftheprojectsorprogram

jectsshouldbeprepared(accordingtost

accountthepeoplespriorities.

STAGE 14Production of themedium-term devel-opment framework;consultation andapproval procedure

Allprogrammesandprojectsprepareddu

willcomprisethemediumtermintegrated

framework.Theplanningteamhastheta

theseprogrammesandprojectsinaharm

dicationofresponsibilitiesisofparticular

theLocalGovernmentandDivisionalSecr

thesectororganisationswillpreparesepa

mentationprogrammes(AIPs)basedonth

undertheirrespectivejurisdictions.

Theamendedplanshouldbeapprovedac

lowingprocedure:

Presentation of First Draft 1. Theplaninitsfirstdraftshouldbe

publicmeeting

with

the

Plan

Form

andallotherrelevantlocalstakeh

stitutions,NGOs,CBOs,communi

etc.).ThePlanningTeampublicly

meetingandsendswritteninvitat

mulation Committee members an


29/68

Circulation for technical Com-ments

3. ThePlanningTeamcoordinatorsh

toallsectoralofficesofprovincial

stration(includingtheDS)fortec

andcorrections.

4. Thesectoralofficeshaveatimefr

screenthewholeplanandsendth

However,atthisstagenoadditio

beproposed.Allsectoralofficesw

3,5,6,7,10,11and12ofthepla

bringtheirinputs.Atthisstage,th

onlywith

technical

comments

and

Third Draft 5. ThePlanningTeamshallproducePlanincludingrelevantcomments

ficeswithin30daysaftertheplan

previousstep).

Approval by the local governmentcouncil

6. ThesecretaryoftheLGsubmitsth

PlanforapprovaltotheLGcounc

thelocal

government

council

mee

Planisfinalized.Thelocalgovernm

toapprovethemediumtermdev

workasplanningauthorityatloca

Iftheplancoversmorethanone

andonePS),theapprovalofcoun

quired.

Plan presentation and circulation

7. ThePlanning

Team

should

then

c

toallrelevantsectoralofficesatlo

provinciallevel(R/ACLGandCLG

stakeholders.Allofficesshouldbe

thattheMediumTermDevelopm

becomethebasisfortheirannual

plansinnext4year.

Apresentationshouldbeorganize

velopmentagencies

and

NGOs

wh

aspotentialfundingorimplemen

ThePlanshouldbealsoattachedtoevery

paredonitsbasis(seenextstage).


30/68

HASE 4PLAN IMPLEMENTATION

STAGE 15Annual implementationprogramme (AIP)

Inthefollowingyears,th

preparetheirannualimp

grammes(AIP)basedon

developmentframework

actorsatlocallevel(i.e.

NGOs,donor

agencies,

sp

shouldpredominantlyim

identifiedintheframew

projectsidentifiedinthe

frameworkshouldbeim

lowingfouryears.

Thedivisionalsecretariat

ernmentwill

prepare

ann

programmesfortheirare

preparethefirstAIP,the

tobeimplementedinye

termdevelopmentframe

willrequiretheformulat

jectproposalsandbudge

projectsselectedwillbe

annualbudget

for

submi

andtheprovincialadmin

TheGuideonParticipato

BudgetingforLocalAuth

(DraftVersion1,SLILG/U

cludesasectionthatexp

annual

planning

(step

5):

Thesuccessfulim

planandtheprio

funding.Duringt

process Local Au


31/68

STAGE 16Plan implementationSupervision

Monitoring and evaluation

TheGuidesuggeststhef

1. Reviewtheavaila

sourcesoftheLA

2. Determinethei

mentsoftheprio

cludedinthepla

3. Preparetheannu

foryear1

4. Developamobili

tractoutsidefun

Itis

recommended

to

pre

ingtherecommendation

SLILG/USAIDGuide.

Theformattoproduceth

theprovincialadministra

ofAIPusetheformataut

vincialadministration. F

thetime

of

writing

these

tachedinannexe5.11.

Theplanningteam,thed

thelocalgovernments,s

otherinstitutionswillpre

alsbasedontheAIP.The

includeproject

details

th

thefunding,implementin

theprojects.Anexample

proposalformatisshown

Themainroleoftheplan

implementationtimeoft

istosupervisetheimple

jectsand

programmes

of

developmentframework

Inaddition,theplanning

theachievementofproje

evaluatetheachievemen


32/68


33/68

5

ANNEXURES

5.1 Formulationoftheprofile:Requireddataandinformation

5.2 Formulationoftheprofile:Exampleofsectorprofiles

5.3 Formulationoftheprofile:Modelcontentofaprofile

5.4 The problem tree


34/68

Annexe 5.1Formulation of the Socio-economic ProfileREQUIRED DATA AND INFORMATION1 Objective

Theprofile

basically

contains

socio

economic

and

physical

information.

