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FINAL VERSION
DOWLAD G. PUN TLAND PUNTLAND STATE
EE SOOMAALIYA OF SOMALIA
Wasaarad Arimaha Gudaha , D/ Hoose iyo Horumarinta Reer Miyiga
Ministry Of Interior Affairs, Local Government & Rural Development
District Participatory Planning and
Budgeting Process
Module 2: Planning – Training Material
(DPPB Process Step 1: District Development Framework)
General: District Councillors
and Staff
Participant Book
July 2010
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. i
FINAL VERSION
SUPPORT PROVIDED BY UNITED NATIONS SOMALIA
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. ii
FINAL VERSION
Foreword
The training modules to the District Participatory Planning and Budgeting Process have been
developed by the Ministry of Interior with support from the UN Joint Programme for Local
Governance and Decentralised Service Delivery.
This manual brings together two approaches to participatory development planning and budgeting;
those that focus on the district level and those that focus on the community level. It is recognised by
the Ministry of Interior and its development partners that the communities play a critical role in
supporting the development of a vision for the development of the district, an important role in
prioritising service delivery needs, and is a key partner in ensuring ownership on the ground to
development interventions. It is also recognised by all the partners that the district council has a
central mandate to deliver services and that the capacity of the district to provide overall
development planning, sound financial management and budgeting, proper procurement, asset
management, monitoring and evaluation is important to ensure provision of equitable services of
the people in Puntland. This module is the first of a series of five training modules which addresses
the topics listed above.
The Ministry of Interior is proud to present this training module which aims to strengthen the ability
of the district councils to design a development framework for the district. The participation by local
people in the development of the framework is critical in order to ensure ownership at the local
level, and also to help the council be accountable and transparent.
The Ministry of Interior requests all districts to use this training module to learn how to develop a
district development framework. This will be required in order for the district to be able to prioritise
service delivery to day and over the next few years.
I wish all districts well in training on the Planning Module.
THE MINISTER
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. iii
FINAL VERSION
Table of Contents
INTRODUCTION TO THE TRAINING.............................................................................................................................. VII
Symbols Used ................................................................................................................................................ vii
Training Overview, Modules 1-6 .................................................................................................................... ix
PRE-TRAINING MEETING..........................................................................................................................................14
GETTING STARTED .................................................................................................................................................15
UNIT 1: INTRODUCTION TO THE DISTRICT PARTICIPATORY PLANNING AND BUDGETING (DPPB) PROCESS .. 16
CONCEPTS AND DEFINITIONS ....................................................................................................................................17
1.1.1 Things to know about development and planning ..............................................................................18
1.1.2 Glossary ...............................................................................................................................................19
OVERVIEW OF THE DISTRICT PARTICIPATORY PLANNING AND BUDGETING (DPPB) PROCESS ................................................20
1.2.1 What are the District Planning and Budgeting Guidelines? ................................................................20
1.2.2 More about the DPPB process .............................................................................................................21
1.2.3 Activities in the DPPB process and the District Council Meeting Schedule ..........................................29
1.2.4 What are the main roles and responsibilities in the DPPB process? ....................................................30
WHAT IS THE DISTRICT DEVELOPMENT FRAMEWORK? ..................................................................................................33
1.3.1 What is the District Development Framework and what is it used for? ..............................................33
1.3.2 What does a DDF document look like? ................................................................................................34
End of Unit 1 Exercise – Participation and Inclusion .....................................................................................34
UNIT 2: DISTRICT PLANS AND PROFILES ........................................................................................................ 35
ACTIVITY 1. AWARENESS RAISING WITH THE COMMUNITY..............................................................................................37
2.1.1 Why conduct awareness raising with communities? ...........................................................................37
2.1.2 What information should be shared with communities as part of awareness raising? ......................39
2.1.3 How does community input feed into the DPPB process? ...................................................................39
ACTIVITY 2. PREPARE DISTRICT PROFILE .....................................................................................................................41
2.2.1 What is a district profile? .....................................................................................................................41
2.2.2 What information needs to be included in the District Profile? ...........................................................43
2.2.3 How is information presented in the District Profile? ..........................................................................46
2.2.4 What is a Rapid Urban Spatial Analysis and how is it relevant to the District Profile? .......................48
2.2.5 What is a Local Economy Assessment and how is it relevant to the District Profile? ..........................49
ACTIVITIES 3 & 4. REVIEWING EXISTING PRIORITIES, PLANS AND NATIONAL REQUIREMENTS..................................................51
2.3.1 Where does the information for the DDF come from? ........................................................................51
2.3.2 National/line ministry requirements....................................................................................................52
2.3.3 Existing district priorities and plans .....................................................................................................53
End of Unit 2 Exercise – Participation Ladder ...............................................................................................56
UNIT 3: COMMUNITY INVOLVEMENT IN THE PLANNING PROCESS ............................................................... 57
ACTIVITY 5. PREPARING FOR COMMUNITY CONSULTATION .............................................................................................58
3.1.1 Who is involved in the community consultations?...............................................................................58
3.1.2 How can District Councillors prepare for community consultations? ..................................................59
3.1.3 Principles of the participatory planning and budgeting process .........................................................61
3.1.4 Managing Community Expectations....................................................................................................63
3.1.5 Defining the structure of villages and communities ............................................................................65
3.1.6 Defining the timeline for community consultations.............................................................................66
ACTIVITY 6. COMMUNITY ENTRY ..............................................................................................................................67
3.2.1 What is community entry and why is it important? ............................................................................67
3.2.2 What information needs to be shared at community entry meetings? ...............................................69
ACTIVITY 7. COMMUNITY CONSULTATION PROCESS ......................................................................................................70
3.3.1 Overview of community consultations ................................................................................................70
3.3.2 Overview of the community consultation process ...............................................................................71
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. iv
FINAL VERSION
3.3.3 Activity 7a. Collect Basic Community Information ...............................................................................73
3.3.4 Activity 7b. Present results of District Profile exercise .........................................................................75
3.3.5 Activity 7c. Identify community challenges and opportunities ............................................................76
3.3.6 Activity 7d. Vision and Goals ...............................................................................................................78
3.3.7 Activity 7e. Common Priority Areas .....................................................................................................79
3.3.8 Activity 7f. Summarise into a CPA document.......................................................................................80
3.3.9 Finalising the community consultation process ...................................................................................80
End of Unit 3 Exercise – Johari’s Window .................................................... Error! Bookmark not defined.84
UNIT 4: PREPARING THE DISTRICT DEVELOPMENT FRAMEWORK ................................................................. 81
ACTIVITY 8. PREPARING THE DRAFT DISTRICT DEVELOPMENT FRAMEWORK ......................................................................82
4.1.1 What is the District Development Framework? ...................................................................................82
4.1.2 Where does the information for the District Development Framework come from? ..........................83
4.1.3 How do we prepare a draft District Development Framework? ..........................................................83
4.1.4 How do we summarise all the results of the community consultations? .............................................87
4.1.5 How do we consolidate information from all the sources to identify the main district priorities? ......88
4.1.6 How do we formulate objectives for the District Development Framework? ......................................88
ACTIVITIES 9-11. REVIEWING AND FINALISING THE DISTRICT DEVELOPMENT FRAMEWORK ..................................................90
4.2.1 Activity 9. Reviewing the District Development Framework document ...............................................90
4.2.2 What do VCs need to know about reviewing the draft DDF document? .............................................92
4.2.2 Activity 10. Adopting the District Development Framework ...............................................................92
4.2.3 Activity 11. Disseminating the District Development Framework .......................................................93
EVALUATION OF TRAINING .......................................................................................................................................95
GLOSSARY ............................................................................................................................................................96
ATTACHMENTS......................................................................................................................................................97
Attachment 1: Example District Development Framework ..........................................................................98
Attachment 2: District Profile Information .................................................................................................103
Attachment 2: Example District Profile – Unity District ..............................................................................107
Attachment 4: Example Community Priority Assessment t ........................................................................113
Attachment 5: Basic Community Information Guidance Notes ..................................................................119
EXERCISE SHEETS .................................................................................................................................................122
Exercise Sheet 1 – Identifying existing district planning information .........................................................123
Exercise Sheet 2 – Enhancing Participation Principles in our District .........................................................124
Exercise Sheet 3 – Identifying Community Challenges............................... Error! Bookmark not defined.129
Exercise Sheet 4 – Pairwise Ranking Exercise ............................................ Error! Bookmark not defined.131
Exercise Sheet 5– Johari’s Window ............................................................ Error! Bookmark not defined.132
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. v
FINAL VERSION
List of Abbreviations
CDRD Community Driven Recovery and Development
CPA Community Priority Assessment
DDF District Development Framework
DPPB District Participatory Planning and Budgeting
IDP Internally Displaced Persons
JPLG Joint Program for Local Governance
LEA Local Economic Assessment
LED Local Economic Development
MCH Maternal and Child Health Care Clinics
MOI Ministry of Interior
RUSA Rapid Urban Spatial Analysis
VC Village Committee
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. vi
FINAL VERSION
Introduction to the training
This Participant Book is designed to assist you as an elected member of a District Council,
or as a district staff member, to understand the district planning process that you will be
expected to follow, in order to develop a District Development Framework that will be the
basis of your district’s development activities over the next 5 years.
These training materials will be subject to ongoing review and improvement, so your
comments and suggestions will be very helpful, to ensure that the materials are as useful
and relevant as possible.
Who is this Module for?
All District Councillors, including members of the Economic and Development Sub-
Committee.
Staff of the district Planning Department (where it exists, or if not, other relevant
district department).
Mayor and Deputy
Executive Secretary
Note: This version of Module 2 is a ‘general’ version, suitable for both District Councillors
and staff at the same training. Other versions will be created, which are adapted for specific
groups of participants.
Symbols Used
You will find the following symbols in this Participant Book:
Attachment Symbol:
This symbol tells you there is an example format, or a table of information that you
need to look at. These are located as Attachments at the end of your Participant Book.
DPPB Format Symbol:
This symbol tells you that there is a blank copy of a relevant DPPB format in the DPPB
Format Book, which is a separate document to this Participant Book.
Exercise Sheet Symbol:
Some of the activities require you to complete or refer to an Activity Sheet. When you
see this symbol you need to use the corresponding Activity Sheet at the end of your
Participant Book.
Eye Symbol:
The eye symbol tells you that there is a table, diagram or example to look at below.
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. vii
FINAL VERSION
Hand Symbol:
The hand symbol indicates a point that is important to note.
Question Symbol:
This symbol indicates some questions for discussion or reflection.
Talking Symbol:
This symbol indicates there is an activity to participate in.
Glossary:
You will also see that some words in this Participant Book have been written in bold. These
words may be unfamiliar, so they are explained in a glossary, which you will find at the end
of this Participant Book.
Text Boxes:
! Sometimes you will see some writing in a box with a symbol like this.
This means that the information in the box is important and you should
make sure that you understand it before you continue. If you do not
understand, please ask your trainer.
Shaded Boxes:
Other important information is put into a shaded box like this,
so that you will notice and read it.
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. viii
FINAL VERSION
Training Overview, Modules 1-6
This Module 2: Planning Module is the first in a series of modules on district participatory
planning and budgeting that you will participate in as part of strengthening your role as a
District Councillor or staff member. Other modules are shown as follows:
Table I.1 – Overview of Training Modules 1-6
Module Relevant step in DPPB Content
Guidelines
Module 1: Induction n/a – separate Induction Roles and responsibilities of
Module Module document produced by District Councils,
MOI to guide this training. Councillors and staff
Module 2: Step 1: District Development How to prepare a District
Planning Module Framework Development Framework
Module 3: Step 2: Forecast district How to forecast district
Resource resources and assess revenue and expenditure
Forecasting and budgets How to prepare the District
AWPB Annual Work Plan and
Budget
Step 3: Prepare District
The process of project
Annual Work Plan and approval for projects
Budget included in the AWPB
Module 4: Suggestion – the proposed
training material on the LDF
could be inserted here as the
new ‘Module 4’, so that we don’t
have to change the numbering
of Modules 5 and 6.
Module 5: Step 4: Implement Work Plan What is involved in the
Procurement and and budget implementation of district
Implementation - projects?
Module A Procurement procedures to
Module B be followed for district
Module C projects.
Module 6: Step 5: Monitoring and How to conduct monitoring
Monitoring and Evaluation and evaluation of the
Evaluation Module District Development
Framework and its projects.
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. ix
FINAL VERSION
Table I.2 – Training Overview, Planning Module
Unit Session Title Content
Unit 1: Introductory Session: Introductions, welcome etc
Introduction Getting Started Aims and Objectives
to the (45 minutes) Expectations and Ground Rules
Planning and
Budgeting Session 1.1: Concepts Exploration of the meaning and relevance
process and definitions of concepts such as planning and
(1 hour) development.
Activity 1.1: Concepts Brainstorm
Session 1.2: Overview of Introduce DPPB process and guidelines
the District Participatory Outline roles and responsibilities
Planning and Budgeting Break process down into steps and
process (1.5 hours) activities.
Session 1.3: What is the Outline the purpose of the DDF
District Development Become familiar with the DDF format to
Framework? (1 hour) be used.
End of Unit 1 – Participation and Inclusion
Unit 2: Session 2.1: Awareness Explain the purpose of and possible
District plans Raising with the methods for awareness raising with
and profile community (1.5 hours) communities about the DPPB process.
Communities sensitized and empowered
in the target districts as part of efforts to
stimulate positive change and attitude
concerning their rights and responsibilities
vis-à-vis their local councils.
Session 2.2: Preparing The purpose of a District Profile
the District Profile What information is included in the District
(2.5 hours) Profile and how to collect and present it.
Session 2.3: Reviewing What existing information and/or national
existing priorities and priorities need to be reviewed and
plans (2 hours) considered for inclusion into the DDF?
End of Unit 2 – Participation Ladder
Unit 3: Session 3.1: Preparing Identifies what preparation is required
Community for community before commencing the community
Involvement consultation consultation in the villages, in particular
in the (2 hours) locations and timelines for consultation.
planning
process Session 3.2: Community Looks at some appropriate community
entry (1 hour) entry mechanisms to be used prior to
conducting community consultation.
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. x
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Session 3.3: Community Explores the first part of the community
consultation process consultation process, including collecting
(3.5 hours) basic community information and
identification of community challenges
and opportunities.
Explains the second part of the
community consultation process,
including a community vision, priority
areas and priority projects.
Unit 4: Session 4.1: Preparing How to prepare the different sections of
Preparing the the draft District the draft District Development Framework
District Development Framework document and who is involved.
Development (1.5 hours)
Framework
Session 4.2: Reviewing Overview of steps involved in reviewing,
and Finalising the District finalising, adopting and disseminating the
Development Framework DDF document.
(1 hour)
Evaluation of Training
45 minutes
Total training time = approximately 20 hours (5 days)
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. xi
FINAL VERSION
Table I.3 – Indicative Timetable
This timetable is a suggested guide to the timing of the 5 day training. Note that the
timetable may need to be adjusted during the training, depending on circumstances.
Day 1
Time Session
8am-10am Introductory Session: Getting Started (45 mins)
Session 1.1: Concepts and definitions (1 hour)
10-10.30am Break - Morning tea
10.30am Energiser
10.35- Session 1.2: Overview of the district planning and budgeting
12.30pm process (1.5 hours)
Session 1.3: What is the District Development Framework? (0.5
hours)
End of Day 1
Day 2
Time Session
8am-10am Session 1.3: What is the District Development Framework?
(continued, 0.5 hours)
Session 2.1: Awareness Raising with the community (1.5 hours)
10-10.30am Break - Morning tea
10.30am Energiser
10.35- Session 2.2: Preparing the District Profile (2 hours)
12.30pm
End of Day 2
Day 3
Time Session
8am-10am Session 2.3: Reviewing existing priorities and plans (2 hours)
10-10.30am Break - Morning tea
10.30am Energiser
10.35- Session 3.1: Preparation for Community Consultation (2 hours)
12.30pm
End of Day 3
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. xii
FINAL VERSION
Day 4
Time Session
8am-10am Session 3.2: Community Entry (1 hour)
Session 3.3: Community Consultation (1 hour)
10-10.30am Break - Morning tea
10.30am Energiser
10.35- Session 3.3: Community Consultation (continued, 2 hours)
12.30pm
End of Day 4
Day 5
Time Session
8am-10am Session 3.3: Community Consultation (continued, 0.5 hours)
Session 4.1: Preparing the District Development Framework
(1.5 hours)
10-10.30am Break - Morning tea
10.30am Energiser
10.35- Session 4.2: Reviewing and Finalising the District Development
12.30pm Framework (1 hour)
Evaluation of Training (45 mins)
End of Day 5 – End of Training
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 2010. xiii
FINAL VERSION
Introductory Session
Pre-training meeting
Session To provide an overview of the training.
Objectives: To understand participants’ expectations of the training.
It is recommended that the day before the training starts, a short session (30mins)
should be held with the Mayor of the municipality, Councillors and Departmental Heads
in the municipality and other relevant participants who are going for the training.
This short session will serve to gauge the expectations, views and level of commitment
of the participants towards the training. The trainer will provide a brief overview of the
training and will examine the level of expectations and interest of the participants for the
course, so if he/she finds any concerns or issues from the participants they can be
discussed and resolved before the training starts.