It

is

ad

marisesallinformationabouttheareaofjurisdictionofthelocalauthority,and

theplanningofitsfuturedevelopment.Itsobjectiveistoprovideastatusquoo

theareaanditsinhabitantsinordertoenabletheauthorities,otherinstitutions

andthepeopletomaketherightdecisionsconcerningplanningandimplement

sakeofthebalanceddevelopmentofthearea.Therefore,theprofileisthebasi

makingandshouldbeasconsistentaspossible.

2 Contents

Thelocalauthoritiesabilitytomakeaproperdecision(aboutwheretosupplya

lemtotacklefirst,etc.)dependsonthequalityoftheinformationthatisavailab

Therefore,itisimportanttounderstandwhathashappenedinthepast,becom

rentconditionsandattempttoforeseewhatisexpectedinfuture.Theprocess

intendedtofurnishinformationaboutgeneralconditions(theexistingsituation

whichthe

local

authorities

are

responsible.

Theprofileshouldincludefactsandfiguresconcerningallphysicalandsocioec

specifiedinTable2.Numbersandstatisticsareofspecialinteresttoshow,with

therealityasitis.Componentsofagoodprofileare:

Generaltrends:describethetrendofparticularindicatorsforaspanofsev

andfuture.

Growthrates:

highlight

the

rate

of

increase

or

decrease

annually

or

for

asp

Highestandlowestlevels:pointtothehighestand/orlowestrate,percent

achievedorreachedduringthelastyears.

Standards:thedataoftheareashouldalwaysbecomparedtostandards,w

idealconditionorthegeneralaveragesituationintheregion.


35/68

Table2

Informationrequiredfortheproduction

ofaprofileanddevelopmentplan10

Topics to bedescribed

Minimal information(for a minimum standard plan)

Addit(for a g

Location and size Map showing the location in Sri Lanka Map showing the exact boundaries (entire

area, its villages, GN divisions, etc.) Area in km

2

Positionwork in

Area ofthe ProPlan (if populat

main urPhysical aspects Maps showing the physical figures (topogra-phy, 1:25.000)

Soil types and hydrology Potentials

Man-mapatternsetc.)

Major eistics an

Planning "history" Past and ongoing plans What do National, Provincial or District Plans

say about the division

Serviceserviceince Phavailab

Implica(if avail Budget

lationDemography Exact number (or good approximate) of the

population within the boundaries Growth rate of the population (tendencies,

projections) Population growth and its impact on the envi-

ronment

Mortality causes in the area and averages inSri Lanka for those causes Major diseases and averages in Sri Lanka

for those diseases Under-five mortality Literacy rate of the population and average

in Sri Lanka Ratio teacher-pupil (and average in Sri

Lanka) School attendance rate (and average in Sri

Lanka) Number of poor and absolutely poor house-holds

Migratioand futu

Migratiotion fromwhere,

Disagg

Disagg Structu

religionsocial ctures

Conflict Gender Female Fish co

13,5 kg

tee sus Food pr

Land use Land tenure map; tenure types Land use map (current land use) in detail

(plot scale)12

Conflicts on land use

Conflict Land pr


36/68



Addit(for a g

tions

Impact of new constructions on the environ-ment

mental

Gender Eviction Housing Housing

incomeEconomy Number of commercial, industrial and mining

enterprises with respective numbers of em-ployees and areas (shops, factories, mar-kets, garages, mills, etc.) in m

2

Agricultural crops (production, markets, prac-

tices, services, farm holding, irrigation) Livestock (production, uses, services) Fisheries (grounds, production, services,

activities) Forestry (forests, plantations, services, ac-

tivities) Mining Development of the commercial, industrial

and mining activities in the past years; pro-jections and future demand in m

2

Informal employment Public-private partnerships Unemployment Labour associations, unions, etc. Potentials

Local eareas; igoods a

Labour quality

Constravelopmstructurcredits

Pollutiomental

Gender

Green areas and

sports facilities

Total area in m2; green area per inhabitant;

average in Sri Lanka; demands out of cur-rent situation and demand out of demo-graphic growth in m

2(especially for main ur-

ban areas) Quality of green and recreational areas;

needs Sporting facilities: condition of infrastructures

and demands Potentials

Types oswampwater b

Green awork (trgreene

Other o Degrad

green a

Transport (roads,

bridges, terminals, air

and waterways, etc.);

services

Condition of the roads and other transporta-tion infrastructure; prioritised needs

Travel times (especially home-work) Potentials

Hierarcresponsregiona

Transpotems: bavailabdemand

Pollutiomental

Public services (DS,

UC and PS, sector

offices, schools,

Condition of public buildings (infrastructure);prioritised needs

Number of inhabitants per hospital bed; av-i S i L k

Social wstructur

Administ


37/68



Addit(for a g

Utilities (water, waste

water, electricity,waste disposal,other)

Number of households with adequate access

to potable water; averages in Sri Lanka;needs of extension Water consumption Prices of (potable) water Number of households with access to ade-

quate energy sources; averages in Sri Lanka;needs of extension

Other energy sources and their use (e.g. so-lar energy, wind energy, gas, kerosene, fire-wood, etc.)

Collection, treatment and disposal of solidwaste

Treatment of wastewater Drainage systems Maintenance of all systems Potentials

Water s

table wnance Water

(types, Energy

firewooergy, wenergyand ma

Prices popula

Street Impact* target: max.to guarantee

Communications(telephone, postalservices, other)

Access to public telephones Postal services Potentials

Other mtion: favision,

Good governance Level of decentralisation

Citizen/community involvement in majorplanning decisions Transparency and accountability Local Government revenue Engagements in international cooperation Available information on peoples participa-

tion (PRAs, PNAs, etc.)

Commu

ess

Other issues of spe-

cial interest for the

specific case

Crime rates Air pollution Disaster prevention and mitigation instru-

ments Cultural identity; cultural expressions; activi-

ties Other potentials that could be exploited


38/68

Annexe 5.2Formulation of the profileEXAMPLE OF SECTOR PROFILES2.1 DEMOGRAPHY

2.1.1Population

size

and

characteristics

Thepopulationof(.division)in200..isestimatedatmorethan(...numb

196PopulationCensusthepopulationof(.division)was(...number).B

tionhadincreasedto(...number).Whilethisrepresentsa(...number)%in

(...number)years,(division)populationgrewatanannualaveragegrow

(...number)%duringthisperiod.

The198PopulationandHousingCensusshowthatthepopulationat(di

(...number).Thepopulationroseby(...number)%overthe197populat

rateof(...number)%peryear.

Table2:1belowshowsthatinthe199censusthepopulationfor(divisio

(...number).Between198and199thepopulationthereforegrewat(

year.Againstatotallandareaofjustover(...number) km2thisgivesadens

in

198

and

(...number)

in

199.

Table

2:1

also

shows

that

(...number)

%undertheageof15.

Table2.1:

Populationof(division)bySexandAgein1998

CHARACTERISTICS AgeGroupTotal

Under 1 1-4 5-14 15-24 25-34

TOTAL 14298 439 1543 3894 3654 23531 MALES 7021 200 651 1845 1710 1194 FEMALES 7277 239 792 2049 1944 1159

Source:NSO199CensusReport


39/68

Table2.2:

PopulationFiguresandProjectionsfor(division)

Year Population Increase(%)

AnGrRa

1966 2512

1977 5632 124.0 1998 14298 61.2 2008 21602 57.7 2018 32637 51.8

*estimated

growth

rate

1998

2008

and

2008

2018

2.2 THEPEOPLES

2.2.1 EthnicGroups

Villagesthathavepredominantlybeendominatedbytheaaaandthebbbethn

thisis

the

case,

the

main

ethnic

group

found

in

(

division)

according

to

asu

NationalInitiativeforCivicEducation(NICE)istheccc.Thereasonforthisbeing

(division)hasencouragedthemigrationofdifferentpeopletocometothe

socioeconomicactivities.Thisbeingthecase,therearemorecccpeoplewhoa

entactivitiesinthetown.About35%ofthepopulationisccc.Thenextlargeste

thatforms30%ofthetotalpopulation.20%ofthepopulationcomprisesofthe

groupsfoundin(division)aretheddd,theeeeandthefff.

2.2.2Languages

pppisthelanguagethatisbeingspokenalmostbyeveryonein(division).

guagesthatarewidelyspoken.Otherlanguagesaresss,tttanduuu.

2.2.3 Religion

IslamandChristianityarethemainreligionsin(division).MainChristianC

(division)

are

Seventh

Day

Adventist,

Roman

Catholic

Church,

Anglican

Ch

Christ,NewApostolicFaith,LivingWaters,NazareneChurch,AssembliesofGod

CalvaryFamilyChurch,andChristadelChurch.RastafariansworshipatnnnHilln

centofthepopulationin(division)areChristiansandabout35percentar

contrasttothe(anotherdivisionnearby)wheretherearemoreMoslems


40/68

38

Annexe 5.3Formulation of the profileMODEL CONTENT OF A PROFILE

Chapter / Section Indicators

Contents Include the list List of acronyms and abbre-viations

Include a list of

List of figures If possible, incletc.)