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 14
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FINAL VERSION
Introductory Session
Getting Started
Session To create a comfortable and encouraging learning environment.
Objectives: To outline what the training aims to achieve and how this will
happen.
To provide an overview of the training.
To understand participants’ expectations of the training.
To set some agreed ground rules for the training.
In this session you will get to know your trainer and the other participants. You will find
out what the training involves and what you are expected to do.
Here are some of the things that your trainer might cover in this session:
Welcome
Introductions
Aims and Objectives of the training
Training Overview and Documents
Expectations and Ground Rules
‘Car Park’ for questions
Questions for Reflection:
Why did you come here today?
What do you hope to take away from this training?
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 15
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FINAL VERSION
Unit 1: Introduction to the District
participatory planning and budgeting (DPPB)
process
This Unit contains the following sessions:
Session 1.1: Concepts and definitions
Session 1.2: Overview of the District Participatory Planning and
Budgeting process
Session 1.3: What is a District Development Framework?
Who is this unit for?
All District Councillors, including members of the Economic and
Development Sub-Committee.
Staff of the district Planning Department (where it exists, or if not,
other relevant district department).
Mayor and Deputy
Executive Secretary
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 16
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FINAL VERSION
Session 1.1
Concepts and definitions
Session To become familiar with the concepts of planning and development.
Objectives: To identify how these concepts are relevant to districts in Puntland.
Questions for Discussion 1:
Choose 1 of the questions below and briefly discuss in groups of 3:
What is development and what does it mean for our district?
What is planning and why is it important?
Why is participation important in a district planning process?
Your trainer will ask for your ideas when you have finished.
Exercise 1.1: Reflecting on Development
This activity aims to help you reflect on why development is important for our district
and how a lack of development can impact on us personally and those close to us.
Your trainer will guide you in this activity which asks you to consider the reflective
questions and information below:
Why is development important for our district?
Has anyone you know ever been sick with or even died from a disease that is
easily treated in other countries?
Does your family or anyone you know, sometimes go without meals?
Do you expect that all your children will reach adulthood?
Do people you know have to bathe in or drink unclean water?
These are all basic things that all of us as human beings should be able to achieve in
our lives:
Treating diseases
Eating meals every day
Feeling confident that our children can live long and healthy lives
Drinking and bathing in clean water, free from disease
This is why we engage in a development process. The process can be set back by:
Conflict
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 17
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FINAL VERSION
Corruption
Destruction of natural resources
Gender inequality
However, the process can be enhanced by:
Local government and decentralised systems
Careful and transparent management of public funds
Sensible planning based around real needs
1.1.1 Things to know about development and planning
What is Development?
Development is a widely used term that can mean ‘to grow’, ‘to improve’, or ‘to build
on’. Development is an ‘umbrella’ term that can include:
Service provision
Increasing life expectancy
Management of natural resources
Disease Prevention
Reducing unemployment
Improvement of quality of life
Disaster preparedness and management
Reduction of conflicts
Equitable access to resources and opportunities for men and women
Development is an ongoing process that can help us move from where we are
now to where we want to be in the future.
The development process involves many things, such as:
planning
working together
careful management of existing resources
What is Planning?
Planning is a process of thinking ahead and deciding:
Where are we now?
What are we going to do?
When and how we are going to do it?
What do we need to achieve what we want to do?
How much it will cost?
Who is going to be involved?
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 18
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FINAL VERSION
How will we know whether we have achieved our goal?
For example, if you are planning a big celebration, let’s say for a wedding, you will
need to consider the following:
What form will the celebrations take?
When will the wedding be and where will it be held?
How many guests will be invited?
What is required, for example, venue, mosque, food, drink
How much will the wedding cost?
Who is going to organise the different aspects of the wedding?
These questions form the basis of your planning for the celebrations. Without
answers to these questions, preparations for the wedding celebrations may not
progress as well as hoped.
Careful planning can help you anticipate what problems you may face, so that
you can take action to avoid these problems.
A planning process can help a district authority to make sensible decisions
about projects that can be explained to the wider community.
If a planning process is not followed, a District Council may find that it has
problems explaining its decisions to the community, in order to demonstrate
that decisions have been made in a transparent and accountable way.
What is Participatory Planning?
Participatory planning is a planning process that involves members of the community
(both men and women) in activities such as:
Collecting information.
Identifying and prioritising local needs.
Providing expert information, particularly about issues at a local level.
1.1.2 Glossary
At the end of this Participant Book there is a glossary, which contains some important
terms that you will come across in this training.
Please refer to your Glossary now and ask your trainer if there are any definitions
that you are not sure about.
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 19
2010.
FINAL VERSION
Session 1.2
Overview of the District Participatory Planning
and Budgeting (DPPB) process
Session To become familiar with the District Participatory Planning and
Objectives: Budgeting (DPPB) guidelines that underpin the training modules.
To give an overview of the DPPB process, including steps, activities
and responsibilities.
1.2.1 What are the District Planning and Budgeting Guidelines?
The District Participatory Planning and Budgeting (DPPB) process is a series of
steps and tasks that guide District Authorities through a participatory planning and
budgeting process and is relevant to development planning and budgeting in the
district in the long-term (over 5 years) and short term (annually).
The District Participatory Planning and Budgeting (DPPB) Guidelines is a
document which guides this planning and budgeting process and is the basis of
this training module and others to follow.
The DPPB Guidelines were developed by the Ministry of Interior (MOI) with
support from JPLG and CDRD to harmonise different approaches to development
planning. Through this process, MOI has developed one planning framework for
all districts and internal government transfers and external support should be
channelled to support the implementation of these guidelines.
The guidelines provide step by step information on the different parts of the DPPB
process. These steps are expanded on in the training materials that you are now
working through. The sessions in this Participant Book relate to the different tasks
outlined in the guidelines.
The guidelines identify 3 important outputs from the DPPB process and these are:
A District Development Framework (DDF) (for 5 years but reviewed
annually).
A District Annual Work Plan (AWP)
A District Annual Budget (linked to the Annual Work Plan)
Note: an additional aim is to work towards incorporating ‘gender budgeting’ into the
development of the annual budget and to ensure that the district’s DDF and AWP are
gender sensitive.
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 20
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FINAL VERSION
Each step in the DPPB process has a relevant training module, as shown in Table 1.1
below.
Table 1.1: Steps in the DPPB guidelines and relevant training modules
Step in the guidelines Relevant training module
Step 1. District Development Framework Module 2: Planning Module
A document outlining the 5 year vision and
priorities within the district. ! This is the training
module that you are
Step 2. Resource forecasting and budget assessment currently participating in.
Compile the best possible information on all
financial resources available for the coming year. Module 3: Resource
Forecasting and AWPB
Step 3. District Annual Work Plan and Budget Module
Decide which priorities in the District Development
Framework should be funded in the coming year.
Step 4. Implement Annual Work Plan Module 5: Procurement and
Selected projects are planned and designed in Implementation Modules
detail and implemented. A – Project Management
B – LG Procurement
C – Overview
Step 5. Monitoring and Evaluation Module 6: Monitoring and
Monitoring and review of projects to feed back Evaluation
lessons learned into the DDF.
1.2.2 More about the DPPB process
Each step in the DPPB process is part of a cycle of activities that includes
planning, budgeting, implementing and then using the lessons learned to feed back
into the next cycle, so that the process is improved each time it is conducted. Please
look at Diagram 1.1 below, which illustrates this DPPB cycle.
In addition, each step in the DPPB process can be broken down into individual
activities, which need to be carried out in order to achieve the desired outputs for
each step. The different activities that apply to Step 1 in the DPPB process are
identified in Table 1.2 below
! Note: The timelines presented in Table 1.2 are a guide only and the timing of
activities will vary from district to district.
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Diagram 1.1: Overview of the District Participatory Planning and Budgeting (DPPB) cycle
STEP 1:
COMMUNITY CONSULTATIONS
ASSESS TECHNICAL AND
NATIONAL REQUIREMENTS DISTRICT
DEVELOPMENT
FRAMEWORK
MONITORING
STEP 2:
AND LESSONS- DISTRICT PARTICIPATORY PLANNING AND BUDGETING ASSESS RESSOURCE AVAILABILITY AND
LEARNED
BUDGET REQUIREMENTS
RESSOURCE
FORECAST AND
BUDGET
ASSESSMENT
STEP 5:
ESTABLISH MONITORING SYSTEM
UNDERTAKE MONITORING AND
EVALUATION WITH COMMUNITIES
STEP 3:
PRIORITISE DISTRICT PRIORITIES
AGAINST BUDGET AVAILABILITY
IMPLEMENT
WORK PLAN AND DISTRICT WORK
BUDGET PLAN AND
STEP 4:
ANNUAL BUDGET
DETAILED PROJECT DESIGN WITH
COMMUNITIES
PROJECT IMPLEMENTATION AND
MANAGEMENT
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Table 1.2: Overview of Step 1 in the DPPB process
Have adapted this table from an original version prepared by Amy.
Suggest someone needs to review the timeline and number of days allocated for each activity to ensure is realistic.
No Activity No. of Month Persons Responsible Desired Outcome Formats required
days
1 Awareness raising with 5 -10 Jan District Council Communities have a clear None
communities MOI and facilitators understanding of the DPPB process
(support) in their district and their role and what
to expect from it.
2 Prepare district profile 10 Feb Planning Dept staff A completed District Profile DPPB Format 2.1:
E&D Sub-C’tee document, which can be summarised District Profile
MOI (support) for inclusion in the DDF. Format
DPPB Format 2.2:
District Profile
Work Plan
3 Assessment of 2 Feb Executive Secretary A brief document (1-2pp), which None developed.
national/ line ministry District departments outlines the different national/line
requirements MOI, sectors, Ministry ministry priorities / requirements that
of Planning. apply to the district and its DDF.
4 Identify existing district 2 Feb Planning Dept staff A compilation of as much relevant None – relevant
development plans or E&D Sub-C’tee information from existing documents information will be
priorities as possible, for inclusion in the DDF. incorporated into
the DDF.
5 Preparing for 1 March District Council A shared understanding of the None developed
Community External facilitators participatory process to be followed in
Consultation MOI (support) the community consultations and the
principles involved.
A clear understanding of which
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FINAL VERSION
villages/locations will be consulted
and how much time will be spent in
each.
Appointment of Councillors to
‘consultation teams’ to locations in
the district to support the conduct of
the consultations.
6 Community Entry 1 for March Consultation teams Community entry public meetings are None developed.
coordina (Facilitators & held in each proposed community
tion Councillors) consultation location, which explain
meeting, District Mayor the purpose and process of the
1 per VCs (support) community consultation process to
public follow.
meeting
location
7 Community 5 per April Consultation teams A Community Priority Assessment DPPB Format
Consultation process location (Facilitators & (CPA) document with attached Basic 2.3: Community
(Includes sub-activities Councillors) Community Information. Priority
7a-7f) VCs Assessment
(CPA)
DPPB Format
2.4: Basic
Community
Information
8 Prepare Draft DDF 5 May A writing team of A draft District Development DPPB Format 2.5:
document Department of Framework document prepared. District
Planning Staff (1-2), Development
District Councillors (1- Framework
2), Executive
Secretary
District Council has
input on priorities and
objectives
MOI (support)_
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9 Review DDF 2 input June Executive Secretary A final version of the DDF that can be DPPB Format 2.5:
document days and E&D Sub- sent to the District Council to adopt. District
over a Committee Development
2-3 Writing team Framework
week
period
10 Adopt District 1 July District Council An adopted District Development Meeting Form 1.1:
Development Framework document. District Council
Framework meeting agenda
Meeting Form 1.2:
District Council
meeting minutes
11 Disseminate District 1 July E&D Sub-Committee Communities in the district are all None
Development aware that the District Development
Framework Framework has been finalised and
have access to viewing a copy of this
document.
Note: timeline and estimated days are given as a guide only and may vary from district to district.
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Table 1.3: Overview of Steps 2&3 in the DPPB process
Note: Activities 1-11 in the DPPB process relate to Step 1: District Development Framework and were outlined in Module 2:
Planning Module. This table relates to Steps 2 & 3 in the DPPB process and includes Activities 12-22.
No Activity No. of Month Persons Responsible Desired Outcome Formats
days required
12 National Budget 1-2 Jun-Aug MOI facilitate Clear indications of what districts can None
Conference Representatives from expect from national budget allocations
each District attend and external funding for the coming
year and ideally for the following two
years if possible.
13 Revenue forecast and 5 Aug Administration and A table which outlines all expected DPPB Format
budget commitments Finance Department revenues for the coming year and 3.1: Revenue
E&D Sub-Committee following two years where possible. Forecast
A table which identifies existing DPPB Format
budget commitments for the 3.2: Budget
coming year and following two Commitments
years where possible.
14 Initial Budget 5 Aug Administration and A written assessment of the revenue DPPB Format
Assessment Finance Department forecast and budget commitment 3.3: Budget
E&D Sub-Committee tables, which explains the information Assessment
in the tables and the likelihood that the
expenditures and revenues will turn out
as expected.
15 Selection of priorities 2 Sep District Council A list of projects in priority order, based DPPB Format
and projects External facilitators on information in the DDF, which the 3.4: Priority
(Prioritisation process and MOI (support) District Council considers to be the Projects for
1) highest priority projects for the coming AWP
year.
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16 Budget assessment of 5 Sep Administration and A list of priority projects and their costs DPPB Format
the priority projects Finance Department compared against the available funds 3.4: Priority
Director of for the district for the coming year. Projects for
Administration and AWP
Finance
E&D Sub-Committee
District Council
17 Prioritise projects 2 Sep District Council A draft Annual Work Plan and Budget, DPPB Format
within budget ceiling E&D Sub-Committee showing selected projects and their 3.5: District
(Prioritisation process costs in priority order for AWP
2) implementation, within the funds DPPB Format
available for the coming year 3.6: District
Annual Budget
18 DDF/Resource 2 Oct VC Representatives A shared understanding with DPPB Format
Forecast/AWPB District Mayor community representatives of the 2.5: DDF
Feedback Workshop Executive Secretary DDF, the Resource Forecast and DPPB Format
Economic and Annual Work Plan and Budget and 3.1: Revenue
Development Sub- the reasons behind the inclusion Forecast
Committee and prioritisation of particular DPPB Format
Director of District projects. 3.2: Budget
Department of Commitments
Planning and staff. VC representatives are able to DPPB Format
Director of District explain what they have learned 3.3: Budget
Administration and about the DDF, the Resource Assessment
Finance Department Forecast and Annual Work Plan DPPB Format
and staff. and Budget to others back in their 3.5: District
MOI (support) communities. AWP
DPPB Format
3.6: District
Annual Budget
19 Finalise AWPB 2 Sept District Director of A final version of the Annual Work Plan DPPB Format
Administration and and Budget for adoption by the District 3.5: District
Finance Council. Annual Work
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E&D Sub-Committee. Plan
DPPB Format
3.6: District
20 Adopt AWPB 1 Nov District Council An adopted District Annual Work Plan Annual Budget
and Budget for dissemination to the DPPB Format
wider community.
21 Disseminate AWPB 1 Nov Economic and Awareness throughout the district of the
Development Sub- contents and progress of the district’s
Committee Annual Work Plan and Budget.
22 Project Approval tba Nov- Department of Individual projects in the Annual Work DPPB Formats
Process Dec Planning Plan are approved by District Council. 3.7-3.12
Note: timeline and estimated days are given as a guide only and may vary from district to district.
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1.2.3 Activities in the DPPB process and the District Council Meeting Schedule
In terms of the activities in the DPPB process outlined in Table 1.2&1.3 above, the
following activities could be scheduled to coincide with a District Council meeting as
follows. Note that this will depend on the number and timing of District Council meetings
held.
Table 1.4: Example District Council Schedule of Meetings
Month Meeting DPPB Activity Role of District Council
January District Council Activity 1. Awareness Identify and discuss appropriate
Ordinary Meeting Raising with communication mechanisms to
1/2010. communities raise awareness with
communities about the DPPB
process.
February No District Council - -
Meeting
March District Council Activity 5. Preparing Invite facilitators to attend
Ordinary Meeting for Community meeting and discuss proposed
2/2010. Consultation plan for conducting community
consultations.
April No District Council - -
Meeting
May District Council Activity 8. Prepare Input on priorities and
Ordinary Meeting draft DDF document objectives to be included in the
3/2010 DDF.
June No District Council - -
Meeting
July District Council Activity 10. Adopt Vote on resolution to adopt the
Ordinary Meeting DDF DDF.
4/2010
August No District Council - -
Meeting
September District Council Activity 15. Identify Discussions on objectives and
Ordinary Meeting priorities and projects projects for inclusion in AWP.
5/2010
October No District Council - -
Meeting
November District Council Activity 20. Adopt Vote on resolution to adopt the
Ordinary Meeting AWPB AWPB.
5/2010
December No District Council - -
Meeting
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1.2.4 What are the main roles and responsibilities in the DPPB process?
There are a number of individuals and bodies involved in the DPPB process. Table 1.5
below identifies these roles and responsibilities that are specific to the DPPB process.
Table 1.5: Overview of roles and responsibilities in the DPPB process
Individual/Body Main roles/responsibilities
District Council Owner of the District Development Framework.
Responsible to implement the District Planning and Budgeting
Process.