List of tables If possible, incl

List of photos If possible, inclthe photos

Foreword The foreword cwritten by the m

Divisional SecrPlanning, etc.) (District, Provin

Acknowledgements The authors shlation of the pro

Executive summary If the profile is an Executive Sand contain thearound 100 pagpages. If it has

pages, etc. (i.e

Chapter 1General aspects

1.1 Location and size Map showing the location in SriLanka

Map showing the exact bounda-ries (entire area, its villages, GNdivisions, etc.)

Explain in text w

and in the Distr

next larger city


41/68


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47/68


48/68

46

Chapter / Section Indicators10.7 Community partici-

pation Citizen/community involvement in

major planning decisions PRAs, PNAs and other participa-

tion exercises conducted in thearea

How are the petivities? How ar(e.g. allocation

ties identified a

10.8 Civil society organi-sations (NGOs,CBOs)

Types and numbers of organisa-tions of the civil society

Explain the situNGOs, CBOs,

10.9 Summary: mainissues

Summarise thistentials. Is ther

Chapter 11

Security and safety11.1 Crime Cases

Rate Trend, tendencies

Explain the gen

11.2 Police and military Presence Explain the situpresent in the dquate services

11.3 Disaster prevention Disaster prevention and mitigationinstruments

Explain the situinstruments anare in place?

11.4 Summary: mainissues

Summarise thistentials. Is ther

Bibliography Include a list ofto the profile


49/68

Annexe 5.4The problem treeAveryusefultoolfortheanalysisofproblemsistheproblemtree.Thistoolh

problemsandtherootsofproblems.Thisisofimportancesinceitisverycomm

fessionalsandnonprofessionals)areusedtomentioningproblemswhichinrea

quencesoreffectsofotherproblemstheyhavenotidentified.Agoodexample

tioningof

lack

of

markets

as

aproblem.

The

lack

of

something

is

not

aproble

peopleusuallymeaninthecaseofthisexampleistheproblemtheyhaveinsel

Theythinktheestablishmentofmoremarketswouldsolvetheirproblems.

Thiswayofdealingwithproblemsisdangerousbecauseitleadstomisuseofre

intentionedlocalauthoritycouldtakethepeopleswishasastartingpointford

jectsandtherefore,inourexample,buildamarket.Itiswellknownthatmarke

that.

Most

probably

the

new

market

in

our

example

would

prove

to

be

a

bad

iningtheproblem(lackofmarkets)couldleadtootherideas.Inmostcasespeo

sellingtheirproductsbecausetheycannotreachexistingmarkets(transportatio

causetheproductstheyintendtosellhavenodemand(mismatchofsupplyand

case,solvingtheproblemshouldproceedbyother,verydifferentmeans,forex

improvementofthetransportationsystemandthroughthediversificationofpr

Theproblemtreeisaverysimpleandusefultoolusedtofindthesekindsofr

causesof

problems.

One

example

is

shown

below.

The

problem

identified

is

se

tree,havingcauses(roots)andconsequences(branches).Inordertosolvea

usetodevelopstrategiestotackletheconsequencesofit.Thebestwayistota

Usingtheproblemtreewillalsohelptoexcludeissuesthatprovetobefalsepr

quencesofproblems.Intheend,theoriginalfindingswillbemodifiedaccordin

theproblemtree.

Inthe

example

shown

below,

the

issue

identified

was

the

town

is

polluted

with

waste.Thequestionthatneedstobeaskedtofindthecauses(roots)ofthepro

townpollutedwithrubbishandsolidwaste?Intheexample,twocauseswhere

throwawaytheirgarbageinthepublicspaces,and(2)therearetoomanyanim

thetown.


50/68

Figure5:

Problemtree(example)

Theuseoftheproblemtreeisgenerallyeasy.However,thereisaproblemthat

andleads

to

the

incorrect

analysis

of

the

issues:

people

tend

to

identify

causes

thecausestotheproblem.Toavoidthisproblemitisalwaysgoodtocrossche

additionalquestions.Inthecaseabove,aquestiontocheckifthetreeiscorrec

thatpeoplethrowawaytheirgarbageinthepublicspacesleadstothepollution

answerisyes,thenthetreehasbeenusedcorrectly.