Formulates the District Development Framework, Annual Work
Plan and Annual Budget
Design projects, carries out procurement and supervise
contracts in accordance with applicable laws, regulations,
guidelines and agreements.
Participatory manner allowing members of the community full
access to information and the opportunity to participate in
planning and in monitoring and evaluation activities.
Individual councillors are responsible for liaison with community
groups and for facilitation of community consultation and
monitoring activities at community level.
Economic and Main responsibility for oversight of the DPPB process.
Development
Sub-Committee
District Executive Many of the roles of the Executive Secretary are relevant to the
Secretary DPPB process, such as:
To coordinate the work of the various departments and to pass
on the governmental directives.
To keep abreast of and to check on the work of the
departments and to ensure delivery services.
To lead the departments of the local government of the district.
For a full list of responsibilities, refer to your Induction Module.
District Mayor In accordance with legislation, chairs Council meetings,
oversees implementation of the Budget, oversees financial
management of the funds administered by the District Council
in accordance with appropriate rules, regulations, guidelines
and agreements.
Liaise with higher levels of government and with relevant
development agencies on behalf of the District Authority.
Implements decisions of the District Council.
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District Planning Responsible for preparing the District Profile.
Department Responsible for drafting the District Development Framework
(where exists or if as part of a team.
not, other
relevant Responsible for preparing relevant documents for the Project
department) Approval process.
Village Make sure that village level interests are included in the
Committees objectives of the District Development Framework.
Mobilise village level participation in development planning,
implementation and monitoring of development activities
Monitoring implementation of District Development Framework
and annual Work plan and budgets
Community Involvement in the design, preparation and monitoring of
Monitoring/User specific development projects.
Groups Project specific, temporary, membership varies depending on
project needs and features.
Ministry of Provide guidance on national requirements and policies to
Interior include in district work plans and budgets.
Monitors and support district council in work plan and budget
implementation, including financial management and reporting.
Oversees capacity development support and facilitation of
district councils.
Ministry of Ensures fiscal transfers in accordance with functions
Finance decentralised to the district level
Fiduciary risk control of the district level
Line-ministries Assist District Councils to develop projects that are consistent
with sector-wide strategic planning and with sector-specific
technical standards.
Gives District Councils directions on national sector-specific
requirements that need to be implemented by District Councils
and plays advisory role to ensure that the District Development
Framework is in line with the national policies and standards.
Share information about planned activities where coordination
or cooperation is required or relevant.
Approves such District Council decisions that require sector-
ministerial consent, based on whether there is conflict with
sector development planning, design conforms to relevant
technical standards, any recurrent cost burden to be funded by
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the Ministry (for example salaries for teachers or health staff)
District Tender Oversees procurement including project design activities,
Committee tendering, evaluation of tenders and recommendations for
award of contract in accordance with legislation
Ensure participation or observation of community members with
direct interest in the project considered including women
Auditor General The Ministry of interior to inspect the assets and activities of the
local councils, similarly the Auditor General shall be responsible
for the audit of their management and finances.
District Internal In accordance with legislation
Audit function
Development All development agencies active in the district are invited to
agencies, NGOs, participate in the planning forums. They can comment and
etc. (external advise on the lists of priorities and projects prepared by the
agencies / District Councils at Step 3. The Agencies and the District
organisations) Councils can share information about planned activities and
where possible may enter into simple development cooperation
agreements with the District Councils and communities.
! The DPPB Guidelines identify Step 1 in the DPPB process as the development
of a District Development Framework (DDF) for your district.
The rest of this Module 2: Planning Module is designed to help you develop the
skills and knowledge you need to prepare a District Development Framework for
your district, thus achieving Step 1 of the DPPB process.
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Session 1.3
What is the District Development Framework?
Session To become familiar with the purpose, content and format of a
Objectives: District Development Framework (DDF).
1.3.1 What is the District Development Framework and what is it used for?
The DPPB Guidelines identifies Step 1 in the DPPB process as the
development of a District Development Framework (DDF) for your district.
The purpose of the DDF is for the district to have a shared vision of the
objectives for the district’s development over the coming 5 years, as well as the
priorities that need to be addressed in that time in order to achieve these
objectives.
The DDF is a document (approximately 15-20 pages) that:
Specifies the main social and development objectives of the district.
Summarises the main challenges facing the district in achieving its
objectives.
Defines the main priority interventions needed to achieve the objectives.
The District Council will use the DDF to decide on which projects and activities to
be put into their Annual Work Plan. It will be an important reference document for
all stakeholders in the district, including Village Committees and citizens of the
district.
The DDF will act as an important accountability tool, as it will ensure that the
projects chosen for the Annual Work Plan relate to the district’s objectives and
contribute to the development of the district.
The above information has been adapted from the DPPB Guidelines, p.6.
! The DDF is a guiding framework and not a plan, as it does not list specific
actions to implement or budget lines committed. It also does not list projects
or services for specific villages or communities.
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1.3.2 What does a DDF document look like?
A format has been developed to assist your district to develop its own DDF.
The headings of the DDF format include the following:
1. Introduction
2. District Profile Summary
3. National Requirements and Priorities
4. Community Consultations
5. Main District Priorities
6. Objectives
7. Main Interventions
Please look at. Attachment 1: Example District Development Framework
Format at the end of your Participant Book.
Your trainer will go through this format with you, so that you will be familiar with it.
A blank copy of the District Development Framework format can be found in
DPPB Format 2.5 – District Development Framework of your DPPB Format Book
(print and electronic versions available).
End of Unit 1 Exercise – Participation and Inclusion
You will notice that throughout the DPPB process there is an emphasis on the
participation of a wide range of stakeholders, as well as the inclusion of groups who may
not normally have an opportunity to participate in these kinds of processes, for example,
women, youth and marginalised groups.
In this activity we will spend some time talking about why it is important to have a
participatory process and why such a process should be inclusive of certain groups.
Your trainer will ask you to work in groups and discuss the following questions:
a) Why do you think it is important to have input from groups such as women, youth
and marginalised groups into the district planning and budgeting process?
b) What benefits do you think that such people could bring to the planning and
budgeting process?
c) What can we do to ensure that these people have every opportunity to participate
fully in the planning and budgeting process?
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 34
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Unit 2: District Plans and Profiles
This unit contains the following sessions:
Session 2.1: Awareness Raising with the community
Session 2.2: Preparing a District Profile
Session 2.3: Reviewing District priorities and plans
Who is this unit for?
All District Councillors, including members of the Economic and
Development Sub-Committee.
Staff of the district Planning Department (where it exists, or if not, other
relevant district department).
District Mayor and Deputy
Executive Secretary
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This unit covers a number of activities relating to the development of the DDF, as shown
in Diagram 2.1 below.
Diagram 2.1: Overview of Activities 1-4
What are the activities? What is involved?
Carry out awareness raising on the aim and main
1. Awareness Raising with steps of the DPPB process, including community
the community consultation, as part of a wider civic education
campaign.
2. Prepare District Profile Prepare a document containing economic and
social information about the district.
2a. Rapid Urban Spatial An optional tool that can be used to give useful
Analysis (optional) information for the District Profile.
An optional tool that can be used to give useful
2b. Local Economic information for the District Profile.
Assessment (optional)
3. Determine national/line Identify which national policy or line ministry
ministry requirements requirements the district will need to include in its
District Development Framework.
4. Previous consultation Consolidate any consultation processes on
processes/development district priorities that have already taken place in
plans the district.
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 36
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Session 2.1
Activity 1. Awareness raising with the community
Session To understand the purpose and methods for conducting
Objectives: awareness raising on the DPPB process with communities.
To identify the awareness raising process as part of a wider civic
education campaign for communities.
Before we start the session, look back at Table 1.2 in your
Participant Book, to see where we are in the DPPB process.
2.1.1 Why conduct awareness raising with communities?
It is important that awareness raising is conducted with communities at the
beginning of the DPPB process, to ensure that communities understand the
purpose and main activities of the DPPB process, in particular the community
consultation that will take place in their villages as part of the preparation of the
District Development Framework.
Awareness raising is an important part of ‘breaking ground’ with communities, as
many communities up until now have had little interaction with their District
Council.
A Civic Education campaign should also be rolled out at this stage, which aims to
sensitise and empower communities in the target districts as part of efforts to
stimulate positive change and attitude concerning their rights and responsibilities
vis-à-vis their local councils.
The aim of awareness raising is that communities are fully aware of what to
expect and can prepare themselves and their ideas in order to have effective
input into the overall DPPB process.
An important part of the awareness raising process will be to ensure that
communities have realistic expectations about what the DPPB process can do for
them. We will look at managing community expectations more closely in Session
3.1.
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A summary of information about how Activity 1. Awareness Raising should be
conducted is provided below in Table 2.1.
Table 2.1: Who and When? – Activity 1. Awareness Raising
Who is The awareness raising will be led by the District Council, with
the collaboration of MOI and facilitators.
involved in
awareness
The District Council is responsible for communicating with
raising?
communities through a range of mechanisms. The MOI and
facilitators are responsible for providing backstopping support
and ensuring that the required activities take place.
When The awareness raising campaign should be carried out in
January and require approximately 5-10 input days.
does this
happen?
What is ** Note: Awareness raising on the DPPB process should link in with
civic education processes within the district at the time, as this will
the reduce the need to conduct a separate process, thus saving time
process? and resources.**
Some steps to guide the process:
1. Organise the awareness process so it reaches the maximum
number of people in each village. This includes identifying
means of communication that can reach a large number of
people for as low cost as possible.
2. Use appropriate awareness raising tools. Examples could
include the following:
Radio announcements
Drama presentations
Notices in public places
Written material such as cartoon strips
Public meetings
Text messages on mobile phones
‘Free play’ radios and mp3 for group listening
What is Communities in the district have a clear understanding of the
DPPB process in their district and what to expect from it.
the desired
Communities understand their role in the process and where
outcome?
and how they can have input.
What No DPPB formats are required for this process.
formats are
needed?
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2.1.2 What information should be shared with communities as part of awareness
raising?
Communities will need to understand the following things about the DPPB
process:
The aim and main steps of the upcoming DPPB process
The roles of the Village Committees in the process
How citizens can participate in the community consultation process and what
they can expect.
How citizens can ensure their views and priorities are heard at the District
Council level
How citizens can play a role in monitoring the implementation of the plans
2.1.3 How does community input feed into the DPPB process?
An important part of awareness raising will be for communities to understand that they
will have many opportunities for input into the DPPB process, as shown below:
Diagram 2.2: Opportunities for community input in the DPPB process
Step in the DPPB process Desired community input
Opportunities for community input
Step 1: District
Community consultations on issues, needs and priorities
Development
for the initial DDF.
Framework (DDF)
Provide written feedback on the DDF document.
Provide assistance to review the DDF annually.
Step 2: Resource Opportunities for community input
forecasting and Provide written feedback on the Resource Forecast and
budget assessment budget assessment.
Involvement in ‘participatory budgeting’ activities (to be
determined)
Step 3: Prepare Opportunities for community input
Annual Work Plan Discuss and provide feedback on the draft DDF and AWPB
and Budget at a validation workshop.
Step 4: Implement Opportunities for community input
Work Plan and Community Monitoring/User Group to provide input into the
budget design and implementation of specific projects (as far as
legally or technically possible).
Step 5: Monitoring Opportunities for community input
and Evaluation Community Monitoring/User Groups to undertake
monitoring and evaluation activities relating to project
implementation and outcomes.
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Exercise 2.1: Community Questions and Answers
This exercise aims to help District Councillors prepare for the kinds of questions that
communities might have about the DPPB process and identify appropriate ways that as
a District Council, you can respond to these questions.
1. You will work in groups – half of the groups will be ‘District Council’ groups and half
will be ‘Community’ groups.
2. Each District Council group will sit with a Community Group and pretend that the
community has just been through an awareness raising process about the DPPB
process.
3. Each Community Group will develop a list of 3 questions that a real community group
might have about the DPPB process and will ask their questions to their District
Council group. The District Council must respond in the best way possible.
Here are some examples of the questions that real communities might ask:
Why is it that we always seem to be consulted but never see any results?
Can you guarantee that our village will receive a project next year?
We never hear anything about what is happening in the District Council. How
will you keep us informed about this planning process?
Your trainer will guide you with further instruction for this activity.
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Session 2.2
Activity 2. Prepare District Profile
Session To understand how to prepare a district profile, including the
Objectives: information needed and the process to follow.
Before we start the session, look back at Table 1.2 in your
Participant Book, to see where we are in the DPPB process.
2.2.1 What is a district profile?
A district profile is a document which gives an overview of the current social and
economic conditions of the district.
The main purpose of the district profile is to help District Authorities to develop an
understanding of the current situation in their district and to be able to anticipate
what the future situation in the district might look like.
The district profile also helps districts to prepare a necessary database for the
participatory consultations and to identify, analyse and mobilise key stakeholders
for the participatory planning process.
The District Profile will vary in length from district to district, depending on the
amount of existing information available. However, it is reasonable that a
comprehensive District Profile might be 10-15 pages long, which will need to be
summarised into 4-6 pages for the District Development Framework.
To illustrate:
District Profile DDF document
(10-15 pages) (15-20 pages)
A 4-6 page summary of the
Contains information District Profile is produced for
about the current social inclusion in the DDF.
and economic conditions
of the district.
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 41
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A summary of information about how Activity 2. Prepare District Profile
should be conducted is provided below in Table 2.2.
Table 2.2: Who and When? – Activity 2. Prepare District Profile
Who The staff of the District Planning Department (where it exists, or
is involved
other relevant department) will be responsible for the gathering of
in
information and writing of the draft District Profile.
preparing a
district
The Economic and Development Sub-Committee of the District
profile?
Council will have an oversight role of the process, with the
Executive Secretary as a secondary person responsible for
follow up of this task. The Mayor will provide backstopping and
support to this process.
The Planning Department staff will need to liaise with the
relevant district technical departments and government agencies
in order to collect the relevant data for the district profile.
Note that in the first year there will be support from trainers and
backstopping from MOI in the first and subsequent years.
When The district profile should be prepared in February and should
take approximately 10 input days. Note that the District Profile
does this
will be prepared initially for the initial District Development
happen?
Framework and then will need to be revised annually.
What 1. The Economic and Development Sub-Committee meets with
Planning Department staff, the heads of relevant technical
is the departments and any relevant NGOs, CBOs and other regional
process? government representatives (as required) to discuss the district
profile.
2. The process of information gathering needs to be coordinated
between the Department of Planning staff and other
departments.
3. The Economic and Development Sub-Committee needs to be
updated on the progress of the District Profile.
4. Make sure that for each piece of information needed:
An individual is identified to collect the information
A timeline of when the information needs to be ready
This information can be written into the ‘District Profile Work Plan
format’ (see below).
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5. Individual staff members are identified to write up the draft of the
different sections of the District Profile, with support from
facilitators and MOI.
6. The sections of the District Profile are collected into 1 document
and circulated as a draft for comment before finalising.
What is The desired outcome is a completed District Profile document
the desired (10-15 pages), which is incorporated into Section 2. District
outcome? Profile Summary of the District Development Framework as a 4-
6 page summary.
What DPPB Format 2.1: District Profile Format
DPPB Format 2.2: District Profile Work Plan (suggest
formats are
needed? developing a simple work plan form for the development of the
District Profile eg identify what information is needed, who is
responsible to collect it and by when)
These formats are located in your ‘DPPB Format Book’
The following information and examples are located at the end of this
Participant Book.
Attachment 2: Detailed District Profile Information (this is
most relevant for Planning Staff who will be preparing the District
Profile)
Attachment 3: Example District Profile – Unity District
2.2.2 What information needs to be included in the District Profile?
! There is quite a lot of information identified for inclusion in the District Profile.
Districts should keep in mind that they are not expected to gather this all at
once, but rather their district profile will be subject to ongoing improvement
each year as more and more data becomes available and new data can be
added as it comes in.
Table 2.3 below outlines the main areas that the District Profile needs to address.
More detail about each of these areas is given in Attachment 2: Detailed District
Profile Information at the end of this Participant Book. The table in this attachment also
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provides a suggested format for each category and suggestions on where the required
information can be sourced from.
Table 2.3: Contents of a District Profile
Heading What does this include?
1. Physical Key physical geography
Environment – Demographic information
a District base Location of services
Map Physical features which have significance for local/regional
planning and development
Spatial structure of largest settlements (presented in enlarged
inserts or separate sheet attachments to the base map)
These maps will be made available from UN-HABITAT GIS unit.
2. Social Demography, clans
baseline Information on poverty, vulnerable groups, gender
Health information and facilities
Education information and institutions
Skills base in the district (types and levels of human resources)
3. Economic Available (natural) resources, status and issues
profile, key Main economic sectors, economic activities, and employment
assets and structure and numbers (size of main businesses and growth
opportunities potentials)
Income levels in the main sectors of employment and economy
Productive and service infrastructure and utilities
Major bottlenecks for districts development due to infrastructure
deficit
Main markets and economic activity nodes/clusters in the district
(or applicable regional ones)
Trade flows in the district and links to regional flows
4. Basic Social Information/data on levels of service delivery currently achieved
Services by the District Council.
Service providers (DC, PPPs, private, international assistance,
etc.) and main economic indicators of the service provision.
Information on current external development assistance activities
in the district.
Information on the main organisations working in the district,
including donors, CBO/NGOs.