Hygienicproblems

leadtodiseases

Solid

then

in s

Thetowndoesnot

lookattractivefor

tourists

Thetownispollutedwith

rubbishandsolidwaste

Animalsareleft

wanderingaround

inthe

town

Peoplearenotaware

oftheproblemof

contaminationprob

lems

Thegarbagecollection

serviceisinsufficient

There

are

too

animals(cattle

ingthetown

People

throw

away

theirgarbageinthe

publicspaces


51/68

Annexe 5.5The correlations matrixAlistofproblemscompiledusingtheproblemtreecanbeanalysedfurtherusin

ally,theobjectiveinthenextstepoftheanalysisistodeterminetherealnegat

lem,i.e.hinderingthedevelopmentofthearea.Inordertoquantifythisimpact

usedisthecorrelationsmatrix.

Thecorrelationsmatrixisatoolthathelpsinprioritisingacertainnumberofiss

waytheyinfluenceeachother.Inthecaseofproblems,themoreinfluenceone

otherproblems,themoreimportantitistosolvethatproblem,sincebysolving

problemswillalsobesolvedatthesametime.Inotherwords,themoreinfluen

otherissues,thehigherthepriorityintacklingit.

Therefore,thequestiontobeaskedis:whatkindofinfluencedoesaproblemh

howstrongisthatinfluence?Thisquestionneedstobeaskedlookingattherel

andeveryproblemfoundintheprofileandfurtheranalysedintheexercisewit

Andeachandeveryproblemhastobeseeninrelationtoalltheotherproblem

Therelationshipbetweentwoproblemsisgivenascoreaccordingitsstrength.

problemhasanaggregatescore,whichindicatesthegradeofinfluencethepro

otherproblemsaltogether.Thisfinalscoreshowsthedepthoftheprobleman

gencyand

importance

in

solving

it.

The

higher

the

score,

the

higher

the

urgency

However,thematrixisjustatool,andassuchitshouldnotbeusedalone(asth

conjunctionwithotherconsiderations.Thefinalresult,theadditionoftheindiv

toarankingofproblems,shouldbeusedasabasisforfurtherdiscussions.Nev

showsveryobjectivelytheinfluenceofproblemsoneachother.Thisisthemai

itsneutrality.

Thematrix

is

also

asource

of

information

when

it

comes

to

the

formulation

of

p

problemhasbeenanalysedlookingintotheinfluencethatithasonotherprobl

thatthematrixshowswhatproblemsinfluenceothers,orputanotherway,wh

rootstoothers.

l f f l i i f i i i i f


52/68

Exampleofaformat:correlationsmatrixforprioritisationofpr

Question: Howstrongistheinfluenceofproblemxonproblemy?

Scores:

noinfluence

=0

ratherweak

influence

=5

ratherstronginfluence=10 verystronginfluence=15

Problems A A1 A2 A3 B B1 B2 B3 C C1 C2 C3

A EconomicissuesA1

A2

A3

B Socialissues

B1B2

B3

C Environ.issuesC1

C2

C3

Sum

Exampleofanactualcorrelationsmatrix

Issue 1 2 3 4 5 6 7 8 9 10 11

1 Poor accessibility 0 0 10 5 0 0 0 0 0 0

2 High incidence of diseases 0 0 0 0 0 15 10 10 15 0

3 High incidence of dengue 0 15 0 0 0 15 5 15 10 0

4 Inadequate sanitary facilities (incl. slaugh-ter slabs and disposal pits)

5 15 5 10 0 10 0 0 0 5

5 Low access to potable water 0 15 0 5 0 5 0 0 0 5

6 Scarcity of fuel wood and inaccessibilityof alternative energy

0 0 0 0 5 0 0 0 5 0

7 Poor quality of education 0 10 5 5 5 5 10 0 5 0 8 Abuse of childrens rights 0 0 5 0 0 0 0 0 0 0 9 High and increasing number of orphans 0 5 5 0 0 0 5 10 5 0 10 Low household income 5 15 10 10 10 10 10 5 5 5

11 Undeveloped tourist facilities 0 0 0 0 0 0 0 0 0 5

12 Inadequate sports and recreation facilities 0 0 5 0 0 0 5 5 0 0 0

13 Inadequate market facilities (incl. slaugh-

ter slabs and disposal pits)

0 15 0 10 5 0 0 0 0 10 0

14 Inadequate and insufficient drainagesystem and flood control structures

15 15 0 15 5 0 0 0 0 0 5

Sum 25 110 35 55 45 15 65 45 30 55 20

In the example above the group of people who used the correlations matrix co


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51

Annexe 5.6aPlanning process: from issues to projectsExample 1: 1 issue - 1 programme 2 projects

Issue Priority Priority areaRemarks / causes and

related issuesSecto

Inadequatesystem forhealth-related datacollection inKinniya

1

Inadequate data collectionsystemIt has been established thatthe limited availability ofreliable data in varioussectors is severely hinder-

ing the development ofKinniya. The improvementof the collection and main-tenance of data is funda-mental. Due to the size ofthe challenge it has beendecided to tackle the prob-lem in the health sector,where it was first identified.