Highlight access to these services by both men and women.
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5. Key Sector This section is essential as it analyses key issues of the district such
Issues as:
Urban – rural linkages
Institutional roles and responsibilities
Privatisation and public-private partnerships
Level of decentralisation
Poverty and environmental issues
6. Environment Gives information on the natural resources available in the district
/ Natural as well as their status, for example whether any are vulnerable to
Resources and over-exploitation.
Management Outlines the major challenges facing the future management of
the district’s natural resources and environment.
7. Security Community Security Committees
Information
8. Population Number of villages per district
Figures for Number of households per village
villages Number of Village Committees, their area of influence and sub-
committees and mandates
Definition of a community or family.
9. Thematic In addition to the physical environment map (point 1), thematic
Maps maps of districts should be produced in the first year and
improved in the subsequent years.
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2.2.3 How is information presented in the District Profile?
There are 4 main ways in which data can be presented in reports like the District
Profile. These are:
Maps
Tables
Graphs
Written paragraphs
Suggestions about how to present the different types of data are also given in
Attachment 3 – Example District Profile, Unity District at the end of this
Participant Book.
Note that it is not possible or even desirable to include all available information
about the district into your District Profile. Otherwise, it might be difficult to identify
the most relevant information amongst all the other additional information.
A long report is not necessary better! It is more useful to have a shorter report
that identifies the most important information about your district, than a long report
which contains pages and pages of information that is not useful.
The checklist below can help you identify what information should be included in
the profile and what can be left out.
Table 2.4: Checklist for assessing the relevancy of data
1. Does this data give us If yes – consider including in the District Profile.
clear information about
something happening in our If no – it should not be included.
district now, or in the future?
2. Is this data from a credible If yes – consider including in the District Profile.
source and likely to be
accurate? If no – you may need to cross-check the data
with another source to ascertain its accuracy. If this
cannot be done, the information should not be
included.
3. Does this data tell us If yes – consider including in the District Profile.
anything new about the
situation in the district? (or If no – you could just make a reference to the
does it just reinforce source of the information in the District Profile,
information that we already rather than including all the information.
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have?)
4. Is this data available in a If yes – consider including in the District Profile.
format that is easy to
understand, for example, If no – see if you can present the data as a
maps, tables, graphs? map, table or graph. If this is not possible, it may be
best to leave out the information, or include it as an
Annex to the main document.
5. Is this data agreeable to If yes – consider including in the District Profile.
the District Council?
If no, seek further clarification from the District
Council.
6. Can this data help in If yes – consider including in the District Profile.
improving local development
initiatives? - If no, you could make a reference to the
source of the information in the District Profile
7. Is the information about If yes – consider including in the District Profile.
what is likely to be happening
in the future realistic and not If no – it may need to be modified before
too ambitious? including in the District Profile.
8. Is this data gender If yes – consider including in the District Profile
disaggregated?
(In other words, does it make If no – seek further clarification from the District
a distinction between men Council
and women, boys and girls?)
There are two other tools that can be used to assist with the development of the
District Profile, the Rapid Urban Spatial Analysis (RUSA) and Local Economy
Assessment (LEA).
It may not be feasible to use these tools in the first attempt to develop your District
Profile, but some information is provided below to familiarise you with what they involve.
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2.2.4 What is a Rapid Urban Spatial Analysis and how is it relevant to the District
Profile?
Question: Can this tool be modified/expanded to capture rural areas as well as urban?
UNHabitat to advise on this as per workshop recommendation.
A Rapid Urban Spatial Analysis (RUSA) is a tool used to get a quick overview of
the basic urban characteristics in selected Somali cities and towns.
The purpose of this rapid assessment of the urban characteristics of the city is to:
understand the basic elements of each city (or urban area).
achieve a basic understanding of the current situation in the area.
This will help us to identify and prioritise challenges and problematic areas and to
address the most important ones first in the shortest possible time.
Conducting a RUSA is a process which allows us to:
have a quick understanding of the main structuring elements of a city, and the
problems and opportunities.
identify priority areas in the city where different problems or opportunities
come together and where an integrated approach is desirable.
give initial ideas on how the city should develop in the future, for example:
what needs to be re-organised or restructured?
what directions can the city development take or not take?
Relevant information from the RUSA would be incorporated into the District
Profile (in one particular section? – or just in relevant places throughout the
profile? Please advise.)
It is not compulsory for a district to carry out a RUSA as part of the development
of its District Profile. However, it is a tool that districts might find useful in future, to
assist with the process of mapping their district for inclusion in the District Profile.
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2.2.5 What is a Local Economy Assessment and how is it relevant to the District
Profile?
A Local Economy Assessment is a tool that can be used to gather information on
the economic situation in the district, which can feed into the District Profile. A
Local Economy Assessment is considered to be an important step for the
promotion of local economic development within districts.
Local Economic Development relates to the following:
Making use of a district’s local resources and competitive advantages.
Creating decent jobs and stimulating economic activity in a district.
Generating opportunities for business growth (for men and women) in a
district.
A district can conduct a Local Economy Assessment to help it do the following:
Gain a clear understanding of the conditions required for business to
flourish in their area.
Take advantage of economic opportunities.
Promote the economic, social and environmental well-being of the district.
Ensure that future economic interventions are informed by a thorough
assessment of the economic strengths and weaknesses of the district.
A Local Economy Assessment covers both rural and urban areas of a district.
Information from a Local Economy Assessment can be incorporated into a
district’s District Profile document, in particular, section ‘3. Economic’ to provide
important information about the economy of the district.
It is not compulsory for a district to carry out a Local Economic Assessment as
part of the development of its District Profile. However, it is a tool that districts might
find useful in future, to assist with the process of conducting an economic
assessment of their district for inclusion in the District Profile.
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Exercise 2.2: Analysis of Unity District Profile
This activity is designed to increase your familiarity with the expected format and content
of a district profile, to assist you when you come to develop a district profile for your own
district.
You will need to refer to Attachment 3 – Example District Profile, Unity District at the
end of this Participant Book.
In groups, your trainer will ask you to read the example district profile for Unity District
and answer the following questions:
a) List 3 natural resource issues in Unity District. Why do you think Unity District
should be concerned about these issues?
b) What are the main areas of economic activity in Unity District? What areas do you
think have the potential for further development and why?
c) What are the main service delivery issues in Unity District and who should be
responsible for the delivery of these services?
Your trainer will ask for group feedback when you have finished.
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Session 2.3
Activities 3 & 4. Reviewing existing priorities,
plans and national requirements
Session To identify what sources of existing information are available in the
Objectives: district and how these can contribute to the DDF.
To understand what national or line ministry requirements need to
be taken into account when preparing the DDF.
Before we start the session, look back at Table 1.2 in your
Participant Book, to see where we are in the DPPB process.
2.3.1 Where does the information for the DDF come from?
The District Development Framework will be the end product of information coming from
a number of different sources as shown in Diagram 2.3 below.
Diagram 2.3: Information sources for the District Development Framework
District National/line District priorities and Community
Profile ministry plans prepared Consultations
(Activity 2) requirements previously (Activity 7)
(Activity 3) (Activity 4)
District Development Framework
In Session 2.2 we looked at how to prepare a District Profile (Activity 2). In this
session we will look at how national/line ministry requirements (Activity 3) and existing
district priorities and plans (Activity 4) can contribute to the DDF.
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2.3.2 National/line ministry requirements
A district cannot act entirely on its own. The DPPB process needs to take into
account that there may be things in place at national level, which the district must
include in its own development planning.
Such things could include:
National objectives or strategies that the district must work in accordance
with, for example the National Education Policy, Water Policy, Health
Policy and Environment Policy.
Concrete services which must be provided through the District Councils,
for example, waste management services.
Standards for how the District Council delivers these services (these are
currently being developed by ILO).
An example of a report containing relevant information for districts is the ‘Somali
Reconstruction and Development Plan’
A summary of information about how Activity 3. Reviewing national/line
ministry requirements should be conducted is provided below in Table 2.5.
Table 2.5: Who and When? – Activity 3. Reviewing national/line ministry
requirements
Who The Executive Secretary and district departments will work with
is involved the MOI, the sectors and Ministry of Planning, to identify any
in this national or line ministry requirements that the district needs to
activity? consider and prepare a brief document which outlines this
information.
The Economic and Development Sub-Committee should receive
a copy of this document.
When This should happen in February and require approximately 2
does this input days.
happen?
What Relevant information needs to be obtained by the MOI from the
sectors and Ministry of Planning.
is the
process?
Regional representatives from relevant ministries need to be
consulted and the district must communicate with the MOI to
coordinate involvement of relevant sector Ministries to ensure the
DDF is in harmony with national policies.
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What is A brief document (1-2pp), which outlines the different national or
the desired line ministry priorities or requirements that will apply to the district
outcome? and that need to be considered in the preparation of the District
Development Framework.
This information will be incorporated into Section 3. National
Requirements and Priorities of the DDF.
What No DPPB formats are required for this process.
formats
are
needed?
2.3.3 Existing district priorities and plans
Some districts may already have conducted a participatory planning process, or
have prepared some district plans in the past.
Such documents should be used in the preparation of the District Development
Framework wherever possible.
A summary of information about how Activity 4. District priorities and plans
should be conducted is provided below in Table 2.6.
Table 2.6: Who and When? – Activity 4. District Priorities and Plans
Who The district Department of Planning staff are responsible for
is involved identifying any previously prepared plans or priorities and
in this assessing what information from these can be included in the
activity? District Development Framework.
The Economic and Development Sub-Committee will have a role
in overseeing this process.
When This should happen in February and require approximately 2
input days.
does this
happen?
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What 1. Identify possible sources of existing district development plans or
priorities, such as:
is the
process? District department files
NGOs that have worked in the districts now or in the past
External agencies that have worked in the districts now or in
the past, for example, the Danish Refugee Council.
2. Review the documents against the given format for the DDF
(Attachment 1 at the end of this Participant Book).
3. Identify any gaps in these existing plans where more information
is needed to complete the DDF. Use the checklist in Table 2.7
below as a guide to help you assess each piece of information
that you collect.
What is
the desired A compilation of as much relevant information from existing
outcome? documents as possible, for inclusion in the District Development
Framework.
What No DPPB formats are required for this process. Relevant information
will be incorporated into the DDF.
formats
are
needed?
Table 2.7: Checklist for assessing existing district plans
Are the existing plans If yes – They may be useful for your DDF and should be
recent, for example,
considered further.
in the past 5 years?
If no – They are unlikely to still be relevant to your
district’s current situation and their usefulness is limited.
Do the existing plans If yes – Check that the information fits within the DDF
cover the entire
format and if it does then it should be considered further.
district area?
If no – Identify which other areas in the district need to
be covered.
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Do the existing plans If yes – They may be useful for your DDF and should be
cover all relevant
considered further.
sectors and themes?
If no – Identify what sectors or themes must be brought
in to complete the picture.
Do the existing district If yes – These may be useful for your DDF and should
plans have strategies
be considered further.
for addressing
gender, HIV/AIDS,
environment?
Examples of some relevant documents include:
‘First steps towards Strategic Urban Planning’ documents – facilitated by UN
Habitat, relevant sections include:
Background
Planning Strategies for Development
Institutional Mapping and Territorial Diagnosis – an ILO tool used to collect
Local Economic Development information.
Exercise 2.3: Information Brainstorm
Your trainer will guide you through an activity which will help you think about what
information your district might already have that could be used in the planning process.
You will need to refer to Exercise Sheet 1 at the end of your Participant Book to
complete the activity.
1. You will work in groups of 5 or 6 and try to identify the following:
What are some relevant planning documents that our district may have
prepared in the last 5 years?
Where can we locate this information?
Who can we assign to look for this information and/or follow up?
2. Record your answers in Exercise Sheet 1.
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End of Unit 2 Exercise – Participation Ladder
This exercise is designed to help you think about your District Council and how
participatory it is when it comes to working with the wider community.
Your trainer will explain the ladder below to you and then you will be asked to read
the information and discuss some questions.
Citizen empowerment
Citizen
Empowerment Delegated power
Partnership
Consultation
Tokenism Informing
Placation
Non-Participation Manipulation
Think about your District Council and how it works with the community:
Where is your District Council on this ladder now?
Where do you think your District Council can realistically be in 5 years time?
Mark your places on the ladder with X
‘Rungs’ of the participation ladder – what do they represent?
Non-participation
1 Manipulation: The aim is to ‘cure’ or ‘educate’ the participants. The proposed plan is best and
the job of participation is to achieve support by public relations.
Tokenism
2. Placation: For example, choosing of hand-picked ‘worthy people’ onto committees. It allows
citizens to advise or plan, but power holders retains the right to accept or reject the advice.
3 Informing: A most important first step to real participation. But too often the emphasis is on a
one way flow of information with no channel for feedback.
4 Consultation: Again a good step – includes attitude surveys, community meetings and public
enquiries. But this can be often just a ‘window dressing’ ritual.
Citizen Empowerment
5. Partnership: Power is redistributed through negotiation between citizens and power holders.
Planning and decision-making responsibilities are shared e.g. through joint committees.
6. Delegated power: Citizens holding a clear majority of seats on committees with delegated
powers to make decisions. The to effective participation’, to assure accountability of the
Source: Adapted from ‘The guide public now has the power David Wilcox (1996)
programme to them.
7. Citizen Empowerment: Community has the entire job of planning, policy making and
managing a programme and the source of funds.
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Unit 3: Community involvement in the
planning process
This unit contains the following sessions:
Session 3.1: Activity 5. Preparing for Community Consultations
Session 3.2: Activity 6. Community Entry
Session 3.3: Activity 7. Community Consultation process
Who is this unit for?
All District Councillors, including members of the Economic and
Development Sub-Committee.
Staff of the district Planning Department (where it exists, or if not, other
relevant district department)
District Mayor and Deputy
Executive Secretary
Diagram 3.1: Overview of Activities 5, 6 & 7
What are the activities? What is involved?
5. Preparing for Feedback on proposed consultation process, in
Community Consultation line with principles for participatory processes,
ensure village structures and timeline are clear.
6. Community Entry Identify appropriate mechanisms for entry to
communities as an initial step in the community
consultation process.
7. Community Conduct a participatory consultation process in
Consultation villages in the district and produce a Community
(Includes sub-activities Priority Assessment document. (Both men and
7a-7f) women should be consulted equally)
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Session 3.1
Activity 5. Preparing for community consultation
Session To understand what is involved in preparing for community
Objectives: consultations, in particular village structures and timelines.
To become familiar with the participatory principles that underpin
the DPPB process, including community consultation and what
these might look like in practice.
To understand how to successfully manage community
expectations during a community consultation process.
Before we start the session, look back at Table 1.2 in your
Participant Book, to see where we are in the DPPB process.
3.1.1 Who is involved in the community consultations?
Each community consultation location should have a community consultation team made
up of the following:
Diagram 3.2: Community Consultation teams
1 Facilitator VC representatives
1-2 District Councillors
Note: Each District Council will select among themselves which of their Councillors will
be involved in the consultation process. It is not necessary for all Councillors in a District
Council to be part of the consultation process. However each consultation team should
include 1-2 District Councillors.
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3.1.2 How can District Councillors prepare for community consultations?
As we have seen, it is important that all Councillors have an understanding of the
entire DPPB process and how it is to be implemented in the district.
It is also important for the District Council to agree on the participatory elements
of the process, particularly when it comes to conducting community consultations
for the DDF.
One important aspect of the community consultations will be to work with the
facilitators who are hired to conduct consultations with the villages.
A summary of information about how to conduct Activity 5. Prepare for
Community Consultation is provided below in Table 3.1.
Table 3.1: Who and When? – Activity 5. Preparing for community
consultation
Who External facilitators will be hired by the District Council to conduct
is involved the community consultations, along with District Councillors and
in this Village Committee members.
activity? Consider including more detail about the process for hiring these
facilitators eg the need to develop TOR and have a transparent
process etc
MOI and the District Councillors will work with these facilitators,
to prepare for the community consultations.
When Hiring of facilitators takes place in …Feb/Mar…..and will require 5
input days. Please review and amend as needed
does this
happen? The meeting to prepare for community consultations takes place in
March and requires 1 input day. Please review and amend as
needed
This meeting can coincide with an ordinary meeting of the District
Council.
What 1. MOI to arrange a meeting between the District Councillors and
the facilitators who will be conducting the community
is the
process? consultations.
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2. The facilitators should present a proposed method for conducting
community consultations. These should refer to the participatory
principles outlined below and show how they will be incorporated
in the methods.
3. The District Council and facilitators need to determine how many
villages will be consulted as part of the consultation process, with
help from MOI to determine the structure of the villages in the
district.
4. The District Council and facilitators need to determine timelines
for community consultations, with help from MOI. Note that the
timing of consultations will vary, depending on the size and
location of villages and the number of villages in the district.
5. Appoint 1-2 Councillors per location, who will work with the
facilitators and VCs to support the consultations in the villages.
What about VCs in this process? Not practical to bring them all in to
this meeting, but can we make a note to say that by this point, VCs
should have already received their own training in the DPPB process
and conducting community consultations?
What is A shared understanding of the participatory process to be
the desired followed in the planning and budgeting process and the
outcome? principles involved, particularly for the community consultations.
A clear understanding of which villages/locations will be
consulted and how much time will be spent in each.