The currently available datarelated to health indicators inKinniya is very poor and un-reliable. Owing to this fact,the formulation of adequateinterventions in the healthsector is very difficult. Thereare various aspects that af-fect an adequate data collec-tion (identified during ananalysis in Kinniya): Insufficient staffs Insufficient computers An appropriate softwarefor data collection and stor-age is not available The staff is not qualifiedto address the problem

Health

Package


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52

Annexe 5.6bPlanning process: from issues to projectsExample 2: 5 issues - 1 programme 3 projects

Issue PriorityPriority

areaRemarks / causes and re-

lated issuesSecto

1) Low life expectancydue to weak aware-ness regardinghealthy life habits2) Low life expectancydue to malnutrition3) Increase of rate oflow-weight babies dueto malnutrition ofmothers4) Malnutrition ofmothers and childrendue to insufficientquantities of food5) Low productivity ofpaddy land

2, 10, 44and 46

The com-

mon prob-lem to allissues iden-tified in thiscontext ismalnutrition

The problem of insufficient quanti-ties of food (almost one third of allfamilies in Kinniya do not haveenough) has been mentioned inseveral programmes already. Butbesides this insufficient quantity,analyses showed as well the prob-lem of malnutrition in terms ofquality and balance of the food.On the one side people often donot know about the importance ofa balanced diet for good healthconditions. But on the other sidethey are not provided with therequired balance since crops arenot very diversified

Health aAgricultu

Package


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Annexe 5.7The logical framework (approach)TheLFAismainlyatoolforprojectdesignandmanagement.Thereis,however,

butvariousformatsthatareusedbyorganisationsaccordingtotheirowncriter

versityofformatsitissuggestedtousetheoneshownbelow.

Logicalframework(approach)matrix(excludingM&Eeleme

Strategy/development goal:

Programme objective:

Project objective Results / outputs Activities

ActivitiesResults / outputs Activities

Activities

Theimportanceofthelogicalframeworkisnotthelabelswegivetothevarious

logicofthesequence:

1. Wedo

something

(activities)

2. Thiswillleadtoresultsoroutputs

3. Thesumoftheseresultsoroutputsiswhatwewant(andhavedecided

projectorintervention(objective)

4. Thisobjective,wehope,willcontributetoahigherobjective(programm

opmentgoaloraim),whichwehowevercannotcontrolorinfluence

Whenweusethelogicalframeworktodesignaproject,thesequenceis,howev

1. Whichdevelopmentgoaldowewanttocontributeto?

2. Whatkindofobjectivecanwereachtocontributetothatgoal?

3. Whatoutputsdoweneedtoachievethatobjective?

4. Whatdoweneedtoactuallydotogetthoseoutputs?

The project does not expect to fully achieve the goal. It hopes to contribute to i


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Theprojectdoesnotexpecttofullyachievethegoal.Ithopestocontributetoi

reachingtheobjective.Theresultsoroutputsarewhattheprojectexpectstop

achievetheobjective.Theactivitiesarewhattheprojectwilldotoproducetho

Exampleofalogicalframework

Goal: Urban Councils and Municipal Councils perform their roles in planning and manatively for the benefit of their citizens.

Objective Result/output Activit

Urban and Municipal

Councils share and repli-

cate Best Practices in Ur-

ban Planning and Urban

Management in theirtowns and cities

1. Articles on Best Prac-tices

1.1 Interview urban and municers who might have inform

1.2 Establish catalogue of bes1.3 Organise persons to write

practices

2. Book on Best Prac-tices

1.1 Select articles on best pra1.2 Organise an editor to com

a book

2.3 Organise the publishing o

3. Symposium on BestPractices

3.1 Select best practices to besium

3.2 Discuss with the persons ipresenter of the best pract

3.3 Organise the logistics of th


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Annexe 5.8The project planning matrix15Theprojectplanningmatrixprovidesatoneglanceaninsightintothemajore

howtheyrelatetoeachother.Itisusedinsomeformoranotherbypractically

operationorganisations.

Itis

seldom

possible

to

present

all

planning

information

in

one

single

project

pla

thisisnotevennecessarybecauseseldomdoallparticipantsneedalltheinform

belowshowsanexpedientvariantoftheprojectplanningmatrixthatprovides

aproject.