Appointment of Councillor teams to locations in the district to
support the conduct of the consultations.
What No DPPB formats have been developed for this activity.
formats are
needed?
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3.1.3 Principles of the participatory planning and budgeting process
Part of preparing for community consultations in villages will be to understand the
participatory principles on which the DPPB process is based.
These principles need to be referred to when discussing the proposed process of
community consultations, to ensure that the proposed process will incorporate and
uphold the principles.
These principles are explained below, as well as some real examples of how the
principles could be applied in practice.
1. All citizens in the District have the right to be informed on the DPPB process and
the progress of implementation.
What does this mean in practice?
Identify specific steps in the planning, budgeting and project implementation
process where community input is important and facilitate the participation of the
community at these points.
Provide regular updates on the planning process and project implementation
through noticeboards, community meetings and ensure that the public has access
to an overview of the district budget.
2. All citizens have the right to participate in development planning, monitoring and
evaluation, directly or by making their views known to their representatives.
What does this mean in practice?
Direct community input through community consultations and involving small
groups in the monitoring and evaluation of projects in their villages.
Indirect participation through adding agenda items from the community for District
Council meetings, inviting members of communities to attend District Council
meetings and presenting community views at such meetings.
3. Women have the right to participate equally in decision making with men, and to
benefit equally from the project outputs.
What does this mean in practice?
Ensure that women feel comfortable and able to express their opinions in the
community consultation environment where community priorities are discussed,
for example, using gender separate discussion groups.
Inviting women’s groups to be present at community consultations.
Give additional weighting to projects which can clearly identify a particular benefit
for women.
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4. Development planning must be based on cross-cutting interest groups and on
communities living together in local areas, and not directly on the interests of
clans or blood-relationship groups.
What does this mean in practice?
Ensure that groups such as women’s groups, representatives of the business
community, representatives from youth and marginalised people (in particular
IDPs, people living with HIV/AIDS and physically challenged people) are involved
in discussions on priorities and needs in the district.
Be able to clearly demonstrate the groups within the community who will benefit
from different priority projects.
5. All participating communities must agree to respect properly made decisions of
the District Council, and to prevent any conflict arising from the planning process.
What does this mean in practice?
Communities should ensure they take every opportunity to participate in the
planning process, so that they are satisfied with the final decisions of the District
Councils.
District Councils must make a concerted effort to ensure that community
involvement is undertaken at all identified stages of the process.
Any disagreement with the final decisions made should be addressed through
the proper channels, for example, at District Council meetings.
Exercise 3.1: Participation Principles
Your trainer will guide you through this activity, which aims to help you think further
about the participation principles presented in this session and how they apply to your
district.
You will need to refer to Exercise Sheet 2 at the end of your Participant Book to
complete the activity.
1. You will work in groups and your trainer will assign each group 1 of the
participation principles discussed above.
2. In your group, discuss the principle and complete the table in Exercise Sheet 2
with your ideas about how to enhance this principle in your district’s planning
process.
3. Each group will report on its findings, which your trainer will compile into one
document that can be referred to back in your district.
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3.1.4 Managing Community Expectations
When conducting community consultations in villages, it will be important to be
mindful of what expectations communities might have about the process and the
ultimate outcomes.
Communities can lose faith in the planning process if they fail to see any real
outcomes or benefits to their own community.
However, this is often a result of communities not having a clear understanding
from the start about what they can and cannot expect from the planning process.
Such a situation can lead to ill-feeling between the District Council and
communities and can slow the progress of development activities in the district.
Hints for District Councillors to effectively manage community expectations in
the community consultation process
1. Explain to communities that their contribution is just one of the sources of
information that will be used to prepare the District Development Framework.
Even though their contributions are valuable, there are other sources that must be
considered, such as national priorities, data from the District Profile and existing
district plans.
2. The district budget is not unlimited. This means that decisions will have to be
made each year about which projects can be funded. It will mean that there will
not be a project in each village in each year.
3. There will be many priorities and projects coming out of the consultation process,
as many villages in the district will be consulted on their priorities and issues. This
has to be condensed into 1 document, the District Development Framework. As a
result, not all of a village’s identified priorities will appear in the District
Development Framework or be implemented as projects.
4. Given the above, explain how communities can maximise their opportunities to
have input into the process, for example:
Make sure each village identifies individuals from their Village Committee
to take responsibility for development planning activities in the village.
Encourage communities to follow up on the actions of the District Council.
Make sure that communities stay informed about the progress of the
planning process and project implementation.
Be focused when identifying community priorities.
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5. As a District Councillor, do not promise more to a community than what you can
deliver. For example, don’t say to a community that all of their priorities will be
included in the District Development Framework or that all of their project ideas
will be funded, because this is unlikely to happen.
! It will be important to ensure that communities understand the above
points during the consultations, as not all community priorities will appear
in the final DDF document, and there will not be a project funded and
implemented by the District Council in every village.
Questions for Discussion 2:
Share your experience about the following:
Have you ever been involved in a community consultation process where
problems were caused because community expectations were not matched by
the outcomes of the process? What happened and why?
How could the situation have been avoided?
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3.1.5 Defining the structure of villages and communities
One of the biggest challenges to conducting community consultations will be to have
a clear idea of the structure of villages and communities on the ground in the district
An analysis is needed to provide:
A clear understanding of the number of villages and boundaries in the district
Criteria for what constitutes a village/community/settlement and selection of
which villages will be eligible for consultation process.
MoI is currently reviewing the status of key communities and villages in districts
based on objective criteria such as:
historical background
economic status
population
available services
Based on this analysis, MOI will issue a ministerial decree on the list of villages that
each district should legally have.
There is general agreement on the distinction between village and community as
follows:
i. The village is wider than community
ii. A Village can administer a number of communities
iii. The Village Committee (VC) should come from community representatives
iv. The VC is the highest authority at the village level.
v. The VC is the image of the district council at the village level.
It is envisaged that other information about village structures on the ground will be
captured as part of the District Profiling process.
It will also be important to determine how many villages can realistically be consulted,
given the time and resources available. It may be necessary to ‘cluster’ some villages
together depending on their size, in order to reach as many communities as possible.
(suggested criteria for ‘clustering’ as per discussions with UNICEF, 100-200 people is
manageable eg if a village has less than 100 people, it can be clustered with others.
For example, 2 villages with 80 people each could be clustered together (160
people), 3 villages with 50 people each, could be clustered together as a group of 3
(150 people).
Also suggested a maximum of 20 ‘locations’ per district, with a ‘location’ defined as a
village or cluster of villages (100-200 people). (although may need to increase
number of locations for districts with a high urban population)
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! As part of the preparation for community consultations, District
Councillors and facilitators will need to be clear about which villages
they are going to consult and where they are located.
3.1.6 Defining the timeline for community consultations
It will be important to determine how much time should be spent conducting the
community consultations in the villages.
The amount of time to be allocated to consultations will vary depending on:
The size of the villages – consultations are likely to take longer in a bigger
village, although smaller villages could be ‘clustered’ together.
The location of the villages – is the village remote? Is it rural or urban?
The level of knowledge and education of the people to be consulted. In
locations where levels of education (or awareness of the DPPB process) are
lower, more time will need to be allocated for these locations.
The time of year that the consultations are taking place – for example, people
have more time to contribute more in the rainy season than the dry season,
but in the rainy season, access to villages becomes an issue.
An estimate of 5-10 days per location was suggested in workshop discussions –
please review to determine if this is realistic or too much/not enough time?
! As part of the preparation for community consultations, District
Councillors will need to ensure that there are clear timelines for
consultation, which are determined by the size and location of villages.
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Session 3.2
Activity 6. Community Entry
Session To understand the importance of appropriate and effective
Objectives: community entry.
To identify some local mechanisms that can be used as part of an
appropriate community entry process.
Before we start the session, look back at Table 1.2 in your
Participant Book, to see where we are in the DPPB process.
3.2.1 What is community entry and why is it important?
Community entry is an important first step in conducting community consultations.
Community entry is about making first contact with villages and communities, to
discuss upcoming activities, in this case, community consultations.
It is important to ensure that community entry mechanisms are appropriate, as
these will lay the ground work for the consultations that follow.
District Councils will need to identify appropriate community entry mechanisms
that can be used in villages in their district.
A summary of information about how to conduct Activity 6. Community Entry
is provided below in Table 3.2.
Table 3.2: Who and When? – Activity 6. Community Entry
Who Community consultation teams (Facilitator with 1-2 District
is involved Councillors) to meet with Mayor and VC representatives (?) to
in this arrange for community entry meetings in locations within the
activity? districts.
Community consultation teams (Facilitator with 1-2 District
Councillors) and VCs will conduct community entry meetings in
locations in the district.
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When This process should takes place at least 2 weeks prior to the
start of community consultations, in March and requires 1 input
does this
day for the meeting with the Mayor and 1 input day per location
happen?
for the community entry meetings.
What 1. Facilitators and District Councillors hold a coordination meeting
with District Mayor and VC representatives to explain what is
is the
process? required as part of the community entry process. (would this be 1
meeting and if so, is it realistic to bring in all VC reps? Or else
would it need to be several smaller meetings?)
2. Facilitators and District Councillors need to explain the following
to the Mayor and VC representatives:
Community entry meetings will be held to ensure that
community members understand the purpose of the
consultations and process to be used,
The meetings will be in the form of public meetings,
covering 100-200 people per meeting.
Local mechanisms of community mobilisation should be
used to mobilise people for the meetings. The VCs are
responsible for this.
Identify the best time/place for the community entry
meetings for each location, based on the locations
identified as part of the ‘preparation for community
consultation’.
3. Community entry public meetings are conducted by the
Facilitator and District Councillor teams, with VC support, using
local mechanisms of community mobilisation.
What is Community entry public meetings are held in each proposed
the desired community consultation location, which explain the purpose and
outcome? process of the community consultation process to follow.
What No DPPB formats have been developed for this activity.
formats are
needed?
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3.2.2 What information needs to be shared at community entry meetings?
Community entry meetings should share the following information:
Explain the purpose and process of the upcoming community consultations.
Information about the time and location of the upcoming community
consultations needs to be shared and made visible in public places, such as
notice boards.
Full representation of the community in the consultations is very important.
Identify a sub-committee of the Village Committee who can continue to
represent the community’s views throughout the DPPB process.
Be clear about what the community can expect from the upcoming
consultations and what the likely outcomes are. Avoid creating unrealistic
expectations within the community.
Give community members an opportunity to ask questions about the
upcoming community consultations.
Exercise 3.2: Questions and Answers – Community Entry
True or False?
Question 1. In community entry meetings, the community consultation teams (Facilitator
& District Councillors) should:
a) Make sure that the community is clear about the proposed time and location for the
upcoming community consultation…………….True / False
b) Explain what the community can expect from the community consultation process and
ensure that the community does not develop unrealistic expectations……….True / False
c) Tell communities they should be grateful that the District Council is coming to listen to
them and they should all be involved in the consultations…………… True / False
Question 2. Which of the following is an appropriate local mechanism for community
entry? Circle A. or B.
A. Working with the VCs to identify key people for community mobilisation to attend a
public meeting about the upcoming community consultations.
B. Driving around the communities with a megaphone calling out the time and location
of the upcoming community consultations.
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Session 3.3
Activity 7. Community consultation process
Session To understand the community consultation process at village level
Objectives: and its desired outcomes, in particular the identification of
challenges, opportunities and priority areas for intervention.
Before we start the session, look back at Table 1.2 in your
Participant Book, to see where we are in the DPPB process.
3.3.1 Overview of community consultations
A community consultation process should be facilitated in as many locations in
the district as is feasible.
The aim of the process is to get an overview of the most important challenges,
needs, and long-term priorities of each village for its social and economic
development.
The community consultation will involve a visioning process that should focus on
the long term (5 years) and also identify ideas for short term projects or activities
that can help the village move towards its long term vision.
A summary of information about how to conduct Activity 7. Community
Consultation is provided below in Table 3.3.
Table 3.3: Who and When? – Activity 7. Community Consultation
Who Consultation teams consisting of Facilitators and 1-2 District
Councillors undertake a consultation process in as many villages
is involved
in the district as is feasible.
in this
activity?
This will need to involve the Village Committee and other
community members.
When The consultations will take place in April and require 5-10 days
per consultation group, depending on the size. (is this too
does this
many/not enough days? Please advise on timing)
happen?
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What The following points give a brief overview of the general process to
be followed, which will be explained in more detail further on:
is the
process?
7a) Collect Basic Community Information
7b) Present results of District Profiling exercise
7c) Identify Community Challenges and Opportunities
7d) Identify Vision and Goals
7e) Identify common priorities and types of interventions
7f) Summarise into a CPA document
What is The consultations should result in a document called the
the desired Community Priority Assessment (CPA), which is submitted to
outcome? the District Council.
An accompanying document is the ‘Basic Community
Information’ document (5-8pp), which is attached to the CPA
document.
What DPPB Format 2.3: Community Priority Assessment (CPA)
formats are
DPPB Format 2.4: Basic Community Information
needed?
These formats are located in your ‘DPPB Format Book’
The following information and examples are located at the end of this
Participant Book.
Attachment 4: Community Priority Assessment (CPA)
Example
Attachment 5:Basic Community Information Guidance Notes
3.3.2 Overview of the community consultation process
! The following process and timelines outlined in Diagram 3.3 are general only
and will need to be adapted depending on the needs and context of each
community visited. Each of the steps outlined in the diagram are explained in
more detail further on.
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Diagram 3.3: Overview of Community Consultations
Activity What is involved?
6. Community Entry Before consultations commence, it is important to
Meetings conduct a community entry process. We looked at
1 day per location how to conduct appropriate community entry meetings
in Activity 6. Community Entry.
7a. Collect Basic Gather basic information jointly with communities, as
Community outlined below in Table 3.4.
Information Attach basic community information document (5-8pp)
2 days per location to the Community Priority Assessment document.
7b. Present results Provide information about the district profile and any
of District Profile national requirements that need to be considered as
exercise part of the planning and budgeting process.
0.5 day per location Encourage communities to take these factors into
account themselves when identifying priorities.
7c. Identify Discuss the current situation in the community and
community raise issues that are affecting the community.
challenges and Also identify opportunities for the community to
opportunities improve its current situation.
0.5 day per location
7d. Identify vision Identify the vision and goals for the community, based
and goals on the results of the group work.
0.5 day per location Separate groups should come together for this
discussion.
7e. Identify Identify common priorities and possible
common priorities projects/interventions for each of the identified priority
and types of areas.
interventions
0.5 day per location
The results of the consultation, including the vision,
7f. Summarise into
challenges, opportunities, priorities and needs
a CPA document identified by the community to be included in the CPA
1 day per location document .
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The following headings give more detail about each ‘sub-activity’ presented in the
above diagram.
3.3.3 Activity 7a. Collect Basic Community Information
District Councillors and facilitators work with communities (both men and women)
to identify some basic information about each community that can be used to
assist the process of identifying community needs and priorities.
The information is not normally very detailed and might be about 5-8 pages long.
This process involves the Village Committee as well as representatives from the
different groups within the village, in order to ensure that the perspectives of the
different groups are captured from the different areas.
Once collected, this basic community information will be helpful to the community
to analyse its current situation now, in order to identify challenges and
opportunities ahead.
This information will be recorded in a separate document from the Community
Priority Assessment. A copy can be attached to the Community Priority
Assessment document and a copy will need to be kept safe by the Village
Committee Chair as a record of baseline information that can be used for
comparison purposes later on.
Table 3.3 below gives an overview of the basic community information to be
collected.
Use DPPB Format 2.4: Basic Community Information in your DPPB Format
Book to record this information.
! Note that some communities will already have this kind of information available,
particularly those communities who have developed a Community Profile as part
of the CAP process with UNICEF.
District Councillors are advised to find out about any existing community
information documents before going on their consultations visits and collecting
further community information.
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Question: It seems like some of the categories below require quite complex information,
please advise on whether it needs to be simplified in some way.
Table 3.4: Basic Community Information
Information required What does this include?
1. Economic activities, For example, the main industries and areas of economic
resources and services activity in the community, as well as the resources and
in the community services available to the community. It should indicate access
by women and men to economic resources and services.
2. Potential areas of Any issues that might cause conflict in the community. For
conflict example, in the rural areas, villages, water and grazing are the
prime potential areas of conflict.
In the case of agricultural areas, boundaries and ownership of
the farming land is an issue for possible communal conflict. In
the urban area unoccupied land is the major area of conflict.
Any project implemented in rural communities or agro-pastoral
communities should identify these groups as key stakeholders
in the stakeholder analysis conducted for that project.
3. Stakeholder analysis This is the identification of the key stakeholders in a
community. It is important to conduct such an analysis,
particularly when projects come to be implemented in the
community.
4. Social exclusion For example, the perceptions that exist in the community
assessment (gender, about diversity, access and discrimination, as well as
disability, minority, age participation of different groups in the community decision
etc) making process.
It is important to recognise four dimensions to any social
exclusion:
exclusion from resources
labour market exclusion
service exclusion
exclusion from social relations
5. Assessment of key This includes an assessment of, resources, for example
livelihood strategies individual skills and abilities (human capital), physical capital
(land, equipment) social relations, financial resources etc.
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It should also take into account other key components such
as:
Livelihood assets
Policy, institutions and processes
Vulnerability context
6. Analysis of key This should indicate key socio-economic gaps within the
socio-economic community.
cleavages
7. Environmental For example, any pressing environmental issues facing the
context community and the state of its surrounding natural resources.
8. Inventory of This relates to headings 1. and 5. above and is a list of
community resources resources the community has available as well as its own
and capacities (natural, capacities.
physical, institutional,
social, financial and
human)
3.3.4 Activity 7b. Present results of District Profile exercise
A member of the Community Consultation team, for example, a District Council
member, will need to present to the community a brief summary of the results of the
District Profiling exercise conducted as part of the DDF process.
This is to ensure that communities understand the purpose of preparing a District
Profile and to highlight some of the important information about that District that were
discovered as part of the District Profile process.
! This should be a presentation of a summary of the main points of the District Profile.
Community members should be given an opportunity to ask questions about the
District Profile and the process of compiling it.
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3.3.5 Activity 7c. Identify community challenges and opportunities
It is important to conduct an analysis of the current situation in the community, so
that when people come to imagine what their community could be like in 5 years
time, the vision will be based on actual realities.
The process of recording basic community information will also help to guide the
identification of the current situation in the community, with regard to challenges
and opportunities.
The community will need to identify any challenges and problems that currently
exist as a result of its analysis of the current situation.
Challenges and Problems
Below are some examples of the questions to be answered as part of the community
consultation process relating to challenges and problems:
What are the 2-3 most important health problems in the village?
What are the 2-3 most important problems with regard to literacy levels and
the school system in the village?
What is most important problem for agricultural producers and the agricultural
production in the village area?
What other activities do people do to earn a living and what are the major
problems in these areas?
Refer to Attachment 4: Example Community Priority Assessment at the end
of your Participant Book for the complete list of questions.
This information is recorded in DPPB Format 2.3: Community Priority
Assessment in your DPPB Format Book.
Once the main challenges and problems of the community as perceived by its
citizens have been identified, it is also useful to investigate some of the
opportunities that exist within the community to improve the current situation.
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Opportunities
Below are some examples of the questions to be answered as part of the community
consultation process relating to opportunities and positive developments and
initiatives:
What are the most important positive developments that have been felt in the
village during the past 1-2 years? This can be in poverty health, education,
economic growth, agricultural production, environment, peace/stability, or
other?
What have caused these positive developments?
Did groups or persons within the village take some actions or initiatives which
helped bring these positive developments about? What did they do?
Refer to Attachment 4: Example Community Priority Assessment at the end
of your Participant Book for the complete list of questions.
This information is recorded in DPPB Format 2.3: Community Priority
Assessment in your DPPB Format Book.
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3.3.6 Activity 7d. Vision and Goals
It will be important for the community to try to visualise how they would like to see
the situation in their village 5 years from now. It is also useful to identify goals,
that is, how the community can work towards its vision.
Vision and Goals
Question: how did this exercise go in the round of community consultations? Was
there enough guidance for them to do this vision/goals process or is more needed?
For each area listed below the community conducts a visioning exercise to
describe how they would like to see their community change in the next 5 years.
For example, in the case of health, how exactly does the community want to see
health improved in their community over the next 5 years?
Communities should also add their own additional areas of importance if these
have come out of the challenges and opportunities discussions.
When facilitating this process, remind the community that 5 years is not a very
long time, so all visions for the community need to be kept realistic and achievable.
The areas are:
Health
Gender issues
Education
Agriculture
Economic development/activities/growth
Peace and stability
Water and sanitation
Roads
Environment
This information is recorded in 5. Vision and Goals in DPPB Format 2.4:
Community Priority Assessment in your DPPB Format Book.
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3.3.7 Activity 7e. Common Priority Areas
Priority Areas
As a result of the vision, challenges and opportunities already identified, the
community should be able to list 7-8 areas that should be given highest priority
over the next 5 years in order for the village to see its vision come true.
If a community has more than 7-8 areas, it will be necessary to narrow these
down and rank them in priority order. A tool such as ‘pair-wise ranking’ could help
to achieve this. The pair-wise ranking tool is explained in Activity 3.4 below.
It is important for each community to rank its priority areas in priority order, as this
will clearly show the District Council what areas each community feels is most
important. For example, if all communities submit their CPA documents and they
have all listed ‘health’ as no.1 priority. The District Council will get a clear
message that health is the main priority across the district.
The results of the identified and ranked Priority Areas are recorded in 6. Priority
Areas in DPPB Format 2.3: Community Priority Assessment in your DPPB
Format Book.
Types of interventions/projects
For each of the 7-8 priority areas identified, the community can suggest the most
important types of interventions to implement, in order to move forward on these
priority areas.
Communities can list types of interventions and even specific projects, but
Community Consultation teams must explain that not all of these will be
considered by the District Council.
Therefore, it is not necessary for communities to prioritise interventions or
projects, but it is important for communities to rank their priority areas (which is
done in the step above).
Communities can put their main types of interventions into a table as part of their
CPA document. Some of these interventions will be small scale and therefore not
likely to be funded by the District Council. However, communities may be able to
have these smaller scale interventions funded through other programs, for
example, CDRD.
Examples of the types of interventions that a District Council might fund include
roads, schools, boreholes.
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Examples of the types of ‘community type’ interventions include HIV/AIDs
education, small well, water kiosk.
Please refer to Attachment 4 at the end of this Participant Book for an example
of a table with community identified projects.
The results of the identified types of interventions are recorded in DPPB Format
2.3: Community Priority Assessment in your DPPB Format Book.
3.3.8 Activity 7f. Summarise into a CPA document
It will be the role of the Community Consultation team to take notes while conducting
the community consultations and summarise the results of each consultation into a
Community Priority Assessment Format for each location.
Please refer to Attachment 4: Example Community Priority Assessment.
A blank copy of the CPA format can be found in DPPB Format 2.3: Community
Priority Assessment in your DPPB Format Book.
3.3.9 Finalising the community consultation process
Before finishing the community consultation, the consultation team needs to
reinforce to community members that even after participating in this consultation,
there may not be a project in their village.
However, it is important to emphasise that the community consultations will help
guide the District Council in identifying objectives and priority areas, to plan for
the future of the district for the next 5 years.
Outline what the next steps in the process are – for example, compiling the DDF
document, developing a resource forecast and an Annual Work Plan and Budget.
Also highlight that it is the job of communities, through their VCs, to hold the
District Council accountable – communities should receive regular updates and
reports on progress and if they have not heard any news for some time, they
should contact the District Council.
For example, VCs are given the opportunity to provide feedback on the DDF and
AWPB at the DDF/AWPB feedback workshop. VCs should receive notice about
this workshop in the coming months.
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Unit 4: Preparing the District Development
Framework
This unit contains the following sessions:
Session 4.1: Activity 8. Drafting the DDF document
Session 4.2: Activities 9-11. Reviewing and Finalising the DDF
Who is this unit for?
All District Councillors, including members of the Economic and
Development Sub-Committee.
Staff of the district Planning Department (where it exists, or if not, other
relevant district department).
Mayor and Deputy
Executive Secretary
Diagram 4.1: Overview of Activities 8-11
What are the activities? What is involved?
8. Prepare Draft District Prepare an overall view of the challenges, needs,
Development Framework priorities and objectives of the district.
(DDF)
9. Review District Feedback is invited from stakeholders on the
Development Framework draft DDF document in the form of written
comments.
10. Adopt District Adopt the DDF at a District Council meeting, or
Development Framework give instructions for amendments that will lead to
its approval.
11. Disseminate and Provide written copies to VCs and other relevant
publicise final District stakeholders.
Development Framework
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Session 4.1
Activity 8. Preparing the Draft District
Development Framework
Session To understand the process of consolidating information from a range
Objectives: of sources into one draft District Development Framework document.
4.1.1 What is the District Development Framework?
In Session 1.3 we briefly looked at the District Development Framework
(DDF) and its purpose. We will revisit this information now.
The DDF is a 15-20 page document that:
Specifies the main social and development objectives of the district.
Summarises the main challenges facing the district in achieving its
objectives.
Broadly defines the main priority interventions needed to achieve the
objectives.
Lists more detailed specific investments or interventions (but not to the
point of activities and detailed costings or specific locations).
Defines simple indicators and targets to measure achievement of the
objectives.
District Councils will use the DDF to decide on projects and activities to put into
the Annual Work Plan.
The DDF will help to ensure that projects are chosen with a clear objective in
mind for the district’s development, rather than just at random.
The DDF will serve as a source of information for VCs/CDCs in order to ask
questions about services or projects decided on by the District Council.
Therefore, the DDF will act as an accountability tool for District Councils.
Please look at Attachment 1: Example District Development Framework at
the end of this Participant Book to remind yourself of the DDF format and headings.
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! The DDF is not a plan as such, as it does not list specific actions to
implement, or commit budget lines for certain activities. It also does not list
projects or services for specific villages or communities.
This specific information is identified in the development of the Annual Work
Plan and Budget, which you will learn about in Module 3.
4.1.2 Where does the information for the District Development Framework come
from?
Diagram 4.2: Information sources for the District Development Framework
In Session 1.3 we saw that the information for the DDF comes from a range
of sources. This is outlined again below.
District National/line District priorities and Community
Profile ministry plans prepared Consultations
(Activity 2) requirements previously (Activity 7)
(Activity 3) (Activity 4)
District Development Framework
4.1.3 How do we prepare a draft District Development Framework?
In order to prepare a draft District Development Framework, information from all
the above sources needs to be consolidated into 1 overview for the district.
This can be a complicated task and a suggested process is outlined below.
A summary of information about how to conduct Activity 8. Prepare District
Development Framework is provided below in Table 4.1.
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Table 4.1: Who and When? – Activity 8. Prepare District Development
Framework
Who The draft DDF is prepared by a ‘writing team’ consisting of:
is involved District Planning Department staff (if exists, or other
in this relevant department) (eg 1-2)
activity? District Councillors (eg 1-2)
Executive Secretary
The Economic and Development Sub-Committee oversees the
process.
MOI provides support for the DDF compilation and writing
process.
The District Council is responsible for making decisions about
the priority areas to be included in the DDF, based on
suggestions from the Economic and Development Sub-
Committee.
When The draft DDF is developed in May and requires approximately
does this 5 input days. Needs review – please advise on whether this
happen? number of days was enough to prepare a draft DDF or if longer
is needed?
What 1. The District Executive Secretary, heads of district departments,
the Economic and Development Sub-Committee and MOI
is the
process? representatives from the MOI Planning Department should
meet to discuss how to prepare the draft District Development
Framework.
2. The ‘writing team’ should be identified. These people could be
given separate sections of the document to work on, for
example:
1 person to write the Introduction (Section
1:Introduction)
1 person to write the District Profile summary (Section
2: District Profile Summary)
1 person to write about the national requirements and
priorities (Section 3: National requirements and
priorities)
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3. It is recommended that a group approach is taken to
summarising the results of community consultations (Section 4:
Results of Community Consultations). More detail about how
to summarise this information is provided below.
4. While the above steps are taking place, the District Council will
have to identify the main priority areas for the district , based on
suggestions from the Economic and Development Sub-
Committee (Section 5: Main District Priorities). More detail
on how to conduct this process is provided below.
5. The team of facilitators and district staff will need to work
together in order to identify 7-8 objectives which form the vision
of the district 5 years from now (Section 6: Objectives). These
objectives will need to be approved by the District Council.
More detail is provided below in 4.1.6
6. From each objective identified, describe the main types or
projects or interventions that the District Council will try to
implement in order to achieve the objectives (Section 7: Main
Interventions)
What is
the desired The desired outcome of the process is to have a draft District
outcome? Development Framework document prepared.
What DPPB Format 2.5: District Development Framework
formats are
needed? This format is located in your ‘DPPB Format Book’
The following example is located at the end of this Participant
Book.
Attachment 1:Example District Development Framework
! Note that the District Development Framework does not need to be prepared
every year. Once it has been developed and approved, it only needs to be
reviewed annually until the end of its 5 year period.
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Diagram 4.3: Draft DDF preparation process
District Executive Secretary
Heads of district departments
Economic and Development Sub-Committee
MOI representatives from the MOI Planning Department
The above group are responsible for steps 1-3, 5 & 7 in this
process:
1. Hold a meeting to discuss how to prepare the
draft DDF document and select the writing team.
2. Draft initial sections of the DDF: District Council
1. Introduction
2. District Profile Summary District Council members are
3. National requirements and priorities responsible for steps4 & 6 in the
process:
3. Summarise the results of the 4. Identify the main priority areas
Community Consultations and include in for the district, based on
the draft DDF in 4. Community suggestions from the Economic
Consultations and Development Sub-Committee
and the summary of community
consultations.
5. Identify 7-8 objectives, which form Include these priority areas in the
the vision of the district 5 years from draft DDF report in 5. Main District
now. Priorities
Include these objectives in the draft
DDF in 6. Objectives
6. The objectives are approved by
the District Council.
7. For each objective identified, describe
the main types or projects or
interventions that the District Council will
try to implement in order to achieve the
objectives. Include these in the draft
DDF in 7. Main Interventions
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4.1.4 How do we summarise all the results of the community consultations?
For districts with many villages, it may be difficult to identify the main issues
facing the district if there are many diverse perspectives from the communities.
Section 4. Results of Community Consultations in the DDF format specifies
2-4 pages in length. This is not very long, especially if you have 50 villages or
even more in your district.
Therefore it will not be possible to include every piece of information from every
community in this summary.
The objective is to identify the ideas that come out most commonly from the
community consultations and not describe each community’s ideas.
The writing team will have access to all of the Community Priority Assessments
that have been submitted to the District Council. These will be the tools to help
you in this process.
The writing team will need to summarise the following:
What main challenges do the communities say they have? Try to
summarise these in 7-8 overall areas.
What did the consultations show to be the most important positive
developments or actions in the villages to better their social and
economic situation?
What did the communities say were the most important needs or
priorities? Try to summarise these in 7-8 overall areas of priority.
Please refer to Section 4: Results of community consultations in
Attachment 1: Example District Development Framework at the end of this
Participant Book.
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4.1.5 How do we consolidate information from all the sources to identify the main
district priorities?
Need more guidance here for District Councillors on how to consolidate information from
the different information sources to come up with the 7-8 main district priority areas.
The District Council will be responsible here to identify the main district
priorities, based on all the information received so far.
As shown above in Diagram 4.2, a number of sources of information need to be
considered in order to identify the main district priorities. These are:
National requirements and priorities
The District Profile
Any existing district plans or priorities
Summary of community priorities
As a result, 7-8 main priority areas will be identified by the District Council and
some concrete examples of projects or interventions that will help meet each
priority are given.
4.1.6 How do we formulate objectives for the District Development Framework?
Need more guidance here for developing objectives
The next step is for the Economic and Development Sub-Committee to work
together in order to identify 7-8 objectives, which form the vision of the district 5
years from now
The following will need to be developed:
Define the vision for the district which describes the situation 5 years from
now. Make sure it is linked to the national priorities but also the local needs
and priorities.
Describe the 7-8 objectives based on the priority areas decided by the
District Council, which should be achieved in order for the vision to become
reality in 5 years.
Define these objectives to be significant, measurable, attainable, relevant,
and time-bound, using guidance from the ‘SMART’ approach as relevant.
Once developed, the objectives will need to be approved by the District Council.
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What is the ‘SMART’ approach to developing objectives?
The ‘SMART’ approach helps us to define objectives which clearly outline what we
want to achieve and by when. SMART stands for:
Specific: clear about what, where, when and how the situation will be
changed.
Measurable: able to quantify the targets and benefits.
Achievable: able to attain the objectives given the resources and capacities at
the disposal of the district.
Realistic: able to obtain the level of change reflected in the objective.
Time bound: stating the time period in which they will each be accomplished.
Questions for Discussion 3:
1. From the list below, which objective has not been written according to SMART?
a) To increase adult literacy levels in men and women in Unity District from
55% to 65% by 2011.
b) To reduce infant mortality rates in Unity District from 65 to 55 (per 1000
live births) by 2011.
c) To improve the situation in the district by 100% over the next few years.
2. Can you identify what is not ‘SMART’ about this objective?
3. Can you give any suggestions about how this objective could be rewritten to be
more ‘SMART’?
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Session 4.2
Activities 9-11. Reviewing and Finalising the
District Development Framework
Session To understand the process for reviewing and finalising the District
Objectives: Development Framework.
4.2.1 Activity 9. Reviewing the District Development Framework document
Once the initial draft DDF document is produced, there needs to be an
opportunity for interested stakeholders to review the document and give some
initial feedback. These stakeholders include:
VCs
District Councillors who have not been directly involved in the process of
drafting the DDF.
Heads of district departments
MOI
These stakeholders would be invited to review the draft DDF document and
provide written comments to the District Council, who will incorporate any
relevant feedback into the draft DDF.
There will be further opportunity for VC input on the DDF at the DDF/AWPB
Workshop, which we will look at in Module 3.
A summary of information about how to conduct Activity 9. Review draft
District Development Framework is provided below in Table 4.2.
Table 4.2: Who and When? – Activity 9. Reviewing the draft DDF
Who The Executive Secretary and Economic and Development Sub-
Committee are responsible for coordinating the process of
is
receiving written comments from stakeholders and identifying
involved
which parts of the feedback are to be incorporated.
in this
activity?