Theprojectplanningmatrix

Levelofin

tervention

Indicator Assumption Ind

Goal Indicatortorecognise

contributionoftheob

jectivetothegoal

Objective Indicatortorecognise

achievementofobjec

tive

Assumptionfor

theobjective

Indica

assu

Result

Indicatorto

measure

resultAssumption

for

theresultIndica

assu

Activity Target

Thegoal(ordevelopmentgoal)isrelatedtothebeneficiariesoftheorganisatio

project.Whenaprojectissuccessful,theorganisationthathasimproveditspe

spondinabetterwaytosatisfytheneedsanddemandsofitsbeneficiaries.The

scribesthe

change

those

beneficiaries

desire.

Theobjectiveiswhattheprojectcanachieveinordertocontributetotheeven

thegoal.Theachievementoftheobjectiveissomethingthathastobewithinth

project. It is the last element in the chain of that can be guaranteed by the proj

Indicatorsdescribewhatisexactlymeantbytheprojectsgoal,objectiveandre


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assumptions,andhowtorecognisethemwhentheyhavebeenachieved(orwh

caseofindicatorsforassumptions).Indicatorsgiveinformationonthelevelofa

projectscriteria

for

success.

They

are

the

tools

used

for

monitoring

and

evalua

Inthecaseofactivities,theindicatorscanbeformulatedastargetsormileston

catorofasuccessfulactivityisitscompletion,whichinmostcasescanbequant

trainingscarriedout,numberofbooksdistributed,etc.).

Theassumptionsareusuallyseenintwodifferentways:

Assumptionsare

things

that

need

to

happen

outside

the

project

for

the

activities,resultsandobjective.Theprojectassumesthatthesethingsw

wantstobeclearaboutthefactthattheprojectwouldbenegativelyaf

didnothappenforsomereason.

Assumptionscanalsobeseenasthingsoutsidetheprojectthatthreate

achievementofitsactivities,resultsandobjective.Theprojectassumes

nothappen,butwantstobeclearaboutthefactthatiftheydohappen

reason,theprojectcouldbenegativelyaffected.Thistypeofassumptio

toasrisks.

Exampleofaprojectplanningmatrix

Verifiable indicator Assumption

Goal

The incidence of diseaseshas reduced due to improvedhygiene

Rate of diseasesrelated to publichealth reduced

Objective

Cleaner town Clean public spaces Town administration col-lects the garbage

Reregba

Results/outputs

People discard garbage inlitter collectors

Minimal pollution generatedby animals

Utilised litter bins

Animals do not runaround freely in thetown

Litter collectors are neither

stolen nor damaged by thepeople

Regulations are enforcedby the authorities

Bin

Austa


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Example


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58

p

Sector: Education

Issue: High drop-out rate from primary schools (pupils leave school before concluding)

Strategy / development goal: Increase of educational level

Programme 1: Primary school attendance

Programme objective: Drop-out rate reduced

Number and titleof project

Project objec-tive

Brief description (measures,activities, expected results,immediate objectives, etc.)

Beneficiarie

1) Roads to ru-

ral schools

To improve the

roads that leadto primaryschools in ruralareas

One of the reasons that lead

to drop-out from school is theproblems the children face toget to school. The roads inrural areas are in a very poorcondition and need to be im-proved. Some roads need tobe maintained, while othersneed to be upgraded to tar-mac roads. In total, there isneed to maintain 47 km of

gravel roads, and to upgrade26 km of gravel roads to tar-mac roads

Approximately

2490 children schooling age(primary), as was teachers

Number and titleof project

Project objec-tive

Brief description (measures,activities expected results

Beneficiarie


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59

of project tive activities, expected results,immediate objectives, etc.)

2) Bus serviceto ruralschools

To establish abus service tocarry childrenfrom remoteareas to primaryschools

One of the reasons that leadto drop-out from school is theproblems the children face toget to school. Children usuallyhave to walk long distances toget to school. An appropriatebus service will reduce thisproblem

Approximately2490 children schooling age(primary), as was teachers

3) School facili-ties, espe-

cially for girls

To improve thefacilities of the

school, espe-cially consider-ing the needs ofgirls

Some children are reluctant toattend school due to poor

conditions offered. Especiallygirls face problems and insome cases decided to dropout. Adequate facilities, suchas separate and clean sanitaryfacilities for boys and girls willbe available at each school

Approximately2490 children

schooling age(primary), par-ticularly 1320girls

4) Awarenesscampaign onimportance of

education

To raise aware-ness amongchildren and

parents regard-ing the impor-tance of com-pleting primaryeducation

Many children miss schoolbecause they are busy withother activities (agriculture,

livestock, house chores, etc.).Both the parents and the chil-dren should be aware of theimportance of education forthe future of the children. Arespective awareness cam-paign will reduce the drop-outrate

Approximately2490 children schooling age

(primary)

Annexe 5.10


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Format for summarised MTDF/Four-year RolliFour-year rolling plan