The writing team will be responsible for making the relevant
changes.
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When The review process would take place over a 2-3 week period in
June. Approximately 2 input days would be needed to make the
does this
revisions.
happen?
What 1. Once the draft DDF document is ready, the District Council will
invite interested stakeholders to review the document and
is the
process? provide written feedback.
2. Any interested party will need to come to the District Council
office to request a copy of the draft DDF document.
3. A period of 2-3 weeks will be allowed for review and feedback.
Written feedback should be submitted to the District Council
office.
4. The Executive Secretary and Economic and Development Sub-
Committee will meet to discuss any written feedback received
from stakeholders.
5. The Executive Secretary and Economic and Development Sub-
Committee will recommend which aspects of the feedback are
to be incorporated into the document.
6. The recommended feedback will be incorporated into the draft
document by the ‘writing team’ who developed the draft
document.
What The desired outcome is for a final version of the District
is the Development Framework that can be sent to the District Council
desired
outcome? to adopt.
What DPPB Format 2.5: District Development Framework
formats
are This format is located in your ‘DPPB Format Book’
needed?
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4.2.2 What do VCs need to know about reviewing the draft DDF document?
VCs need to have an opportunity to review the draft District Development
Framework and to ensure that their needs and concerns are broadly reflected in the
document. It is important for any VCs who wish to review the DDF document to
understand the following points:
Not all community priorities will be reflected in the District Development
Framework document. However, as a VC you need to feel there is broad
agreement on the priorities that have been included in the document.
National priorities and requirements will override some community priorities
and as a VC you need to understand the reasons for this.
The District Development Framework document only looks at district-wide
issues and is not specific to each individual community (this should have been
explained during the community consultations).
When reviewing the DDF document, try to think about what it contains in
terms of benefiting the district as a whole, rather than just your individual
community.
4.2.2 Activity 10. Adopting the District Development Framework
Once the draft DDF document has been reviewed and a final version has been
produced, the DDF will need to be formally adopted at a District Council meeting.
A summary of information about how to conduct Activity 10. Adopting the
District Development Framework is provided below in Table 4.2.
Table 4.3: Who and When? – Activity 10: Adopting the DDF
Who The District Council will adopt the District Development
Framework by resolution at a District Council meeting.
is involved
in this
activity?
When This will take place in July and will require 1 input day.
does this
happen?
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What 1. The adoption of the DDF will be included as an agenda item for
is the
process? the next District Council meeting.
2. A vote will be held at the meeting to adopt the DDF.
3. By this stage all Councillors should have had input into the
document and be satisfied with the outcome. In the case that
there are still some changes to be made, the resolution will give
instructions for any amendments that need to be made in order
for the document to be approved.
What
An adopted District Development Framework document.
is the
desired
outcome?
What Meeting Form 1.1 – District Council Meeting Agenda
formats are
Meeting Form 1.2 – District Council Meeting Minutes
needed?
These formats are located in your ‘DPPB Format Book’
4.2.3 Activity 11. Disseminating the District Development Framework
A final, important step in this process is to disseminate copies of the approved
DDF document within the districts, so that stakeholders in the district will be
aware that the DDF is ready and will be able to access a copy if desired.
A summary of information about how to conduct Activity 11. Disseminating
the District Development Framework is provided below in Table 4.4.
Table 4.4: Who and When? – Activity 11. Disseminating the DDF
Who The Economic and Development Sub-Committee will be
responsible for ensuring that the final District Development
is involved
Framework is disseminated and publicised.
in this
activity?
When This will take place in July and will require 1 input day.
does this
happen?
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What 1. Each VC will be given a copy of the DDF when they attend the
DDF/AWPB feedback workshop.
is the
process?
2. Other relevant stakeholders who would like a copy of the
document can request it from the District Council.
3. Other communication mechanisms should also be used, for
example, publicising the District Development Framework
through radio announcements and public meetings with
community representatives announcing approval of the DDF.
What
Communities in the district are all aware that the District
is the
Development Framework has been finalised and have access
desired
outcome? to viewing a copy of this document.
What None
formats are
needed?
End of Module 2: Planning Module
Congratulations! You have completed this Module 2: Planning Module, the first in
this series of modules to assist your district to carry out the DPPB process.
It is recommended that you continue to use this Participant Book as a resource to assist
you in carrying out your role back in your district.
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Evaluation of training
Session To reflect on the training you have just completed and offer
Objectives: feedback for improvement.
Evaluation Activity
It is important for your trainer to get feedback from you as participants to assist
with the ongoing improvement of the training materials and the way that the
training is run.
Your trainer will guide you through an activity to assist with this process.
The more honest and thoughtful you are about what you have learned in the
training and what could be done better, the more the training materials will be
able to benefit other districts.
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Glossary
Baseline Similar to a beginning. If you collect baseline information, it means you
collect information about what something is like at the start of a
process. This means you can compare the information at the end to
see if things have changed or improved.
Development Development is a term that can mean ‘to grow’, ‘to improve’, or ‘to build
on’. Development is an ongoing process that can help us move from
where we are now to where we want to be in the future.
Funding Refers to the ways in which funding is directed for different purposes.
allocations For example, funding which is allocated for development spending can
only be used for development projects.
Gender A program, project or process which recognises and incorporates the
Sensitive different needs of both men and women can be described as ‘gender
sensitive’.
Implement To carry out activities relating to projects based on the results of the
planning and budgeting process.
Intervention An intervention is an activity or a process
Investment Is another term for a ‘project’ and can be defined as the product of
Labour (the work you do) + Input (the things you need) + Asset (the
final product), for example, the construction of a school in a village is
considered to be an ‘investment’.
Marginalised This refers to groups of people who exist on the fringes of a community
groups in the sense that they do not have access to the same resources and
decision making as the rest of the community. This can include for
example, IDPs, disabled people and the very poor. In some
communities, women and youth can even be considered ‘marginalised’,
depending on the extent to which they are excluded from important
community processes.
Participation A process which enables members of the community to contribute to
important work in their community, by their own choice.
Physical asset A structure, for example, a school building, a road, a water supply
system or a health post.
Prioritise / To put things in order – for example, projects – from most important to
priority least important.
Transparency To conduct a process in a way that everyone can see how decisions
were made and that people have an opportunity to provide their input
into the process.
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Attachments
Attachment 1: Example District Development Framework
Attachment 2: Detailed District Profile Information
Attachment 3: Example District Profile – Unity District
Attachment 4: Example Community Priority Assessment
Attachment 5: Basic Community Information Guidance Notes
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Attachment 1: Example District Development Framework
Workshop recommendation: this format needs more detail – to be discussed and
reviewed with MOI
Suggestion: could conduct small focus group with 1 or 2 districts who produced good
DDFs and get their specific feedback on what aspects of this format could be improved.
A blank copy of this District Development Framework format can be found in
DPPB Format 2.5 – District Development Framework of your DPPB
Format Book (print and electronic versions available).
1. Introduction (1-2 pages)
The purpose of this section is to give some background to the reader about this DDF -
how it was developed and how it will be useful for the district’s planning.
Background: What is the DDF? Why is it being developed - what is its purpose?
How the DDF was developed?:
What steps did the district go through when developing the DDF?
Who participated in the different activities? (number of women and men
who participated)
What, if any, difficulties did the district face when developing the DDF?
2. District profile summary (4-6 pages)
This section is a summary of the District Profile that is compiled as part of Activity 2 in
the DPPB process.
We look at how to compile a District Profile in Session 2.2 of this training module.
Headings
1. District Map
2. Social data
3. Economic data
4. Services
5. Key Sector Issues
6. Environment / Natural Resources and Management
7. Security Information
8. Population Figures for villages
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3. National requirements and priorities (1-2 pages)
It is important for each district to consider national priorities and objectives when
developing its DDF. Information about these priorities can be included here.
We look at national priorities and plans in Session 2.3 of this training module.
National priorities: Which national objectives or priorities must the DDF take into
account and support?
Management and service delivery requirements/standards:
Which (if any) national level sector-specific requirements, technical
specifications, or other, must the DDF include and be consistent with?
What is the District Council required to undertake on behalf of the central
level?
What important limitations to the District Council's power or authority must the
DDF take into account?
4. Results of community consultations (2-4 pages)
The community consultation process is an important part of a district’s DDF. Each
community that is consulted will develop a ‘Community Priority Assessment’ document.
However, it will not be possible to include all of these documents in the DDF. Therefore,
the people responsible for writing the DDF will need to summarise the main community
needs and priorities that came out of the consultation process.
We look at community consultation in Session 3.3 of this training module.
Consultation process:
How were the community consultations carried out?
Have consultations been carried out in all villages?
Were there any difficulties with the consultations which have affected their
results?
Community needs and challenges:
What main challenges do the communities say they have?
Try to summarise these in 7-8 overall areas. Do not mention every
specific problem. But it is fine to mention very specific problems as
examples of the overall problems.
Example:
Farmers in the district make very little returns on their production because it is too
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difficult or costly for them to get their products to the market, it is difficult for them
to obtain inputs, etc. The main roads/by-roads are in a very poor state, not
maintained, do not exist, etc. Market facilities are not existing/or poor.
Too many people die from diseases that could easily be treated because they are
too far from health posts, or it is too difficult to get to health posts, or the health
posts do not have staff with good enough skills, basic medical supplies are
lacking, etc.
Are there problems or challenges which are felt more in some villages
than in others?
Are there problems or challenges which are felt more by some groups
than others (gender, marginalised groups, rural/urban, clans, etc.)
Opportunities and strengths:
What did the consultations show to be the most important positive
developments or actions in the villages to better their social and economic
situation? (look especially for initiatives that the communities have taken
on their own initiative - without external support)
Example:
Farmers have formed informal savings and loans groups, which have helped
individual farmers get access to funds that they have invested in increasing their
production/productivity and incomes.
Parents have collected money to fund teachers’ salaries and made it possible to
put their children in school.
Community priorities:
What did the communities say were the most important needs or priorities
for men and for women?
Try to summarise these in 7-8 overall areas of priority. Mention if there
are any areas or groups to which these priorities are more or less
important.
Example:
They cannot get their products to the market, especially in the areas covered by
villages X and Y.
Their children are not able to go to school because teachers don't receive their
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salaries.
5. Main district priorities (2 pages)
We look at how the District Council identifies the main priorities of the district in Session
4.1 of this training module.
Describe the 7-8 main priority areas decided by the District Council. The District
Council will have made its decision about the priority areas based on the national
requirements and priorities, the district profile analysis and the priorities that
came out of the consultations with communities. The national requirements will
have been respected and the community priorities will have been taken into
account as much as possible.
For each priority area give some concrete examples of projects or interventions
that will help meet the priority.
Example:
It should be made easier and faster and less expensive to get the agricultural
products to the market. This is especially the case for area(s) X and Y of the
district, which means in particular the villages A, B and C.
It should be made easier for citizens of the districts to have access to health
posts with enough basic medical supplies and better qualified staff so that
diseases can be treated more easy or faster.
6. Objectives (1-1 1/2 pages)
We look at how the District Council defines the objectives of the district in Session 4.1 of
this training module.
Define the vision for the district which describes the situation 5 years from now.
Make sure it is linked to the national priorities but also the local needs and
priorities.
Describe the 7-8 objectives decided by the District Council which should be
achieved in order for the vision to become reality in 5 years.
Define these to be significant, measurable, attainable, relevant, and time-bound,
using guidance from the "SMART" approach as relevant.
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Example:
Five years from now the majority of the population of the district should be able to
get to a health post with basic qualified staff and enough medical supplies in less
than XX hours.
Five years from now XX villages of the district should be able to send their
agricultural products, livestock etc. to market in less than 2-3 hours.
Also outline the indicators and targets for achieving these objectives.
7. Main interventions (2-4 pages)
We look at how the District Council identifies the main interventions required in the
district in Session 4.1 of this training module.
For each objective, describe the main type of interventions that the District
Council will try to carry out in order to achieve the objectives (note that this
section relates to main types of interventions and not specific projects in specific
villages)
Example:
Improve health facilities in the district by setting up XX new, fully staffed and
equipped health posts and making sure that YY existing health posts are staffed
and equipped
Improve road network in districts with by paving/upgrading XX by-roads and YY
main roads in areas ZZ
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Attachment 2: Detailed District Profile Information (most relevant for District Planning Staff)
Heading What does this include? Suggested format for presentation Where can we find this
information?
1. Physical Key physical geography. Maps Examples of maps can be
Environment Demographic information, for Map or series of overlaying maps to accessed from UN Habitat,
– a District example, urban centres, highlight different sets of data. such as the Strategic Urban
villages. Plans that have been
base Map
Natural resources and features, developed for some districts.
including rivers, agricultural
areas, vulnerable areas. Departments/government
Could also be used to plot agencies relating to
existing services, such as roads agriculture and environment
and water services and areas of may have maps that can be
economic activity. used or adapted.
Recent projects could be plotted
on the map to show where Other external organisations
development activities have (eg NGOs) may have maps
been concentrated. from previous planning work
conducted in the district.
2. Social Demography and clans Maps Relevant Ministries and
baseline Information on poverty levels Some of this information can be agencies at regional or at
and distribution within the presented on maps, for example: national level if not available
district. demographic information, or plotting the for the district.
Vulnerable groups and gender. location of existing health facilities and
Health information and facilities, education institutions. NGOs and other community
including the health situation in organisations.
the district, and status of existing Tables
services and facilities. Other information should be presented in Census information if
Education information and tables with written explanations below. available
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institutions, for example, the For example, population statistics.
education situation and data on
school facilities and services Graphs
Social trends in the above data. Some information can even be presented
as graphs, especially to show changes
This could include the following over time, for example, rate of population
specific statistics: growth or decline over time.
Total population
Breakdown by sex and age Written paragraphs
Areas of population Some information should be presented as
concentration written paragraphs to explain what is
Rate of growth/mortality presented in the tables and graphs.
Poverty
Literacy/school enrolment
Health indicators ( for
example, infant mortality)
3. Economic Trade flows Maps Relevant Ministries and
profile, key Sectors, economic activities, Some of this information can be agencies at regional or at
assets and including agriculture, presented on maps, for example, location national level if not available
employment of economic activity and industry, such as for the district, for example
opportunities
Infrastructure (roads, bridges, agriculture and main markets. the Ministry of Finance.
ports, irrigation, transport) and Infrastructure can also be plotted on
utilities maps to show where it is located.
Main markets/economic centres
in the region, clusters Tables
Economic growth potential and Information on employment by
opportunities sector/gender can be presented in table
form.
This could include the following
specific statistics: Graphs
Economic activity by sector Graphs could be used to illustrate how
and rates of growth over time. the economic situation is changing over
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Employment by sector/gender time, for example, if employment in a
and rates of growth over time. sector is increasing or decreasing over
time.
Written Paragraphs
For example, information about economic
growth potential and opportunities can be
described in written paragraphs. Also,
written paragraphs can be used to explain
the information presented in graphs and
tables.
4. Basic Information/data on levels of Maps Relevant Ministries and
Social service delivery currently Some of this information can be agencies at regional or at
Services achieved by the District Council presented on maps, for example, plotting national level if not available
Information/data on current the location of external development for the district.
external development assistance activities.
assistance activities in the NGOs and other external
district. Tables organisations.
Information on the main Information about access to services, for
organisations working in the example infrastructure, can be presented
district, incl. donors, in tables.
CBO/NGOs.
Written Paragraphs
This could include the following Information about the levels of services
specific statistics: provided by the District Council and
information about the main organisations
Access to infrastructure such as: working in the district can be described in
roads written paragraphs.
water
electricity
sanitation
communication
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per capita coverage of services
5. Key Sector
Issues
6. Available (natural) resources, Maps Departments/government
Environment / status and issues Some of this information can be agencies relating to
Natural Main features and challenges presented on maps, for example, areas of agriculture and environment
Resources natural resources and vulnerable areas. may have maps and other
and information that can be used
Management Written Paragraphs or adapted.
Information about main features of the
natural resources in the district and
challenges that the district faces in
managing these resources
7. Security
Information
8. Population
Figures for
villages
9. Thematic In addition to the physical A thematic map can be prepared to
Maps environment map (point 1), summarise and illustrate the key
thematic maps of districts should information in each of the above data
be produced in the first year and categories.
improved in the subsequent
years. The appropriate format of maps in the first
round – hand drawn or digital - is to be
decided for each District, based on the
current capacities and recourses in the
districts.
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Attachment 3: Example District Profile – Unity District
**Note that this example is provided for illustration purposes only and districts do not
have to replicate the information here, nor the way in which it is presented.**
A blank copy of the District Profile format can be found in DPPB
Format 2.1– District Profile of your DPPB Format Book.
1. Physical Environment – a District base Map
Gives a spatial overview of key physical geographical information about the district, but
can also be used to plot other kinds of data, for example, demographic information and
location of services.
1.1 Map of Unity District
Success town
This map would show key geographical
features of Unity District. It could also
have other layers, for example:
Demographic information
Location of services
N
Legend
Scale = mountainous region
= 100km = river
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1.2 Information to support the district map
Unity District has a land area of 4000km2 and contains both a mountainous region and a
low lying area. The mountainous region is approximately 1500m above sea level. Annual
rainfall in the district averages 500mm.
Unity District is a relatively remote location, due to its geographical formation combined
with a poor road network, with roads that are sometime impassable.
The population of Unity District is 250,000 people. The district has a main urban centre
known as Success Town, located in the north-east of the district, with a population of
80,000. Other smaller urban centres are located across the district.
Table 1 – Population of Unity District
No. people No. households % male % female
250,000 45,000 50.1% 49.85%
Table 2 – Age of Population
0-14 years 15-64 years 65+ % living in Urban
Centres
46.8% 50.3% 2.9% 40%
Graph 1 – Population
250,000
240,000
230,000
2007 2008 2009
2. Social baseline
Gives an overview of social data for the district, including poverty levels and distribution,
as well as the health and education situation in the district.
2.1 Poverty levels and distribution
Many households in Unity District are affected by poverty, with 47% of Unity District’s
population currently living below the upper poverty line, a figure which has increased
slightly over the past 3 years.
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Graph 2 – Poverty
47%
46%
45%
44%
43%
42%
41%
2007 2008 2009
Poverty levels are generally higher in the rural areas compared with the urban centres.
2.2 Health and education situation
The following tables provide information on the current situation of health and education
in Unity District.
Table 3 – Illiteracy
Adult males Adult females
19% 58%
Table 4 – Enrolment in primary school
Boys (6-15) Girls (6-15) Overall enrolment
70% 30% 60%
Table 5 – Access to Health Services (health post within 4 hours)
2007 2008 Current
40% 41% 42%
3. Economic profile, key assets and opportunities
This gives an overview of the economic situation in the district, including the main
economic activities and employment as well as economic growth potential and
opportunities.
3.1 Economic Activities
The economy of Unity District depends largely on agriculture production, livestock
rearing and small business activities.
The district both exports to and imports from Gulf countries and these include the
following:
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Exports Livestock, hides and skins
Imports Clothing, food, building materials, fuel,
electronic materials, canned food.
3.2 Employment
Most of the population of Unity District is not engaged in formal employment, with
pastoral and other agricultural activities being the main source of income.
Officially, the employment rate in the district is at 30%, which covers those in formal
employment positions.
3.3 Economic growth potential and opportunities
From various studies, the following areas of opportunity for economic growth for the
district have been identified:
Untapped mineral resources providing an opportunity for mining activities.
Generally fertile land for farming, which could be expanded with improved
agricultural practice.
Areas of natural beauty with the potential for a tourism market.
4. Basic Social Services
This gives information on the social and other services provided in the district and who
these are provided by.
4.1 Health Services
The district has the following health facilities:
Hospitals 1 (2 wards, 40 beds)
Health posts 10
Medical staff 30
Major health service problems identified include the following
1. Lack of adequate health premises and ambulance
2. Shortage of qualified staff
3. Lack of diagnostic equipment, drugs and supplies
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4.2 Education Services
The district has the following education services:
Total number of students in district schools 7000 (70% boys, 30% girls)
Total number of students in secondary schools 800 (85% boys, 15% girls)
Number of secondary schools 3
Number of primary schools 29
Number of teachers 160 (80% male, 20% female)
Major education problems identified include the following
1. Large class numbers (average students per class is 70)
2. Shortage of equipment such as furniture and text books.
3. Lack of maintenance of education infrastructure
4. Lack of supply of qualified teaching staff
4.3 Electricity supply
Electricity supply is one of the main issues facing the district. The supply is insufficient
for the needs of the district and unreliable.
4.4 Water and Sanitation
These services are poorly distributed around the district, with the rural areas often
having no reliable water sources or access to improved sanitation. The situation is
slightly better in the urban centres.
4.5 Transport infrastructure
The district does have an airport, although there is a lack of facilities and the buildings
are in poor condition. Access to the airport is difficult due to the poor condition of the
roads.
The condition of the road networks is another urgent issue, as transportation difficulties
contribute to economic problems, for example, transporting goods to markets, which
prevents the district from maximising its potential for economic growth.
5. Key Sector Issues
This section analyses key issues of the district such as urban – rural linkages,
institutional roles and responsibilities, privatisation and public-private partnerships, level
of decentralisation and poverty and environmental issues.
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A number of INGOs operate in the district and are responsible for the construction and
operation of many of the functioning services outlined in the previous section.
Currently there is weak collaboration between government institutions at the district level
and those at regional and other levels. This is thought to be a key area to address in
order to improve efficiency and effectiveness of service delivery at the district level.
6. Environment / Natural Resources and Management
This gives information on the natural resources available in the district as well as their
status, for example whether any are vulnerable to over-exploitation. It also outlines the
major challenges facing the future management of the district’s natural resources.
As noted earlier, Unity District has areas of scenic natural beauty and untapped mineral
resources, both of which are valuable natural resources.
However, there are a number of issues relating to the district’s natural resources, namely
the problem of deforestation, due to the burning of trees for charcoal purposes. Other
areas of the district have severe soil erosion problems, which makes agricultural
production difficult in some areas.
At this point in time there is no overall strategy for the district to effectively utilise its
natural resources and address some of the pressing environmental issues that it faces.
The development of such a strategy is seen as an important first step in protecting and
managing the district’s natural resources.
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Attachment 4: Example Community Priority Assessment t
Would like to develop this as a completed example (like the District Profile example
above). Are there any good examples from year 1 of community consultations that could
be adapted to include here?
A blank copy of the Community Priority Assessment format can be found in
DPPB Format 2.3 – Community Priority Assessment of your DPPB
Format Book (print and electronic versions available).
Note: The below is a broad framework for the format which can be used to finally develop the
Community Priority Assessments. The format will need to be further detailed and developed by
the MOI in order to be operational for the consultations in the villages. The format as shown
below is not meant to be self-explanatory for the village members. It is not expected that the
village members by themselves will be able to go through the process of answering the questions
and fill in the tables. The tables will eventually need to be filled in by the facilitators who, using
participatory methods, will work with the village members to find answers to the questions.
1. Village data
a. Name of village:
b. Location of village:
c. Size of village area:
d. Size of population (and number of women/men):
e. Has a Village Committee been set up? Yes/No
f. Name of Village Committee Chair:
g. Members of Village Committee (number and gender):
h. Special comments about the status of the village, clarity of its area, etc:
2. Basic Community Information:
Has Basic Community Information been collected for this community? Yes/No
If Yes, please attach any relevant documents to this Community Priority Assessment
(CPA) Form.
If No, please use DPPB Format 2.4 – Basic Community Information (in DPPB
Format Book) to assist with collecting this information and attach to this Community
Priority Assessment (CPA) Form.
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3. Challenges and problems felt by citizens
Question: how were these questions used during the first round of community
consultation? Do they need to be simplified further, or reduced in number? &/or do we
need to explain that these are guiding questions only and facilitators can choose which
ones to ask, rather than having to ask them all?
What are the 2-3 most important health problems in the village? (for women and
men)
What are the 2-3 most important problems with regard to literacy levels and the
school system (for girls/boys and women/men) in the village?
What is most important problem for (female/male) agricultural producers and the
agricultural production in the village area?
What other activities do people (women and men) do to earn a living and what
are the major problems in these areas?
Is the access to markets and input supplies working well enough or what are the
major challenges (for both women and men) here?
How well is the water and sanitation system developed and what are the biggest
challenges in getting water and sanitation services out to citizens across the
village?
How well is the road (bridge) system developed and what are the biggest
challenges in ensuring a working road network? Are the most urgent and
important access needs met?
Are there special natural resource or environmental problems which are
important in the village?
Are there particular groups which are highly marginalised and vulnerable
compared to others in the village - which? (among the groups how many are
women and how many are men)
Are there some of the challenges and problems above which are felt more for
some groups of citizens than for others? Are they felt differently between women
and men? The youth? Clans?
What are the main threats to peace and stability in the community and what are
their underlying causes?
What do people think are the levels of poverty in the community and who is the
most affected by poverty? (including % of men/women)
Which 7--8 problems and challenges listed above are the most important to do
something about within the next 5 years? For which groups in particular?
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Opportunities and positive developments and initiatives
What are the most important positive developments that have been felt (by
women and men) in the village during the past 1-2 years? This can be in poverty
health, education, economic growth, agricultural production, environment,
peace/stability, or other?
What have caused these positive developments?
Did groups or persons within the village take some actions or initiatives which
helped bring these positive developments about? What did they do?
Did officials from the District Council, the MOI, NGOs, CBOs, or other take
initiatives which caused these positive developments? What did they do?
Can these positive actions or initiatives be undertaken in more locations and with
more people within the village so that the positive developments spread and are
shared by more?
What would be the main priorities and initiatives that could be taken by the village
to spread these positive initiatives?
What can be done by the different groups in the village to spread these positive
developments? What could be done by the District Council, MOI, and any
NGOs/CBOs active in the district?
Vision and goals
Describe how the communities (men and women) would like to see the situation in their
village 5 years from now. Describe this at least for each of the following areas (but other
areas can also be mentioned):
Poverty
Health
Gender issues
Education
Agriculture
Economic development/activities/growth
Peace and stability
Water and sanitation
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Roads
Environment
The above areas can also be based on the national level goals.
Priority areas
Based on the vision, challenges and opportunities listed above, list the 7-8 areas (in
priority order) which should be given highest priority during the next 5 years in order for
the village to be able to see its vision come true.
1.
2.
3.
4.
5.
6.
7.
8.
Priority projects
For each of the 7-8 priority areas list the projects or interventions that the village (men
and women) sees as the most important to implement in order to move forward on the
priority areas.
! Note that not all of these projects/interventions will be funded by the District Council.
Please list details of these projects/interventions in the following table.
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Table: Details of Community Priority Projects
Country Region District Village/Town Community
………………………………….. ………………………………….. ………………………………….. ………………………………….. …………………………………..
Description of Priority Sector Activities No. of direct Total cost Relevance to village Expected environmental
Project Area beneficiaries estimate or social impact
(see note) List the main activities Describe how the
For example (Households) USD project will benefit Describe and assess
culvert, bridge, people and why it is whether it has positive or
school, important negative impact, and
awareness whether it may lead to
campaign etc. conflict
1. Water Water Water Digging the well, from 1000 $36,000 People currently The social impact is
improvement distance 3 km, fixing have limited access positive. The
project pipeline, water tank to water and spend a environmental impact is
storage, machine long part of their day neutral. There needs to
room, well gabions & fetching water, be a clear agreement
building 5 kiosks. especially women. about access to the
water source when
finished, in order to
avoid conflict over its
use.
2. Construction Health Health Construction of 4000 $26,000 Access to health The social impact is
of MCH Consisting of 1 room facilities are limited, positive. The
female ward, out- currently people environmental impact is
patient 1 room, 2 have to travel for at neutral. There is no
offices, 1 watchman least 2 days to reach expected source of
room, 2 toilets and the nearest MCH. conflict.
veranda
3. Farm Agriculture Agriculture The first 20 farms 1000 $40,000 Improved farming The social impact is
improvement needs reconstructing practices and positive. The
their wells and infrastructure will environmental impact is
purchasing 20 benefit the local neutral. There may be
machines for Diesel, economy and some conflict over
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second 10 Farms are promote local whose farms are given
Building gabions, and employment. first priority. This will
rest 5 farms also have to be carefully
needs digging of managed.
wells
4. Housing for Poverty Housing Building 10 houses 10 $40,000 Housing for IDPs will The social impact is
IDPs for 10 IDP families help this positive. The
14.6 m2 marginalised group environmental impact is
to improve their neutral. There may be
standard of living and some conflict over which
create greater land is allocated for this
harmony in the purpose and this needs
village. to be negotiated.
Indicate relevant sector by using the following codes: E. Education; W. Water Supply; S. Sanitation; H. Health; A. Agriculture; I. Infrastructure; M. Income Generation; Con.
Conflict; CB. Capacity Building; T. Community Awareness
Approval by Village Committee
Name Title Signature Date Name Title Signature Date
1. 4.
2. 5.
3. 6.
Consultation for these priority projects Facilitating Partner: ____________________
Start Date:_____________ Completing Date:_____________ Name/Title:
Agreement that the representatives of the Village Committee for Signature/Date:
development activities participated fully in prioritising the projects, and
that the projects have been presented to and is agreed to by the Certified that this list of priority projects has been developed through a consultative and
community participatory process involving all members (women, youth, disabled, other vulnerable
members) of this community
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Attachment 5: Basic Community Information Guidance Notes
Question: did any communities conduct this activity as part of the consultation process?
If so, how did it go? It seems like some of the categories require quite complex
information – does this need to be simplified at all?
These Guidance notes are designed to help community consultation teams
(Facilitators and District Councillors) to collect some basic community information for
inclusion into the Community Priority Assessment document.
A blank copy of the Basic Community Information format can be found in
DPPB Format 2.4 – Basic Community Information of your DPPB Format
Book (print and electronic versions available).
Heading What does this include?
1. Economic Write some information here about the main economic activities in the
activities, community.
resources and
services in the Also write about the level of services in the community, for example,
community many of the communities either have or share health, water and
education facilities with other communities, which are mainly in the
form of MCHs, water points and primary education facilities.
2. Potential Write some information here about the potential areas for conflict in the
areas of community, For example:
conflict Conflicts may arise from disputes over land use and resource use.
Conflicts can also take place at various phases of the decision-
making process.
Conflicts may be different depending on whether the community is
urban or rural.
These issues tend to generate disputes among competing interests
in communities.
3. Stakeholder Write some information here about the different stakeholder groups in
analysis the community and their relationships with each other. For example:
Identify relevant groups and interests within the social and
community sectors. In addition, the analysis can seek out potential
stakeholders to ensure proper representation in relation to gender,
clan, interest and poverty.
Look at the stakeholders in terms of decision making power, ability
to provide information, ability to contribute to the implementation
and probability of being affected by the outcome of the
intervention.
Who currently dominates the decision making process in
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 119
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communities?
4. Social Write some information here about:
exclusion Perceptions of community diversity, access and discrimination
assessment Participation of men, women, people with disabilities, minority
(gender, groups and children/young people in decision making processes
disability, and the perceptions of their ability to have influence over their
minority, age lives.
etc) Ownership of personal assets by women, men, minority groups
and people with disabilities.
Access to employment opportunities and skills development by the
different groups mentioned above.
5. Assessment Write some information here about the different livelihood strategies in
of key the community.
livelihood
strategies This can include an assessment of, resources, for example individual
skills and abilities (human capital), physical capital (land, equipment)
social relations, financial resources etc.
It should also take into account other key components such as:
Livelihood assets
Policy, institutions and processes
Vulnerability context
6. Analysis of Write some information here about any major gaps in socio-economic
key socio- status of people (men and women) in the community.
economic
cleavages
7. Write some information here about the environmental context of the
Environmental community.
context
Environmental issues that need to be captured include:
Highlights of the environmental impact of charcoal business
which is one of the key commercial practices in rural
communities. Analyse impact of this on farming and grazing
land as it causes soil erosion and reduced rain fall.
Analysis of the environmental impact of prioritised projects on
livelihood and economic wellbeing.
Shortage of drinking water and its environmental impact
Systematic problems such as flooding, erosion, droughts and
deforestation
A tool such as the Environmental Risk Assessment (ERA) tool needs
to be developed as a companion to this community profiling exercise.
ERA is concerned with problem finding and analysis, and is a
diagnostic process which explores barriers to local development and
environmental protection.
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8. Inventory of Write some information here about the different resources in the
community community. For example:
resources and
capacities Natural Resources:
(natural, Unpolluted environment & warm climate
physical, Limited ground water sources
institutional, Existence of farms and grazing land
social, financial
and human) Physical resources:
The existence of service facilities like schools, boreholes, heath
and community centres
Institutional Resources
Role of local authority in community building and support
Existence of administrative urban rural linkage b/w district
council and VC
Social Resources
Traditional elders which are respected in the community
Effective youth groups
Effective participation of women
Financial Resources
Agricultural products
Livestock (sheep, goat, cattle and camel)
Charcoal business
Small and micro-scale enterprise
Programme for specific farming communities by different
international organizations
Existence of economic urban & rural linkages
Develop a questionnaire on available community resources and
capacities to gather this information.
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Exercise Sheets
Exercise Sheet 1: Identify existing planning information
Exercise Sheet 2: Enhancing Participation Principles in our District
Exercise Sheet 3: Identifying Community Challenges
Exercise Sheet 4: Pairwise Ranking Exercise
Exercise Sheet 5: Johari’s Window
MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 122
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Exercise Sheet 1 – Identifying existing district planning information
This Exercise Sheet is to be used in Exercise 2.3 in Session 2.3.
What are the possible Where can we locate this Who can we assign to
existing planning documents information? look for this
that our district may have information and/or
prepared in the last 5 years? follow up?
1.
2.
3.
4.
5.
6.
7.
8.
9.
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Exercise Sheet 2 – Enhancing Participation Principles in our District
This Exercise Sheet is to be used in Exercise 3.1 in Session 3.1.
What is the principle? What are the benefits of this How can we enhance this What are some of the
principle for our district’s principle in our district’s constraints to enhancing
planning process? planning process? this principle and how can
we overcome these?
In this column, write down
the principle that your
group has been assigned
and complete the details
in the other columns of
this table.
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MINISTRY OF INTERIOR. MODULE 2: PLANNING MODULE. PARTICIPANT BOOK. FINAL REVISED JULY 125
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