Sector Project number Project title Project objective

Funding(esti

2009 2010

Annexe 5.11Format for Annual Implementation Programm

AIP format for projects(format for CBG, PSDG, DCB and own resources)

Division

Projectnumber(as in theFour-year

Rolling Plan)

Descriptionof the work

(project titleand/or project

objective)

LocationTEC

(tentative es-timated cost in

Rs)

Leng

(Km), (m, quan

etc

Annexe 5.12


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Format for project proposalsThepreparationofprojectproposalsisarelativelyeasytaskifthestagesofthe

followed.Mostoftheinformationrequiredtoprepareaprojectproposalshoul

ProfileandintheMTDF.However,somedetailsneedtobeaddedandsomeex

providedinordertoconvincethefundingagency.

Mostfundingagencies(nationalministriesanddepartments,localNGOs,specia

jects,donorfundedprojects,internationalorganisations,etc.)havetheirownf

projectproposals.Thebestwaytoprepareaprojectproposalistorequestthe

theorganisationthatwillbeaskedforsupport.Theprojectproposalshouldthe

matchthespecificformat.

However,ingeneraltermsallprojectproposalsfollowthesamelogic:whoisre

problem,how

will

the

problem

be

resolved,

who

will

benefit,

and

what

support

structurebelowshowssuchapossibleformatforthepreparationofaprojectp

SAMPLESTRUCTUREOFAPROJECTPROPOSAL

1. Profileoftheorganisation

Theorganisationrequestingthesupportshouldprovideabriefprofileandp

ofitself(missionstatement,achievements,contactdetails,etc.).

2. Background

Generalenvironmentwithinwhichtheactivityissituated(i.e.policy,histor

grammeframework).AsummaryascontainedintheProfilecouldbeused

3. Situationanalysisandproposedintervention

Thesubmittinginstitutionshouldexplainthespecificbackgroundtothepar

tified.Howwastheproblemidentifiedandanalysed?Whatarethecauses

5. Activitiesandimplementationstrategy(operationalaspects)


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Thesubmittingorganisationshouldspecifyactivities,timeframe,andbudge

lessonsto

be

learnt,

inputs

required,

etc.).

6. Targetgroup(s)

Thesubmittingorganisationshouldspecifyindividuals,organisationsand/o

fitfromtheintervention.

7. Impact

Whatistheanticipatedimpactoftheinterventionatlocallevel(andbeyon

8. Monitoringandevaluation

Whatarethemechanismsbuiltintotheproposedinterventionformonitor

9. Maintenance

Whatarethemechanismsbuiltintotheproposedinterventionregardingm

tiesand/orinfrastructuretobeprovidedbytheproject?

10.Roleofthefunding/supportingagency

Thesubmittingorganisationshouldexplainwhyitcannotcarryoutthepro

assistance.

It

should

specify

the

technical

and

financial

input

required

agency,includingtheproposedbudgetandtheowncontribution(fromthe

tion).

Annexe 5.13


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Time frame for preparation of medium-term locment framework (four-year rolling plan)Activity Timeframe

1 OrganiseajointmeetingwithDSandLG/

establishaPlanningTeam

1week S

2 Organiseameetingwithstakeholders/

establishaPlanFormulationCommittee

1week T

3 Distributeformatforsectorprofiles/sec

torprofilepreparation

24weeks F

a

4 Compileallavailablecommunityparticipa

tionrecords

Simultaneoustoactiv

ity35 Compiledraftprofileandsubmittostake

holdersforcomments

24weeks F

6 Amenddraftprofilewithcommentsre

ceivedandpreparefinalprofile

1week

7 Printprofileanddistribute 2weeks

8 Organiseworkshopwithstakeholdersto

formulatevision

1week

9 Isolateissuesandpotentialsfromprofile

foranalysisingroups

1week

10 Organiseworkshopswithstakeholdersin

groupstoanalyseissues

2weeks

11 Screenissuesandcausesfromactivity10,

andprioritiseallissues

1week

12 Formclustersbasedonprioritisedissues 1week

13 Formulatestrategiesandprogrammesto

tackleclusteredissues

2weeks

14 OrganiseameetingwithPlanFormulation

Committeeandotherstakeholderstodis

2weeks

a

Activity Timeframe


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forapproval

20

Presentation

and

circulation

of

approved

MTDF 1

week

F

21 AdddevelopmentprojectsfromMTDFto

AIPandsubmittoACLG/CLG

1week

22 Monitorplanimplementation

23 PreparenewMTDF J

o


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Ministry ofNation Buildingand EstateInfrastructureDevelopmentNorthern Provincial Council

Documents

04 Preparation of a Medium-term Integrated Local Dvelopment Framework - Guidelines - March 2009